National Environmental
Performance Partnership System
FY 2014 Guidance
DRAFT
Office of Congressional and Intergovernmental Relations
Office of the Administrator
Publication Number: 270D13001
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National Environmental Performance Partnership System
FY 2014 National Program Guidance
CONTENTS
Guidance Introduction 3
National Areas of Focus and Related Activities for FY 2014 4
National Area of Focus I: Conduct joint strategic planning that reflects 4
Performance Partnership principles in PPAs/PPGs or comparable EPA-state and
EPA-tribal agreements and grant workplans.
Activities Related to National Area of Focus I 5
National Area of Focus II: Implement the Administrator's priorities through 10
PPAs, PPGs and other EPA-state and EPA-tribal agreements.
A ctivities Related to National Area of Focus II 10
National Area of Focus III: Foster programmatically sound and fiscally 13
responsible PPG management practices.
A ctivities Related to National Area of Focus III 13
Appendix A: Programs Eligible for Inclusion in State PPGs 18
Appendix B: Programs Eligible for Inclusion in Tribal PPGs 19
Appendix C: Key Contacts 20
Appendix D: OCIR's Explanation of Changes Between FY 2013 and FY 2014 21
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National Environmental Performance Partnership System
FY 2014 National Program Guidance
Agency Overview to the FY 2014 NPM Guidances
The Agency overview to the NPM Guidances communicates relevant Agency-wide
information and should be reviewed in conjunction with each of the FY 2014 NPM
Guidances as well as other applicable requirements. The overview also includes important
background information and identifies eleven cross-program areas that are essential for
effective implementation of EPA's environmental programs in FY 2014. Read the
overview at: http://www.epa.gov/planandbudget/annualplan/fy2014.html .
Introduction
EPA and states share responsibility for protecting public health and the environment.
Since 1995, EPA and states have been implementing the National Environmental
Performance Partnership System (NEPPS),1 an environmental performance system
designed to improve the efficiency and effectiveness of state environmental programs and
EPA-state partnerships.
Several fundamental concepts underlie NEPPS. Goals, priorities, and strategies should be
based on information about environmental conditions, including consideration of local
conditions and respecting the need for a "level playing field" across the country.
Performance should be evaluated based on results that can be achieved in the
environment. By taking full advantage of the unique capacities of EPA and states and
leveraging our collective resources most efficiently and effectively, we can achieve the
greatest results.
Performance Partnerships - in which EPA and states and tribes set priorities, design
strategies, and negotiate grant agreements together - are integral to the planning and
implementation of our national environmental programs. To advance the joint planning
that is central to Performance Partnerships, the Office of Congressional and
Intergovernmental Relations (OCIR) is issuing this guidance to the regions in conjunction
with the Agency-wide process for production and review of national program guidance
through the Office of the Chief Financial Officer (OCFO).
1 See Joint Commitment to Reform Oversight and Create a National Environmental Performance
Partnership System, at http://www.epa.gov/ocir/nepps/pdf/joint commit create nepps.pdf.
NEPPS National Guidance FY 2014
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This FY 2014 guidance sets out overarching goals and objectives for Performance
Partnerships. In January 2010, the Administrator sent a memorandum to all EPA
employees outlining her top seven priorities. These are now reflected in the FY 2011-
2015 EPA Strategic Plan3 and FY 2014 Budget. The guidance is aligned with and
directly supports these priorities, and contains specific objectives to advance the priorities
through the NEPPS process: Children's Health, Environmental Justice, and Building
Strong State and Tribal Partnerships. In addition, this guidance reflects and supports
EPA's commitments and objectives outlined in the Strategic Plan's Cross-
Cutting Fundamental Strategy for Strengthening State, Tribal and International
Partnerships, and supports the goals of the forthcoming EPA Sustainability Action Plan.
National Areas of Focus and Related Activities for FY 2014
National Area of Focus I: Conduct joint strategic planning that reflects Performance
Partnership principles in PPAs/PPGs or comparable EPA-state and EPA-tribal
agreements and grant workplans.
Description
Again, this year many states are experiencing budget shortfalls due to a slowly recovering
economy. As a result, state environmental agencies still face ongoing resource and
staffing challenges to maintain core programs. Federal budgets are shrinking as well. In
this climate, it is particularly important to emphasize EPA's willingness to work
collaboratively with the states to develop agreements that capture achievable priorities
and commitments and help address state-federal workload overall.
Both EPA and the states fulfill critical roles in protecting and improving human health
and the environment. By law and through shared experience, EPA, the states and tribes
must effectively collaborate in the planning and implementation of environmental
programs and ensure compliance with statutory and regulatory requirements in order to
be successful.
