FORMAL PLANNING
AND
REPORTING SYSTEM
PROCEDURAL
MANUAL
U.S. ENVIRONMENTAL PROTECTION AGENCY
Washington, D. C. 20460
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U.S. ENVIRONMENTAL PROTECTION AGENCY
FORMAL PLANNING
AND
REPORTING SYSTEM
PROCEDURAL MANUAL
11772
OFFICE OF RESOURCES MANAGEMENT
FEBRUARY 8, 1973
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FOREWORD
The Formal Planning and Reporting System (FPRS) herein described is
EPA t s Planning-Programming-Budgeting-system effort for F! l97 t. Its
precursor, the Program Planning and Resources Management System, has been
expanded to include strategic planning, reporting, and formulation of the
President’s budget.
FPRS stresses the identification of and commitment to program output
as well as its monitoring and reporting. Adequate attention continues to
be given to resource (input) management and control. The output and
reporting orientation of the system will contribute greatly toward providing
a firm management foundation for EPA’ s decentralization. Through FPRS,
Headquarters will communicate strategy and objectives to the Regions; and
the Regions will connit to program output in return for resources.
Headquarters will be able to monitor commitments through the reporting
mechanism of the system.
This FPRS Procedural Manual supersedes the Procedural Manual (volume )
issued last year for the Program Planning and Resources Management System.
Volume II (Appendices) of the PPRMS Manual is to be used in conjunction
with the FPRS Procedural Manual. Volume I I I (Program Element Definitions)
nay be used also.
j’ 2
Eldon D. Th.ylor
Deputy Assistant Administrator
for Resources Management
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TABLE OF CONTEN
PAGE
I. IN ODUCTI0N
Introduction and Executive Summary 1
Key Characteristics of the System 1
Schedule 14
Responsibilities of Key }lanagers 5
Conceptual .sis for Output Measurement 7
II. PlAN DEVELOPMENT MID REVIEW
Agency Strategies. 11
Operating Guidance 12
1”Y 197 4- Resource 1 .rgets. 15
Program Plans 16
Output Commitments. 17
Milestone Plans 20
Resource Allocations 21
Transmittal Memorandum. . 214
‘Th.rget Reassignment Requests 25
Ov rtarget Requests . 25
Planning for the ? knagement Account 26
Revie q Process 27
Program Eaenient Resource Allocations. 29
Subordinate Planning Systems 30
Accomp]J_sliznent P].azis 32
Geographic P1 an 32
Development Plans for StaT ñard8 and Regulations 35
Special Accomplishment Plans 35
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TABLE OF cctn!EwIs(caIT’D)
PAGE
flI. PLAN EXECUflON
Repcxrtirig Systent. . 36
SIP’s and E’Ml”s . 37
Program Plans 37
Personal Reporting 38
Regional ProgramReviewand.Appraisals 39
AdininistrativeFund Control. ki
Revised Allowance Procedures
Changes in Plans and Allowances 43
Requirements for Submission of Change Requests
and. Change Notifications 1 t3
¶I ypes of Change Requests 1421
AMR Procedures of Review and. Approval of Change Requests.. 45
Issuance of Revised Allowances 145
Form for Change Requests and Change Notifications 46
Fiscal Responsibil.it3r
IV. FORMULATION OF ‘IRE PRESIDENT’ S BUDGET 48
V. APPENDICES
A. P]..arrtir1g Schedule 51
B. Defini.tions 52
C. Forms and Instructions 60
D. Decision Modules 105
F. Allowance Holders and Responsible Planning
and Implementation Officers 118
F. New Appropriation Authorization Codes 120
0. New Appropriation Authorizations for Water and
Noise Elements 122
H. Budget Subactivity Crosswalk. 125
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I. INTRODUCT ION
Introduction and Executive Stm mary
This section is designed to present a summry of the system and. the
responsibilities of key line managers in a brief form that a busy n . .ger
should have time to read.
Key Characteristics of the System :
1. The system is an output.oriented system. Output orientation is the
underlying theme that runs throughout the entire system. The system tries
to focus our attention on getting our most important tasks done. It tries
to relate those tasks to our ultimate environmental protection and quality
of life objectives to make sure they are the right tasks. It tries to
remove some of the customary emphasis from resources (inputs). Resources
are to be obtained in return for a commitment to output and a major effort
is focused ai following up on the commitments to meke sure they are kept.
The system does, of course, contain adequate safeguards to ensure that
our resources are spent within the legal constraints of our appropriations
and authorizations.
2 • The System Provides for Three Types of Plans:
a. An Agency strategy will be developed for each media. These
strategies are essentially long-term strategic plans. The system is
designed to use the strategies as the basis for resource allocation and
program guidance decisions.
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b. Accomplishment plans will be prepared for major mid-term goals
that cut across organizational lines. Water Basin Accomplishment Plans
(which will become State 303 (e) Plans) and State Air Implementation
Plans (sips) will be prepared for our major air and water abatement
goals; these should be joint plans that guide both Federal and State
activities. Accomplishment plans will be prepared for the development
of standards and regulations, and for certain special activities (e.g.,
the Eutrophication Control Program) designated by the Administrator.
These plans will be prepared as required and updated whenever circum-
stances demand.
c. Program plans will be prepared annually as a basis for committing
Agency nanagers to a satisfactory level of output and for allocating
Agency resources. These plans will be prepared at a level of aggregation
higher than the program element, and. this level of aggregation will serve
as the vehicle for resource aflocat ion and output accountability.
3. Sweeping resource allocation changes, when needed, will be made
over a period of time in response to the Agency strategy for each media.
The major incremental changes in our resource allocation will be based on
the strategies and will be made in the fall of the year during the
formulation of the Presidentts budget. These allocations wifl be fine-
tuned during the spring, the fine-tuning limited by the restrictions we
expect the appropriations committees to place on us. The system tries to
give each line manager maximum flexibility to allocate resources internal
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to his own organization as necessary to achieve his output commitments.
While retaining the program element structure for accounting purposes, the
system provides for Agency level decision - inking and control on resource
aflocations at a higher level of aggregation.
4. The system is hopefully reasonably efficient in providing adequate
coordination among the various organizations which have to do planning at a
reasonable minimum of paperwork. For example:
a. Strategy documents will be prepared by program Assistant
Administrators with adeqpate input from the regions and other Assistant
Administrators. Strategies will be exa m - i ned annually and updated only
as circumstances require.
b. Accomplishment plans are really developed as parts of other
processes, and they are used in this system to ensure the integration
of all planning processes. SIP’s and 303 (e) Plans are prepared with
States, and their use in this system ensures the integration of Federal
and State action. Accomplishment plans for standards and regulations
are the development plans called for by EPA Order 1000.6. Once prepared,
all these plans are updated only as circumstances require.
c. Guidance to regions will be largely on a task basis, rather
than on a program element basis. The September ]A guidance memorandum
from OAWP/OEGC on air inrplementat ion is a good example of what we have
in mind. Such guidance is more integrated organizationally, is output-
oriented, and. is less detailed than dealing at the program element level.
d. Regions can develop their annual program plan in conjunction
with the State program planning process • The timing for program plan
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development (early spring) should permit this. Even where precise
coordination is not possible, both regional and State program plans
should be driven by the seine basic 303 (e) Plans and. SIP’s,and there-
fore should stay reasonably well in step.
e. The Spring review of program plans will afford an opportunity
for both Assistant Administrators and Regional Administrators to present
and defend their proposals to the PPRG*.
f. We win not attempt to use the planning and reporting system to
evaluate the efficiency of operations in any detail (for example,
determining the number of man-weeks it takes to process a construction
grant). Differences among regions and Headquarters offices make the figures
we get unreliable. Bather, we expect to use on-site visits to come to
grips with any problems we have in the efficient use of resources.
5. The management reporting system will have two principal thrusts.
Reports that are as quantitative as possible will be prepared on the
progress in meeting ambient air standards and priority basin water stand-
ards. These reports win be based on progress in carrying out the SIP’S
and the 303 Ce) Plans. In addition, a management by objectives type system
wifl cover the key accomplishments of the annual program plans throughout
the Agency.
Schedule :
The full schedule f or the coming planning cycle is shown in
Appendix A. The key dates are: February 16, receipt by RPIO’s (AAts
*The PPRG consists of the Deputy Administrator, the Assistant Administrators
and sametimes the Administrator.
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ar id RA Y s) of program planning guidance and resource targets; ?trch 30
M’s, April 13 RA’s - program plans due from RPIO’s; April 27 --Ity 11,
BA’s and Ak ’s make personal presentations to PPRG; !ty 25, final
Mministrator/Deputy Administrator decisions on program plans. ?tnagement
intends to be firm about meeting the schedule.
Responsibilities of Key Itnagers:
Assistant Administrators : The most important responsibilities of the
Assistant fiñnrinistrators are:
--participation in the development of the Agency Strategies,
--participation in the development of operating guidance either as
a lead office or as a support office,
- -developnent of a subordinate program planning system to ensure
that the program planning needs of his Headquarters program are
met,
--development of program plans (output con iitments and. ontarget
resource allocations) for his organization,
--personal presentation of those plans to the PPRG,
--review of proposed Regional program plans in his area of
responsibility to make sure that 1) they conform to the strategy
and 2) that the level of output promised is reasonable given
the resources available,
--as a member of the PPRG, active participation in the top
management face-to-face review of the other Mts and the RA’s plans,
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--preparation of program element resource allocation f or
his own line organization,
--reporting of progress against plan for his own line
organization to the Mministrator/Deputy Administrator
using the monthly status reviews,
--on a monthly basis, review of regional reports of progress
against plan in areas of his NW responsibility; reportiig
of key problems on an exception basis to Administrator/
Deputy Administrator using monthly status reviews,
--conduct of in-depth, on-site review of regional programs
in areas of his NP)! responsibility, and
--Assistant Administrator, Office of Air and Water Programs
only-- summarization and presentation of quarterly reports
on SIP’s, PBAP’s to Administrator/Deputy Administrator.
Regional Administrators : The most important responsibilities of
the Regional Administrators in this system are:
--development of a subordinate program planning system to
ensure that the internal program planning needs of their
regions are net,
--development of program plans (output commitments and on-
target resource allocations) for the region,
--personal presentation of these plans to the PPRC,
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--preparation of program element resource allocations
for the region,
--reporting of progress against plan for the region,
--forwarding State reports on SIP’s and 303(e) along with
appropriate analyses to Headquarters,
- - taking required follow-up action with the States on
deficiencies shown by SIP and 303(e) reports, and
--providing input on changes in resource allocations that
should be made in formulating the President’s budget.
Conceptual Basis f or Output Measurement
The management of EPA is committed to operating EPA as a
decentralized organization. Ft is convinced that a decentralized
organization will most effectively implement our programs.
En order to make decentralization work, both Headquarters
and the regions have responsibilities that must be met. Stated
very plainly, Headquarters must define the job to be done and the
regions must do it. In EPA we seem to understand these functions
and are trying to carry them out. There is, however, another aspect
of our joint responsibilities that we sometimes forget; the responsi-
bility to communicate effectively. Headquarters must communicate
its objectives and strategy to the regions; the regions must show
Headquarters they understand the strategy and are getting the job done.
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The first part of the communication need is obvious. How can
the regions carry out the strategy if they don’t know what it is?
(Note: This suggests that where there is a failure to implement a
policy, one of the first questions Headquarters should ask is whether
it was effectively communicated.) -
Part of the need for feedback from the regions is clear. There
are some problems that arise that can only be solved by Headquarters
action, e.g., the modification of unworkable regulations. However,
there is another need for the feedback from the regions that requires
an understanding of the human psychology involved. Headquarters manage-
ment is under both external and internal personal pressure to get our
environmental job done. To live with these pressures on them, Head-
quarters management must have confidence that the regions, which are
responsibile for doing the job, understand what it is and are getting
it done. In the absence of such confidence, Headquarters management
is likely to gradually impose greater and greater amounts of specific
operational control on the regions telling them explicitly how to do
things as well as the level of resources to use. A formal planning
and reporting system that obtains commitments to specific outputs and
reports progress and problems in a timely fashion should give this
necessary confidence in our organization, which is too large and too
geographically separated for the confidence to develop on an informal
basis. A successful output-oriented planning and reporting system is,
therefore, an important tool in preserving our decentralization and
making it work.
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In order to make an output-oriented system work, we must under-
stand its limitations. The difficulty with output-oriented systems is
that it is impossible to precisely measure the ultimate output sought.
We must use proxies for that ultimate output. Output-oriented systems
are commonly used in private industry and work relatively well because
profit is a good proxy for the ultimate output of a private concern.
It is more difficult to use an output-oriented system in the Government
because our measures are generally not as good proxies for our ultimate
public welfare output as profit is for the private firm. En EPA we are
fortunate that the proxies we have available to us are better measures
of our ultimate output than are available to most government agencies.
We can measure ambient air and water quality; we can measure reduction
in effluents. Table 1 shows our hierarchy to output goals and measures,
and how they relate to our ultimate goal.
An important implication of the fact that our output measures are
just proxies for our ultimate output is that they cannot be used as the
final measure for making decisions. Whether we are setting strategies,
allocating resources, or evaluating performance, the output measures
are merely the starting point. They tell the manager where to look;
they identify probable problems. They must not be used as substitutes
for personal contact among the managers and for individual understanding
of actual conditions. Failure to understand this fundamental principle
is what can delude managers to winning wars on paper based on misleading
“body counts.
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TABLE 1
GOAL
HIERARCHY OF OUTPUT GOALS AND MEASURES
MEASURE CO NT
1. Clean Environment; inaximi-
zation of quality of life.
No measure possible
EPA’s ultimate objective; the equivalent of the maximi-
zation of long-term profits for a private company. A
subjective mixture of protection of public health,
protection of ecological systems, protection of aesthetic
values 1 prevention of economic damage by pollution, and
minimization of cost and inconvenience.
2. Achievement of ambient
standards (ambient air
standards & water quality
s tandards)
3. Achievement of effluent
standards and effluent
reduction goals
Ambient air and
water quality, e.g.,
dissolve oxygen,
SO concentration
Pounds of reduction
in pollutants
Value of proxies for ultimate goal depends on quality of
standards setting effort. Are being measured arid reported
under SIP’s, PBAP’e. Not useful as measure of EPA in-
ternal performance because subject to too much variation
due to uncontrollable c&ises (e.g., weather). Useful on
a several year trend basis for program evaluation purpose
Relationship to achievement of ambient standards not
precise and open to debate. Are being measured and
reported by SIP’s arid PBAP’s. Can be used on an annual
or quarterly basis as a measure of internal EPA perform-
ance, although many reduction casused by factors wholly
or partly beyond EPA control (e.g., State action, closing
of uneconomic plants).
4. Achievement of Functional
Objectives
Measures stated in
terms of each
objective, e.g.,
number of treatment
plant operators
trained.
Relationship to achievement of ambient standards or
effluent reductions indirect id speculative. Useful
as internal performance measures; most clearly related
to actions by EPA employees. Will be planned and
reported through program plans.
This hierarchy shows that the closer a goal comes to our ultimate goal the harder it is
internal control, system due to difficulties in measurement and in attribution of cause.
which are easiest to use for internal control purposes have a significant potential for
of progress toward our ultimate goal.
to use it for our
Conversely those goals
being false measures
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II. PLAN DEVELOPMENT AND REVIEW
Agency Strategies
There will be an Agency strategy for each media (e.g., air) and
each categorical program (e.g., pesticides). The Agency strategies
will be developed through strategy studies and subsequent follow up
on issues raised by the strategies. The studies will evaluate the
long-term objectives (two to five years) of each program in terms of
the substantive environmental problem it is trying to address. They
will attempt to define the principal options for strategies for achiev-
ing those objectives given the constraints of EPA’s legislative mandate
and probable general level of resource restrictions.
The primary purpose of the Agency strategies is to give us a
strategic framework within which resource allocation and program guid-
ance decisions caz be n ade. ey will also provide a rational- framework
which can be used for the public explanation and defense of our program.
Specifically, this year, the strategy studies will provide a framework
for the provision of operating guidance for FT 1974, for making readjust-
ments to the current F l 1974 budget, and for making F’? 1975 and F’? 1976
resource allocations.
We hope that the strategies developed this year will be valid for
several years. Strategy studies will be redone on an irregular basis as
the old strategies go out of date and the need for new ones arises. The
strategy studies will not deal with questions of major redirections in
programs that will require new legislation. The mechanism for evaluating
proposals for major legislative change will not be part of the Formal
Planning and Reporting System.
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Operating Guidance
Guidance for the development of the F l 1974 Program Plans will be
developed based on the strategy studies. The guidance will be developed
on a media (program) basis. All functional areas of a media including
research will be covered by the guidance. A single guidance package will
be developed for each media covering both the Headquarters and the regions.
(For Fl 1914 the strictly Headquarters part of the guidance will not be
done until after the regional guidance.)
