2015
OCFO's Technical Guidance on the FY 2015
Addendum to the FY 2014 National Program
Manager Guidance and Annual Commitment
Process
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OCFO'S TECHNICAL GUIDANCE
ON THE FY 2015 ADDENDUM TO THE FY 2014 NATIONAL PROGRAM MANAGER
(NPM) GUIDANCE AND ANNUAL COMMITMENT PROCESS
December 23, 2013
I. INTRODUCTION 1
II. GUIDELINES FOR DEVELOPING THE FY 2015 ADDENDUM 1
1. ADDENDUM 1
2. OCFO'S OVERVIEW 1
3. NPM AND REGIONAL COLLABORATION 1
4. ENGAGEMENT WITH STATES AND TRIBES 1
4. INSTRUCTIONS FOR DEVELOPING FY 2015 OPERATIONAL MEASURES 2
6. FORMAT REQUIREMENTS 2
III. ANNUAL COMMITMENT PROCESS 3
1. REPORTING FY 2014 RESULTS 3
2. ESTABLISHING FY 2015 COMMITMENTS 3
IV. KEY MILESTONES 5
V. KEY CONTACTS 6
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I. INTRODUCTION
The FY 2015 Addendum to the FY 2014 NPM Guidance will be the transition year to a two-year NPM Guidance
process. In FY 2015, NPMs will develop an exceptions-based Addendum for significant changes from FY 2014.
As we look forward and fully develop the new approach to NPM Guidance for FY 2016-2017, the EPA will focus
on the following areas:
> Earlier, increased, and more consistent state and tribal engagement across regions and NPMs in joint
EPA/state/tribal priority-setting and the development of NPM Guidances.
> Increased and consistent flexibility from NPMs to regions for working with states through the National
Environmental Performance Partnership System (NEPPS).
> Better alignment between NPM Guidance and NEPPS.
> Reduced burden/workload for EPA, states, and tribes.
> Clear, concise and implementation-focused NPM Guidances.
II. GUIDELINES FOR DEVELOPING THE FY 2015 ADDENDUM
1. ADDENDUM
Each NPM will only identify exceptions-based significant changes for the FY 2015 Addendum using the
specific criteria and format available here: http://intranetepa.gov/ocfo/npmguidance/2015/
addendum instructions and format template.docx. The Addendum (not including the Measures
Appendix) will not exceed 11 pages.
2. OCFO'S OVERVIEW
OCFO's NPM Guidance website will provide context for the FY 2015 Addendum and highlight the
Administrator's themes.
3. NPM AND REGIONAL COLLABORATION
NPMs should work with their regional counterparts as they develop their draft Addendums and their
Lead Regions, as appropriate, to facilitate the dissemination of information and engagement efforts. In
addition, the agency is taking the following steps to facilitate collaboration:
a. Internal Agency Review: The internal agency review period in February 2014 will allow earlier
input from regions and other offices on the draft Addendums prior to the public comment period.
NPMs should consider and incorporate agency comments, as appropriate.
b. Collaboration Tools: NPMs should consider using existing collaborative tools (e.g., Quickr, Wikis,
and Adobe Connect) and any available My Workplace collaboration tools for Addendum
development, as appropriate.
4. ENGAGEMENT WITH STATES AND TRIBES
As in past years, OCFO will post the draft and final FY 2015 Addendums 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 March - April 2014 to the EPA using the
External Comments and Response to Comments Summary template. During this external comment
period, EPA will also engage with partners and stakeholders to discuss key changes from the FY 2014
NPM Guidance. NPMs will have three weeks to respond to comments and incorporate changes, as
warranted, into the final Addendums. In addition to the external comment period, the EPA is
undertaking the following initiatives to increase engagement with state and tribal partners:
a. State Engagement: NPMs and regions are encouraged to solicit earlier input from states to
maximize collaboration and engagement NPMs have flexibility in determining the appropriate
mechanism for conducting state engagement to help inform the development of the Addendums.
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Examples of state engagement mechanisms include: using existing EPA/state partnership groups;
contacting state associations/agencies to request earlier input; and/or holding discussions at
EPA/state meetings. The EPA will also continue to hold joint conference calls with state associations
to discuss the Addendums and other associated questions during the external comment period.
b. Consultation and Coordination Process with Federally Recognized Tribes: In January 2014,
OCFO will send consultation notification letters to all federally recognized tribes to provide both an
opportunity for early input from tribes on the draft FY 2015 Addendum development and
consultation on the draft Addendums. Outreach materials will also be provided to communicate the
linkage between the NPM Guidance and other agency processes. These materials are available on the
agency's Tribal Consultation Opportunities website: http://yosemite.epa.gov/oita/TConsul
tation.nsf/TC?OpenView. National teleconferences for tribes will also be held during the public
comment period to provide an overview of the process for commenting on the draft FY 2015
Addendums and discuss key changes that may affect tribes.