Performance Partnership Grants (PPGs), Performance Partnership Agreements (PPAs)
and Tribal Environmental Agreements (TEAs) are valuable, popular and widely used
NEPPS tools which are useful for joint priority setting, leveraging resources strategically,
providing administrative and programmatic flexibility, as well as in-depth assessments
and/or descriptions of state/tribal environmental conditions.
2 This guidance is a compilation of existing policies and initiatives. It does not impose any legally binding
requirements.
3 The FY 2011-2015 EPA Strategic Plan can be found at http://www.epa.gov/ocfo/plan/plan.htm.
NEPPS National Guidance FY 2014
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Activities
1. Continue to work with states and tribes to identify opportunities and coordinate
efforts to enhance worksharing, resource and workload flexibility, especially where
budget reductions have negatively affected state programs.
The EPA-State Worksharing Task Force has published two reports that can guide regions
in working with their states to identify and implement worksharing arrangements. Both
can be found on OCIR's NEPPS website.4 The first report identifies worksharing
prohibitions (relating to Superfund site remedy selection and preparation of a state's
competitive grant application) and areas of caution (relating to appropriations, grants,
information law, and ethics).
The second report contains guiding principles for negotiating worksharing arrangements
and best practices for several common worksharing scenarios - conducting inspections,
drafting permits, pursuing enforcement actions, conducting monitoring, and providing
technical and financial assistance - and contains two specific regional examples in the
areas of monitoring and Environmental Justice. Also, there are a few additional
suggestions to foster worksharing.
• In FY 2014, the Agency will continue to work with the states to evaluate alternate
work planning approaches, including worksharing, in order to maintain the
current levels of delivery of its environmental and public health programs.
• To ensure that attention will be directed to identifying and implementing
worksharing opportunities throughout the year, the Cross-cutting Fundamental
Strategy (XCFS) on Partnership FY13 Action Plan includes the following new
Key Performance Indicator (KPI):
o By September 2013, each Region will develop worksharing
implementation targets for FY 2014 and beyond consistent with the final
EPA-State Worksharing Task Force recommendations accepted by the
Executive Management Council regarding best practices, EPA-provided
training, and other ways to share EPA's technical expertise.
Guidance for Implementing the Worksharing KPI
To implement this KPI in FY2013, regions may discuss worksharing proposals using
existing communication forums and approaches that fit the needs and circumstances of
4 Prohibitions, Areas of Caution, and Recommendations to Enhance Worksharing Opportunities
(http://www.epa.gov/ocir/nepps/pdf/task force report_prohibitions areas caution.pdf) and Principles and
Best Practices for Worksharing
http://www.epa.gov/ocir/nepps/pdf/task force reportbstpractices.3.26.13.pdf
NEPPS National Guidance FY 2014
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the regions and their respective states. Forums for regions and states to identify
worksharing opportunities of mutual interest might include senior leadership meetings,
Performance Partnership Agreements (PPAs) discussions/negotiations, state program
reviews, regularly scheduled calls between regional and state program managers, and
others.
Since worksharing is not precisely defined, the following criteria drawn from the Report
of the Worksharing Task Force: Prohibitions, Areas of Caution and Recommendations to
Enhance Worksharing Opportunities offer a flexible approach for determining what
worksharing is and is not, and may be used to help reach agreement on new worksharing
arrangements.
• Worksharing is a tool that can be applied in situations where either EPA or a state
can perform work deemed a priority by both.
• It is utilized to make the most effective use of resources, and often when
resources are constrained for one or both parties.
• In some instances, it is contemplated as part of the joint planning process
between a region and a state, and at other times, it is used to address unforeseen
circumstances.
• Worksharing arrangements can include resources and expertise to conduct
work (e.g., writing permits, conducting inspections, managing site cleanups, etc.)
or other tangible support (e.g., technology, training, laboratory services, etc.).
Assumptions
• EPA and states use worksharing as a tool on an "as needed basis." It is possible for a
region not to establish any worksharing arrangements in a given year and this is an
acceptable outcome for this KPI.
• Regions use existing communication forums (e.g., scheduled PPA kickoff meetings,
regularly scheduled calls between regional and state program managers) to confirm
whether a state or region has any worksharing requests. There need not be separate
meetings/calls just for worksharing.
• Regions would select worksharing focus areas that have existing mechanisms for
tracking such arrangements. No new/separate worksharing documents need to be
drafted.
• Regions report through the XCFS #4 Team Leads. OCIR would gather information
about regional worksharing arrangements and compile it as part of reporting for the
worksharing KPI.
• Worksharing arrangements are crafted such that they do not require, nor do they
result in, corresponding reductions in state categorical grants.