The guidance will replace the program element guidance issued in the
Fl 1973 cycle. No program element guidance will be issued centrally.
Each 1 12 10* may supplement the guidance with program element guidance for
organizations under his line control.
The guidance will specify the nature of the commitment that the
11210’ s are expected to make in their program plans. The division of
function between the plans and the guidance is that the guidance will
identify the kind of output to be achieved while the plans will identify
the level of output to be achieved. The guidance will also briefly set
forth the program strategy for the forthcoming year, identify the tasks
to be performed to achieve the output commitments, and assign organiza-
tional responsibility for those tasks.
The guidance package for each program (media) will have three
parts: I) a summary listing just the kinds of outputs to be obtained,
2) a brief narrative describing the operating strategy and tactics to
*The definition of RPIO has been changed so that only Regional Administrators,
Assistant Administrators and the Deputy Administrator now have that status.
Allowance Holders are the same as last year.
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be followed, and 3) a listing of the tasks needed to achieve each
output. Somewhere, probably in the narrative, there should be an
indication of the relative priority of the various outputs. This will
be very much like the September 14, 1972, OkWP-OEGC Memorandum of Under-
standing on the air program objectives and responsibilities; the major
difference being the addition of the summary to make the outputs stand
out more clearly.
The summary part of the operating guidance shall be the Summary
Output Guidance Form. This form and the instructions for using it are
found in the section of this manual entitled “Forms and Instructions.”
The narrative shall be kept brief and shall be organized as is appropriate
to the circumstances. No form is specified for the listing of the
tasks. However, it is suggested that the format used in the September 14
memorandum would be appropriate. Headquarters tasks need to be set forth
only to the extent they are required to assure coordination among the
Assistant Administrators’ offices and to inform the regions of when
intermediate outputs they need will become available. Guidance needed
by program offices on other task milestones will be supplied by their
Assistant Administrator.
All outputs listed in the summary should be ones on which a commit-
ment is expected and which are important enough that routine reporting
should be required. Since we are not using the system for detailed
evaluation of efficiency, lesser outputs and items useful primarily as
indicators of workload should not be included. In formulating the output
measures, certain principles should be followed:
1. An objective observer using documentary evidence must be able
to tell at the end of the year whether or not the output had been
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achieved. For the short-term management reporting and control purposes
for which these outputs will be used, outputs requiring subjective
evaluation are not useful. For example, improving State capability is
an output that would require a subjective evaluation and cannot therefore
be used. If this is an important objective of a program, a measurable
proxy would have to be found.
2. The total number of outputs to be required should be kept small.
We want these outputs to be a basis for reporting and interaction among
the Administrator, the Deputy Administrator, the Assistant Administrators,
and the Regional Administrators. These are busy men. If the number of
outputs is not restricted to a small number that are key to our operations,
these men will have neither the time nor the inclination to deal with the
reporting on them. If this happens, the system will become exclusively
a staff system, and will lose most of its value.
3. In line with the above, we do not expect the outputs to cover
all the activities of the organization.
4. Where possible, quantitative outputs are preferred 0
5. The outputs should be ones over which EPA has a significant
degree of influence. The primary responsibility for achieving some
of the outputs will, however, rest with outside organizations, often
State governments. This does not remove the utility of the output; it
merely means that the appropriate response to failure to achieve it will
often be to take action to influence or coerce the State government
in question. Such a situation does not lessen the responsibility of the
relevant EPA officials to do everything in their power to achieve the
output in question.
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6. The output should be as meaningful as possible in terms of
the ultimate objectives of the program. This principle will frequently
conflict with some or all of the above principles. Judgment will have
to be used to resolve the conflict.
Both EPA and the States will be producing some of certain outputs.
Other EPA outputs will be dependent on certain State actions. In either
of these cases where the State action is of critical importance, the
Regional Office will be asked to specify the expected level of EPA out-
put as a planning assumption. The operating guidance should indicate
where the regions should specify the planning assumption used. Reporting
in the “achievement” of the assumption will be required.
FY 1974 Resource Tar çs
Resource targets for F? 1974 will be issued to each BP1O at the
same time as the operating guidance is issued. The Office of Resources
Management (ANR) will formulate these targets based on the President’s
budget and the decisions that were nude in formulating it. Resource
targets wit ], be issued by appropriation and by budget activity (medial
program). The RPIO’s will have no flexibility to modify the dollars
by appropriation in their ontarget plans. They will have flexibility
tomodifr the dollar targets j y _ budget activity provided that they
stay within their total target and provided that they do not vary more
than 20% from any budget activity target . The regions will not be
permitted to vary from the targets by decision module for program grants
and planning grants and these allocations do not count in the total
allocation by budget activity when determining the amount of variance
from the budget activity target permitted. With certain specified
exceptions, RPIO’s will be able to modify position targets .
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The regional resource targets should be shown on the Regional
Resource Targets Form. A copy of this form and the instructions
for using it are found in the Section of this manual entitled “Forms
and Instructions.” A similar format should be used for Headquarters
programs.
Program Plans
During the Spring Program Planning Cycle each RPIO will submit a
complete program plan including the following items of which the first
four are required and the last two are optional:
1. (REQUIRED) A statement of his commitments to specific outputs
during the coming year. This will be on the appropriate Accomplishment
Commitment Porn.
2. (REQUIRED) A Milestone Plan which will permit tracking of
progress in achieving the commitments during the fiscal year.
3. (REQUIRED) An on-target allocation of resources to decision
modules on the appropriate Resource Allocation Forms. This allocation
must be consistent with the total resource targets issued.
4. (REQUIRED) A brief general transmittal memorandum outlining
the strategy behind the particular output commitments and resource
allocations made.
5. (OPTIONAL) Any target reassignment requests (requests to shift
resources within the RPIO’s total target between appropriation or budget
activities in excess of the percentage shifts allowed in the targets).
6. (OPTIONAL) Any overtarget requests (requests for resources in
excess of the RPIO’s total target).
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Output Commitments : Each RPIO must develop and submit a set of output
commitments. In a very real sense the RHO is being issued his
resources in return for his promise to achieve the outputs to which
he commits himself. the outputs will consist primarily of functional
outputs (shown in Table 1 as the 4th level of proxy for our ultimate
objectives).
The program plans must show the level of commitment th the outputs
specified in the operating guidance. If the RPIO does not believe he
will be able to achieve any of the outputs specified in the guidance,
he should specify the level as being zero. The outputs specified in
the program plans will be the subject of routine reporting to the
Administrator/Deputy Administrator. The RPIO may add output commitments
to those specified in the guidance if he feels that he ought to report
on them to the Administrator/Deputy Administrator. R.PIO’s are encouraged
to add output requirements only sparingly to avoid excessive reporting
at the Administrator/Deputy Administrator level and to keep down the
report preparation burden in the RPIO’s own staff. The Administrator
or Deputy Administrator in approving the program plan will indicate
whether or not he accepts an added output as one he wants reporting on.
Instead of accepting it, he may approve the output, but say that no
routine reporting on it is desired or he may advise against it given
the importance of other tasks, or even disapprove it.
Planning asstmtptions about the level of expected State action
should be shown in the program plans in a way similar to the way outputs
are shown.
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Since we will not attempt to use the planning and reporting
system to evaluate the efficiency of operations in any detail all
provisions for including lesser output commitments and workload
indicators have been dropped. We expect that in some organizations
significant amounts of resources will be devoted to work which does
not directly support an output commitment. It is possible that during
the “bargaining” over the level of output to be achieved during the
review process, an RHO will have to present some analysis of the work
his organization must do on items to which there is no commitment, but
it will be less work for all concerned if this is dealt with on an
ad hoc basis rather than through a comprehensive requirement.
The output commitments in the program plans should be developed
assuming the level of resources provided in the resource targets at
the same time as the operating guidance. Only those shifts among
appropriations and budget activities (program/media) that the RPIO
has authority to make should be assumed.
For Headquarters programs, the output commitment should be shown
on a Headquarters Accomplishment Commitment Form. These forms will
be unique to decision modules, so the allocation of funds to the
decision module will provide a measure of the resources in relation to
the output commitments made. A copy of this form and the instructions
for using it are found in the section of this manual entitled “Forms
and Instructions •“
For Regional programs, the output commitments should be
shown on a Regional Accomplishment Commitment Form. These forms will
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be unique to programs (budget activities) so that the same form can
be used for commitments involving activity from more than one decision
module. So that resources can be related to the conunitment for
analytic purposes, the man-years required for each conmiitment must
be shown. A copy of this form and the instructions for using it are
found in the section of this manual entitled “Forms and Instructions.’
The outputs committed to in the program plans are not the only
outputs to which a formal commitment is made in the EPA Formal Planning
and Reporting System. Various R.PI0’s will also have commitments under
303(e) Priority Water Basin Plans, State Air Implementation Plans,
Accomplishment Plans, and Standard and Regulation Plans developed under
EPA Order 1000.6. Since the program plans are comprehensive plans
which are formulated in part to justify resource allocations, there
must be provisions for including in them these other output commitments.
For 303(e) or flAP plans and the SIP ’s, EPA’s commitment will be reflected
in functional outputs promised by the program plans. For example, a
connitment may be made to the total number of industrial water discharge
permits that the region will issue. The commitment will be to a total
number which will include those in the priority basins. In the water
area, the regions must also show how the commitments are distributed
among the priority basins.
The region must submit a Priority Basin Accomplishment Form. This
shows the distribution to priority basins of these output commitments
which are relevant to priority basins. The outputs shown should be only
the expected EPA outputs not including any State outputs. These commit-
ments should be adequate in combination with realistically expected
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State outputs to achieve the pollution abatement commitment promised
by the Priority Basin Accomplishment Plan or the 303(e) plan. The
purpose of requiring this information is to ensure that the PBAP/ 303(e)
commitments are sound. A copy of this form and the instructions for
using it are found in the section of this manual entitled “Forms and
Instructions 1t
Milestone Plans : For every output commitment, the RPIO must submit
a Milestone Plan. The purpose of the Milestone Plan is to enable
management to track progress in achieving an output commitment • When
something is going wrong, it should enable management to discover it
in time to take corrective action, or if corrective action is not
possible to adjust other activities to the delayed schedule.
The milestones should be shown on the Milestone Plan Form. A
copy of this form and the instructions for using it are found in the
section of this manual entitled “Forms and Instructions.”
Reporting on the milestones will be on a monthly basis. However,
there is no requirement that there be a milestone for every month. A
minimum of one milestone a quarter is a good rule of thumb, but of
course there should be no milestones in those quarters where no
significant activity is expected. The primary reason the reporting is
monthly rather than quarterly is that we want to be able to report
promptly on milestones occurring early in the quarter.
The nature of the milestone will depend on the nature of the
output commitment. Where possible completed actions forming part of
the output commitment are best. For example, if the output commit-
ment is to get 100 industrial permits processed, milestones promising 15
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permits by September 30 and 40 by December 31 would be appropriate.
In other cases intermediate steps leading to a final product might
be appropriate. For example, if the commitment is to complete a
number of 303(e) plans, a milestone promising to complete the
necessary monitoring surveys on five basins might be appropriate.
Milestones reporting a percentage completion are not a good idea
except where the end point is known and progress can be measured
quantitatively. Percentage completion reporting without a quantitive
basis becomes too subjective. Such milestones will be rejected.
We prefer that the Milestone Plans be submitted with the rest of
the program plans. This is not crucial, however, and their sub-
mission can be delayed up to two weeks.
The Milestone Plans will normally covet just the fiscal year
for which the commitment is being made. However, where special cir-
cumstances warrant it they may show milestones in the last two
months of the current fiscal year and the first quarter of the next
fiscal year.
Where an output shown in the program plan is one for which
there is a Development Plan under EPA Order 1000.6 or a Special
Accomplishment Plan, the Milestone Plan shown therein is adequate
and no new Milestone Plan need be developed or used for program
planning purposes.
Resource Allocations : Each RPIO must allocate the resources in his
target to the appropriate decision nodules. If by some miracle an
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RPIO should decide that not all the resources in the target are
necessary, he should return the surplus. The sum of the resources
allocated must not exceed the targets and the allocations must be
consistent with the restrictions placed on our flexibility in
resource allocations. There is no flexibility to modify the dollar
appropriation targets. The dollar targets by budget activity can be
modified provided that the RPIO stays within his total target and
does not vary more than 20% from any budget activity target. Where
the total resources in a budget activity are small, this rule may
be relaxed to allow the level of change to go to the dollars associated
with the next highest whole position. The regions may not vary from
the targets by decision module for program grants and planning grants,
and these decision modules do not count in the total allocation by
budget activity when determining the amount of variance from the budget
activity target permitted. The regions must stay within the total
position target and must observe any specific position allocations
indicated as binding constraints in the targets.
The allocation of resources is reported on a series of forms.
The basic form is the Resource Allocation Form —Decision Module Level.
One of these must be filled out for each decision module by both
Headquarters and the regions. It provides an authoritative statement
of the resources in each decision module. It also provides certain
other information needed for analytic purposes. A copy of this form
and the instructions for using it are found in the section of this
manual entitled “Forms and Instructions.”
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This form is in many ways similar to the Program Sub-Element
Resources Schedule used last year. We have, however, omitted the
projections for future years’ resources. These did not prove useful
last year. Projections on future years’ spending required by 0MB or
f or other purposes will be computed by Resources Management. These
projections can then be modified as necessary by program judgment.
The regions will also be required to submit a Regional Resources
Allocation by Organization Form showing how the positions in the
region are allocated to each Division. The purpose is to assist in
the analysis of the regional resource allocations. Since the
Regional Divisions are semi-functional in nature, seeing how the
resources are to be allocated among them should give a better under-
standing of what is actually being done. A similar form is not
required of Headquarters because the decision modules adequately match
the Headquarters organization structure. A copy of the required form
and the instructions for using it are found in the section of this
manual entitled “Forms and Instructions.”
For the regions two summary forms are required, one by media and
one by appropriation. The purposes of these forms are 1) to demonstrate
that the resource targets have not been violated, and 2) to provide a
convenient summary for presentation to management. Headquarters need
not use both of these forms because its offices have all or almost
all of their resources within a single appropriation. Each Headquarters
RPIO should simimarize his resource allocations using a format similar
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to the regional budget activity (program)stnlmulry form. This summarization
should demonstrate that the Headquarters RPIO is within his resource
target both in total and by appropriation and budget activity.
There are several instances in which resources contained in the
target of one P 2 10 are reissued to another in return for specified services.
The water supply abatement and control activities carried out by OR&bI for
OAWP in the water supply labs is one example. In these cases, the office
whose target contains the resources should provide special guidance to
the office providing the services and receive back a plan containing
specific output commitments. If agreement is reached on this plan and
the level of resources to be provided, the resources will be included in
the Advice of Allowance issued to the service providing office. If agree-
ment is not reached, the office requesting the service may ask the Deputy
Administrator for permission to use the resources to obtain the services
by other means.
Agreement in these cases need not be reached by the deadline for
submitting program plans although it should be reached well before the
start of the fiscal year. The resources involved in such an arrangement
whether final or tentative should be noted in a footnote on the program
plans submitted by the office which received the target. On the summary,
this footnote should merely indicate the dollars and positions involved
and which P.210 they are to be transferred to; on the Decision Module
Resource Allocation Form they should indicate which office within the
other R2IO’s organization the resources are going to.
Transmittal Memorandum : The purpose of requiring this general memorandum
is to give the RPIO’s a chance to explain why they have made the output
commitment and resource allocation choices they have. Focusing on a
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specific strategic theme(s) in the choices made would be an effective
way to present this explanation. There is no requirement on the format
or contents of these memoranda other than they be brief enough so the
Administrator and/or the Deputy Administrator have time to read 15 of
them. For this reason it is strongly suggested that they do not exceed
2,000 words.
Target Reassignment Requests : Target reassignment requests are optional.
They are included when an RPIO wants to shift dollars between appropria-
tions or when he wants to shift dollars among budget activities in a way
that will change one of the budget activities by more than 20t. Target
reassignment requests are made only for resources in the RPIOts total
target; they cannot be used to obtain new resources. They are also used
when the RPIO wants to shift positions in violation of a target specified
as being binding. They are used only in the program planning process.
They should be submitted on the Target Reassignment Form. A copy of this
form and the instructions for using it are found in the section of this
manual entit led.”Forms and Instructions.”
Overtarget Requests : Each RPIO has the option of submitting overtarget
resource requests. This is the way he requests more resources than allocated
in his target. Every overtarget request should specify the precise addi-
tional resources requested and the additional output that will be obtained
through those resources. Overtarget requests should be for outputs of
lower priority than those in the ontarget plans. Overtarget requests will
be granted only in unusual circumstances because the funds to grant them
must come from some other RPIO’s target. Planning and Management will
analyze possible low priority items to obtain funds to meet overtarget
requests; one of the first places they will look will be the ontarget
budgets of RPIO’s making overtarget requests.
