FY2017
   Technical Guidance for the FY 2017
   Exceptions-Based Addendums to the
 FY 2016-2017 National Program Manager
Guidance and Annual Commitment Process
                          U.S. EPA

                          October 9, 2015
                          Publication # 190B15001

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                                                                                  10.09.2015

  TECHNICAL GUIDANCE FOR THE FY 2017 EXCEPTIONS-BASED ADDENDUMS TO THE
FY 2016-2017 NATIONAL PROGRAM MANAGER GUIDANCE AND ANNUAL COMMITMENT
                                         PROCESS
                            Office of the Chief Financial Officer

                                       October 9, 2015

                                        Contents

     I.        INTRODUCTION	1
     II.       INSTRUCTIONS FOR DEVELOPING FY 2017 ADDENDUMS	1
     III.       ANNUAL COMMITMENT PROCESS	2
     IV.       SCHEDULE FOR THE FY 2017 ADDENDUM AND COMMITMENT PROCESS	3
     V.       KEY CONTACTS	4
I.     INTRODUCTION
      This technical guidance provides the NPMs with specific details, deliverables, and milestones to guide
      development of exceptions-based FY 2017 Addendums to the FY 2016-2017 National Program Manager
      fNPMl Guidances.

      Beginning in FY 2016, the EPA will implement a new two-year cycle for the NPM Guidance process,
      which was developed collaboratively with our state/tribal partners through the NPM Guidance/NEPPS
      Workgroup. The EPA initiated this effort to help advance a New Era of State, Local, Tribal, and
      International Partnerships, a cross-agency strategy in the FY2014-2018 EPA Strategic Plan. The
      workgroup focused on ways to provide more meaningful engagement and flexibility, which resulted in
      the following key changes:

           Earlier and more meaningful state and tribal engagement in jointly identifying the most
            important areas of work for protecting the environment and human health.
           Clear and transparent support for flexibility within the NPM Guidances.
           Better alignment of NPM Guidances and programmatic grant guidances.
           Earlier and more meaningful state and tribal engagement in establishing annual commitments,
            including proactive dialogue to develop draft regional commitments aligned to the extent
            possible with grant work planning.

      To preserve the integrity of the new two-year process, the EPA-state-tribal NPM/NEPPS Workgroup
      reviewed our experience with the FY 2015 Addendum process to the FY 2014 NPM Guidances. Based on
      this review, the Workgroup revised the criteria with the goal of establishing a high threshold for
      exceptions-based changes to the FY 2016-2017 NPM Guidances, including to those programmatic grant
      guidances that are aligned with the NPM Guidances.

II.    INSTRUCTIONS FOR DEVELOPING FY 2017 ADDENDUMS

   A. ADDENDUM TEMPLATE
      NPMs will complete the FY 2017 Addendum Template, which includes the following sections:

        Introduction: This section should be no more than one page and provide any relevant
         programmatic messages for FY 2017 and a high-level summary of exceptions-based changes and
         their rationale.

        Exceptions-Based Changes for FY 2017: This section should be no more than 5 pages and should
                                             1

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          include a 3-5 sentence description of any new/changed activity and expected impact on
          programmatic grant work plans, if any. NPMs should apply the following criteria to determine if an
          exceptions-based change is warranted:

             o   New initiatives or actions from the Administrator/Administration/Congress/Courts (e.g.,
                 statutory changes, regulatory changes, policy changes, Executive Orders, legal
                 decisions/court orders).
             o   Significant budgetary changes from FY 2016 that impact programs (e.g., program
                 elimination, addition, or restructuring).
             o   Unanticipated events that significantly impact a NPM's program strategies/activities (e.g.,
                 emergency response to natural or man-made disasters).
             o   Activities that must be initiated in FY 2017. All other activities should be deferred to the FY
                 2018-2019 NPM Guidance.

                 Note: Changes to measures will be included only in the Measures Appendix

          Measures Appendix: The FY 2017 addendum template includes sections for identifying FY 2017
          operational measures, including those that will be continued, discontinued, or revised/new as
          compared with FY 2016 measures. For developing FY 2017 operational measures and regional
          commitments, please refer to Section III, page 5, of OCFO's Technical Guidance: FY2016-2017
          National Program Manager Guidance and Annual Commitment Process.

   B.  NPM AND REGIONAL/STATE/TRIBAL  COORDINATION
       NPMs should work with their EPA lead regions, as appropriate, to develop their draft FY 2017
       Addendums and facilitate the coordination efforts.

