FY 2016-2017
OCFO's Technical
Guidance: FY2016-
2 017 National
Program Manager
Guidance and
Annual Commitment
Process
Office of the Chief Financial Officer
U.S. EPA
Publication # 190B14002
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OCFO'S TECHNICAL GUIDANCE:
FY 2016-2017 NATIONAL PROGRAM MANAGER GUIDANCE & ANNUAL COMMITMENT PROCESS
October 27, 2014
Table of Contents
I. INTRODUCTION 2
II. GUIDELINES FOR DEVELOPING FY 2016-2017 NPM GUIDANCES 3
III. GUIDELINES FOR DEVELOPING FY 2016 OPERATIONAL MEASURES AND REGIONAL
COMMITMENTS 5
IV. REPORTING AND DEVELOPING ANNUAL COMMITMENTS 6
V. STREAMLINING GRANTS MANAGEMENT 8
VI. COMPLIANCE WITH TITLE VI OF THE CIVIL RIGHTS ACT OF 1964 AND 40 CFR PARTS 5
AND 7 9
VII. EPA'S OVERVIEW TO NPM GUIDANCES 9
VIII. KEY MILESTONES 10
IX. KEY CONTACTS 11
X. FORMAT REQUIREMENTS 12
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I. INTRODUCTION
The National Program Manager (NPM) Guidances set forth the strategies and actions the EPA and its
state and tribal partners will undertake to protect human health and the environment. The NPM
Guidances and grant guidances provide the linkage from the FY2014-2018 EPA Strategic Plan and
annual budget by providing implementation direction to EPA regions, states and tribes. Taken together,
the NPM Guidances serve as a national framework for regions to use as they tailor their approaches and
strategies for engaging with states and tribes through the National Environmental Performance
Partnership System (NEPPS) and grant work plan negotiations.
Beginning with FY 2016-2017, the EPA will implement a new two-year cycle for the NPM Guidance
process, which was developed collaboratively with our state partners. The EPA initiated this effort to
advance Launching a New Era of State, Local, Tribal, and International Partnerships, a cross-agency
strategy in the FY2014-2018 EPA Strategic Plan. The Deputy Administrator's December 9, 2013
memorandum, called upon the EPA, states and tribes to rethink and change some of our practices and
processes; reinvigorate our relationship with states by making NEPPS more effective in defining
mutually supportive roles and responsibilities and strengthen support for flexibility, innovation, and
efficiency in carrying out our shared responsibilities; and develop clearly defined processes to reach
agreement, and how to achieve them, on national priorities for protecting the environment and human
health.
To advance the Agency's call for greater collaboration, in March 2014, the Office of the Chief Financial
Officer (OCFO) and the Office of Congressional and Intergovernmental Relations (OCIR) established a
steering committee that included the EPA's Director of the American Indian Environmental Office
(AIEO) and the Environmental Council of the States (ECOS) Planning Committee Chair. The steering
committee convened the NPM Guidance/NEPPS Workgroup; comprised of state, tribal, regional, and
headquarters representatives; to develop a new two-year process and clarify the relationship to state
and tribal grants, including Performance Partnership Agreements (PPAs) and Performance Partnership
Grants (PPGs). Specifically, the workgroup's focus was to: 1) strengthen early, more meaningful state
and tribal engagement; and 2) increase flexibilities for EPA regions, states, and tribes while streamlining
the workload associated with joint planning activities.
The workgroup effort resulted in the following key changes:
> Earlier and more meaningful state and tribal engagement in joint priority-setting - Established
principles and a schedule for EPA engagement with states and tribes to jointly identify the most
important areas of work for protecting the environment and human health; written summaries will
capture areas as a basis to inform development of the NPM Guidances.
> Clear and transparent support for flexibility within the NPM Guidances - Clearly articulated support of
EPA, states, and tribes to pursue flexibilities that advance the most important environmental and
human health work, as appropriate, and to the extent possible; and guidelines for seeking approval
where flexibility is requested.
> Better alignment of NPM and Grant Guidances - Support for aligning NPM and grant guidances to
minimize workload for regions, states, and tribes; including agreement for issuing selected grant
guidances on the same two-year cycle as the NPM Guidances, to the extent possible.
> Earlier and more meaningful state and tribal engagement in commitment-setting - Proactive dialogue
with states and tribes to develop draft regional commitments, aligned to the extent possible with
grant work planning.
This technical guidance provides the NPMs with the specific details, deliverables, and milestones to
guide development of their individual NPM Guidances. It also incorporates Lean recommendations
implemented for FY 2014 to streamline the NPM Guidances, including a common formatto increase
transparency and facilitate review and use of the documents.
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II. GUIDELINES FOR DEVELOPING FY 2016-2017 NPM GUIDANCES
This section includes the guidelines to NPMs for developing their individual Guidances. The guidelines
cover two areas: 1) earlier engagement with states and tribes on identifying priorities, including cross-
program coordination, and incorporating flexibilities; and 2) internal and external reviews and
increased use of collaboration tools. The format requirements are found in Section X.