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AU overtarget requests (if any are made) from an RPIO should be
listed on the sa Overtarget Request Form. A copy of this form and the
instructions for using it are found in the section of this manual entitled
TT Forms and Instructions. ” last year a number of the overtarget requests
were quite late and were not properly considered in consequence. RPIO’ s
are warned that overtarget requests which are submitted late run the risk
of being rejected without serious consideration.
Planning for the I knagement Account
Activities funded under the Agency and Regional ? knagement Appropria-
tion and under the Headquarters program management and support decision
modules are prin rily of an overhead support nature. A minimum level of
this support is necessary if we are to achieve the output commitments made
in the program areas. These activities themseleves, however, often do
not lend th z elves readily to formal output commitments and reporting.
Therefore they will receive special treatment in this system. In a
few cases important outputs will be identified in the operating guidance.
In these cases program plans will be prepared just like any other decision
module or budget activity (media/program). Except in these cases, the
output commitment portion of the program plans need not be prepared for
management activities; the resource schedules will be adequate. Questions
relating to the efficiency of the overhead support function and its proper
size and focus will be dealt with on a special study basis.
The Deputy Assistant Administrator for Administration will be
responsible for ensuring that there are adequate funds to meet mandatory
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support costs (building rent, etc.) and. for naking the necessary overtarget
requests if the ontarget funds are inadequate.
In the Agency z agement Decision Module for Headquarters, Planning
and I ’knagemerit will submit a separate Resource Allocation Form— Decision
Module Level for each of its Deputy Assistant Administrator’s offices
as well as one covering its Assistant Administrator’s immediate office and
any other activities. A Resource Allocation Form—Decision Module Level
will also be prepared for the Administrator’s Office and the staff
offices reporting to the Administrator. The staff offices reporting to the
Administrator win receive additional instructions for their program
planning from the Deputy Administrator acting in his capacity as RHO for
the Mministrator’s office.
Review Process
The Program pi ns will be distributed to the relevant Headquarters
staff offices (all the Assistant Administrators and others). Resources
nagement will ensure that each RHO has submitted a plan that does not
exceed his total resource target and percentage change limitations.
Resources ! .nagement will prepare an analysis of whether the target
reallocation requests will violate any major budget constraints if all
of them are approved.
kch Assistant Administrator and Regional Administrator will give
the PPRG a personal presentation outlining his proposed resource allocation
and output commitments. it is hoped that the attention at these
presentations will focus on the level of output to which a commitment is
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being made (e.g., for the resources being used, why can?t there be more
output?). The traditional issue in reviews of this kind of plan is
whether or not enough is being promised, the theory being that the manager
making the commitment will want to commit to a little less then he can
get done to avoid the embarrassment of failing to achieve the commitment.
it is likely, however, that our principal danger may be plans that promise
too much. Since we have never had an effective followup on output
commitments, there has been no sanction against the manager who promises
too much either out of natural optimism or out of hope for more resources.
The tendency of over promising should be avoided but we have probably
built up a behavior pattern that win not be cured until the organization
has had. some experience with an effective followup and reporting system.
.ch Assistant Administrator will prepare a brief written analysis
of the regional plans as they affect his area of NPM staff responsibility.
This analysis or a preliminary draft of it should be made available to
the HA’s before they make their PPRG presentations so that they can be
prepared to answer the questions that may be raised.
After the presentations are complete, Planning and nagement will
prepare a summary analysis indicating a limited number of major options
for dealing with the resource allocation problems including overtarget
requests and violations of budget constraints. These options should be
based as much as possible on the Agency strategies developed as a result
of the strategy studies.
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Following the formal review and presentation period, the Administrator
and Deputy Administrator will have approximately two weeks to reach
decisions on the outputs promised by the program plans and resource
allocations 0 This win allow sufficient time for them to request and
receive special quickie studies on unclear points and to negotiate individuafly
with managers over output levels.
Program Eaement Resource Allocations
The current program element structure will be retained, although it
has been modified slightly due to the new legislation. Every effort will
be made to keep the program element structure and definitions as stable as
possible to permit flexibility in changing decision modules without losing
the ability to make historical comparisions. ch program element will be
assigned to one and only one decision module. After decisions on the
allocations of resources to decision modules are made, each RHO will be
asked to allocate his resources to program elements in a manner consistent
with those decisions. The allocation to program elements will be submitted
on Program Sub-Element Resource Schedule Forms. A copy of this form and
the instructions for using it are found in the section of this manual
entitled “Forms and Instructions.”
The practice of allocating resources to program elements will serve
the following purposes:
1. To ensure that legal constraints on resource aflocations
(especially authorizatio i constraints) are not violated,
2. To provide a basis for the accounting system,including the
ability to construct historical data when the decision modules are red ?-
fined in the future.
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3. lb ensure that Agency commitments on expenditure of funds
are kept, and
4. Tb prov ide the basis for more detailed analysis of expenditure
of Agency funds to both internal and external parties.
PLanning and ?tnagement will approve the proposed allocations to
program elements unless:
1. A legal constraint is violated,
2. The approved allocation of resources to the decision modules
is violated,
3. An Agency commitment is violated.
The Deputy Assistant Administrator for Resources .nagement will have
the authority to approve or disapprove program element resource allocations
except where the reason for disappro’val is violation of an Agency
cornrnthent or where there is a dispute over how a violation of a legal
constraint is to be remedied. &cept in this case, the Assistant
Administrators will not be given the opportunity to recommend changes
in program element resource allocations outside their own line organiza-
tions.
Subordinate Planning Systems
The system outlined in this manual provides a broad framework for the
total EPA Formal Planning and Reporting System, and establishes those
requirements which will be imposed Agency-wide. The specific requirements
of the system are designed to serve: 1) the requirements of the
Administrator/Deputy Administrator in major decision making and foflowup,
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2) the requirements of Headquarters in managing the decentralized
regional organization, and 3) the resource control requirements necessary
to keeP us legal. These requirements are not expected to serve all the
needs of subordinate levels of management. It was felt that these would
be better served if each organization developed its own requirements
to meet its own needs. Therefore, each RHO within his own line organiza-
tion should develop whatever additional specific systems and procedures
are necessary to meet his needs and those of his subordinate managers.
These subordinate systems must be consistent with the constraints of
the central system. They may not impose requirements on organizations
outside those under the line control of the RHO without the Deputy
Administrator’ s approval (this approval is not required for agreements
with support services such as accounting). It is strongly suggested,
but not required, that the subordinate systems provide for definite
allocations of resources to individual organization units (DAA’s, Divisions,
Branches). Program elements can be used as devices to allocate resources
to individual organization units and this practice is encouraged. As
long as the general meaning and the specific authorization identification
of the program elements axe retained, each RHO is permitted to more
specifically define individual program elements to accommodate his organiza-
tion. Resources can be organizationally identified and tracked by the
accounting system through the use of project identifiers in the account
numbers.
The Office of Research and Monitoring already has a subordinate
planning system that is consistent with the overafl reqtirements of’ the
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EPA system as herein described. Simplification of the OR&M system, however,
would also be consistent with the overall EPA system. OR&M has been given
approval to request specifically-defined research, developnent, and
demonstration “Needs” from other RPIOt s. The OR&N sys tern relies heavily
on these Needs • The “Needs Sponsors” have been designated as the
Admi ni strator/Deputy Administrator, the Assistant Administrators, and. the
Regional Administrators (i.e • the RPIO’ s). The RPIO’ a should cooperate
with OR in providing the Needs statements in the fornat and on the
schedule requested by OR&N. In addition every accomplishment plan and.
developnent plan under EPA Order 1000.6 for which there is a requirement
for an OR&1 effort should include a set of Needs which specify precisely
the output which will be needed from OR&M in order to meet the objective
specified for the accomplishment plan or developuent plan. Once the plan
has been approved by the Administrator/Deputy Administrator, these
Needs will have priority over other OR&N Needs.
Accomplishment Fians
Geographic RLans : There is a serious need for accomplishment plans which
set forth the steps that need to be taken to achieve ambient standards in
particular geographic localities. Such plans 1) ensure that efforts will
be adequate to meet ambient standards, 2) allow for reporting on progress
in meeting ambient standards and effluent reduction which are good proxies
for our ultinate environmental protection objectives (see .ble 1), 3)
should result in integration of efforts internal to EPA to achieve
environmental objectives, and ii.) should be used to integrate EPA and
State efforts.
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In the Air program the need. is met by the State Air Implementation
P].ans (SIP’s). Under the EPA Formal Planning and Reporting System, the
combination of the SIP’s, the requireireports on progress onthem, and the
EPA program plans are assumed to be adequate to meet the needs for
geographic plans and for reporting on meeting the air quality standards.
Experience could show that the EPA program plans are inadequate to achieve
the needed geographic focus and program integration internal to EPA.
If this proves to be true, a special Air Accomplishment Plan focused on
EPAtS efforts to ensure the successful implementation of the SIP’s will
be necessary. However, preparation of this plan would be an added burden
that we will avoid imposing unless the other plans prove to be inadequate.
In the Water program the need is met by the Priority Basin Accomplish-
ment Plans (PBAP’s). The PBAP’S are now internal EPA plans. However, using
the planning requirements under Sec. 303 (e) of the new Water Act we will
cause the PBAP’s to evolve into State plans in many ways like the SIP’s.
The specific changes made in PBAP’s include:
1. The PBAP would become explicitly a multi-year plan and would
lose its current ties to the EPA fiscal year. It would be revised on an
as needed basis rather than on a fiscal year basis.
2. The forms and. methodology required will be simplified and focused
more on output. This manual was prepared in advance of the final 303 (e)
regulations. See those regulations for detailed information on methodology.
However the essential elements of the methodology including the requirement
that dischargers and their effluents be listed and compared to water quality
will be retained. This will be done to ensure i) basic uniformity and
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equality in dealing with the States, and. 2) to ensure a minimum quality
of product from all 50 States, and 3) to ensure the creation of interim
milestones that EPA can use to monitor progress so that problems in State
implementation can be corrected before they become irajor failures.
3. The task of developing the PBAP’s will be given to the several
States under the requirements of Sec. 303 (e). However, it will be
several years before the States complete all the plans under 303 (e).
In the interval, the regions will be expected to have or develop PBAP’ s
for our EPA priority basins. Where possible, existing PBPLP t S will be
used. Where PBAP’s must be redone or done for the first time, the regions
will do them using the forms and methodology required of the States
under Sec. 303 (e).
ii. The effort to develop an explicit allocation of EPA resources
to priority basins has been dropped. Removing explicit resource considera-
tions could produce plans which require more resources than can be
realistically obtained. However, for two reasons this should not be a
problem. First, the region will know the general level of resources they
will have because once we obtain resources to implement the current
spate of new legislation, we should enter into a period of relative budget
stability. Secondly, the suinnary of key EPA functional. outputs by priority
basin being required as part of the progrann plans would show if the PBAP’ s
required an unrealistic share of EPA ’ s total output. This annual allocation
of EPA outputs to EPA priority basins is to be retained even after the
States have taken over the function of preparing the plans under Sec. 303 (e).
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Development Plans for Standards and Regulations : In accordance with the
provisions of EPA Order iooo.6, an acconiplishinent-type plan called a
develo:pment plan will be created for standards, regulations, and key
external reports (e.g., reports to Congress). These plans will be
divorced from the regular program planning cycle and will have an irregular
time span. They will cover resource requirements only where appropriate.
This will be where 1) more res es are needed than are allocated in the
operating plans, 2) where there are trade-offs that have to be made among
various standard setting efforts to stay within available resources, or
3) where resources (dollars, positions, or personnel on TDY) are needed
from an RPIO other than the one primarily responsible for the standard.
Where OR&4 resources are needed, the plans should contain a statement of
Needs for entry into the OR&M system. These Needs should have priority
over other Needs once the development plan is approved.
The development plans are in many ways a more detailed sub-set of the
program plans, created because of the importance of standard setting among
EPA’s functions. The normal program planning process will continue to be
the primary means of allocating resources to the standard setting efforts.
The program plans will be used as, among other things, a basis for
allocating resources. For this reason a summary statement of the standards to
be set should be included in the program accomplishment plans.
Special Accomplishment Plans : Special accomplishment plans will be created
whenever the Administrator or the Deputy Administrator identify an area of
high priority requiring extra personal attention from them arid not
adequately covered by the program accomplishment plans. These plans will be
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divorced from the regular program planning cycle. They will be created
on an ad hoc basis as the need for them arises. They will not be tied to
the fiscal year, but will have an irregular time span depending on the
nature of the problem addressed. 1 ny of the current accomplishment plans
fall into this category, but it is expected that most of the current
plans will be eliminated by deciding that given their priority the needs
for them could be met by the program accomplishment plans. Where the
current accomplishment plans have milestones in F! l971 , these should be
reflected in the F! 19711. program plans, if the accomplishment plan is not
continued. It is expected that in the future the special accomplishment
plans will be reserved for special high priority programs which cut
across budget and organizational lines. The eutrophication program is a
good example of one where a special accomplishment plan will be required.
These plans should identify any special resources required and their
source. Where OR&M resources are needed they should contain a statement
of needs for entry into the OR&M system. These Needs should have priority
once the accomplishment plan is approved.
III. PLAN EXECUTION
Reporting System
The reporting system will have two major facets: 1) the reports on
progress on the SIP ’s and the PBAP’s and 2) the reports on progress in
achieving the outputs committed to in the Program Plans, Standards and
Regulations Development Plans, and Special Accomplishment Plans. There
will also be certain more routine reports which will be primarily of an
accounting and resource control nature.
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SIP?s and PBA.P’s : The reports now required on the SIP’s and those being
developed on the PBAP’ s should provide information on progress toward
achieving ambient environmental standards. The Assistant Administrator
for Air and Water Programs will be responsible for preparing, in consul-
tation with the Assistant Administrator for Enforcement and General
Counsel, a quarterly (or semi-annual) suimnary of these reports for the
Administrator/Deputy Administrator. The suimry should highlight
potential trouble spots in need of further investigation or management
action.
Program Plans : Reporting on program plans will be on a monthly basis
using the Milestone Plan Forms. An RPIO will submit a report on an
output cc mi tinent in every month that either a milestone is planned or is
achieved. A report will also be submitted when a milestone planned for
a previous month has not yet been submitted. To submit a report, the
RPIO should take a copy of the original Milestone Plan and fill in the
“actual date” and “Problems and Unresolved Issues” columns as is
appropriate. The forms should then be sent to the Program Reporting
Division, OPM. In the case of regional reporting, the Program Reporting
Division will distribute the forms to the relevant NPM ’s.
The reporting will be monthly and the reports will cover approximately
one month. The precise dates on which the reports will be submitted and
the precise periods that they cover will not be regularized until we have
had time to experiment with operating the system. For the first few
reports, the Program Reporting Division will set the dates upon which the
reports are due and. the period which they are to cover. The RPIO’ s will
be notified iwo or three weeks ahead of time of the due dates and coverage
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periods. The objective in the experimentation period will be to provide
the most timely reporting possible for the Administrator/Deputy Administrator.
Where planning assumptions have been made about State outputs, there
will be an initial special report after the State program plans have been
received (Water Sec. 106 plans) as to whether or not the States have
made commitments adequate to meet the planning assumptions. Thereafter
reporting on State output will be done through analysis of semi-annual
reports from the States and where appropriate as achievement of a milestone
needed for an EPA output.
Standards and Regulations Development Plans and Special Accomplish-
ment Plans are now using a form similar to the Milestone Plan Form for
reporting purposes. The exact mechanics of reporting on these plans
are still in an experimental stage.
There should be no redundant reporting produced by the fact that
some of the same output commitments will appear in both Development
Plans, Special Accomplishment Plans and Program Plans. Where this happens,
reporting under the Development Plan or the Special Accomplishment Plan
will be adequate and no reporting is required under the program plan.
Personal Reporting : The monthly status briefing will be a primary forum in
which reporting of progress will take place. These briefings will be attended
by the Administrator, the Deputy Administrator, the Assistant Administrators,
and the Deputy Assistant Administrators. Each Assistant Administrator will be
expected to ssnmnnrize the progress against the Plan on an exception basis for
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his own Program and. Accomplishment Plans and those of the regional
programs for which he has NW staff responsibility. Reports on progress
on the SIP’s and. FBAP’s will be siamn vized on a quarterly (or semi-
annual) basis by the Assistant Administrator for Air and Water Programs in
consultation with the Assistant Administrator for Enforcement and
General Counsel. The Deputy Administrator might follow up by telephone
with the Regional Administrators on key problems that the Assistant
Administrators identify in these meetings.
Regional Administrators will be welcome to occasionally attend. a
monthly status briefing. When a problem in a particular region will
be a major item of discussion, that Regional Administrator may be
specifically invited to come. We will not, however, use the monthly
status briefing as a mechanism for reporting and presentations by the
Regional Administrators.