       Early engagement is not an explicit part  of the FY 2017 Addendum process, given the extensive
       engagement effort with states and tribes for the FY 2016-2017 NPM Guidance process. The FY 2017
       Addendum process will include an internal agency review and an external comment period, as
       described below.

   C.  INTERNAL AGENCY REVIEW
       A two-week internal agency review period allows for agency-wide review of all draft FY 2017
       Addendums prior to the external comment period. NPMs should consider agency comments and work
       with the lead regions to address and incorporate agency comments, as appropriate. The draft NPM
       Guidances will be posted on the NPM Guidance SharePointSite. along with the Internal Comments
       Template.

   D.  EXTERNAL COMMENT PERIOD
       OCFO will post the draft FY 2017 Addendums to OCFO's NPM Guidance website for public comments.
       States, tribes, and other interested parties may submit comments using the External Comments
       template that will be available on EPA's NPM Guidance website.

   E.  FORMAT AND DOCUMENT PREPARATION
       Please refer to Section X, page 12, of OCFO's Technical Guidance: FY2016-2017 National Program
       Manager Guidance and Annual Commitment Process for format requirements (e.g., grammar, document
       structure, Section 508 compliance, publication number) for the FY 2017 Addendums.

III.     ANNUAL COMMITMENT PROCESS
       Please refer to Section IV, page 6, of OCFO's Technical Guidance: FY2016-2017 National Program
       Manager Guidance and Annual Commitment Process for instructions on developing and negotiating FY
       2017 commitments. It also includes information on making mid-year adjustments to FY 2016
       commitments. The updated schedule for the FY 2017  annual commitment process is provided below.

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IV.
SCHEDULE FOR THE FY 2017 ADDENDUM AND COMMITMENT PROCESS
     Target Date
                               Milestones for Addendum
October 9, 2015
January 15, 2016
January 18-29
February 12
February 19
February 19 -
March 18
April 22
April 29
Summer
OCFO posts: Final Technical Guidance on the FY201 7 Addendum and the DCFO's Kick-off
memo, on EPA's NPM Guidance website
NPMs email draft FY 2017 Addendums to OCFO fBurchard.beth@epa.gov and
murDhv.dan@eDa.gov) and OCFO posts them to the NPM Guidance SharePoint Site
Internal review: .By January 29, internal partners post comments to the FY2017
Addendum Internal Comments Folder on the NPM Guidance SharePoint site using the FY
2017 Addendum Internal Comments Teirrolate
NPMs email draft FY 2017 Addendums to OCFO rBurchard.beth@epa.gov and
murDhv.dan@eDa.gov)
OCFO posts draft FY 2017 Addendums to EPA's NPM Guidance website
External comment period on the draft FY 2017 Addendums:
 States/ECOS/NPM conference calls
 National teleconferences with tribes
 February P&P Call [OCFO and OCIR)
NPMs email Final FY 2017 Addendums and Response to Comments to OCFO
(Burchard.beth@eDa.gov and murDhv.dan@eDa.gov)
OCFO posts final FY 2017 NPM Addendums, along with response to comments, to EPA's
NPM Guidance website
Assess final FY 2017 NPM Guidance Addendums with NPM Guidance/NEPPS Workgroup
     Target Date
              Milestones for Developing FY 2017 Annual Commitment Process
December 1,
2015
March - June
April
April 29
May 23 - June 3
June 10
June 30
July - October
September 9
September 16
October 24
November 7
November 14
December 5
OCFO copies FY 2016 measures into ACS as draft FY 2017 measures
Regions proactively engage states and tribes for their input, as appropriate, to inform FY
2017 regional performance commitments
NPMs finalize text for FY 2017 commitments in ACS
NPMs initiate the FY 2017 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 2016 commitments
NPMs email OCFO (Burchard.beth@epa.gov and murphy.dan@epa.gov) with mid-year
adjustments to FY 2016 commitments using the Mid- Year Adjustments for FY 2016
Commitments Template. Mid-vear adjustments are limited to cases where both the NPM
and region believe the adjustment is significant and critical. Commitment
adjustments for FY 2016 operational measures associated with the budget (i.e.,
budget measure targets) are not allowed. Adjustments that align the commitment
with the budget target following OMB approval of FY 2016 target changes are allowed
FY 2017 draft regional performance commitments due in ACS. Regional planners notify
OCFO by e-mail (burchard.beth@epa.gov and murphy.dan@epa.gov) that the
information has been entered.
NPMs continue to engage regions, states and tribes in negotiating final FY 2017 regional
performance commitments, so as to reach agreement in the July-October timeframe
Last day for states and tribes to comment on FY 2017 draft regional commitments
NPMs and Regions finalize FY 2017 commitments
FY 2017 regional final commitment information reflecting DRA approval due in ACS
NPMs and regions reach final agreement in ACS on FY 2017 performance commitments
NPMs and regions email OCFO (burchard.beth@epa.gov and murphv.dan@epa.gov)
indicating DRA/DAA approval of final FY 2017 performance commitments in ACS. Using
the Summarv of Issues for Unresolved FY 2017 Commitments template. NPMs will
indicate unresolved FY 2017 commitments for CFO dispute resolution
ACS locked to prevent any adjustments to FY 2017 commitments