1. Early Engagement with States and Tribes to Frame Guidance Development
A key change stemming from the NPM Guidance/NEPPS Workgroup is early engagement with states
and tribes on joint priority-setting, which occurs during a consistent timeframe and results in
written summaries to inform development of NPM Guidances.
a. Process for Early Engagement:
> NPM-Specific Input:
From June - October 2014, NPMs and regions engaged collaboratively with states and
tribes early in the NPM Guidance development process to identify the most important areas
of focus for protecting the environment and human health. NPMs and regions have flexibility
in how engagement on priorities is initiated (e.g., states/tribes propose priorities; NPMs
provide straw list; priorities are jointly developed; etc.). By June 30, 2014, NPMs developed
one-page timelines/planned approaches based on the options listed below, and these were
posted on the NPM Guidance website.
o Use existing and newly identified NPM and regional opportunities for soliciting
state/tribal input and proposed priorities (e.g., states/tribes propose priorities to
regions, who provide priorities to NPMs; use the Lead Region system1 to coordinate flow
of state/tribal input).
o Implement a combination of NPM- and regional-driven requests for input
o NPMs will engage with national associations (e.g., National Tribal Caucus, Environmental
Council of the States, National Association of State Departments of Agriculture, American
Association of Pesticide Control Officials), media-specific state associations, the National
Tribal Operations Committee, the Regional Tribal Operations Committee, and
Tribal/NPM and Tribal/Regional workgroups to get both "big picture" and more detailed
media-specific perspectives (e.g., setting specific expectations, goals, commitments).
o NPMs will encourage use of a template for capturing state and tribal input, as
appropriate.
> Cross-Program Coordination:
Through the early engagement mechanisms for NPM-specific input, states and tribes may
identify topics/priorities of interest that involve more than one NPM. States and tribes may
raise these cross-program issues to the designated NPM leads for air, water, waste,
pesticides/toxics, enforcement, and/or tribal programs.
o Within EPA, there are designated NPM leads for air, water, waste, pesticides/toxics,
enforcement, and tribal programs. "Cross-program coordination" refers to coordination
on topics/priorities of interest to EPA, states, and/or tribes that involve more than one
NPM.
o States and tribes can raise cross-program topics through the engagement mechanisms
for NPM-specific input identified above.
o If an NPM receives state or tribal input on a topic that involves another EPA office, the
NPM will share that input in a timely manner with the other respective EPA office for
1 The purpose of the "Lead Region" system is to ensure the quality of agency decisions by providing an organized,
consistent and effective regional role in all the major phases of Agency decision-making. EPA Regional offices assigned as
Lead Regions are responsible for working with their respective NPMs to identify and synthesize the concerns of all ten
regions into a "regional view" that can be effectively factored into Agency decision-making. NPMs are responsible for
soliciting and incorporating input from their Lead Regions on major policy, regulatory and resource decisions. For more
information, visit: http://www2.epa.gov/aboutepa/lead-region-process.
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discussion and with states/tribes, as appropriate. The designated agency lead for the
program will take the lead for the follow up.
o OCFO will continue to lead the agency-wide process for soliciting input on the cross-
cutting themes discussed in the FY2014-2018 EPA Strategic Plan (i.e. Environmental
Justice, Children's Health, etc.).
> By October 31, 2014, each NPM will prepare a written summary that describes both the
early engagement process that was followed to obtain input from states and tribes and the
results, including both NPM-specific and cross-program topics. This summary will inform
development of the national areas of focus and program-specific guidance sections of the
draft NPM Guidances.
> Consultation and Coordination Process with Federally Recognized Tribes:
In July 2014, OCFO sent consultation notification letters to all federally recognized tribes to
provide both an overarching opportunity for early input from tribes on draft FY 2016-2017
NPM Guidance development and consultation on the draft NPM Guidances. This consultation
opportunity complements efforts by NPMs seeking early input from their tribal partners.
OCFO also provided outreach materials to clarify the relationship of the NPM Guidance
process with other agency planning and budget processes. These materials are available on
the agency's Tribal Consultation Opportunities website:
http://yosemite.epa.gov/oita/TConsultation. nsf/TC?OpenView.
b. Developing National Areas of Focus and Program-Specific Guidance:
Based upon their earlier engagement with states and tribes, NPMs will identify FY 2016-2017
national areas of focus and develop program-specific guidance, including measures. NPMs
should:
> Consider state and tribal input on the most important areas of environmental and human
health work (referring to October 31 written summaries).
> Review the FY2014-2018 EPA Strategic Plan and long-term vision, including its five strategic
goals (along with objectives, measures, and strategies) and four cross-agency strategies
(CAS).