On a regular basis the Deputy Administrator will hold a more in-
depth review on progress against plan for both the program plans and
the accomplishment plans. The frequency would probably be twice a year
although it could vary depending on the need. In the case of the regions,
this would probably mean an on-site review by the Deputy Administrator.
In the case of Headquarters, this review would take place in the monthly
status briefings.
Regional Program Review and. Appraisals : It will be the responsibility
of the Assistant Administrators to conduct an in-depth review and
appraisal of the key regional programs for which they have NW staff
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responsibility. This appraisal should be conducted on-site in the regions
by Headquarters staff. Its objectives include: 1) evaluation of the
effectiveness and efficiency of the regional contribution to meeting
environmental quality objectives, 2) evaluations of conformance to Agency
strategy, 3) evaluation of the usefulness in practice of Agency strategy,
and ii.) identification and communication of successful techniques in
solving common problems.
The iimned.iate output of the review would be an appraisal report
to both the Assistant Administrator and the Regional Administrator.
It would be the function of the Assistant Administrator to bring to
the attention of the Administrator and the Deputy Administrator key
problems uncovered in these reviews.
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Mtninistrative Fund Control
Applicable statutes require that each Agency establish internal
procedures for the administrative control of funds. Advices of
Allowances represent the principal mechanism for fund control. Advices
of Allowances are issued covering:
--New obligational authority under each appropriation,
--Contract authority,
--Carryover funds from the appropriations of prior years,
--Reimbursable accounts,
--Revolving fund accounts, and
--Allocation accounts.
Allowances are derived from the approved program plan and reflect
the data being nnintained on a current basis in the computer-based
Resources Itnagement Infornntion System. )bst are issued quarterly,
but revisions can be issued as the need occurs and as our apportionment
allows.
Revised Allowance Procedures : Changes in the policies and procedures for
the issuance of allowances are given below:
1. Level of Central Fund Control - For allowances covering new
obligational authority (NOA) under the Research and Development,
Abatement and Control, Enforcement, and Agency and Regional
Itnagement appropriations, the levelof central control has been
raised from the sub-element level to the media/program level for
the remainder of FY 1973. The level of control for FY 1974 will
be the decision module. This will mean that Allowance Holders will
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be responsible for controlling obligations so as to remain within
the amounts specified by the Allowance for each of the decision
modules listed in Appendix D. They will therefore have flexibility
to shift funds among program elements which are grouped under the
same module. However, exceptions may be made where it is considered
necessary to retain control over specified sub-elements. The
Office of Resources ltnagement (AMR) is authorized to impose
control at the sub-element level when (1) there is a danger that an
appropriation authorization constraint may be violated, (2) the
Agency has made a firm external commitment to spend funds for a
program identified at the sub-element level, or (3) the Administrator
determines the need to control particular sub-elements. In these
instances, the exception will be specifically noted on the
Allowance document.
2. Level of Position Control - The level of control on permanent
positions has been changed to the allowance level so as to provide
the Allowance Holder more flexibility to shift positions within
the ceilings specified by the Allowance document. Here again
exceptions for selected sub-elements may be specified by Resources
lvknagement and noted on the Allowance document.
3. Issuance of Revised Allowances - All necessary approved
revisions to Allowances and related changes to the program plans
will be held by ANR and issued at the end of each month. However,
the effective date of changes will be the date of AMR approval.
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Changes in Plans and Allowances : When an Allowance Holder desires to
shift funds between decision modules within the same Allowance , or to
shift funds in a manner which affects a program sub-element for which
a specific limitation has been established, he will submit a request*
for such changes through his Responsible Planning and Implementation
Officer (RPIO), if applicable, to AI1R. AIvIR will undertake a coordi-
nated review of the request and make changes in the approved plan and
issue revised Allowances if appropriate. When it is necessary to shift
resources between non-restricted program sub-elements within a single
module, the Allowance Holder may make the change if his RPIO approves.
It will be necessary to notify- Resources .nagenient of such changes.
Requirements for Submission of Change Requests arid Change Notifications :
A “Change Request” is a proposal submitted to P 1 MR requesting a change
in the approved program plan which would require the issuance of re-
vised Allowances. Change Requests are initiated by an RPIO, who is
responsible for its submission to AMR.
A “Change Notification” represents notification to ANR of changes
in the approved plan which can be accomplished, within the discretion of
an Allowance Holder and his RPIO, if different, and which does not
require the issuance of a revised Allowance. The submission of Change
Notifications is mandatory so that a current program element data base
can be maintained to provide resource allocation information below the
decision module level. This computerized data base allows us to respond
to numerous internal and external requests that must be satisfied.
* See note on Page 7 regarding “Disaster Financing.”
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A Change Request ‘idil be transmitted by memorandum to ANR fully
explaining the progranmntic reasons for the Request. A Change
Notification should include a footnote which briefly explains the
reason why adjustments have been made among sub-elements. All changes
for both Change Requests and Change Notifications are to made to the
nearest hundred dollars .
In developing Change Requests or effecting changes which involve a
Change Notification, one should give full consideration to his desired
effective date of the change and also be assured that outstanding commit-
ments are fully covered before transferring funds from a particular
account.
Ifles of Change Requests : Change Requests are classified as to the
following types to determine the organizational level at which they
will be approved:
1. Type I - Routine requests involving limited resources, having
little or no programmatic or budgetary irrrplications, and having
the concurrence of all affected parties - Deputy Assistant
Administrator for Resources Itnagement.
2. T ype II - Requests involving non-Regional resources under
the management of a single Assistant Administrator and having
significant budgetary and/or programmatic implications - Assistant
Administrator for Planning and ?&nagernent.
3. Type III - Requests for changes in non-Regional resources under
the management of two or more Assistant Administrators - Deputy
Administrator.
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4. type IV - Requests involving Regional resources and. having
budgetary or progranitntic impact - Deputy Administrator.
ANR Procedures of Review and Approval of Change Requests : Within AMR,
Change Requests will be hand.led in the following manner:
1. Requests will be routed intiafly to the Budget Operations
Division (ANRB) where they wifl be classified by type of Request,
assigned a control number, and reviewed to deternine if they
present problems with respect to any of the limitations imposed by
Congress and 0MB.
2. Requests will then be routed to the appropriate analyst in the
Program Analysis Division* (AHaB) who will fully evaluate its
prograwn tic implications and make reconunendations regarding approval.
He will also secure concu.rrences of Headquarters staff as necessary.
3. Following action by the approving official, the Request will
be returned to the Budget Operations Division where a memorandum
will be prepared advising the requesting official of the action
taken and issuance of revised Allowances will be initiated.
Issuance of Revised Allowances : Revisions to the approved program plan
and allowances will be made on a monthly basis with all revisions being
issued on or about the end of each month. Change Requests which receive
final approval before the 20th of each month or Change Notifications
which are received by the Budget Operations Division by that time will
be processed so as to be included in the revisions issued at the end of
that month. Processing by the Budget Operations Division will include (1)
*Formerly the Program Review and Reporting Division.
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the verification of resources information ivolved in these Changes so
that this updated data can be accurately entered into the Resources
Management Information System and (2) the issuance of Revised Allowances
and supporting documents.
It should be noted that while revised plans and allowances are
to be issued on a monthly basis, the effective date of approved Change
Requests may vary from the actual issuance of allowances.
Form for Change Reg ests and CThange Notifications : A new form to be
used for both Change Requests and Change Notifications is being prepared
by PW. The form and. instructions for its conrpletion will be distributed
before the start of F Y 19711..
Fiscal Responsibility : Allowance Holders are individually responsible
for maintaining commitments, obligations and employment within the
amounts provided by each Allowance. A non-regional RPIO has a supervisory
responsibility of assuring the financial integrity of his subordinate
Allowance Holders.
The fiscal status of all Allowance Holders is reviewed on a monthly
basis by Resources Management.
If an Allowance Holder is found to be overobligated, the Deputy
Assistant Administrator for Resources Management will notify him by
letter of the problems and make his recommendations for corrective action.
Non-regional RPIO’ s will receive a copy of the letter also. The
Allowance Holder (and his RPIO) must respond in a timely fashion to
correct the problems and establish improved controls over the funds in
question.
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If no response is forthcoming or if the Allowance Holder shows
no intention of solving the specific problem, the natter will be
referred to the Assistant Administrator for Planning and nageinent for
a second notification. If no response is received or if no intention
to solve the problem is evident, the natter will be submitted to the
Deputy Administrator for resolution. Hopefully, escalation of such
problems will not be necessary. These natters should be handled
promptly at the lowest possible level.
If funds must be found to relieve an overobligation, the prinary
source will be Allowances under the jurisdiction of the sams RPIO.
Allowance Holders who continue to have significant problems will
have their status and suitability as Allowance Holders reviewed
centrally.
Note on Disaster Financing : A special procedure for submitting Change
Requests for the EPA Disaster Assistance Program (Program Element 2H5360)
was established in OPWs 11-30-72 memo to the Regions on “Disaster
Financing.” Generally, these Change Requests need not be submitted in
advance, and they will be routinely approved by Headquarters in most cases.
Please refer to that memo for specific details. Policy will be updated
in the forthcoming EPA Disaster Operations M%nual, which will be published
in June 1973.
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IV. FORNUIATION OF ThE PRESIDENT’S BUDGET
The formulation of EPA’s proposal for the President’s budget will
take place in the fall of the year responsive to the deadlines imposed
by the 0MB. It will be the process for making any major changes in
the resources for various program areas. The process will be a top-
down incremental process very closely resembling the process used
this fall to formulate the FY 1974 budget proposal. The major difference
will be that the development of Agency strategies by the strategy studies
should give more strategic direction to the analysis and decision king.
During the summer the Administrator and/or the Deputy Administrator
will develop a list of areas in which, based on the strategy studies,
the Spring program planning exercise, and their general knowledge of
the programs, they suspect changes in resources may be warranted.
In addition each Regional Administrator will submit his list of
areas where resource changes may be needed. This regional submission
will not be a formal budget-type document, but will merely indicate the
direction and possible magnitude of needed changes. The various lists
of possible changes will then be explored by the Planning Steering
Committee and a list of topics on which special studies are needed
developed. Then the responsible Assistant Mniinistrators will do brief
special studies in the areas identified arid any others in which they
feel significant changes may be needed. The studies will identify the
consequences of the relevant funding options and relate them to the relevant
Agency strategies. Planning and .nagement will be responaible for
48
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suini .rizing the various resource options into a few t!ajor options for
consideration by the PI G.
Decisions will be stated in terms of changes from a resource base
which Planning and ri gement will identify based on the allocations
resulting from the Spring program planning. In addition to the nain
resource changes discussed by the PPRG, the Assistant Administrators
will notify Planning and ns.gement of any desired minor changes
between subactivities within their own base program. These will require
the approval of the Deputy Mmmi strator.
The forsal input from the regions in identifying possible changes
needed will not absolve the Assistant Administrators of the:ir NW
responsibility for their programs in the regions.
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V. AJ k1 41JICES
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APPENDIX A
Planning Schedule
The following is the schedule for the FY 1974 Program Planning
Cycle:
1. January 8——First draft of Strategy Studies due.
2. February 2——First draft of Operating Guidance due for Agency
review,
3. February 9——Decisions on Operating Guidance and Resource
Targets.
4. February 16——Formal issuance of Operating Guidance and
Resource Targets.
5. March 30——Program Plans due from Headquarters RPIO’s.
April 13——Program Plans due from Regional RPIO’s.
All RPIO’s include Accomplishment Conunitnient Forms,
Resource Allocation Forms—Decision Module Level,
Resource Suimnary Forms, Priority Basin Accomplishment
Forms, Target Reassignment Requests, Overtarget
Requests, and RPIO’s transmittal memo.
6. April 13——Milestone Plan Forms due from all RPIO’s.
7. April 27——May ll——RPIO’s presentations to PPRG.
8. May 11——Final Sunuuary PPRG meeting.
9. May 25——Ruckeishaus/Fri final decisions.
10. June 15——Program Element Resource Allocations due.
11. June 27——Issuance of Formal Approved Resources Operating
Plans. End of FY 1974 Planning Cycle.
12. July 13——Deputy Administrator issues list of areas of
possible resource changes for F? 1975.
13. August 3——List agreed to after appropriate consultations.
14. August 24——Special studies on F? 1975 possible resource
changes due. Further dates would depend on the 0MB deadlines.
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APPENDIX B
Defi nttl ons
Program
A significant, mission oriented, Agency endeavor which fulfills
executive or statutory requirements and which includes the principal
actions to achieve a desired objective.
Objecti yes
Goals, results, or output that a decision maker wants to attain
through a program.
Planning - Programing - Budgeting System (PPBS )
PPBS is an Executive Branch procedure which is designed to
prepare budgets systematically to make them more sensitive in
establishing priorities, in selecting among programs, in advanced
planning, and in determining program cost effectiveness or benefits.
EPA Program/Budget Structure
The EPA Program Structure is actually a unified program/budget
structure which provides the aggregative hierarchy needed to respond to
internal and external Planning-Programing-Budgeting System demands.
The EPA Program/Budget Structure is shown graphically in Figure 1
Appropriation
A funding authorization granted through an Act of Congress both to
incur obligations and make expenditures in a specified amount.
In the official EPA Program/Budget Structure, Appropriations are
the highest level of aggregation; e.g., Research and Development,
Abatement and Control, Enforcement, etc.
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/
OFFICIAL
EPA
PRO GRN 1/
BUDGET
STRUCTURE
TASKS
LEVEL PORTION
Figure 1
EPA PROGRAM/BUDGET STRUCTURE
USED FOR
CONGRESS IONAL
BUDGET A 1D
REPORTING
USED FOR
PRESIDENTIAL BUDGET
AND REPORTING
TO 0MB
JDGET SUBACTIVITIES
DECISION MODULES--INTERNAL
EPA PLANNING, DECISION-MAK:
REl
PROGRN4 ELEMENTS
(AGENCY-WIDE AGGREGATIONS)
PROGRAM SUB-ELEMENTS
(PROGRAM ELEMENT AT ALLOWANCE HOLDER LEVEL)
PROJ ECTS
(DIVISIONAL PORTION OF SUB—ELEMENT)
(BRANCH
OF PROJECT)
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Budget Activity
A budget classification which specifies a major area of program
activity, a subdivision of an appropriation, the second highest level
of aggregation in the official EPA Program/Budget Structure. Budget
activities are the classical EPA program designations, i.e., air,
water quality, water supply, pesticides, solid wastes, noise, radiation,
interdisciplinary, program management and support, etc.
Budget Subacti vi ty
A subdivision of a budget activity; the third highest level of
aggregation in the official EPA Program/Budget Structure. New sub-
activities have been adopted for FY 74. A crosswalk of FY 73 subactivities
to FY 74 subactivities is given in Appendix H.
Decision Module
Decision modules are being introduced into the EPA Program Structure
for FY 1974. They also represent a third highest level of aggregation
in the Program Structure when used for internal decision making and control.
Decision modules are meaningful groups of program elements to be reviewed
as single decision units by the Deputy Administrator and to be used as
allocation units by the Office of Resources Management. Each decision
module is assigned to a single National Program Manager for policy
development, guidance, and coordination. Decision modules and NPM
assignments are given in Appendix D. In most cases, decision modules
are the same as budget subactivities.
Program Element
A classification within the Program Structure which represents a
discrete program activity. Each program element resides wholly within
a single Budget subactivity and a single Decision Module. Program
elements are listed by Decision Module in Appendix D.
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Program Sub-Elements
An organizational subdivision of a program element used by
Allowance Holders for planning and financial reporting. A sub-element
has the same basic meaning as its parent program element.
Program Element Number
A six-character code which identifies the appropriation, the
budget activity/program, the budget subactivity and the program element.
The structure of the program element number is shown graphically in
Figure 2.
Program Sub-Element Number
An eight-character code which combines the program element number
with a two-digit All ance Holder number. This is also shown in
Figure 2.
National Program Managers (NPM’s )
The National Program Managers are the five Assistant Administrators
serving as the Administrator’s principal advisors in all matters
pertaining to their respective functional or program areas, including
program policy development, functional management, accountability and
monitoring of all assigned Program Areas on an Agencywide basis.
Roles and Responsibilities of NPM’s include assisting the
Administrator In:
- Designing and establishing policies and strategies for assigned
program areas,
- Developing operational guidance for the development of the annual
program plans by the RPIO’s,
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Figure 2
Structure of Program Sub-Element Number
2= Abatement and Control
B= Water Quality
4= Control Agency Support
153= Water Pollution Control Agency Grants
05= Region V
56
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- Reviewing and approving program plans submitted by RPIO’s
- Presenting and justifying their area of the Agency’s budget
request before 0MB and the Congress, and
- Providing program guidance for areas outside their jurisdiction.