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                                                                      10.09.2015
V.
KEY CONTACTS
                                     OCFO
NPM Guidance
Annual Commitment System
(ACS)
FY 2014-2018 Strategic Plan
Cross-Agency Strategies
Joe Greenblott
Beth Burchard
Dan Murphy
Dominic Nelson
Billy Faggart
Vivian Daub
Felicia Young
202-564-4250
202-564-6981
202-564-3227
202-564-0106
202-564-3576
202-564-6790
202-564-3254
                        NPM GUIDANCE/NEPPS WORKGROUP
Workgroup Chair (OCFO)
Workgroup Chair (OCIR)
EGOS
State P&P Workgroup
EGOS P&P Grant Subgroup
NASDA
EGOS P&P Grant Subgroup
EGOS P&P Grant Subgroup
OITA
OAR (HQ)
OAR(R2)
OAR (R4)
OW (HQ)
OW (R8)
OCSPP (HQ)
OCSPP (R3)
OECA (HQ)
OECA (R6)
OSWER (HQ)
OSWER (R9)
OGD
NEPPS Coordinator (R8)
NEPPS Coordinator (Rl)
Kathy O'Brien
Mike OsinsW
Beth Graves
Gary Baughman
Valerie Thomson
Nathan Bowen
Lorisa Smith
Wendy Waskin
Mike Weckesser
Omayra Salgado
John Filippelli
Beverly Banister
David Evans
Sandy Stavnes
Cindy Wire
John Armstead
Betsy Smidinger
John Blevins
Nigel Simon
Kathy Meltzer
Laurice Jones
Gerald Bulanowski
Kristi Rea
202-564-1167
202-564-3792
202-266-4923
303-692-2102
804- 698-4157
202-296-9680
573-751-3443
603)271-8861
202-564-0324
202-564-1303
212-637-3736
404-562-9326
202-566-0535
303-312-6117
415-947-4242
215-814-3127
202-564-4017
214-665-2266
202-564-6629
415-972-3714
202-564-0223
303-312-6141
617-918-1595
                            Lead Region Coordinators
Region 1 (OCSPP)
Region 2 (OSWER)
Region 3 (ORD)
Region 4 (OW)
Region 5 (OEI)
Region 6 (OECA/OGC)
Region 7 (OA/OITA)
Region 8 (OAR)
Region 9 (OARM/OCFO)
Region 10 (RCRA&UST)
HQ Lead
Hugh Martinez
Kristin Giacalone
Michael Dunn
Mary Jo Bragan
Steven Dean
Stacy Murphy
Barbara Nann
Katy Miley
Eric Wortman
Kathy Meltzer
Melissa Winters
Chad Nitsch
617-918-1867
212-637-4407
215-814-2712
404-562-9275
312-886-4446
214-665-7116
214-665-2157
913-551-7916
303-312-6649
415-972-3714
206-553-5180
202-564-4714

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                                          10.09.2015
  NPM Planners
OAR
OW
OSWER
OCSPP
OECA
OEI
State Grant Work Plans
OCIR/NEPPS
OITA
Daniel J. Hopkins
Sharon Vazquez
Venus Reyes
Howard Rubin
Jennifer Vernon
Kim Chavez
Jill Smink
Jennifer Hublar
Reynold Meni
Mike Weckesser
202-564-8626
202-564-1622
202-564-0156
202-566-1899
202-564-6573
202-564-4298
202-540-9196
202-564-5294
202-564-3669
202-564-0324
Regional Planners
Region 1
Region 2
Region 3
Region 4
Region 5
Region 6
Region 7
Region 8
Region 9
Region 10
Sarah Levinson
Danla Boykin
Angela Ithier
Dipesh Fifadara
Morgan Jencius
Tyrone Hoskins
Richard Sumpter
Stephanie Vuong
Kathy Meltzer
Andrea Westenberger
617-918-1390
212-637-3587
215-814-5248
404-562-9673
312-886-2407
214-665-7375
913-551-7661
303-312-7824
415-972-3714
206-553-6111

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