> Translate decisions made in EPA's FY2016 Annual Plan and Budget into operational
strategies and measures to guide regional implementation with states and tribes.
> Consider applicable tasks and action items from the FY 2015 CAS Action Plans (available at
http://workplace.epa.gov/realizingoneepa/): and the six FY 2014-2015 Agency Priority
Goals (APGs) and Action Plans, as appropriate (APG information is available on
Performance.gov). These serve as a foundation for the FY 2016 CAS Action Plans and next
round of FY 2016-2017 APGs.
> Work with Lead Regions, as appropriate, to facilitate the dissemination of information and
engagement efforts.
> Describe how input received from states and tribes during the early engagement process
informed priority-setting and NPM Guidance development.
c. Incorporating Flexibility:
Complementing the early engagement and input from states and tribes, the FY 2016-2017 NPM
Guidances will clearly articulate support for EPA, states, and tribes to pursue flexibilities that
advance the most important environmental and human health work, as appropriate, and to the
extent possible. In this era of flat or declining resources, it is important for the EPA to work with
states and tribes to streamline the workload and leverage resources to more efficiently meet our
collective mission to protect human health and the environment. To highlight the importance of
flexibility, NPM Guidances will include the following:
> Language in the Introduction that affirms and articulates the intent to address flexibility
issues within identified parameters and using available agency processes.
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> Language on parameters for flexibilities in sections on National Areas of Focus and Program-
Specific Guidance, as appropriate.
> Guidelines for seeking approval for flexibilities and elevating issues, as needed.
2. Reviews and Tools
a. Internal Agency Review:
An internal agency review period in January 2015 will allow agency-wide review of the draft
NPM Guidances prior to the external comment period. This provides an additional opportunity to
examine cross-program areas and ensure consistent expectations. NPMs should consider and
incorporate agency comments, as appropriate. The draft NPM Guidances will be posted on the
NPM Guidance SharePoint Site [https://usepa.sharepointcom/sites/OCFO Work/ npmguidance).
along with the Internal Comments Template.
b. External Review:
As in past years, OCFO will post the draft FY 2016-2017 NPM Guidances to OCFO's NPM Guidance
website to facilitate comments from external partners and stakeholders. States, tribes, and other
partners and stakeholders may submit comments from February - March 2015 to the EPA using
the External Comments and Response to Comments Summary template. During this external
comment period, the EPA will engage with states, tribes, and other external stakeholders to
discuss key changes from the FY 2014 NPM Guidances and FY 2015 Addendums, as compared to
the FY 2016-2017 NPM Guidances. A national teleconference for tribes will be held during the
external comment period to provide an overview of the process for commenting on the draft FY
2016-2017 NPM Guidances and discuss key changes that may affect tribes. NPMs will respond to
comments and incorporate changes, as warranted, into the final FY 2016-2017 NPM Guidances,
which will be posted on the NPM Guidance website.
c. Increased Use of Collaboration Tools:
The new NPM Guidance SharePoint Site [https://usepa.sharepoint.com/sites/OCFO Work/
npmguidance] will include the templates and other associated information in this technical
guidance. EPA users will have access to these documents and can log in using Internet Explorer
and entering their EPA email address (a password is not required). In addition, NPMs and regions
should consider using existing collaboration tools (e.g., SharePoint, Adobe Connect, and MAX.gov]
and any available My Workplace collaboration tools for NPM Guidance development, as
appropriate. For more information on using SharePoint, visit:
http://workplace.epa.gov/collaborationtrainingsharepointhtml.
III. GUIDELINES FOR DEVELOPING FY 2016 OPERATIONAL MEASURES AND REGIONAL
COMMITMENTS
NPM Guidances govern the establishment of operational measures, many of which correspond with
annual budget measures. NPMs, along with regions, states, and tribes, should review the FY 2015
operational measures carefully and consider any changes in order to identify the smallest, most
meaningful set of measures to assess and communicate performance results. Regions should solicit
input from states and tribes in developing draft and negotiating final commitments that reflect the
jointly identified most important areas of focus for protecting the environment and human health,
where appropriate. NPMs and regions should adhere to the following guidelines when developing FY
2016 operational measures and commitments:
1. Establishing FY 2016 Operational Measures:
Most NPMs will use the FY 2015 operational measures as the starting point for FY 2016 operational
measures. Prior to issuance of the draft FY 2016-2017 NPM Guidances or during the external review,
NPMs should seek input from states and tribes as well as consider programmatic or budget changes
in making adjustments to FY 2016 operational measures.
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If measures are revised or new measures are added, NPMs should adhere to the performance
measures guidelines and OCFO's Phase I and II supplemental guidance documents, which are
designed to improve the quality and consistency of measures, data, and supporting information in
the EPA's Annual Commitment System (ACS). In addition, any measure changes should align with FY
2016 budget measures and strategic measures in the FY2014-2018 EPA Strategic Plan and be
reflected in the Measures Appendix.