Program Planning Review Gro
This group is chaired by the Deputy Administrator and includes the
Assistant Administrators (National Program Managers).
It assists the Administrator in establishing specific Agency
objectives, in reviewing and approvtng the Proposed Program Plans submitted
by RPIO’s, in making resource allocations, and in fomulating EPA’s
proposal for the President’s budget.
Responsible Planning and Implementation Officers (RPIO’s )
The Regional Administrators, the Assistant Administrators, and the
Deputy Administrator serve as RPIO’s over their organizational areas.
The Deputy Administrator will serve as an RPIO for the Office of the
Administrator.
Roles and responsibilities for RPIO’s include:
— Annually preparing a proposed plan in accordance with central
guidelines;
- Being responsible for the implementation of assigned areas in
the Approved Operating Plan;
- Serving as Allowance Holders and/or directing other officials
in their roles as Allowance Holders;
- Providing periodic reports on the status of performance and
progress in the implementation of assigned program areas;
- Submitting to headquarters changes to assigned program areas;
57
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- Providing technical reviews to headquarters on assigned program
area; and
- Monitoring the performance and progress of subordinate managers
in the exercise of those duties assigned to them, including
fiscal responsibilities of subordinate Allowance Holders, if any.
Allowance Holder
A manager responsible for implementing a part of the Program Plan,
managing an allowance and position ceiling issued to him, and reporting
on prograiriiiatic and fiscal performance and progress.
The Regional Administrators and the Assistant Administrators serve
as Allowance Holders as well as RPIO’s. All other Allowance Holders
serve under an RPIO; the Administrator’s staff offices are under the
Deputy Administrator while other Allowance Holders are responsible to
an Assistant Administrator. A list of Allowance Holders is given in
Appendix E.
Al 1 owance
A portion of the Agency’s allotment assigned to an Allowance
Holder to finance the implementation of his part of the Program Plan.
Most Allowances are issued quarterly, but they are revised and reissued
whenever necessary. (Annual allowances are issued for certain activities.)
Advice of Allowance
The formal document issued to an Allowance Holder notifying him of
the funds and position ceiling available to be used in executing his
program responsibilities. It will show funds by Decision Module and
Positions by Appropriation. In some cases, funds may be constrained at
the sub-element level.
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Apportionment
A distribution made by 0MB of amounts available to the Agency for
obligation or expenditure into amounts available for specific periods of
time, activities, functions, projects, objects, or combinations thereof.
The apportioned amounts limit the obligations to be incurred or
expenditures to be accrued.
Allotment
Authority delegated by the Administrator to an authorized employee
to incur obligations within a specified amount for prescribed purposes
pursuant to an apportionment of an appropriation or fund account.
Allottee
A person who receives an allotment and is charged with the
responsibility of:
- Administering allotted funds for specified purposes,
- Conforming to all limitations included in the allotment,
- Applying the limitations of the appropriation act and other
governing law, and
- Complying with the Antideficiency Statute.
An Allottee is subject to legal penalties imposed for violating the
terms of the allotment.
At the present time, EPA has only one Allottee, the Director of the
Budget Operations Division, Office of Resources Management. Consideration
is being given to granting Allottee status to some of the Agency’s
Allowance Holders.
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APPEND]X C
Forms and Instructions
Data entries on all forms may be handwritten provided the final
submission is legible and reproducible (Xerox). Narratives must be
typed.
Form Page
Summary Output Guidance . 61
Regional Resource Targets. 65
Headquarters Accomplishment Commitment 68
Regional Accomplishment Commitment. . 70
Priority Basin Accomplishment .73
Milestone Plan 76
Resource Allocatiom—Decision Nodule Level 79
Regional Resource Allocation Summary by Appropriation 83
Regional Resource Allocation Summary by Program (Media) 86
Regional Resource Allocation by Organization .89
Target Reassignment Request 91
Overtarget Request 96
Resources Schedule (Sub-element Level) . 99
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SUIVIMARY OUTPUT GUIDANCE FORM
The purpose of this form is to give the key line managers a quick
summary of the outputs to be required. This form will be prepared by
Headquarters as part of the operating guidance package. It will be
prepared as a team effort with participation by all relevant Assistant
Administrator’s offices.
Instructions
1. Media : Specify the program (media) for which this form is being
prepared (air, water quality, pesticides, etc.).
2. Headquarters/Regional : Check the appropriate box designating whether
Headquarters or Regional outputs are entered on the form. A1thou h the
guidance package is tobe a single integrated package specifying both
Headquarters and Regional outputs, they will be submitted se arate1y to
facilitate output rev-jew by responsible managers.
3. Date : F ter the date on which this was prepared.
4. Output : In this column list all the individualtypes of output
for which commitments will be i equired in the program planning process.
Output commitments willbe required only on items that are listed in
this column. Commitment requirements mentioned in the rest of the
guidance have no effect unless also specified here. ]hsk milestones
should not be listed here; they should be included in the main body
of the guidance package. If planning assumptions about the level of
State output that will be expected are required, they should be sho m
in this column immediately following the EPA output to which they
relate. They should be labeled as a required planning assumption.
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5. Units : Use this column to specify the type of units to be used
in measuring the output. More than one type of unit can be used. For
example, if the output is issuance of industrial permits, it might
be desirable to different±ate in the units between number of major
permits and number of minor permits. For outputs for which quanti—
tative units are inappropriate, this coluiriri should be used to
indicate the point at which the output for program planning purposes
will be considered completed. Usually this will be a request for
a date to be established in the plan. For example, if the output
is a standard, the unit might be date of final publication in the
Federal Register.
6. Starting Iev l Specified : A “yes” in this column will indicate
that the RPIO should specify the level of the output which will have
been achieved by the start of FY 19711-. His commitment for FY 19711.
will then be to the sum of the amount that will have been achieved
at the start of the year and the amount he commits to achieve during
the year. This requirement may be imposed only where there is a
finite number of items that must be performed once. We would like to
obtain the total number of items performed by some date.
In these cases, evaluation of the commitment is difficult un-
less we know the base of accomplishment from which the RPIO starts.
7. Required Completion Date : This column should be used to indicate
completion for outputs which are required. In general, this column
should be used only for completion dates which are required by law
or have been approved by the Administrator or Deputy Administrator
as EPA policy. Where we have flexibility we would prefer to leave
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the specification of the completion date as part of the program
plans asit is one of the measurements of the level of output
to be achieved.
8. Organization : For Headquarters forms this column should be
used to specify which Assistant Administrator’s office is
responsible for an output. For the regions this column should
be left blank if the output applies to all the regions. If, how-
ever, the output is unique to one or a few regions, these should
be specified. A special Great Lakes program or a regional pilot
program would be examples of such outputs.
63
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U
1.
MMARY - OUTPUT GUIDANCE
Medi&_________________
FORM
2. Headquarters
Regions
[ 7
7
( ge of pa
3. Date
ges)
4.
I
Output
5.
.
Units
6.Starting
Lev 4 Spe:ifi ’
Required
7. Completion
Date (if a j )
8.
OrganIzation
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REGIONAL RESOURCE TARGETS PORN
This form will be used to inform the regions of their resource
targets. It will be prepared by the Deputy Assistant Administrator
for Resources Management based on the previous year’s resource alloca-
tions and the changes in those made in the preparation of the President’s
budget.
Instruct ions
1. Regions: Indicate which region this target applies to.
2. Date : Date prepared.
3. Dollars : In this column enter the dollars in the target for each item.
1.1. Positions : In this column enter the full-time permanent positions in
the target for each item. Note: Except where specified in the
accompanying narrative the division of these position targets to
appropriations and. budget activities are not binding. The dollar
allocations are binding.
5. Ibtal Regional lhrget : On this line enter the target for the
regional target excluding funds for facilities and for the sub-
activities which are exclusively grant funds. These will be provided
separately. The regional ontarget plans must not exceed this total
target either for dollars or for positions.
6. By Appropriation : On these lines enter the regional targets for each
appropriation. The regional ontarget plans must be consistent with
these dollar targets.
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7. Total : This total of the target by appropriation must equal the
total regional target entered on Line 6. If it does not, a mistake
has been made.
8. By Media : On these lines enter the regional target by media. The
regional ontarget plans must be within 20% of these dollar targets.
9. Total : The total of the targets by media must equal the total
regional target entered on Line 5. If they do not, a mistake has been
made.
10. Grants : Enter the amounts for grant funds in the decision modules
listed. These funds are not to be included in the total in item L6.
The region may not shift funds out of these decision modules to any
other. If the regional allocation of these funds is not av .ilable
on time, the distribution of the rest of the resource targets to the
regions is not to be delayed.
11. Enforcement Program Management & Support - (Regional Counsel) :
The funds for this item are shown separately here as well as being
included in the Program Management & Support media and the Enforcement
appropriation. The reason for this is that the regions may not change
this target in their ontarget plans. Any lack of resources for the
Regional Counsel will come from resources allocated to the Headquarters
General Counsel.
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REGIONAL RESOURCE TARGETS FORM
1. Region 2. Date
A— — —
3. Do11 r -i. J’ositions
.__T 1 )taRc JionaL get — -.
6. By Appropriation
Abatement and Control
Enforcement
Research and Development
Agency and Regional Management
7. ToLal
8. By Media
Air
Wa ter
‘Water Supply
Pesticides
Solid Waste
R din Lion
Noise
Prog rain Manac:c nient & Support
Agcncy Man nnc-rit & Support
—a. t l
10. Grants
\ATaler Control Agency Support
Air Control Agency Support
Solid Waste Planning
11. Enforcement Program Management &
Support (Rccjioncil Counsel)
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HEADQUARTERS ACCO?iPLISIThIENT CONMI IMENT FORM
Instructions
1. RHO : Enter the RHO’s name or office (OAWP, OR&M,OCP, OEGC, OW,
OA).
2. Decision Module : Enter the name of the decision module. A separate
form is required for each decision module.
3. Date : Enter the date prepared.
+. Thype of Connitment : Enter the types of commitments being made. These
will include all those specified in the operating guidance. The RHO
can add additional commitments which he feels ought to be routinely
reported to the Administrator/Deputy Administrator although the
additions, if any, should be limited. An example of a type of
commitment would be air new source performance standards. For OR&i4
the BOA? titles should be entered on the forms. These will not
identify the commitments in quite the same way that the types of
commitments do, but the BOA? summaries prepared by the OR&M system that
explain more fully what is being done will be made available to
reviewers.
5. Level of Commitment : In this column the level of the commitment .s
shown. Where appropriate this should be quantitative (e.g., average
days of pesticides registration application backlog. In the example
above if the type of commitment is new source performance standards,
the level of commitment should indicate which ones and perhaps their
completion dates. In a number of cases the date on which something will
be completed will be an appropriate entry; this will often be the case
with OR&M material.
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HEADQUAR
TERS
ACCOMPLISHMENT COMMITMENT FORM
.
‘
.
(Page
— of — pages)
1.
RPIO________________
2.
Decision Module:_____________
3.
Date_______________
.
4.
Type of Commitment
.
5. Level of Commitment
.
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REGIONAL ACCOMPLISIHCNT COMMITMENT FORM
Instructions
1. Region : Enter the number of the Region.
2. Media : Enter the name of the media (budget activity), e.g., air,
water, pesticides, regional management.
3. Date : Enter the date prepared.
4. Type of Commitment : Enter the types of commitments being made.
These will include all the outputs specified in the operating
guidance. The RPIO can add additional commitments which he feels
should be routinely reported to the A±ninistrator/Deputy Administrator,
although the number of additions, if any, should be limited.
5. Level of Commitment : In this column the level of the commitment is
shown. Where appropriate, this should be quantitative. For example
if the output “industrial waste water discharge permits” is entered in
the type of commitment column, the entry in the level of commitment
column would be the number of industrial waste water discharge
permits that would be issued. If the region is unable to make a com-
mitment to achieve any of an output specified in the guidance, a zero
should be entered in this column.
6. Man-years to be Used : In this column the regional man-years of effort
to be used in achieving each commitment should be entered. This
should be the best estimate of the time actually to be spent by
regional staff, both professional and non-professional, in achieving
the desired output. Entries of decimal fractions of man-years are
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acceptable. The man-years in question should be from personnel
to be budgeted under the media in question. Particularly, there
should be no allocation of overhead to outputs, and staff budgeted
under Agency & Regional Management should not be counted as contributing
man years of effort to Program media outputs.
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REGIONAL ACCOMPLISHMENT COMMITMENT FORM ( ge — of — pages)
1. Region_____________________ 2. Media_______________ 3. Date________________
4. Type of Ccmmitment
5. Level of Commitment
6. Man-Years to be Used
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PRIORITY BASIN ACCOMPLISHMENT FORM
Instructions
1. Region : Enter the number of the Region.
2. Date : Enter the date prepared.
3. Type of Output : Enter the type of output. These should be the same
as the outputs shown in item *4 of the Regional Accomplishment
Commitment Form for the Water media. Not all the outputs shown
on the accomplishment commitment form can be meaningfully distributed
on a geographic priority basin basis. For example obtaining a meaningful
Sec. 106 state plan where there is one plan per state cannot be attributed
to any one priority basin. Such outputs should not be shown on this
form. Outputs which can be meaningfully attributed to priority basins
must be shown on this form.
4. Total Regional level of Output : For each output shown under item *4
enter the total level of that output that will be achieved for the entire
Region. This level should be the same as entered under item *5 of the
Regional Accomplishment Commitment Form.
5. All Priority Basins : This column should show the level of each output
that will be achieved in all the priority basins in the region. Comparison
of this Item with item *4 will show the percentage of the regional out-
73
-------
put that is in the priority water basins.
6. Output in Individual Basins : These columns are used to enter the level
of each output that will occur in each priority water basin. The name
of the basin in question should be entered at the head of each column.
The level of the output in that basin should then be entered for each
output.
74
-------
! Rt
ORITY BASIN ACCOMPLISHMENT
FORM
(
ge —
of — pages)
1.
Region:_________________
2.
Date:___________________
3.
1
Type of Output
Tote
4. Lev
1 Regional
ci of Output
5.
All Priority
Bastris
6. Output in Individual
(enter basin name at
I
Basins
1 ad of
column)
75
-------
MILES TONE PLAN FORM
This form is used both for showing the milestone plan in the
planning process and for reporting against that plan during the fiscal
year. The RPIO’s should retain the originals of the filled out forms
and reproduce (Xerox) them to furnish the forms for reporting purposes.
Ins truc tions
1. RPIO : Enter the name of the RPIO or his organization.
2. Date Originally Prepared : Enter the date on which the plan was
prepared. This date should change during the year only if the plan
is changed. Changing the plan will require approval via the Program
Reporting Division, OW.
3. Date of this Submission : When using this form for reporting
purposes, enter the date of the reporting submission. The form
should contain reporting information as of this date. Do not fill
in this item when initially submitting the form as the proposed
plan.
It. Output Commitment : Enter the output commitment and level as shown on
the appropriate output commitment forms on this line. One
milestone plan form should be prepared for each output conmitment
except standards, regulations and reports covered by development
plans under EPA Order 1000.6 or for outputs covered by special
accomplishment plans. If the milestone format used in this form is
inappropriate for a particular output commitment, consult the
Program Reporting Division, OW.
76
-------
5. Planned Date : Enter the planned dates on which the milestones
will be achieved in this column.
6. Milestones : Enter the milestones in this column. See the text of
the manual for suggestions on the appropriate nature of the
milestones.
7. Actual Date : In reporting fill this column out with the date on
which a milestone was actually achieved.
8. Problems and. Unresolved Issues : Use this column during reporting
to briefly identify and explain significant problems and unresolved.
issues. We would strongly prefer that the entries in this column
be held to no more than half the space available in the column. A
slippage of an actual date more than 10 working days beyond the plan-
ned date is by definition a significant problem; lesser slippages
may be si iificant problems depending on the circumstances. This
column should. be used only in the reporting phase; it should not
be used in the planning phase.
77
-------
MILESTONE PlAN FORM
(Fage of’ — pages)
1. RPIO________________ 2. Date O igina11y Prepared -
3. DaLe of this submission__________
4. Output Coi iLmcn & Leve1__ _ —
5. Planned 6. Mb Lon 7. Actual 3.. PLC’ jlCmS and jJni so1ved lssu s
Date Dite —
78
-------
RESOURCE ALLOCATION FOR1,1-. DEC IS ION MODULE LEVEL
The purpose of this form is to provide a record of the proposed
ontarget resource allocations to each decision module and provide data
for certain analyses. These forms will be submitted as part of the RPIO’s
ontarget submission in the Springprogram planning cycle.
Instructions
1. Appropriation : Eüter the name of the appropriation (Abatement and
Control, Enforcement, etc.) This and item #2 are necessary to
fully identify the decision module.
2. Budget Activity : Enter the name of the budget activity. All the
media (air, pesticides, etc.) are budget activities as is program
management.