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Five Examples of Worksharing
1. A region agrees to conduct inspections and follow up enforcement in a state.
2. A region and state agree to share and coordinate PCB Remediation approvals under
TSCA.
3. A region agrees to provide technical assistance to a state to develop NPDES permits
or TMDLs.
4. A region agrees to analyze dioxin samples for a state.
5. A region agrees to collect fish for tissue analysis for a state while in the field for its
own purposes.
Measure for Activity #1
If agreement is reached to continue existing worksharing arrangements or new
opportunities are identified that extend beyond FY2013, these then could become the
FY2014 worksharing implementation targets. If a region does not have any
worksharing arrangements or opportunities identified for FY2014, then that region's
FY2014 "implementation target" will be to either repeat their selected approach for
identifying worksharing activities in FY2014, or to pursue a new approach.
2. When negotiating PPAs and TEAs, incorporate the NEPPSprinciples5 and include
all the essential elements to the extent possible. In addition, joint priorities should be
clearly articulated and distinguished from state- or, tribe-specific and EPA-specific
priorities.
The most effective PPAs contain several "essential elements" established by a joint EPA-
state work group6 in 2004. These essential elements are also helpful in structuring and
organizing effective TEAs. The recommended essential elements7 are listed below.
• A description of environmental conditions, priorities, and strategies.
• Performance measures for evaluating environmental progress.
• A process for joint evaluation on how well the PPA [or TEA] is working and an
agreement to implement any needed improvements that are identified.
5 See: http://www.epa.gov/ocir/nepps/pdf/ioint commit create nepps.pdf for a description of NEPPS
principles.
6 State-EPA Planning Alignment/PPA Work Group, now the Partnership and Performance Work Group.
See: http://www.epa.gov/ocir/nepps/policies guidance.htm for the Work Group's findings and
recommendations.
7 Note that these essential elements are different from the ones listed in National Area of Focus III/Activity
#4 which are specific to state grant workplans.
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• A description of the structure/process for mutual accountability, including a clear
definition of roles of each party in carrying out the PPA [or TEA] and an
overview of how resources will be deployed to accomplish the work.
• A description of how the priorities in the PPA [or TEA] align with those in EPA's
Strategic Plan, and/or the state's own strategic (or other related) plan.
Incorporating each of these elements still allows for a wide range of PPAs or TEAs,
although it may not be feasible for some PPAs or TEAs to include all the essential
elements. The essential elements may be covered at different levels of detail depending
on what is appropriate for a particular state. There is also room for variation in content
(e.g., PPAs or TEAs that cover all programs or just a few programs), as well as in
organizational structure and format. In order to clarify the role of each party in carrying
out the PPA or TEA, to the extent possible, both state and EPA commitments should be
delineated.
By including the elements enumerated above, a PPA or TEA can become the unifying
agreement that sets out the relationship between EPA and the state or tribe and how they
expect to work together to implement the strategies for achieving the goals and objectives
in the agreement. While they can be consistent with PPGs, PPAs and TEAs are not
financial agreements and can cover issues and concerns of a wider range than PPGs. In
some instances, states and tribes can choose to have PPAs and TEAs function as
workplans.
3. Advance Performance Partnership principles through effective collaboration with
states on policy and implementation issues, ensuring that requests for flexibility and
innovation are addressed. Resolve any disagreements by making full use of the issue
resolution process to elevate issues up to and including the highest levels (i.e., RA, AA,
DA).
The NEPPS issue resolution process (which includes various informal and formal steps
culminating in a final decision by the Deputy Administrator) for raising and resolving
broad policy and implementation issues related to Performance Partnerships is outlined in
EPA's Best Practices Guide for Performance Partnership Grants? This is especially
appropriate in situations involving denial of a state's request for flexibility and innovation
in a PPG.
8 A direct link to the Guide can be found in the Highlights box on the NEPPS home page at
http://www.epa.gov/ocir/nepps/.
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4. Explain the value and benefits ofPPAs, PPGs and TEAs as tools for implementing
Performance Partnership principles within EPA and with states and tribes.
PPAs (which are discussed in Activity #2 above), PPGs and TEAs are valuable tools
enabling states and tribes to gain greater flexibility in how they use and manage the funds
they receive from EPA. PPGs and PPAs/TEAs serving as PPG workplans allow states
and tribes to achieve significant administrative efficiencies, direct resources where they
are needed most, implement strategies that cut across program boundaries, or try other
innovative solutions to environmental problems. Appendices A and B provide lists of
grant programs eligible for inclusion in state and tribal PPGs.