4. INSTRUCTIONS FOR DEVELOPING FY 2015 OPERATIONAL MEASURES
NPM Guidances govern the establishment of regional commitments for annual budget measures and
additional operational measures. The NPM Guidances should focus on identifying the smallest, most
meaningful set of measures to assess performance results. In addition to the agency's continuing efforts
to streamline performance measures, NPMs should adhere to the following guidelines when developing
FY 2015 operational measures:
a. Measures Guidelines: 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 ACS.
b. Documenting Measure Changes: Any measure changes should align with FY 2015 budget
measures and strategic measures in the EPA's FY2014-2018 Strategic Plan and be reflected in
the Measures Appendix.
c. Ambitiousness of Targets: FY2015 planning targets should not be less ambitious thanFY 2013
actual results or final FY 2014 regional commitments, unless there is a compelling reason. For
cumulative measures, FY 2015 commitments must be more ambitious than the FY 2014 end-of-
year results.
6. FORMAT REQUIREMENTS
When developing the draft and final FY 2015 Addendums, NPMs should consult and follow the EPA's
Grammar. Style and Usage Guide. NPMs should also adhere to the following specified requirements:
a. 508 Compliance: NPMs must submit draft and final FY 2015 Addendums 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).
b. Publication Number: Both the draft and final FY 2015 Addendums 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 the Addendum.
c. 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 2015 Addendum.
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III. ANNUAL COMMITMENT PROCESS
The Annual Commitment System (ACS] tracks annual headquarters and regional performance commitment
information and results. User manuals and instructions for entering information in ACS can be found here:
http://intranet.epa.gov/ocfo/acs. OCFO encourages the Agency to use our performance management dashboard
to analyze and evaluate performance information tracked in ACS.
1. REPORTING FY 2014 RESULTS
NPMs and regions must report mid- and end-of-year progress and raise performance issues and/or
explain differences between the commitment and actual performance using the "Comments" field on the
"Results" screen in ACS.
a. Mid-Year FY 2014 Reporting: From April - May 2014, NPMs and regions will enter FY 2014 mid-
year results data in ACS. In March 2014, OCFO will include more detailed instructions on mid-year
reporting in its FY2014 Mid-Year Performance Reporting and Analysis Guidance.
b. End-of-Year FY 2014 Reporting: Starting in October 2014, NPMs and regions will enter FY 2014
end-of-year results in ACS. Similar to the bidding process, regions are required to enter end-of-year
performance information for states and tribes in ACS for applicable measures. In September 2014,
OCFO will include more detailed instructions on end-of-year reporting in the FY2014 End-of-Year
Performance Reporting and Analysis Guidance.
2. ESTABLISHING FY 2015 COMMITMENTS
Once OCFO posts the final FY 2015 Addendums to the NPM Guidance website in April 2014, NPMs and
regions should finalize operational measure language in ACS. Then, from April - October 2014, NPMs
and regions will negotiate regional commitments using the bidding function in ACS.
a. Entering FY 2015 Annual Commitment Measures: In December 2013, OCFO will copy FY 2014
annual commitment measure codes and assignments, text, and additional information in ACS to use
as draft FY 2015 measures.
NPMs should adjust the draft FY 2015 measures (e.g., edit, delete or add measures) to reflect any
changes from FY 2014, consistent with EPA's FY2015 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 2014 to finalize measures in ACS.
b. Draft FY 2015 Regional Commitments: NPMs and regions must enter draft commitment
information in ACS. In April 2014, 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 April -
July 2014, using input from states and tribes, NPMs and regions should negotiate draft FY 2015
commitments. NPMs and regions should carefully consider past performance, program priorities,
and budget realities as they set FY 2015 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 2015 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 2015 regional commitments are
due in ACS in July 2014, and regions must e-mail OCFO 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.
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c. Draft FY 2015 Commitments on EPA's Quickr Website: Draft bids also reduce burden and
uncertainty by providing states and tribes with performance targets they can incorporate into their
work plans, particularly when regions enter contributions from states and tribes in ACS.
Accordingly, OCFO will post a report of draft FY 2015 regional performance commitments to the
EPA's password-protected Quickr website.
The report should only display draft commitments for operational measures relevant to states and
tribes. 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 2015 regional performance commitment reports
to NPM and regional planning contacts to review for accuracy. In July 2014, OCFO will post the draft
regional commitments to EPA's Quickr website for review by states and tribes.
Regions should engage proactively with states and tribes and encourage them to provide comments
on draft commitments before reaching agreement on final performance commitments. The reports
can serve as a useful tool to facilitate engagement
d. Reaching Agreement on Final FY 2015 Commitments: Reaching agreement in ACS is the final
step of the FY 2015 commitment-setting process. Performance results will be reported against these
mutually agreed-upon commitments during FY 2015. Regions should engage with states and tribes
to obtain their comments on regional performance commitments throughout the summer until
September 2014. Regions should ensure DRAs remain informed throughout the negotiation
process and that negotiations on final bids have fully considered cross-program impacts and
comments from states and tribes. Regions should finalize bids in ACS by October 2014.