Additionally, FY 2016 planning targets for operational measures generally should not be less
ambitious than FY 2014 actual results or final FY 2015 regional commitments, unless there is a
compelling reason (e.g., resource constraints). For cumulative measures, FY 2016 targets and
commitments should be more ambitious than the FY 2015 end-of-year results.
Earlier and More Meaningful Engagement with States and Tribes on Commitment-Setting:
Beginning in March 2015, regions should engage proactively with states and tribes to get their
input to inform development of draft regional commitments. To the extent possible, regions should
align the early engagement on commitment-setting with the early engagement with states and tribes
on grant work plan negotiations.
Draft regional commitments should reflect input from states and tribes, as appropriate, and be the
basis for beginning negotiations with NPMs. During the NPM/regional negotiations, regions should
continue to engage with states and tribes and encourage comments on draft commitments before
reaching agreement with NPMs on final performance commitments. Regions should ensure DRAs
remain informed throughout the negotiation process and that negotiations on final bids have fully
considered cross-program impacts and input from states and tribes.
IV. REPORTING AND DEVELOPING ANNUAL COMMITMENTS
Once the FY 2016 operational measures are established and any necessary adjustments to FY 2015
operational measures are made to reflect NPM, regional, state and tribal input; the EPA will use the
Annual Commitment System (ACS) to track annual headquarters and regional performance information
and results. While the EPA has the responsibility for ACS data entry and reporting, NPMs and regions
should consider input from states and tribes to inform development of draft and final FY2016 regional
commitments. A user manual and instructions for entering information in ACS can be found here:
http://intranetepa.gov/ocfo/acs. OCFO encourages the Agency to use EPA's Performance Dashboard to
analyze and evaluate performance information tracked in ACS.
1. Reporting FY 2015 Results:
NPMs and regions should report mid- and end-of-year progress and raise performance issues
and/or explain differences between the commitment and actual performance result using the
"Explanation" field on the "Results" screen in ACS.
a. Mid-Year FY 2015 Reporting: In March 2015, OCFO will include more detailed instructions on
mid-year reporting in its FY2015 Mid-Year Performance Reporting and Analysis Guidance. From
April - May 2015, NPMs and regions will enter FY 2015 mid-year results data in ACS.
b. Mid-Year FY 2015 Commitment Adjustments: OCFO emphasizes that mid-year commitment
adjustments are not a re-opening of the FY 2015 bidding process. Adjustments are warranted on
an exception-only basis. There are many valid reasons for missing a commitment (which can be
explained at end-of-year), but mid-year adjustments should not be made to ensure a
commitment is achieved.
OCFO will open ACS for a two-week period in late May 2015. At that time, NPMs and regions
can make mid-year adjustments, in those limited cases where both the NPM and region believe it is
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significant and critical to make the adjustment. Commitment adjustments for FY 2015
operational measures associated with the budget (i.e.. budget measure targets) are not
allowed. The exception would be if the adjustment aligns the commitment with the budget
target following OMB approval of FY 2015 target changes after the commitment was finalized.
NPMs will work with regions on the proposed commitment adjustments. Changes will be kept to
a minimum and will require NPMs to submit a description of the change and a rationale to OCFO
[vincentmarc@epa.gov and mahanta.benita@epa.gov]. NPMs will also be responsible for
entering the mid-year target adjustments in ACS and document using the Mid-Year Adjustments
for FY 2015 Commitments Template.
c. End-of-Year FY 2015 Reporting: In September 2015, OCFO will include more detailed
instructions on end-of-year reporting in the FY2015 End-of-Year Performance Reporting and
Analysis Guidance. Starting in October 2015, NPMs and regions will enter FY 2015 end-of-year
results in ACS. Similar to the bidding process (discussed below), regions are required to enter
end-of-year performance information for states and tribes in ACS for applicable measures.
Establishing FY 2016 Commitments:
Once OCFO posts the final FY 2016-2017 NPM Guidances to the NPM Guidance website in April
2015, NPMs will finalize operational measure language in ACS, which should reflect consideration of
state and tribal input, as appropriate. Through October 2015, NPMs and regions will engage with
state and tribes and negotiate regional commitments, as supported by the "Bidding" function in ACS.
a. Entering FY 2016 Annual Commitment Measures: In December 2014, OCFO will copy FY
2015 annual commitment measure codes and assignments, text, and additional information in
ACS to use as draft FY 2016 measures.