For instance, through PPGs, states and tribes can:
• use funds from one program area to address a budget shortfall in another, and
meet cost-share requirements by using overmatch from one program to cover the
match from another;
• hire temporary personnel, fund emergency activities such as hurricane response,
address permit backlogs, and support staff training and travel. The activities must
be fundable under one or more of the included grant programs;
• fund multi-media inspections and permitting, sector compliance/enforcement
initiatives, and data system improvements such as participating in the National
Environmental Data Exchange Network.9
5. Ensure that Executive Order (EO) 13175 on Consultation with Indian Tribal
Governments and the EPA May 2011 Policy on Consultation and Coordination with
Indian Tribes are appropriately applied to actions or decisions developed through the
NEPPS process.
EO 13175 specifies that each agency must have an accountable process to ensure
meaningful and timely input by tribal officials in the development of regulatory policies
that have tribal implications. One of the primary goals of EPA's Consultation Policy is to
fully implement the EO and the 1984 EPA Indian Policy, with the ultimate goal of
strengthening the consultation, coordination and partnership between tribal governments
and EPA. The Consultation Policy establishes national and institutional controls for
consultation across EPA. EPA program and regional offices have the primary
responsibility for consulting with tribes. The Consultation Policy is to be implemented
using existing EPA structures to the extent possible.
9 See http://www.epa.gov/ocir/nepps/speeches_publications.htm for more examples of how states have used
PPGs.
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6. Support state and tribal capacity by encouraging exploration of creative new ways to
partner with states and tribes that will augment the progress made through NEPPS.
The regions can:
• extend the Performance Partnership vision and goals to other agencies that receive
EPA funds in order to more fully leverage EPA's resources and those of other
agencies to address environmental priorities, such as agriculture and public health
agencies;
• assess the feasibility of developing other innovative, high-level joint agreements
that focus on specific environmental problems (e.g., climate change, agriculture,
mercury).
National Area of Focus II: Implement the Administrator's priorities through PPAs,
PPGs and other EPA-state and EPA-tribal agreements.
Activities
1. Children's Health: Use the NEPPS process to leverage funds and activities to
advance children's health.
Regional programs must ensure that policies, programs, activities, and standards address
disproportionate risks to children.
Opportunities to advance children's health issues include:
• sponsoring joint meetings with counterparts in state environmental departments
and health departments to facilitate coordinated actions to better protect children's
environmental health;
• developing region-wide strategies to focus on addressing critical children's health
issues within each region.
2. Environmental Justice10 (EJ): Work with states to advance environmental justice by
improving environmental conditions and public health in minority, low-income, tribal,
and other overburdened communities.
Regional programs should work with states and tribes to advance policies, programs and
activities that address risks to minority, low-income, tribal, and other overburdened
communities.
10 See: http://www.epa.gov/compliance/environmentaljustice/index.html.
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Opportunities to advance EJ include:
• developing region-wide strategies through joint meetings with state and tribal
counterparts to focus on addressing critical environmental justice issues, e.g., lead
poisoning, asthma, air and water pollution from CAFOs, and multiple or
cumulative exposures to air pollution;
• identifying specific state and tribal EJ needs, concerns and resources associated
with specific programs;
• collaborating, networking and partnering with states and tribes through EJ
coordinators and/or appropriate program contacts to share resources;
• implementing regional plans to support enhanced meaningful engagement by
overburdened communities for priority EPA-issued permits; and
• supporting community involvement through community engagement initiatives.
Regional programs should incorporate EJ considerations, and develop measurements
where feasible, into their stated evaluation criteria and reflect those considerations in the
terms and conditions of the grant award, as appropriate.11
Examples of key activities that can be incorporated and evaluated to ensure integration of
environmental justice principles include, but are not limited to:
• identifying communities with EJ concerns and vulnerable populations that may be
disproportionately impacted by environmental burdens and/or experiencing
adverse health impacts;
• sharing and developing resources, tools, and data, for monitoring and tracking of
successes;
• providing training within programs and tribal agreements, workplans guided by
NEPPS goals and objectives that lead to an understanding of expectations and
effective implementation that foster best practices;
• identifying clear performance expectations, commitments on targeting inspections
where disproportionately high and adverse human health or environmental effects
have been noted; and
• providing opportunities for enhanced public participation, consideration of limited
English proficiency or immigrant, traditional or cultural needs, and ensuring early
engagement, meaningful participation and information exchange.
In order to identify barriers that may impede or limit the development of effective
partnerships with states and tribes, regions are urged to take advantage of the
opportunities mentioned above to ensure that the most vulnerable of populations/areas
receive appropriate resources and adequate attention.