After final regional performance commitments are approved by the DRA and entered in ACS, NPMs
and regions should indicate agreement in the system. NPMs are required to consider and
respond to all regional commitments within two weeks from when regional bids are final in
ACS in October 2014. NPMs and regions should reach agreement on final FY 2015 commitments in
ACS by late October 2014. Once they reach agreement, NPMs must close bidding by checking the
"Parties in Agreement" box in ACS.
NPMs and Regions must then e-mail OCFO 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 2015 Commitments Template. OCFO will elevate any remaining unresolved
issues to the CFO for dispute resolution.
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IV.
KEY MILESTONES
1
Week of Dec 23,
2013
Jan - Feb 2014
Febl4,2014
Feb 19 -28, 2014
March 14, 2014
March 17, 2014
March 2014
March 17 -April 4,
2014
March - Oct 2014
April 23, 2014
April 28, 2014
April 30, 2014
July 9, 2014
July -Oct 2014
July 30, 2014
Sept 2014
Sept 20, 2014
Oct 17, 2014
Oct 31, 2014
Nov 14, 2014
Nov21, 2014
Nov 25, 2014
Milestones
OCFO copies FY 14 measures into ACS as draft FY 15 measures.
DCFO's Development of the FY 15 Addendum to the FY 14 NPM Guidance memo and
OCFO's Technical Guidance are released.
OCFO initiates consultation and coordination process with tribes on the FY 15
Addendum, and EPA solicits input from tribes to inform development of the
Addendum.
NPMs solicit input from states to inform development of the Addendum.
Draft FY 15 Addendums due to OCFO.
Internal EPA review period on draft FY 15 Addendums.
Draft FY 15 Addendums due to OCFO.
OCFO posts draft FY 15 Addendums to its NPM Guidance website.
OCFO issues Mid-Year Performance Reporting and Analysis Guidance. NPMs and regions
enter FY 14 mid-year performance results in ACS.
External comment period on the draft FY 15 Addendum begins March 17.
States/ECOS/NPM conference calls.
National teleconferences with tribes.
External partners provide comments to appropriate NPM and OCFO contacts by April
4.
NPMs engage regions, states and tribes in determining FY 15 regional performance
commitments.
Final FY 15 Addendums and Response to Comments due to OCFO.
OCFO posts final FY 15 Addendums to its NPM Guidance website. NPMs finalize text for
FY 15 commitments in ACS.
NPMs must initiate FY 15 commitment process in the system by entering a value
(including "0," if applicable) in the "Proposed Bid" field for each commitment.
FY 15 draft regional performance commitments due in ACS. Regions e-mail OCFO
indicating they have entered draft FY 15 regional performance commitments.
NPMs continue to engage regions, states and tribes in determining final FY 15 regional
performance commitments; they should reach agreement throughout July-October
timeframe.
OCFO posts FY 15 draft regional commitments to EPA's Quickr website.
OCFO issues FY 14 End-of-Year Performance Reporting and Analysis Guidance.
Last day for states and tribes to comment on FY 15 draft regional commitments.
FY 15 regional final commitment information reflecting DRA approval due in ACS.
NPMs and regions reach agreement in ACS on FY 15 performance commitments.
NPMs and regions e-mail OCFO indicating DRA/DAA approval of final FY 15
performance commitments entered in ACS, and that they are aware of unresolved FY
15 commitments for CFO dispute resolution.
FY 15 final commitments posted to EPA's Quickr website.
ACS locked to prevent any adjustments to FY 15 commitments.
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V.
KEY CONTACTS
Office/Project Area Contact Phone
OCFO
NPM Guidance
ACS
FY 14-18 Strategic Plan
XCFS
Joe Greenblott (Management Advisor)
Marc Vincent (Project Lead)
Benita Mahanta
Dominic Nelson
Billy Faggart
Sharon Vazquez
Ann Cihon
202-564-4250
202-564-0876
202-564-1881
202-564-0106
202-564-3576
202-564-1622
202-564-0182
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
Chris Hoff
202-564-4107
202-564-4631
202-566-1899
202-564-6573
202-564-4046
202-540-9196
202-564-5294
202-564-3669
202-564-0303
Regional Planners
1
2
3
4
5
6
7
8
9
10
Matt Hoagland
Jennifer Thatcher
John Krakowiak
Rick Durbrow
Morgan Jencius
Dannell Brown
Richard Sumpter
Stephanie Vuong
Kathy Meltzer
Brooks Stanfield
617-918-1361
212-637-3593
215-814-5611
404-562-8286
312-886-2407
214-665-7279
913-551-7661
303-312-7824
415-972-3714
206-553-4423
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