NPMs should adjust the draft FY 2016 measures (e.g., edit, delete or add measures) to reflect any
changes from FY 2015, consideration of state and tribal input and be consistent with EPA's FY
2016 Annual Plan and Budget. NPMs and regions should follow OCFO's Guidances on Measures
Governance to ensure accurate and high-quality data for each measure. NPMs have until April
2015 (or one week after the release of the final NPM Guidances if there is an unanticipated delay
in issuance) to finalize measures in ACS.
b. Draft FY 2016 Regional Commitments: NPMs and regions must enter draft commitment
information in ACS. NPMs must initiate the commitment process in ACS by entering a value
(including "0," if applicable) in the "Proposed Bid" field for each commitment. From March - July
2015, regions should engage proactively with states and tribes to get their input. NPMs and
regions also should carefully consider past performance, program areas of focus, and budget
realities as they set FY 2016 targets and enter initial bids.
To ensure additional transparency in the commitment process, regions are required to identify
contributions from states and tribes in achieving FY 2016 draft and final commitments and
national targets, to the extent possible, and enter this information in ACS. Regions should enter
state and tribal contributions using the "Comments" field on the "Bidding" screen in ACS or by
assigning states and tribes as "Shareholders" in the "Edit" screen in ACS. Draft FY 2016 regional
commitments are due in ACS in June 2015, and regions must email OCFO
(vincentmarc@epa.gov and mahanta.benita@epa.gov] confirming they have been entered in
ACS. For more detailed instructions on data entry, see the NPM User Manual and/or the Regional
User Manual.
c. Draft FY 2016 Commitments on EPA's SharePoint Website: Draft bids also reduce burden
and uncertainty by providing states and tribes with performance targets they can incorporate
into their grant work plans, particularly when regions enter contributions from states and tribes
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in ACS. Accordingly, OCFO will post reports of draft FY 2 016 regional performance commitments
to the Regional Commitments SharePoint website [https://usepa.sharepointcom/sites/
OCFO Work/npmguidance/regionalcommitments). External users should submit a request to
vincentmarc@epa.gov and mahanta.benita@epa.gov if they would like to join the site. The user
will be required to create a Microsoft account and use Internet Explorer to view the reports.
The report should display only draft commitments for operational measures relevant to states
and tribes (e.g., commitments associated with grant work plans). NPMs can identify these
measures by clicking the "Public Access" box in the "Edit" screen in ACS. Prior to posting, OCFO
will send the draft FY 2016 regional performance commitment reports to NPM and regional
planning contacts to review for accuracy. In July 2015, OCFO will post the draft regional
commitments to the Regional Commitments SharePoint website for review across NPM
Guidances by states and tribes. The reports can serve as a useful tool to facilitate engagement.
d. Reaching Agreement on Final FY 2016 Commitments: Reaching agreement in ACS is the final
step of the FY 2016 commitment-setting process. Performance results will be reported against
these mutually agreed-upon commitments during FY 2016. Regions should engage with states
and tribes to obtain their comments on regional performance commitments from April -
September 2015. NPMs and regions should begin finalizing bids in September 2015 and
ensure finalization of all bids by October 2015.
After final regional performance commitments are approved by the DRA and entered in ACS,
NPMs and regions should indicate agreement in the system. NPMs should consider and respond
to all regional commitments within two weeks from when regional bids are entered in ACS.
NPMs and regions should reach agreement on final FY 2016 commitments in ACS by late
October 2015. Once they reach agreement, NPMs must close bidding by checking the "Parties in
Agreement (bidding closed)" box in ACS.
NPMs and regions must then email OCFO (vincent.marc@epa.gov and mahanta.benita@epa.gov)
confirming final performance commitments have been approved by their DAA/DRA and
outstanding commitments have been brought to their attention. Additionally, NPMs and regions
must notify OCFO of outstanding commitments using the Summary of Unresolved FY 2016
Commitments Template. OCFO will elevate any remaining unresolved issues to the CFO and, if
necessary, to the DA for dispute resolution.
V. STREAMLINING GRANTS MANAGEMENT
The NPM Guidance/NEPPS Workgroup made considerable progress in aligning grant guidances,
including agreement that selected grant guidances can be issued on a two-year cycle to coincide with the
FY 2016-2017 NPM Guidances. Most of the other grant guidances are issued infrequently or contain
highly technical information. Better alignment of NPM and grant guidances reduces the workload
burden for regions, states, and tribes and helps streamline the grant work planning process. Thus far,
the following grant guidances have been identified for alignment:
NPM Grant Guidance
OAR
OW
OW
OW
OW
OCSPP
Effective Use and Distribution of STAG Funds
Water Pollution Control (CWA Sec. 106)
Public Water System Supervision (PWSS) (SDWA Sec.
1443 (a))
Underground Injection Control (SDWA 1443 (b))
Drinking Water State Revolving Fund (DWSRF)
TSCA Section 404(g) Lead-Based Paint Programs State,
Territory, District of Columbia, Tribal and Federal Grant
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Grant Guidance
OECA
OCSPP/OECA
Guidance
Toxic Substances Compliance Monitoring Cooperative
Agreement Program Grant Guidance (TSCA Sec. 28 & 404]
Joint OPP/OECA FIFRA Cooperative Agreement Guidance
(FIFRA Sec. 23 (a) (1) and (2) [Note: The guidance is
updated every three years, which will not change. The
current FY2015-2017guidance will align with the FY
2016-2017 NPM Guidance.]