11 PlanEJ 2014 Legal Tools, p. 92, Section B. See:
http://www.epa.gov/environmentaljustice/resources/policv/plan-ej-2014/ej-legal-tools.pdf.
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To the extent applicable, the Agency:
• will pilot and share best practices and resources with states and tribes in order to
bridge gaps, maintain transparency, provide support and partnerships where there
are limited resources;
• encourage states and tribes to share appropriate tools, guidance, traditional
knowledge and good neighbor practices that will contribute to improved public
health in minority, low-income and other overburdened communities.
3. Strategically use the NEPPSprocess to organize and articulate mutual compliance
and enforcement (C/E) priorities, and ensure they are aligned with commitments in
PPGs and other categorical grant workplans.
The annual planning process with states for C/E is an integral part of EPA-state planning,
and should reflect the shared accountability of EPA and states in protecting the
environment and public health. Historically, C/E has not been consistently included in
the NEPPS planning process. EPA-state C/E commitments were often developed through
a different process and memorialized in separate agreements or workplans. During the
last 5-10 years, a number of regions and states have included C/E plans and priorities in
strategic PPAs and linked them to commitments in PPGs and individual state
grant agreements. Therefore, as a best practice, regions are encouraged to organize and
articulate C/E priorities and commitments through the NEPPS process to achieve more
comprehensive, integrated and flexible work planning, especially during this time of
scarce resources and state budgetary constraints.
For example:
• enforcement topics should be incorporated into the overall programmatic
discussions about priorities, resources and annual commitments in developing
PPGs, categorical grant workplans, and PPAs serving as grant workplans;
• national, regional and state enforcement priorities should be discussed with the
goal of identifying the most significant sources and the most serious violations;
• regions and states should consider all available options for addressing the most
important work within the available resources, including worksharing, innovative
approaches, as well as traditional compliance and enforcement tools;
• grant workplans should include a clear identification of performance expectations,
commitments on targeting, inspection coverage based on the various media
Compliance Monitoring Strategies and the flexibilities within each, and the need
for timely and appropriate enforcement on the most serious violations at
significant sources;
• annual commitments should also include corrective actions that have been
identified in programmatic reviews as well as the State Review Framework;
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• EPA and states should discuss and identify new approaches for monitoring
compliance and addressing less serious violations that do not directly impact the
environment or public health.
4. The regions are encouraged to advance the principles of sustainability through their
partnerships with the states and tribes, integrating them into their PPAs, PPGs and
other categorical grant workplans, as appropriate, and utilizing the EPA Sustainability
Action Plan (to be published in Spring 2013) as a practical tool and guide.
One of the Administrator's priorities is to develop a comprehensive plan for
incorporating principles of sustainability into EPA's core programs and functions. A draft
EPA Sustainability Action Plan has been developed (and expected to be finalized in
Spring 2013) which contains four major categories of actions: take steps necessary to
begin culture change (includes training, leading by example); build stronger relationships
with stakeholders (includes the public and private sectors, states); further integrate
sustainability into EPA's core functions (including grants, regulatory and non-regulatory
activities); develop better science, tools and methods.
National Area of Focus III: Foster programmatically sound and fiscally responsible
PPG management practices.
Activities
^M
1. Ensure that state and tribal PPGs are managed in a manner that is consistent with
the budget, workplan and progress reporting requirements of 40 CFR 35, Subparts A
andB.
Recent concerns have been raised by PPG recipients about requests from EPA for
additional budget information and progress reporting for individual grants included in a
PPG that are inconsistent with the workplan and funding requirements of 40 CFR 35. The
ability of a state or tribe to combine up to 18 grants in a single PPG provides
administrative benefits that include streamlined paperwork and accounting procedures. It
is important to note that once grants are combined in a PPG, funds do not have to be
tracked by the original program source. In general, 40 CFR Part 35 only requires one
budget, financial status report and a negotiated workplan that incorporates commitments
for each workplan component funded by the PPG. For most grants included in a PPG, an
annual performance report is required, but for some grants a semi-annual performance
report is required. However, regions may require more frequent performance reports (not
to exceed quarterly reporting) only where agreed to by a state or tribe or where there are
performance issues, such as Agency concerns with the timely and appropriate
expenditure of funds.
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2. Implement Grants Policy Issuance 12-06: Timely Obligation, Award and Expenditure
of EPA Grant Funds.
Grants Policy Issuance (GPI) 12-06: Timely Obligation, Award and Expenditure of EPA
Grant Funds12 was developed by a state-EPA workgroup and became effective on
October 1, 2012. The GPI is designed to promote timely and efficient award/utilization of
grant funds.