3. Decision Module : Enter the name of the decision module. This is
normally the same as the budget subactivity but there are a few
differences. See Appendix H for a list of the budget subactivities
and Appendix B for the decision modules.
4. RPIO Organization : Enter the name of the RPIO’s organization.’ Do
not use the formal EPA organizational symbols as abbreviations as
some of these are not often used and tend to confuse.
5. Date : Enter the date on which the form was prepared.
6. Dollars : Fill in the blanks in this section in thousands of dollars
of proposed obligations. Round off the figures to the nearest
hundred, showing hundreds as t Ith8 of thousands.
7 FY 1973 : Enter the FY 73 base program here. A statement of the
base program as of apprQximately the start of the period fçr
79
-------
developnent of plans will be provided by Resources Itnagement. This
should not be altered to reflect subsequent reprogramming. Information
supplied for items 9 (Total Dollars) and 15 (Positions) must be accurate ,
Estimates may be used for the other items. The subheading %ravel ’ 1
under item #14, may be left blank if the information is not readily
available.
8. FT 197 1 f : Enter the proposed ontarget FY 7 & program in this column.
Every effort should be made to make the estimates of the figures in
items 10 through 14 as accurate as possible.
9. Total : Enter the total dollars. This should be the sum of the
dollars shown under the other principal headings.
10. Contracts : Enter in this column the amount of dollars for contracts.
Note: Contracts for purchase of equipment and for supplies and
materials are not contracts within the meaning of object class 25.
11. Interagency Agreements : Enter in this column the amount of funds
for interagency agreements. Note: These are funds EPA is trans-
ferring to other federal agencies via interagency agreements not
the funds EPA receives from other federal agencies for EPA to
spend. Funds we receive via interagency agreement are not
included in the resource allocation targets or the allocation of
ontarget resources.
12. Grants : Enter the total amount of grants on this line.
13. Equipment : Enter funds for the purchase of equipment on this line.
14. Inhouse : Enter the total amount of inhouse costs under the total
heading. (Inhouse costs are all costs not specifically listed under
80
-------
headings #10 through #13.) Funds for travel expenses should be
set forth under line 1 1 4a as well as being included in the total
inhouse figure.
15. Positions : Enter the number of positions in these blanks. Under
the full-time permanent heading enter the number of full-time
permanent employees. Permanent part-time positions should be
entered along with temporary positions under the heading “other
than full-time permanent”. All positions must be shown as whole
positions.
16. Lapffie Rate : Enter in this blank the expected lapse rate for full-
time permanent positions. This should be the average percentage
of the full-time permanent positions that are vacant. Lapse rates
can be used to analyze salary and benefit funds to see if they are
adequate. They can also be used to calculate the number of man—
years that will actually be available.
81
-------
RESOURCE ALLOCAIION FORM
DECISION MODULE LEVEL
1. Appropria Lion
2. Budget Activity
3. Decision Module:
4. RPIO:
5. Date:
6. Dollars 7. FY1973 — 8. FY1974
9. Total
10. contracts (within obj. class 25)
11. Interagency Agreements
I . Grants
13. Equipment (Obj. class 31)
14. Inhouse total
a. travel
15.
Positior s
a.
Full-time
Permanent
b.
Other than
Full— time
16.
Lapse
rate:
Permanent
82
-------
REGIONAL RESOURCE ALLOCA EON SUTYIMARY BY. APPROPRIATION
Instructions
1. Region : Enter the number of the Region.
2. Date : Enter the date prepared.
3. ¶lhrget : On the blank lines shown at the start of each appropriation’s
listing and for the regional total enter the regional target as shown
on the regional resource targets form. Under both this item and.
item the dollars shown should be in thousands rounded to the
nearest hundred (tenth of a thousand) and the positions should be
full-time permanent positions.
11. Proposal : In these columns enter the proposed ontarget allocation of
regional resources. For each decision-module, these numbers should.
come from and be the same as the amounts shown on the Resource
Allocation Form —Decision Module Level. The amounts for individual
decision modules should be totaled. on the proposal total line. This
total must agree with the dollars and positions shown for the target.
For appropriations, which are shown on this form, no flexibility in
funds is allowed. in the ontarget plan. If the dollar totals do not
match, an error has been made. The position totals may vary from
the targets by appropriation except where otherwise specified in
the targets. -
5. Abatement and Control : Enter the Abatement and Control targets and
ontarget proposal. -
6. Enforcement : Enter the Enforcement targets and ontarget proposal.
83
-------
7. Research and Development : Enter the Research and Development target
and ontarget proposal, if any. The names of the decision modules
have been left blank and. will have to be filled in as they may not
be consistent from region to region.
8. Agency and. Regional Management : Enter the Agency and Regional
Management target and ontarget proposal.
9. Regional Totals : Enter both the total regional target and the sum
of the ontarget proposal as shown. These two must be the same; if
they are not an error has been made. Note that the funds in the
Control Agency Support decision modules have not been included in
either the total target as shown on the Regional Resource Thrgets
Form or in the ontarget plans as shown in this Swmnary Resource
Allocation Form. This is because the decision module targets for
these decision modules may not be changed.
10. Expected Advunces and Reimbursements : Enter any resources that are
expected to be received through advances and reimbursements. These
are resources EPA will recieve from other Agencies via interagency
agreement. They are not included in the regional resource targets.
They are not included in the regional totals under item 1 /9. Program
element resource schedules will be submitted for them along with
the rest of the Program Element Resource Allocations.
8’l
-------
REGIONAL RESOURCE ALLOCATiON SUM MARY LW APPROPRIATION
I. Region_______________ 2. Date______________
5. Abatement and ‘Control target
Air Ambient T end Monitoring
Air Technical Assistance
Water Ambient Trend Monitoring
Water Technical Assistance and
Source Control
Water Supply Technical Assistance
Pesticides Monitoring
Pesticides Technical Assistance
Solid Waste Technical Assistance
Radiation Technical Assstance
Noise Technical Assistance
Proposal Total
3. Target —
1.
$
Pos.
$
Pbs.
XXX
XXX
)OOC
XXX
i 3(
XXX
)QQC
)OOC
XXX
XXX
XXX
)OOC
)OOC
)OOC
XXX
)OQC
1U U L
XXX
] aL’
XXX
XXX
XXX
XX
XX
)000C
XX)OC
6. Enforcement target
Air Enforcement
Water Enforcement
Water Permit Program
Pesticides Enforcement
Noise Enforcement
Program Management & Support
Proposal Total
XXX.
)OCC
XXX
XXX
)OQ(
XXX
X (X
XXX
XXX
XXX
XXX
)CO(
)OQC
XXX
XX
7. Research and Development
Program Management & Support
Proposal Total
XXX
O(
XXX
XXX
XXX
XXX
XX
8. Agency & Regional Management-target
Regional Managene nt
Regional Support
Proposal Total
XXX
XXX
XXX
XXX
XXX
XXX
XX
XXXX
9. Regional Totals
10. Expc cted Advances & Reimbursements
85
-------
REGIONAL RESOIffiCE ALLOCATION SUNMABY BY PROGRAM(M IA)
Instructions
1. Region : Enter the number of the Region.
2. Date : Enter the date prepared.
3. Iärget : On the blank lines shown at the start of each program’s
(budget activity) listing, enter the regional target as shown on the
Regional Resource Thrgets Form. Under both this item and. item the
dollars should be shown in thousands rounded to the nearest hundred
(tenths of a thousand) and the positions should be full-time permanent
positions.
Ii. Proposal : In these columns enter the proposed ontarget allocation
of regional resources. For each decison module, these numbers should
come from and be the same as the amount shown on the Resource
Allocations Forms; Decision Module Level. The amounts for individual
decision modules should be totaled on the proposal total line. This
total must be within 20% of the dollars shown for the target for the
media. There is no constraint on the position variation except the
availabIlity of funds to support the positions. For media with small
amounts of funds, the deviation may be increased to the dollars
associated with the next full position.
5. Through 11 : Enter the appropriate targets and ontarget proposals.
Note: That if the Region should have any additional Research and
Development media related modules, they should be shown under the
appropriate media.
86
-------
12. Program Management and Sup ort Enter the program management and.
support targets and ontarget proposal. A blank line has been left
for any decision module in addition to the enforcement and. research
and development ones that the region may have. Note: Program
management and support is different from Agency and Regional
Management.
General Note: Agency and. Regional Management decision modules are not
included, on this form because they are an appropriation as well as a budget
activity. For this reason the totals shown will not add to the total
Regional target unless the total for Agency and Regional Management is
added.
87
-------
REGIONAL RESOURCE ALLOCATION SUM MARY BY PROGRAM (MEDIA)
1. Region Date___________________
—
Target
1. Proposal 1
S
Pos.
XXX
XXX
XXX
XXX
S
XXA
Pos. 1
5. Air
targ t
Ar’ibicr Trend Monitoring
Air Technical Assistance
Enforcement
Proposal To id
XXX
XXX
XXX
XXX
6. Water tar:ct
Ambient Trend Monltorlnq
Technical Asst. & Source Control
Permits
Enforcement
Proposal Total
XXX
)OcJ(
XXX
XXX
XXX
XXX
xxx
XXX
XXX
XXX
)OOC
XXX
XXX
--
XXX
7. Water Supply target
Technical Assistance
- - -
XXX
-
XXX
-
)OCC
XXX
XXX
XXX
XXX
--------
XXX
8. Pesticides target
Monitoring
Techmceil Assislance
Enforcement
Proposal Total
XXX
XXX
XXX
XXX
9. Solid Wasle target
Technical Assistance
)OOC
XXX
XXX
XXX
XXX
XXX
10. Radiation target
Technical Assistance
1DO ’
00(
11. Noise taiget
Technical Assistance
Enforcement
Proposal Totai
12. Program Management & Support —target
Enforcement Program Management &
Support
Research and Development Program
Management & Program Support
Proposal Total
XXX
XXX
XXX
)OOC
XXX
XXX
XXX
X QC
XXX
)O0
XXX
XXX
XXX
)OQC
XXX
XXX
XXX
XXX
88
-------
REGIONAL RESOURCE ALLOCATION BY ORGANIZATION
(Schedule of Positions)
Instructions
1. Region : Enter the number of the Region.
2. Date : Enter the date prepared.
3. Appropriation : These provide lines on which to enter the position
totals for each appropriation for each Division and the total for
each Division. The positions should be full-time permanent positions.
The region may submit a similar form for other than full-time
permanent positions if it desires.
i. Organization (Division) : In the columns for each Division enter the
number of full-time permanent positions in the proposed ontarget
resource allocation. The total full-time permanent positions
allocated to each Division should appear on the bottom line. Organiza-.
tions which are not part of one of the Divisions or the RA’s office
should be shown in the “Other Organizational Units” column, and the
blank space at the bottom of the form may be used to identify these
and their respective position allocations if desired.
5. Totals : The totals for each appropriation should be obtained by
adding ail the Division entries for that appropriation. The totals in
the final line should be the total of all the appropriation totals and
also should be the total of all the positions allocated to the
Divisions. If this total cannot be obtained bpth ways there is an
error. If this total does not equal the total regional resource
target, there is an error.
89
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REGIONAL RESOURCE ALLOCATION BY ORGA1’ IZATION
(Schedule of Positions)
1. REGION_________ 2. DAT ________________
3. APPROPRIA-
TIONS
f. ORGANIZATION (Div isioN)
5. TOTAL9
Lir&Wate
ate orica]
S & A
Enforcement
Management
RA’s Office
Other Organs—
zational Un t
ABATE T &
C ONTROL
FORC NT
RESEARCH &
DEVELOP T
NANAGEMENT
-
ORGANIZATI ON
TOTAL
-
90
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TARGET REASSIGNMENT REQUEST FORM
¶i rget Reassignment Requests, if any, should be in logical
groupings so that any ore grouping would be considered a single request
and approved or disapprovedas a block. A different form should be used
for each grouping. A brief narrative justification may be appended if needed.
Instructions
1. RPIO : Enter the name or organization of the RHO.
2. Date : Enter the date prepared.
3. Itiority of this Change : If the RHO is naking more than one request,
indicate the priority ranking of this request.
if. Ontarget Plan : In this column show the ontarget plan for the decision
modules, budget activities, and appropriations involved. This ontarget
plan will serve as the base from which the changes are requested.
Notice that the lines for totals are blanked out so that they cannot
be used. This is because totals would be meaningless in this column.
In this item and items #6, # 7, and #8, the dollars should be shown
in thousands rounded to the nearest hundred (tenth of a thousand) and
the positions should be full-time permanent positions. Note that
positions are shown on this form only to assist in understanding the
proposal. The control which is being changed is primarily a ftnds,
not a positions control.
5. Change : These columns should show the total change being requested
from the ontarget plan. The amounts in these columns should be just
the changes; just the amounts added or subtracted from the ontarget
plan. In filling out these columns, the decision modules involved
should be entered first. These should thbn be totaled by Budget
91
-------
activity and. the results entered under item #10 for the source
of resources decision niod.ules and under item #1 4 for the use of
resources decision modules. Then they should be totaled by
appropriation and the results entered under item #11 for the source
of resources decision modules and under item #15 for the use of
resources decision modules. In these columns the totals for items
#9, #10, #11, #13, #11i., and #15 should all be the same. If the
totals are not the same, an error has been made. If there is a
difference between the totals for items #9 and #13, there may not
be a balance between the sources and, uses of funds. This balance is
required. In this colunm it is entirely possible to have an entry
for the same appropriation in items #11 and #111. or the same budget
activity in items #10 and. #lI .
6. New Plan : These columns show the new resource allocation that
would be in effect if the reassignment request is approved. The
figures in this column are obtained by subtracting column 6 from
column 5 in the case of sources of resources and adding column 6 to
column 5 in the case of uses of resources. Notice that the totals
lines are blanked out as they are meaningless here.
7. Net Change : These columns are used to show the net effect of the
requested reassignment on our budgetary restrictions. When a budget
activity appears under both items #10 and. #111. or an appropriation
appears under both items #11 and #15, the larger number should be
subtracted from the smaller number and the result entered in these
columns on the line item that was the larger of the two numbers.
All entries under sources of funds mist be subtractions from the
92
-------
ontarget plan; all entries under uses of resources nrust be additions
to the ontargets plans. Where a budget activity appears in either
item #10 or #1 4 but not in both, the entry in columns #8 should be
the same as that in columns #6. The same holds true for appropria-
tions.
8. Sources of Resources : In this section of the form show the decision
modules, budget activities, and. appropriations which are uses of
ftinds in this request; i.e.,which would be increased if this request
were granted. A basic principal in target reassignment requests is
that the sources of funds shown here must equal the uses of funds
shown below.
9. Decision Modules : List the decision modules that are sources of funds
under this request.
10. Budget Activities(Media) : List the budget activities to which the
decision modules listed in item #9 belong.
11. ropriations : List the appropriation(s) to which the decision modules
listed in item #9 belong.
12. Uses of Resources : In this section of the form show the decision modules,
budget activities, and appropriations which are uses of funds in this
request; i.e., which would be increased if this request were granted.
13. Decision Modules : List the decision modules that are uses of funds
under this request. The same decision modules should not appear here
as appeared under item #9.
i i. Budget Activities(Media) : List the budget activities to which the
decision modules listed in item #13 belong. These may be the s .me
budget activities listed under item #10.
93
-------
15. Appropriations : List the appropriations to which the decision
modules listed in item #13 belong. These may be the same
appropriations listed under item #11.
9 1
-------
TARGEC REASSTGFThIE1!T REQUEST POEM
1. RPIO 2. Date__________ 3. Priority of this change____
—
—
-
4.Ontavj et._F)
_ ..a .
. C}.a wes
6. ! ew PL
‘7. I’ et Cb ’n- e
Po T
8. cu.rces of P. sources
9. Decision iodules
a.
b.
C.
d.
Total
X
:c 1 .x
xxx
: .x
: x
“x
xxx
x-
X X X
X XX
XXX
XXX
XXX
xxx
xxx
XXX
:c:
XX
; x•:c
X X X
xxx
x xx
xx:x
XXX
xx x
.c:::
XXX
xxx
xxx
X X X
XXX
xxx
10. Budget Activities(Media)
a.
b.
C.
xci
xxx
xxx
xxx
xxx
xc
Total
11. ApDro riations
a.
b.
C.
_Tota1
12. U’c c i j e o:rccs
13. Decision I ociu1ec
a.
b.
C.
(1.
‘- j• _______________
iIi. Budget Acttvitien(Mecfla)
a.
b.
C.
Total --
15. Appropriations
a.
b.
C.