In addition, NPMs are expected to modify sections of their grant guidance so they comply with the Office
of Grants and Debarment's (OGD) Grants Policy Issuances (GPI) 12-06 and 13-02 to implement the grant
process streamlining principles for State Continuing Environmental Programs and programs under 40
CFR Part 3 5 SubpartB. To view the GPIs, please go to: http://intranet.epa. gov/ogd/policy/7.0-GPI-
Topics.htm.
VI. COMPLIANCE WITH TITLE VI OF THE CIVIL RIGHTS ACT OF 1964 AND 40 CFR PARTS 5 AND 7
NPMs should coordinate with the Office of Administration and Resources Management, the Office of
Civil Rights, and the Office of General Counsel to include, as appropriate, tasks that regions should
undertake to ensure that applicants for and recipients of EPA financial assistance are in compliance with
Title VI. These specific tasks may include: a more detailed review of EPA's Form 4700-4 (Non-
Discrimination Form); requests for additional information from applicants or recipients to support
assurances made on Form 4700; demonstration of compliance with the provisions of 40 CFR Parts 5 and
7; and/or demonstration of the extent of their limited English proficiency compliance efforts.
VII. EPA'S OVERVIEW TO NPM GUIDANCES
To complement the individual NPM Guidances, OCFO will develop an "Overview to the NPM Guidances".
This brief stand-alone document will be linked to each of the NPM Guidances as well as posted
separately on OCFO's NPM Guidance website [http: //www2.epa.go v /planandbudget/national-progr am-
manager-guidancesl The EPA's Overview to the FY 2016-2017 NPM Guidances will:
> Communicate the documents' purpose, scope and new process;
> Provide linkages to the FY2014-2018 EPA Strategic Plan;
> Include a brief description and reference to streamlining grants management and Title VI;
> Include the following information related to flexibility:
o Language affirming and articulating the intent to address flexibility issues within identified
parameters and using available agency processes (e.g., grant guidances; NEPPS; including
PPAs/PPGs; etc.).
o General language that refers to program-specific flexibilities found in the NPM Guidances (e.g.,
Introduction, sections on National Areas of Focus and Program-Specific Guidance].
o General guidelines on approach for seeking approval for flexibilities (including how to address
situations where NPM-specific policies/strategies impact grant negotiations) and elevating
issues, as needed, as well as references to more specific information in each of the NPM
Guidances on approaches to seek approval for flexibilities and elevate issues, as needed.
o Examples of NPM-specific flexibilities, as appropriate.
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VIII. KEY MILESTONES fFY2015 Milestones shaded!
Target Date Milestones
June 30, 2014
June -Oct 2014
July 25, 2014
Oct 27, 2014
Oct 31, 2014
Dec 1,2014
Jan 16, 2015
Jan 20 -30, 2015
FeblS, 2015
Feb23, 2015
March 2 01 5
Feb 23 - March 23,
2015
March -June 2015
April 23, 2015
April 28, 2 01 5
April 30, 2015
May 25 -June 5,2015
June 12, 2015
June 30, 2015
July -Oct 2015
July 10, 2 01 5
Each NPM provided to OCFO a one-page timeline on their planned approach to early
engagement with states and tribes on FY 2016-2017 NPM Guidance development that
was posted on the NPM Guidance website.
NPMs solicit input from states and tribes in joint priority-setting to inform
development of the NPM Guidances.
OCFO initiated the consultation and coordination process with tribes on the FY 2016-
2 01 7 NPM Guidances.
Acting CFO's Development of the FY 2 016-201 7 NPM Guidances memo and OCFO's
Technical Guidance released.
Each NPM will summarize in writing (1) the early engagement process used and (2)
the early input received from states and tribes, including feedback on the most
important areas of work. The summary will be shared with states/tribes to inform
NPM Guidance development and updated, as appropriate, and posted on the NPM
Guidance website.
OCFO copies FY 2015 measures as draft FY 2016 measures in ACS.
Draft FY 2016-2017 NPM Guidances due to OCFO.
Internal EPA review period on draft FY 2016-2017 NPM Guidances. Internal partners
provide comments to appropriate NPM and OCFO contacts by Jan 30.
Revised draft FY 2016-2017 NPM Guidances due to OCFO.
OCFO posts draft FY 2016-2017 NPM Guidances to its NPM Guidance website.
OCFO issues FY2015 Mid-Year Performance Reporting and Analysis Guidance. NPMs
and regions enter FY 2015 mid-year performance results in ACS.
External comment period on the draft FY 2016-2017 NPM Guidances begins
February 2 3.
States/EC OS/NPM conference calls.