Major provisions include:
• a goal to obligate all grant funds in the first year of availability;
• a new evaluation factor and provisions for anticipatory announcements for grant
competitions;
• state grant streamlining principles and requirements for negotiating outlay
strategies;
• additional limits on project period extensions; and
• CWA Section 319-specific and SRF-specific streamlining reforms.
The GPI also includes language on streamlining the grants process through the use of
standard funding recommendation templates and states, in part:
o Regional Program Offices are expected to use standard Funding
Recommendations (FRs) developed by OGD and NPMs. [Emphasis
added.] These FRs will pre-populate key fields, reducing the time for data
entry by Project Officers. Once the FR is created for the grant through the
template, the Project Officer may make any necessary project-specific
changes. The OGD Director will issue implementing guidance to Regional
Project Officers on the standard FR system.
A PPG Funding Recommendation Template has been finalized and activated, and must
be filled out for PPGs developed after October 1, 2012. OCIR, as the NPM for PPGs, has
streamlined the responses to two questions and included additional guidance directly
within the PPG Funding Recommendation Template in order to assist PPG project
officers.
3. Implement Grants Policy Issuance 09-01: Burden Reduction for State Grants.
Grants Policy Issuance (GPI) 09-01: Burden Reduction for State Grants1^1 codifies and
summarizes actions EPA has taken to address major grant-related issues identified under
12 See:
http://www.epa.gov/ogd/grants/final gpi 12 06 streamlining state grant and expediting outlavs.pdf.
13 See: http://intranet.epa.gov/OGD/policv/GPI 09-01 final.pdf.
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the Agency's State Reporting Burden Reduction Initiative. Section C. 2, in particular,
applies to the reporting frequency of each program included in a PPG. Regions are
encouraged to incorporate adopted burden reduction efforts as widely as possible. EPA is
working on a similar policy for assistance agreements with tribal governments and
consortia.
4. Implement Grants Policy Issuance 11-03: State Grant Workplans and Progress
Reports; project officers must enter workplans and progress reports in the State Grant
IT Application (SGITA) database.
Grants Policy Issuance (GPI) 11-03: State Grant Workplans and Progress Reports14 is
designed to: 1) enhance accountability for achieving grant performance objectives; 2)
ensure that state grants are aligned with the EPA's Strategic Plan; and 3) provide for
more consistent performance reporting. To achieve these objectives, the GPI requires that
workplans and associated progress reports prominently display three Essential Elements:
the EPA Strategic Plan Goal; the EPA Strategic Plan Objective; and Workplan
Commitments plus time frame. The GPI applies to the fourteen state grant programs and
in no way supersedes existing workplan requirements in 40 CFR Part 35 Subpart A. The
effective date of the GPI is October 1, 2012.
To further transparency, the GPI established the State Grant IT Application (SGITA)15
database to electronically store workplans and progress reports. It is the responsibility of
the EPA Project Officer to enter the workplans and progress reports into the database.
5. Implement Grants Policy Issuance 11-01: Managing Unliquidated Obligations and
Ensuring Progress under EPA Assistance Agreements.16
Grants Policy Issuance (GPI) 11-01: Managing Unliquidated Obligations and Ensuring
Progress under EPA Assistance Agreements became effective in FY 2011 and addresses
the Office of Inspector General's (OIG) concerns about the necessity of internal controls
to identify and deobligate unneeded assistance agreement funds, or to prevent
unwarranted accumulations of unliquidated obligations. The policy also addresses the
Agency's responsibilities under the Federal Managers' Financial Integrity Act (FMFIA)
and EPA Order 5700.6 A2 CHG 2, Policy on Compliance, Review and Monitoring by
including provisions that highlight the need for timely project/program completion and
monitoring of unliquidated obligations. The policy includes limits on project periods,
development of indicators to assess the effectiveness of funds utilization, requirements
for workplan milestones and delivery dates, and "sufficient progress" terms and
conditions.
14 See: http://www.epa.gov/ogd/grants/final grants_policv issuance 11 03 State Grant_Workplans.pdf.
15 See: https://ofmext.epa.gov/apex/sgita/f?p=SGITA:Home.
16 See: http://intranet.epa.gov/OGD/policv/gpi 11 01 12 02 10 final.pdf
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Given the tight budget climate, effective management of ULOs is a high priority for the
Agency and OGD will be working closely with the states to implement the ULO reforms.
It is important for the regions to implement GPI-11-01 for effective management of grant
ULOs.