— -- Total —
XXX
XXX
XXXX
XXX
)CIOC —
XXX
xxxi
‘cxx
XXX
xc:
XXX
XX X
xx
T
xxx
)C f
XX)CX
xxx
XXX
XXX
G
: :
X
XX X
XXX
zr
XX
;:
XXX
XXX
XX
XX
xxx
XXX
XXX
XXX
XXX
XXX
5 :
XX
XXX
XXX
XXX
‘ X3’
XXX
XXX
XXX
)GC
XA.X
XXX
XXX
)CO(
XXX
X
XX
XX
XXX
XXX
XXX
xxx
XXX
XXX
XXX
XX
95
-------
OVERTARGET REQUEST FORM
Ins truct ions
1. RPIO : enter the name or organization of the RPIO.
2. Date : enter the date prepared.
3. Priority of this Request : If the RPIO is making more than one request,
indicate the priority ranking of this request.
ii. Ontarget Plan : In these columns show the ontarget plan for
the decision modules, budget activities, and appropriations involved.
This ontarget plan will serve as the basis from which the changes
are requested. Notice the lines for totals are blanked. out so that
they cannot be used because they would be meaningless. In this item
and Items #5 and / /6 the dollars should be shown in thousands,
rounded to the nearest hundred (tenth of a thousand) and the positions
should be full-time permanent positions.
5. Additional Requests : This column should show the additional
amounts being requested. The total lines under Items #7, #8, and
//9 must agree, otherwise there is an error.
6. New Plan : This shows the new resource allocations if the request
is granted. It is the same of Items #l and #5. Notice the total
lines have been blanked out since they are meaningless.
7. Decision Modules : List the decision modules for which additional
resources are requested.
8. Budget Activities (Media) : List the budget activities to which the
decision modules as shown in Item #7 belong.
9. Appropriations : List the appropriations to which the decision
modules shown in Item #7 belong.
96
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10. Additional Outputs to be Obtained : This section of the form
is used to show the additional outputs that will be obtained if
the overtarget request is granted. These outputs form the
principal justification for the request. If additional justifica-
tion is required, then a short narrative may be added. The over-
target request does not have to produce additional output. If ’,
for example, the purpose of the request is to obtain funds to meet
mandatory fixed costs (e.g., salaries and benefits of on-board
personnel) there are likely to be no additional outputs.
11. 1 ype of Output : Enter the type of output as on the output
commitment form.
12. Level of Output : Enter the level of output as on the output
commitment form.
97
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OVER RG .T REQUEST FORM
1. RPIO 2. Date — 3. Priority of this Request
Ont FUtr. 1t2 Cr131_P .C . 5• r
i”.
I
: c
xc
:
I X
XX
—
7. Deci io Mor.iides
x
a.
b.
C.
d.
Total
XX
X X
X X
X X
8. Budget. Activities (L. dia)
XX
X X
X X
X X
XX
XX
a.
b.
C.
Total___________________
XX
XXX
XXX
X X
9. Appropilations
XX
XX
LX
XX -
XX
XX
a.
b.
Total X XX XXX —- —— XXX XX —
OitputLTo be C.ui. .ainc t: —___________________________
j. rpe of Ou rt 12. Levc1of utrr __
—-
98
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RESOURCES SCHEDULE FORM
The Resources Schedule is used in the allocation of resources to
program sub—elements after decisions on allocations to modules are
made. RPIO’s and the Office of Resources Management will jointly
distribute approved resources down to the sub-element level.
The form may also be used by lower level planners, e.g., Regional
Division Directors and Branch Chiefs.
Most of the data elements and codes needed to complete the
Resources Schedule form are given in the October 25, 1972, edition of
the Program Planning and Resources Management System Manual - Volume II
(PPRMS-II). The form will be completed as follows:
Instructions:
1. Sub-Element Title . Enter the appropriate title as shown in
Table C-2 of PPRMS-II. It should be noted that Table C-2
now refers to Allowance Holders and not RPIO’s as defined
for FY 1973.
2. Source of Funds . A one character code shown in Table F-l
of PPRMS-II identifies the program year source of funds.
For this submission, enter H4h for FY 1974 New Obligational
Authority.
3. Element Number . Enter the Appropriate six character code
from Table C—2 of PPRMS-II.
4. Allow. Holder . Enter the two digit code of the Allowance
Holder. These codes are given in Appendix E of this manual.
5. Division . Leave blank. (This code identifies organizational
units, usually divisions, within an Allowance Holder. It
99
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1. SUB-EL C T TITLE
2. SOUSC OF
YU1 DS
3. EL NT NO.
1 LALLOW DIVTSiON
OLPLR
G.APP NJ 7. LOCAL
AUTH.J
a. pic ai BY (i AivI)
1
9. DA T I
‘—_______________
10. hi. —
I
12. —
13. r o.or S i -lETS
1
FX197 iL f lT 9 .
TOML’FY
:124. TOflL (Zui of 15-19)
I rI ’fl
r’ —
15. ccr 1 tc i n
C Jj .Class
I
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[ :s. r;rT. ’cyA r :rr
1
li
I
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-
;17. : n:’:OL:t4_
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lo. flFER
I
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p T-fl r --r q (P n tre t i-enl-1- nf 1 flflfl
22. CUJCUIATIOrIS
r-:nut ZOTAL
a. P a:Lc ::NT
1 2O.PC’2C’fT’ :f
I ’-
f21. r:. v
‘ “or-, 3710-1 (2-73) Replaces EPA Porn 3530_i (Fey. k-72) Which is obsolete R CYCt3 OC!2DL12
100
-------
may be used for planning and reporting below the subelenient
level.Codes are in Table D -l of PPRMS -II.)
6. Appropriation Authorizations . Enter the two character code
for the section of law which authorizes funding for this
sub-element. Appropriation Authorization Codes may be found
in Table E-1 of PPRMS-II. Appropriation Authorization Codes
for the new Water and Noise Acts are given in Appendix F of this
manual. Specific codes to be used for each element are given
in Table E-2 of PPRMS-II. Specific codes to be used for each
Water and Noise program element are given In Appendix G of this
manual.
A separate Resources Schedule must be submitted for each
Appropriation Authorization for each sub-element; e.g., if a
subelement is funded by three separate Appropriation Authori-
zations, three Resources Schedules will be required.
7. Local . Leave blank. (Space is allocated for a one character
code which may be used to identify resources below the sub-element
or division level; e.g., branches to plan below the division level.)
8. Prepared by . Enter initials and last name of the planner completing
the form.
9. Date . Date form is completed.
10. 11, and 12. Leave blank.
13. Number of Sheets . Enter the number of Resources Schedule forms
submitted for the sLib-element. As mentioned in Number 6
above, a separate Resources Schedule must be submitted for
each Appropriation Authorization for each sub-element.
101
-------
14-19. Planned Obligations . Show the funds required to perform
the work planned for the sub-element. Round to the nearest
tenth of a thousand dollars (hundreds Of dollars). For
example, enter 0.5 for $500. Funds should be new budget
authority only for this submission. The delineation of
funding requirements into contracts (research, project, other),
grants (research, demonstration, other), equipment, and in-
house (all other) costs is needed for the review of resource
requirements, the calculation of outlays, and the subsequent
monitoring of fiscal status.
Quarterly funds should be planned carefully since these
fugures will be used in determining EPA’s request for its
quarterly apportionment and the Allowance Holders’ quarterly
allowances. Planning for one-fourth of the year’s funds in
a quarter, especially the first and second quarters, may lead
to overobligation of funds if that amount does not equal or
exceed actual obligations for that quarter. Inadequate
planning by enough Allc ance Holders may ultimately cause the
Agency to exceed its apportionment.
14. Total . Enter the total dollars for the Resources Schedule,
i.e., the sum of dollars in lines 15 to 19.
15. Contracts . Enter the total dollars for (a) R & 0, (b) Project
(e.g., program studies or analyses for areas such as Public
Affairs, Categorical Programs, etc.), and (c) Other contractual
services included in Object Class 25. Do not include Interagency
Agreements here; they will be entered on line 16.
102
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16. Interagency Agreements . Enter the total dollars for Inter-
agency Agreements in which EPA will transfer funds to other
agencies. (Funds we receive from other agencies are classified
under Advances and Reimbursements or Allocation Accounts,
neither of which is to be reported on this line. They are to
be reported as separate sub-elements on Resources Schedule
forms, and resources will be distributed on all appropriate lines
excluding no. 16)
17. Grants . Enter total dollars for (a) Research, (b) Demonstration,
and (c) Other Grants. This breakdown will be used to calculate
outlays.
18. EQuijment . Enter total dollars for all equipment, including
scientific and office equipment furniture, and books for
permanent collections. (Object Class 31)
19. In-House Total . Enter the total dollars not included in lines
15 to 18.
20. Positions . Enter the number of positions (leave shaded areas
blank) required for the sub-element. Report to the nearest
tenth of a position. A position may be one single position or
a combination of fractions o ’two or more positions. A sub-
element may have a fractional position total; however, the
total number of positions for a Decision Module must be a whole
number.
21. a. Permanent Full-Time . Enter the number of permanent full-
time positions planned for the sub—element.
103
-------
b. Other . Enter the number of positions other than permanent
full-time planned for the sub-element. Include temporary,
part-time and intermittent (e.g., consultants) positions.
21. Remarks . Optional. This space may be used for any purpose the
planner desires; e.g., to specifically identify major items
included in totals for lines 15-20; e.g., Travel Costs which
were broken out at Decision Module Level but included in line
19 of the Resources Schedule.
22. Calculations . Space provided for computational work by
individual preparing the form.
NOTE: Funding and position requirements for FY 76—79 for each
sub-element will be computed by the Office of Resources
Management. RPIO’s will be given the opportunity to review,
coimient on, and suggest changes in that data.
104
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APPENDIX D
Decision Modules
In this appendix, decision modules are identified with an asterisk.
The hierarchical relationship is shown among appropriations (e.g., Abatement
and Control), budget activities/programs (e.g., Air), decision modules (e.g.!
Control Agency Support), and program elements (e.g., 2A4136 Air Control
Agency Support). NPM assignments are given for each module.
Abatement and Control
Ai r
*control Agency Support (Grant, Contract and State Assignee Funds
only) - OAWP
2A4136 Air Control Agency Support - Grant, Contract & State
Assignee Funds only
* bient Trent Monitoring - OAWP
2A2 131 Air Quality Monitoring
2A2132 Air Quality Information System
*Academic Training (Grants only) - OAWP
2A7139 Academic Training/Air - Grants
*MobiJe Source - OAWP
2AU30 Mobile Source Standards
2A2l34 Mobile Source Compliance
2A2135 Mobile Source Laboratory Support
105
-------
*Technjca l Assistance - OAWP
2A4386 Air Control Agency Support - Admin (excludes Grants,
Contract & State Assignee Funds)
2A5137 Technical Support and Evaluation/Air
2A6ll3 Federal Activities/Air
2A6ll4 Environmental Impact Statements Review/Air
2A7l38 Direct Training/Air
2A7140 Manpower Planning/Air
*Stationary Source Standards and Guidelines - OAWP
2All29 Stationary Source and Air Quality Standards
Water Quality
* bi ent
282146
282147
282148
*Conty.va 1
2B4 153
*Academi c
2B7159
*Techni cal
251115
2B1 143
2B3 149
253150
2B 31 51
2B3 152
Trend Monitoring - OAWP
Water Quality Information System
Water Quality Monitoring
Water Pollution Source Surveillance
Agency Support (Grants & Contracts only) - OAWP
Water Pollution Control Agency Support - Grants & Contracts
Training (Grants only) OAWP
Academic Training/Water - Grants
Assistance (Headquarters Module) - OAWP
Review Federal Licenses and Permits
Water Quality Standards
Water Quality Planning
Water Quality Planning Grants
Water Resources Council
Great Lakes Planning - Sectiofl 15
106
-------
Water Quality - continued
2B5154 Technical Support and Assistance (include former 2H1172)
2B5155 Great Lakes Initiative
2B5229 National Eutrophication Control Program
2B6116 Federal Activities/Water
2B6117 Environmental Impact Statements Review/Water
2B4387 Water Pollution Control Agency Support - Admin (Non
Grant/Contract portion of 2B4153)
*planning Grants (Sec. 208)
2B3384 Water Quality Planning Contract Authority
*Munjcjpal Source Control (Headquarters Module) - OAWP
2B7158 Operator Training/Water
2B7160 Direct Training/Water (includes Non-Grant portion of
2B7159)
2B7161 Manpower Planning/Water
2B8162 Construction Grants Operations
2B8163 Operation and Maintenance
268316 Construction Grants Administration
2B8381 Municipal Permits
*Industrial Source Control (Headquarters Module) - OAWP
2B5156 Industrial Wastes Studies and Guidelines/Water
*Nonpoint Source Control (Headquarters Module) - OAWP
261144 Spill Prevention and Response
2B1145 Ocean Disposal Permits
2B5157 Non-Point Source Studies and Guidelines/Water
*Technjcal Assistance and Source Control (Regional Module) — OAWP
A consolidation of Technical Assistance and Source Control
Modules above.
107
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Water Supply
t lechnical Assistance - OAWP
2C5226 Water Supply Program
2C5227 Water Supply Lab Assistance
Solid Wastes
*planning (Grants only) - OCP
203295 Planning Grants/SW
*Academic Training (Grants only) - OCP
207302 Academic Training/SW
*Jechnical Assistance - OCP
201293 Standards, Guidelines and Regulations/SW
203296 Planning Grants Administration/SW
2D5297 Tech Assist & Eval/Upgrade SW Mgmt
205298 Policy Studies/Upgrade SW Management
2D5299 Policy Studies/Resource Recovery
205300 Policy Studies/Hazardous SW
2D6118 Federal Activities/SW
206119 Env Impact Statements Review/SW
207301 Direct Training/SW
207303 Non-Academic Training/SW
2D7304 Manpower Planning/SW
Pesti cides
*gegistratjofls and Tolerances - OCP
2Ell77 Pesticide Products Registration
2E1178 Pesticides Standards and Criteria
108
-------
*Iwbfljtorjflg - OCP
2E2179 Pesticides Exposure Studies
2E2180 Pesticides Residue Profiles (Monitrg)
2E2l82 Pesticide Market Sample Analysis
*Technical Assistance - OCP
2E2l8l Pesticide Accident Investigations
2E5183 Technical Support/Pesticides
2E5184 Technical Information/Pesticides
2E7l85 Direct Training/Pesticides
Radi ati on
*Academic Training (Grants only) - OCP
2F7l93 Academic Trng/Radiation
*Monitoring - OCP
2F2l9l Radiation Monitoring
*Standards and Guidelines - OCP
2Fll9O Radiation Standards and Guidelines
*Technical Assistance - OCP
2F5l92 State & Local Asst/Radiation
2F6l2O Env Impact Statements Review/Rad
2F7194 Technician Training/Radiation
2F7l95 Direct Trng/Radiation
Noise
*Standards and Guidelines - OCP
2Gl378 Noise Standards Setting
109
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Noise - continued
*Technjcal Assistance - OCP
265379 Technical Assistance/Noise
266200 Federal Activities/Noise
Interdi scipl I n y
*Technical Assistance - OPM
2H5360 EPA Disaster Assistance
Note: Abatement & Control/Interdisciplinary/Technical
Assistance is not currently being used for planning purposes.
It will be used for reporting resources reprogrammed from other
decision modules for EPA Disaster Assistance.