National teleconference with tribes on March 4.
External partners provide comments to appropriate NPM and OCFO contacts by
March 23.
Regions proactively engage with states and tribes to get their input, as appropriate, to
inform development of FY 2 0 1 6 draft regional performance commitments.
Final FY 2016-2017 NPM Guidances and Response to Comments due to OCFO.
OCFO posts final FY 2016-2017 NPM Guidances to its NPM Guidance website. NPMs
finalize text for FY 2016 commitments in ACS.
NPMs must initiate FY 2016 commitment process in the system by entering a value
(including "0," if applicable) in the "Proposed Bid" field for each commitment
ACS is reopened to allow limited mid-year adjustments to FY 2015 commitments.
NPMs notify OCFO of anv Mid- Year Adjustments to FY 2015 commitments
FY 2016 draft regional performance commitments due in ACS. Regions email OCFO
[vincentmarc@epa.gov and mahanta.benita@epa.gov] indicating they have entered
draft FY 2016 regional performance commitments that reflect state and tribal input,
as appropriate.
NPMs continue to engage regions, states and tribes in negotiating final FY 2016
regional performance commitments; they should reach agreement throughout July-
October timeframe.
OCFO posts FY 2016 draft regional commitments to the Regional Commitments
SharePoint website to facilitate state and tribal review and comment
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Target Date Milestones
Sept 2015
Sept 10, 2015
Sept 15, 2015
Octl6, 2015
OctSO, 2015
NovlS, 2015
Nov20, 2015
Nov27, 2015
OCFO issues FY2015 End-of-Year Performance Reporting and Analysis Guidance.
Last day for states and tribes to comment on FY 2016 draft regional commitments.
NPMs and Regions begin finalizing FY 2016 commitments, particularly those that
inform grant work plans.
FY 2016 regional final commitment information reflecting DRA approval due in ACS.
NPMs and regions reach agreement in ACS onFY 201 6 performance commitments.
NPMs and regions email OCFO [vincentmarc@epa.gov and mahanta.benita@epa.gov]
indicating DRA/DAA approval of final FY 2016 performance commitments in ACS, and
thatthev are aware of unresolved FY 16 commitments for CFO dispute resolution.
FY 2016 final commitments posted to Regional Commitments SharePoint website.
ACS locked to prevent any adjustments to FY 2016 commitments.
IX. KEY CONTACTS
Office/Project Area Contact Phone
OCFO
NPM Guidance
ACS
FY 2014-2018 EPA Strategic Plan
Joe Greenblott (Management Advisor)
Marc Vincent (Project Lead)
Benita Mahanta
Dominic Nelson
Billy Faggart
Sharon Vazquez
202-564-4250
202-564-0876
202-564-1881
202-564-0106
202-564-3576
202-564-1622
NPM Planners
OAR
OW
OSWER
OCSPP
OECA
OEI
State Grant Work Plans
OCIR/NEPPS
OITA
Margaret Walters
Vinh Nguyen
Howard Rubin
Jennifer Vernon
Maureen Lydon
Jill Smink
Jennifer Hublar
Reynold Meni
Mike Weckesser
202-564-4107
202-564-4631
202-566-1899
202-564-6573
202-564-4046
202-540-9196
202-564-5294
202-564-3669
202-564-0324
Regional Planners
1
2
3
4
5
6
7
8
9
10
Sarah Levinson
Jennifer Thatcher
Angela Ithier
Rick Durbrow
Morgan Jencius
Mayra Maldonado
Dannell Brown
Richard Sumpter
Stephanie Vuong
Kathy Meltzer
Brooks Stanfield
Andrea Westenberger
617-918-1390
212-637-3593
215-814-5248
404-562-8286
312-886-2407
312-353-6261
214-665-7279
913-551-7661
303-312-7824
415-972-3714
206-553-4423
206-553-6111
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X. FORMAT REQUIREMENTS
The following format requirements build on the instructions detailed in Section II. NPMs should ensure
early engagement with states and tribes, as well as flexibilities, are incorporated throughout the NPM
Guidances.
When developing the draft and final NPM Guidances, NPMs should consult and follow the EPA's
Grammar, Style and Usage Guide. NPMs must submit draft and final FY 2016-2017 NPM Guidances to
OCFO in both a Word and a PDF format compliant with §508 of the U.S. Rehabilitation Act (for detailed
instructions, see: EPA Web Work Group, Accessibility/508 Standards at http://intranetepa.gov/
webgroup/accessibility. html].