Regions and states should also ensure that PPG funds are efficiently utilized to
accomplish priority environmental activities identified in grant workplans. The PPG
NPM, OCIR, in coordination with the media program NPMs, Regional Program Offices
and OGD, has developed a PPG-specific "sufficient progress" term and condition to be
included in new assistance agreements awarded on or after December 1, 2010. The PPG-
specific term and condition states that:
o EPA may terminate the assistance agreement for failure to make sufficient
progress so as to reasonably ensure completion of the project within the
project period, including any extensions. EPA will measure sufficient
progress by examining the performance required under the workplan in
conjunction with the milestone schedule, the time remaining for
performance within the project period, and/or the availability of funds
necessary to complete the project.
6. Ensure compliance with Title VI of the Civil Rights Act of 1964 in the
implementation of state grants.
It is a priority of the Agency to ensure compliance with Title VI of the Civil Rights Act
of 1964 (see: http://www.epa.gov/civilrights/t61awrg.htm). This statute prohibits
discrimination based on race, color, and national origin, including limited English
proficiency (LEP), by entities receiving federal financial assistance. All recipients of
EPA financial assistance have an affirmative obligation to implement effective Title VI
compliance programs and ensure that their actions do not involve discriminatory
treatment and do not have discriminatory effects even when facially neutral.
• As required by implementing EPA regulations at 40 C.F.R. Part 7, EPA applicants
must complete EPA Form 4700-4 to demonstrate compliance with Title VI and
other non discrimination statutes and regulations. See:
http://www.epa.gov/ogd/forms/adobe/4700-4 sec.pdf. The regulations also
impose specific obligations on grant recipients, including providing compliance
information, establishing grievance procedures, designating a Title VI
Coordinator, and providing notices of non-discrimination. See:
http://www.epa.gov/civilrights/docs/40p0007.pdf.
• Title VI requires EPA financial assistance recipients to provide meaningful access
to LEP individuals. To implement that requirement, and consistent with Executive
Order 13166, http://www.epa.gov/civilrights/docs/eol3166.pdf, the Office of
16
NEPPS National Guidance FY 2014
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Civil Rights (OCR) issued guidance to recipients entitled, "Guidance to
Environmental Protection Agency Financial Assistance Recipients Regarding
Title VI Prohibition Against National Origin Discrimination Affecting Limited
English Proficient Persons. "See: http://frwebgate.access.gpo.gov/cgi-
bin/getdoc. cgi?dbname =2004 register&docid=fr25in04-79.pdf.
• The regions should encourage the states to consider enhanced public participation.
To help states develop public involvement programs, OCR published a Title VI
Public Involvement Guidance for EPA Assistance Recipients Administering
Environmental Permitting Programs, http://edocket.access.gpo.gov/2006/pdf/06-
2691.pdf.
• EPA continues to develop a more robust Title VI compliance program, which will
likely include revisions to Form 4700-4 (pre-award assurances) and amendments
to EPA's Title VI regulations to strengthen post-award reviews. Until then,
recipients should be prepared to show that they are implementing effective
compliance programs or to otherwise demonstrate compliance with Title VI
obligations.
17
NEPPS National Guidance FY 2014
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APPENDIX A
GRANT PROGRAMS ELIGIBLE FOR STATE PPGs
Grant Program
Air Pollution Control - CAA 105
Radon Assessment and Mitigation - TSCA 306
Water Pollution Control - CWA 106
Water Nonpoint Source Implementation - CWA 319
Wetlands Development Grants Program - CWA
104(b)3 (competitive)
Public Water System Supervision - SDWA 1443(a)
Underground Injection Control - SDWA 1443(b)
Hazardous Waste Management - SWDA 301 1 (a)
Brownfields Response - CERCLA 128(a)* ^^^
Pesticides Program Implementation - FIFRA 23(a)l
Lead-Based Paint Activities - TSCA 404(g)
Toxic Substances Compliance Monitoring - TSCA
Pesticides Cooperative Enforcement - FIFRA 23 (a) 1
Environmental Information Exchange Network* -
Authority in EPA Appropriations Acts
Pollution Prevention Initiatives - PPA 6605
(competitive)
Pesticide Applicator Certification and Training
Indian Environmental General Assistance Program
State Underground Storage Tanks
Required State Match
Greater of MOE or 40%**
50%
MOE
40%
25%
25%
25%
25%
0%
0%
"^^ 0%
25%
0%
0%
50%
50%
0%
25%
* Program added to list of grants eligible for PPGs after publication of the Part 35 rule.
**MOE = Maintenance of Effort level
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APPENDIX B
GRANT PROGRAMS ELIGIBLE FOR TRIBAL PPGs
EPA Program
Indian Environmental General Assistance
Program (GAP)
Air Pollution Control - CAA 105 -
Not TAS Eligible
TAS Eligible
Water Pollution Control - CWA 106 & 518
Water Quality Cooperative Agreements
104(b)(3)
Wetland Development 104(b)(3)
Nonpoint Source Management - CWA
319(h)&518(f)
Pesticide Cooperative Enforcement Sect.