Program Management and Support
*Program Management - OAWP
2Rll74 P/M - Air & Water Programs
*Program Management - OCP
2Rl197 P / M - Categorical Programs
2Rl328 P/M - Toxic Substances
*Program Support - OAWP
2R2175 P/S - Air and Water Programs
*Program Support - OCP
2R2l98 P/S Categorical Programs
Enforcement
Ai r
*Air Enforcement - OEGC
3All2l Stationary Source Enforcement
3A2l22 Mobile Source Enforcement
Water
*Water Enforcement - OEGC
3Bll23 Water Quality Enforcement
ilti
-------
Water - continued
*Water Permit Program - OEGC
3B2124 Refuse Act Permits
Pesti ci des
*pestjcjdes Enforcement - OEGC
3E1125 Pesticides Enforcement
Noise
*Noise Enforcement - OEGC
3G1380 Noise Enforcement
Program Management and Support
*program Management - OEGC
3R1126 Program Mgmt - Enforcement
3R1127 General/Regional Counsel
*program Support - OEGC
3R2128 Program Support - Enf & Gen Counsel
Research and Development
Ai r
*Ajr Pollution Processes and Effects - ORM
1A1001 Po]utnt Charctrzn
1A1002 Fuel/Fuel Additive Registn
1A1003 Regional Air Polutn Study
lAlOO4 Economic Criteria
lAlOO5 Coniri Hlth Eff Srvl Studies
1A1006 Ecolgcl Impact of Air Polutn
1A1007 Biomedcl Research
1A1008 Formation/Decay of Polutnts
111
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Research and Development - continued
1A1009 Meteorological Research
lAlOlO Instrumn/Anal Mehds Dvlpmt
*Air Stationary Source Control Technology - ORM
1A2012 Particulate Cntrl
1A2013 SO(X) Control
lA2Ol4 NO(X) Cntrl
1A2015 Cntrl Tech—Othr Polutnts
*Air Mobile Source Control Tehcnology - OAWP
1A2017 Adv Vehicular Propulsion Systems
lA2Ol8 Mobi Srce Emssn Cntrl Optimization
Water Quality
*Water Quality Pollution Processes and Effects - ORM
1B1019 Wtr Qual Health Eff Rsrch
1B]020 Agricltl Uses
1B1021 Fr Fish/Fr Life/Widlife
lBlO22 Marine Fish/Life/Wildlife
1B1023 Fate of Polutnts-Frsh Surf Wtrs
1B1024 Fate of Polutnts—Ground Waters
lBlO25 Fate of Polutnts-Marine Waters
lBlO26 Fate of Polutnts-Large Lakes
1B1027 Mthds Dvlpmt for Ident of Polutnts
1B1 028 G L Initiative - Rsrch
lBl029 National Eutrophication Study
lBlO3O Water Qual Implem Rsrch
lBlO3l Eutrophication & Lake Restoration
lBl 032 Thermal Polutn Research
112
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*Water Municipal Control Technology — ORM
1B2033 Municipal Sewered Discharges
1B2034 Comb Sewr Overflows & Storm Wtr Disc
1B2035 Non—Sewered Domestic Wastes
1B2043 Treat Proc Dvlpnit & Optimization
1B2044 Cold Climate Waste Treatment
1B2045 Water Qual Cntrl
*Water Industrial Control Technology - ORM
1B2036 Heavy Industrial Sources
1B2037 Food, Paper, & Othr Indus Sources
*Water Nonpoint Control Technology - ORM
1B2038 Transportation Sources
1B2039 Agricultural Sources
1B2040 Mining Sources
lB2O4l Oil & Hazard Mtls Spills
182042 Hyrologic Modification
Water Supply
*Water Supply Pollution Processes and Effects - ORM
1C1046 Wtr Supply Hith Ef Is Rsrch
*Water Supply Pollution Control Technology - ORM
1C2047 Water Supply Control Techn
Solid Wastes
*Soljd Wastes Pollution Processes and Effects - ORM
101312 Behavioral Research
101313 Environmental Effects Research
1D]315 Economic Benefit Analysis
113
-------
*Soljd Wastes Pollution Control Technology Research - ORM
1D2063 Collection & Processing Technology/SW
102064 Disposal Technology/SW
1D23ll Hazardous Solid Waste
102314 Resource Recovery Technology
*Solid Wastes Pollution Control Technology Demonstrations - OCP
102058 Resource Recovery Demonstrations
102310 Systems Demonstrations/Upgrade SW Mgmt
Pesticides
*pestjcjdes Pollution Processes and Effects - ORM
1E1077 Pest Ecolgcl Eff Rsrch
1E1078 Pesticides Health Effects Research
1E1079 Pesticides Identification Methodology
1E2080 Alternative Mthds of Pest Control
Radiation
*Radiatjon Pollution Processes and Effects - ORM
1F1081 Radiation Epidemiological Research
1F1082 Radiation Health Effects Research
1F1083 Radiation Pathways Research
1F1084 Radiation Methods & Measurements
Noise
*Nojse Pollution Processes and Effects - ORM
1G1085 Noise Effects
1G2090 Noise Pollution Control Technology
114
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Interdisciplinary
*Interdjscjpljnary Pollution Processes and Effects - ORM
1H1 091 Standards Research
1H1092 Nat] Center for Toxiclgcl Rsrch
1H1093 Systems Evaluation
]H1094 Economics Research
1H1095 Ecological Impact
1111096 Ecosystem Research
1H1097 Environmental Management Research
1H1098 Environmental Forecasting
lHlO99 Toxic Subs Hith Effs Rsrch
1H1100 Toxic Subs Ecolgcl Effects Rsrch
1 Hi 323 Minority Insti tutions Research
1H1325 Monitoring Planning & Review
1H1326 Advanced Monitoring Techniques
1H1327 Monitoring Quality Assurance
*Interdjscjplinary Pollution Control Technology - ORM
1H2101 Technology Transfer
Pr ram Management and Support
*program Management - ORM
1R1102 Regional R&F1 Representatives
1R1103 Program Mgmt-Rsrch & Monitrg
*program Support - ORM
1R2l05 Program Support-Rsrch & Monitrg
115
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Agency and Regional Management
Agency Management and Support
*Agency Management - Administrator’s Office & Other - OP 1
5S1218 Admin & Dep Admin
5S1219 Administrator’s Representation Fund
5S1220 Legislation
5S1383 Intergovernmental Affairs (formerly 2H4173)
5S1221 Public Affairs
5S1222 International Affairs
5S1223 Civil Rights and Urban Affairs
5S1224 Federal Activities
5S1353 Professional Training
*Agency Management - P&M - OPM
5S1207 Planning and Management
5S1208 Audit
5S1209 Administration
5S1210 Resources Management
5Sl2ll Planning & Evaluation
551334 Education and Manpower Planning
*Agency Support - OPM
5S2212 Agency Support
5S2377 Repairs and Improvements (Facilities)
Regional Management and Support
*Regjonal Management - OPM
5Tl2l4 Regional Management
116
-------
*Regjonal Support - OPM
512215 Regional Support
Construction Grants
Water Quality
*Munjc Waste Treat Construction Grants
AB1164 Construction Grants
AB1364 C..G. Contract Authority
117
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APPENDIX E
ALLOWANCE HOLDERS AND
RESPONSIBLE PLANNING AND IMPLEMENTATION OFFICERS
RPIO’s are indicated by an asterisk in this table. A code number
indicates Allowance Holder status. Non-Regional RPIO’s are grouped
with their subordinate Allowance Holders.
RPIO/Allowance Holder A/H Code
* RA Region 1 Boston 01
* RA Region 2 New York 02
* RA Region 3 Philadelphia 03
* RA Region 4 Atlanta 04
* RA Region 5 Chicago 05
* RA Region 6 Dallas 06
* RA Region 7 Kansas City 07
* RA Region 8 Denver 08
* RA Region 9 San Francisco 09
* RA Region 10 Seattle 10
* Deputy Administrator
Spec Assist Exec Corn 0/A 11
Dir - Legislation 12
Dir - International Affairs 13
Dir - Civil Rights & Urban Affrs 14
Dir - Public Affairs 15
Dir - Federal Activities 36
* AA - Planning & Mgmt 16
DAA - Administration 17
DAA - Resources Management 18
DAA - Planning & Evaluation 34
Dir - Audit Office 35
Dir - Education and Manpower Planning 19
118
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RPIO/Al lOwánce Holder A/H Code
* AA - Research ‘& MonitorIng 26
Dir - NERC - Durham .42
Dir - NERC - Las Vegas. 47
Dir - NERC - Cinn 61
Dir - NERC Corvallis 62
* AA - Enforcement & General.Coun. 22
DAA- Water Enforcement . 23
DAA - General Enforcement. 24
Dir - . Refuse Act Program 25
Dir - NFIC - Denver 50
Dir.- .NFIC - Cinn 52
* AA - Air & Water Programs 27
DAA - Water Planning & Stds . 28
DAA - Water Programs Operations 29
Dir - Sta Source PolUtn-Durham . . 53
Dir - Mobi Source Polutn-Ann Arbor 56
* PA - Categorical Programs . 30
DAA - Noise Control Programs 21
DAA - Solid Wastes Program 31
DAA - Pesticides Program 32
DAA - Radiation Program, , 33
119
-------
Code
B
BA
BB
BC
BD
BE
BF
BG
BH
BJ
BK
BL
BM
BN
BP
BQ
BR
BS
BT
BU
BV
113
114
APPENDIX F
NEW APPROPRIATION AUTHORIZATION CODES
Authorizing
Section
104(u)(1)
104(u)(2)
104(u)(3)
104 ( u ) (4)
104 ( u ) (5)
104 ( u ) (6)
105 ( h)
106(a)
107(e)
108(c)
108(e)
112(c)
113(d)
114(d)
115
206(e)
206(e)
207
207
207
Law Sections Having Specific
appropriation Authorizations
** Federal Water Pollution Control Act
104 Other Than (g)(1),(g)(2),(p),(r),(t)
104 (g) (1)
104 (9) (2)
104 (p)
104 (r)
104 (t)
105
106
107
108 (a) and 108 (b)
108 (d)
109, 110, 111, and 112
115
206 (a)
206 (b)
109 Training Facilities
201 Collection Sewer Surveys
Construction Grants
120
-------
Law Sections Having Specific Authorizing
Codes Appropriation Authorizations Section
BW 208 (f) 208(f)(3)
BX 208 (h) 208(h)(2)
BY 209 209(c)
BZ 304 C i) 304(j)(3)
BO 311 (c), Cd), (i), and (1) 311(k)
Bi 314 314(c)(2)
B2 315 315(g)
B3 317 317(b)
Act excluding 104,105,106(a), 107,108,
112,113,114 115 206(a) and (b), 207 208(f)
and (h), 20 ,30 4 (j),311(c),(d),(i),(1) and 517
B4 (k), 314,315,317.
B5 5(n) minus salaries and related expenses 3(a)
B6 8 (Grants) 3(b)
B7 4(c) Disaster Loan Fund 8(a)
B8 10 10
B9 12(f) 12(f)
C ** Marine Protection, Research, and
Sanctuaries Act of 1972
CA Title 1 111
CB Title II 204
CC Title III 304
L ** Noise Control Act of 1972
LA 15 15(g)
LB Act excluding 15 19
121
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APPENDIX G
NEW APPROPRIATION AUTHORIZATIONS
FOR WATER AND NOISE ELEMENTS
Program New Appropriation
Element Authorization
Water :
1B1019 BA
1B1020 BA
1B1021 BA
1B1022 BA
1B1023 BA
1B1024 BA
1B1025 BA
1B1026 BA
1B1027 BA
1B1028 BA
1B1029 BA
1B1030 BA
1B1031 BA
1B1032 BA
1B2033 BA,BG
1B2034 BA,BG
1B2035 BA
122
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Program New Appropriation
Element Authorization
Water :
1B2036 BAIBG
1B2037 BAIBG
1B2038 BA
182039 BA,B6
182040 BA,BG,BJ
1B2041 BA
1B2042 BA,BG
1B2043 BAIBG
1B2044 BA
TB2045 BA
1B2352 BK
2B1115 B4
2B1143 B4
281144 B4,B0
281145 CA
2B2146 BA
282147 BA
2B2148 BA
2B3149 B4IBY
2B3150 B4
283151 BY
2B3152 BK
283384 BW
2B4153 BH
123
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Program New Appropriation
Element Authorization
Water :
234387 BH
2B5154 BA
2B5155 BA,BK,BL
2B5156 B4
2B5157 B4
2B5229 Bi
2B6116 B4
2B6117 34
2B7158 BA,BM
2B7159 BM,BA
2B7160 BA
2B7161 BC
2B8162 B4
2B8163 B4
2B8316 B4
2B8381 B4
3B1123 B4
3B2124 B4
Noise :
1G1085 LB
1G2090 LB
2G1378 LB
2G5379 LB
2G6200 LA,LB (for FY 74, only LB)
3G1380 LB
124
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FY 1974
Abatement and Control
Al r
Control Agency Support (Grant, Contract,
State Assignee Funds only)
Ambient Trend Monitoring
Academic Training (Grants only)
Mobile Source
Technical Assistance
Control Agency Supnort (Grant, Contract, State
Assignee Funds only)
Monitoring & Surveillance (Air Qual)
Manpower Planning & Training (Acad - Grants)
Stds; Guidelines & Regs (Mobile)
Monitoring & Surveillance ( Mobile )
Technical Info and Assistance
Federal Activities
Manpower Planning & Tr (Excludes Acad Tr Grants)
Control Agency Support (other than Grant, Contract,
____ State Assignee Funds) ______
APPEND!X H
Budget Subactivity Crosswalk
This table provides a crosswalk from the FY 1973 budget subactivities to the FY 1974 budget
subactivitles. Appropriations and budget activities (programs) have not changed.
_______ FY 1973
125
-------
FY 1974
Stationary Source Standards & Guidelines
Water Quality
Control Agency Support (Grants & Contracts only)
J1nibient Trend Monitoring
Academic Traing (Grants only)
Planning Grants (Sec 208)
-a
Technical Assistance
Municipal Source Control
Industrial Source Control
Nonpoint Source Control
Water Supply
Technical Assistance
126
FY 1973
Stds, Guidelines & Regs (Stationary)
Control Agency Support (Grants & Contracts)
Monitoring & Surveillance
Manpower Planning & Training (Acad Tr Grants)
Water Quality Planning (Contract Auth)
Water Quality Planning (Excludes Contract Auth)
Technical Info & Assistance
Control Agency Support (Excluding Grants &
Contracts)
Federal Activities
Manpower Planning & Tr (Excludes Acd Tr Grants)
(A&C/Interdisciplinary/Stds, Guidelines & Regs)
Stds, Guidelines & Regs (Licenses & Stds)
Const Grants Admin
Tech Info & Assistance (Indus)
Stds, Guidelines & Regs
Technical Info & Assistance
Technical Info & Assistance
-------
FY 1974
Solid Wastes
Planning (Grants only )
Academic Training (Grants only )
Technical Assistance
Pesticides
Registrations & Tolerances
Monitoring __________
Technical Assistance
Radiation
Academic Training (Grants only )
Moni toring
Standards and Guidelines
FY 1973
SW Planning (Grants)
Manpower Planning & Tr ( Acad Tr )
SW Planning (Grants Admin)
Technical Info & Assistance
Federal Activities
Manpower Ping & Tr (Non Acad)
Stds Guidelines & Regs
Monitoring & veiliance_
Stds, Guidelines &Regs
Monitoring & Surveillance
Technical Info & Assistance
Monitoring & Surveillance (Acc Invest)
Manpower Planning & Training (Acad)
Monitoring & Surveillance
Stds,_Guidelines & Regs
127
-------
FY 1974 FY 1973
Technical Assistance Technical Info & Assistance
Federal Activities
Manpower Planning& Ir LNon AcadL
Noise
Standards and Guidelines ___________ Stds,_Guidelines &Regs
Technical Assistance Technical Info & Assistance
_______________________________________ ____ Federal Activities
*Interdi scipi i nary
( Not crosswalked here. See A&C/Water Qual/TechAsst) Stds, Guidelines & Pegs
(Not crosswalked here. See A&R Mgt/Agency Mgt) Control Agency Support
*Technjcal Assistance Technical Info & Assistance
* Interdisciplinary Abatement and Control is not at present being used for planning purposes. However,
it will continue to be used for reporting purposes for 2H5360-EPA Disaster Assistance.
Program Management and Support
Program Management Program Management ___
Program Support ______ _________ Program Support
128
-------
FY 1974 FY 1973
Enforcement
Al r
Air Enforcement Stationary Source Enforcement
Mobile Source Enforcement
Water Quality
Water Qual Enforcement Water Qual Enforcement
Water Qual !etlnit Program Water Qual Refuse Act Permits
Pesticides
• Pesticides Enforcement Pesticides Enforcement
Noise
Noise Enforcement Noise Enforcement
Program Management and Support
_________________ Program Management
Program Support Program Support
Research and Development
Al r
Processes & Effects J rocesses & Effects
Control Technology Control Technology
129
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FY 1974 FY 1973
Water Quality
Processes & Effects Processes & Effects
Control Technology Control Technology
Water Supply
Processes & Effects Processes & Effects
Control Technology Control Technology
Solid Wastes
Processes & Effects Processes & Effects
Control Technology Control Technology
Pesticides
Processes & Effects Processes & Effects
Control Technology
Radiation
Processes and Effects Processes & Effects
Noise
Processes & Effects Processes & Effects
Control_Technology
130
-------
FY 1974
Interdisciplinary
Processes and Effects
Control Technol ogy
Program Management and Support
Program_Management ___
Program Support
Agency and Regional Management
Agency Management and Support
Agency Management
Agency Support -__________________
Regional Management and Support
Regional Management -_________________
Regional Support
Construction Grants
Water Quality
Munic Waste Treat Const Grants (Includes
Contract AuthOrity)
FY 1973
Processes and Effects
Control Technolgoy
Program Management
Program Support
Agency Management
(A&C/Interdisciplinary/Control Agency Support )
Agency Support
Regional Management
Regional Support
Munic Waste Treat Const Grants (Includes
Contract Authority)
131
-------
Other appropriations as before, viz., Facilities (not to be used this year; 5S2377 to be used
instead by Allowance Holder 17 only), Scientific Activities Overseas, Advances and Reimbursements,
Revolving Fund, Allocation Accounts. These may be found in the Program Planning and Resources
Management System Manual-Volume II, Table B—i.
1 32
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