Both the draft and final FY 2016-2017 NPM Guidances must include a National Service Center for
Environmental Publications (NSCEP) number. NPMs can request a NSCEP number via the following
website: http://cincinnati.epa.gov/services/nscep/nscep form.asp. NPMs should display the NSCEP
number on the cover of their respective NPM Guidance. NPMs also should adhere to the following
specified requirements:
a. Paginated Table of Contents: NPM Guidances must contain a paginated table of contents.
b. NPM Introduction: Each NPM will prepare an introduction to:
> Provide NPM-specific context;
> An opportunity for the Assistant Administrator to highlight messages of national importance
for the two upcoming fiscal years;
> Describe how input received from states and tribes during the early engagement process
informed priority-setting and NPM Guidance development; and
> Affirm and articulate the program's intent to address flexibility issues within identified
parameters and using available agency processes.
> It should also include a sentence linking to the Overview which will be posted on the NPM
Guidance website [http://www2.epa.gov/planand budget/national-program-manager-
guidances]. The guideline for the Introduction is three pages.
c. FY 2016-2017 National Areas of Focus Guidance: Building on the early engagement with
states and tribes to help identify the most important environmental and human health
protection areas of work, NPMs should identify national areas of focus for two years that take
into account state/tribal input on NPM-specific topics and those requiring cross-program
coordination. The guideline is up to eight national areas of focus. However, Assistant
Administrators can include additional national areas of focus if they determine doing so is
essential for advancing the EPA's mission. This section should also include language on
parameters for flexibilities and guidelines for seeking approval for flexibilities and elevating
issues, as appropriate. The guideline is no more than one and a half pages for each national area
of focus using the following format:
Short Title of the National Area of Focus
Description: Briefly describe the national area of focus for the two upcoming fiscal years.
Activities: List the tasks or action items supporting the national area of focus for the two upcoming
fiscal years. Use bulleted format. Specify when states and/or tribes are responsible for the activities.
Measures: As appropriate, the NPM should describe the key measure(s) associated with the
national area of focus and any clarification necessary. At a minimum, NPMs should cite where in
the Measures Appendix the supporting measures are described [i.e., "See ACS measures with code
numbers (insert #) in Appendix # on pages #."]
d. FY 2016-2017 Program-Specific Guidance (Optional): This is an optional section for NPMs to
discuss program areas not addressed in the previous section and provide program-specific
guidance where NPM direction is critical for two years. This should build on the early
engagement effort with states and tribes and take into account input on NPM-specific topics and
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those requiring cross-program coordination. This section should also include language on
parameters for flexibilities and guidelines for seeking approval for flexibilities and elevating
issues, as appropriate. The guideline is up to one page per program area using the following
format:
Short Title of the Program
Description: Briefly describe the specific program for the two upcoming fiscal years.
Activities: List the tasks or action items supporting the specific program for the two upcoming
fiscal years. Use bulleted format. Specify when states and/or tribes are responsible for the
activities.
Measures: As appropriate, the NPM should describe the key measure(s) associated with the
specific program and any clarification necessary. At a minimum, NPMs should cite where in the
Measures Appendix the supporting measures are described [i.e., "See ACS measures with code
numbers [insert #) in Appendix # on pages #."]
e. Appendices: Required appendices to the draft and final FY 2016-2017 NPM Guidances are
identified below. NPMs can include additional attachments to provide supplemental information,
as needed.
i. FY 2016 Measures Appendix: This appendix provides easy reference to and clearly
identifies annual operational commitment measures and non-commitment indicators
requiring reporting by the regions, states and/or tribes. NPMs should include national
planning targets to guide the negotiation process for commitments developed from the
aggregate contributions of headquarters, regions, states, and tribes. NPMs should also
include the national targets from the FY2016 Annual Plan and Budget for comparison,
where applicable. NPMs may supplement information in OCFO's Measures Appendix as
needed.
ii. Explanation of Changes between FY 2014-2015 and FY 2016-2017: NPMs should
provide the rationale, context and scope of changes, from the FY 2014 NPM Guidance
and FY 2015 Addendum to national areas of focus, program-specific guidance, activities,
and measures.
iii. Key Contacts: NPMs should identify the key contacts for each national area of focus and
program area.
f. External Comments and Response to Comments Summary Template: NPMs must use this
template to respond to all comments from states, tribes, and other partners by providing a brief,
but specific, explanation of how comments were addressed in the final FY 2016-2017 NPM
Guidances. This will be submitted separately from the NPM Guidance.
g. Summary for Key Changes for States and Tribes: NPMs must summarize the key changes for
states and tribes using their respective templates. NPMs should address significant additions,
changes, deletions, and work-sharing/streamlining opportunities. These will be submitted
separately from the NPM Guidance.
h. Templates (Available via SharePoint using Internet Explorer and EPA Email Address)
i. Mid-Year Adjustments for FY 2015 Commitments
ii. FY 2016 Measures Appendix
iii. Explanation of Changes between FY 2014-2015 and FY 2016-2017
iv. Key Contacts
v. Summary of Key Changes for States
vi. Summary of Key Changes for Tribes
vii. External Comments and Response to Comments Summary
viii. Summary of Issues for Unresolved FY 2016 Commitments
ix. Internal Comments Template
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