23(a)(l)
Pesticide Applicator Certification & Training
- Sect. 23(a)(2)
Pesticide Program Implementation Sect.
23(a)(l) ^
Pollution Prevention - Sect. 6605
Public Water System Supervision
Sect. 1443(a)& Sect. 1451
Underground Water Source Protection -
Sect. 1443 (a)
Lead-based Paint Program - Sect.404(g)
Indoor Radon - Sect. 306
Toxic Substances Compliance Monitoring -
Sect. 28
Hazardous Waste Management Program -
Public Law 105-276
Underground Storage Tanks Program -
Public Law 105-276
Tribal Response Program - CERCLA Sect
128(a)
Maximum Match Percent
0
40
10 (after 2-years)
5
0
25
40
0
50
0
50
25
25
0
40 - 2nd Year
50 -3rd Year
25
0
0
0
Minimum Match Percent
0
40
5*
5*
0
25
10
0
50
0
50
10
10
0
25 -1st Year
25
0
0
0
*The rules that control EPA grants to Tribes, including PPGs, are codified under 40 CFR Part 35 B. For both the Tribal Air
Rules and the Performance Partnership Grant Rule, Tribes are required to provide a cost share. Tribal match would be
established at 5 percent for the first two years of a grant, which then would be increased to 10 percent contingent upon a Tribe's
ability to meet socio-economic criteria. The cost share could also be waived at EPA's discretion, or reduced based on socio-
economic criteria (see 40 CFR Parts 35.536 and 35.515).
"For these programs, the Regional Administrator may increase the maximum federal share if the Tribe or Intertribal
Consortium can demonstrate in writing that fiscal circumstances within the Tribe or within the member Tribes of the Intertribal
Consortium are constrained to such an extent that fulfilling the match requirement would impose undue hardship.
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APPENDIX C
KEY CONTACTS
Contact Name Subject Area Phone Email
Michael Osinski
Reynold Meni
Denise Ney
Jennifer Hublar
Laurice Jones
Performance
Partnerships
Performance
Partnerships
Worksharing
Grants policy
Grants policy
564-3792
564-3669
564-3684
564-5294
564-0223
Osinski. Mi chael(3)epa.sov
Meni .Revnold(3)epa. sov
Nev.Denise(3)epa.sov
Hublar. Jenniferfoiepa. sov
Jones.Laurice(3)epa.sov
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APPENDIX D
EXPLANATION OF CHANGES BETWEEN FY 2013 AND FY 2014
Office of Congressional and Intergovernmental Relations
Change from FY 2013 Guidance Document
National Area
of Focus I
Deleted former Objective 3 on EPA-state
business process improvements (e.g., LEAN,
Kaizen, VSM) which was in Goal I (now National
Area of Focus I).
Reason for Change
Unnecessary to include language on business
process improvements in NEPPS Guidance as
these initiatives are taking place through other
EPA mechanisms.
Affected Pages and Sections
Objective 3 on p. 9 in FY 2013
Guidance
National Area
of Focus I
Added Activity #1 with performance measure
and guidance on worksharing.
Change is in response to a new KPI in the FY
2013 Action Plan for Strategy 4 to identify and
implement worksharing implementation
targets.
- Activity #1 on p. 5
- Performance measure for
Activity #1 on p. 6
National Area
of Focus I
Added Activity #5 on implementing EO 13175
and EPA's Policy on Consultation and
Coordination with Indian Tribes
Change is in response to comments from
OITA/AIEO.
Activity #5 on p. 9
National Area
of Focus II
Added Activity #4 on advancing the principles of
sustainability.
Change is in response to one of the
Administrator's priorities and a forthcoming
(Spring 2013) Agency initiative: the EPA
Sustainability Action Plan.
Activity #4 on p. 13
National Area
of Focus III
Added Activity #2 on implementing GPI 12-06.
Change is in response to GPI 12-06 which
became effective 10/1/2012.
Activity #2 on p. 14
National Area
of Focus III
In Activity #4, added State Grant IT Application
database requirement for project officers.
Change is in response to GPI 11-03 which
became effective 10/1/2012.
Activity #4 on p. 15
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Program-
Specific
Guidance
Annual
Commitment
Measures
Tracking
Process
Contact
Information
N/A
N/A
N/A
Reynold Meni, AO/OCIR
Meni.Revnold@epa.gov or 202-564-3669
N/A
N/A
N/A
N/A
N/A
N/A
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