FY 2018-2019
OCFO's Technical
Guidance: FY2018-
2019 National
Program Manager
Guidance and
Annual Commitment
Process
July 19, 2016
Office of the Chief Financial Officer
U.S. EPA
Publication #190816001
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OCFO'S TECHNICAL GUIDANCE:
FY 2018-2019 NATIONAL PROGRAM MANAGER GUIDANCE & ANNUAL COMMITMENT
PROCESS July 19, 2016
Contents
I. INTRODUCTION 2
II. EPA'S OVERVIEW TO NPM GUIDANCES 2
III. DEVELOPING FY 2018-2019 NPM GUIDANCES 3
IV. FORMAT REQUIREMENTS FOR NPM GUIDANCES 7
V. 508 COMPLIANCE AND PUBLICATION NUMBERS 8
VI. ANNUAL COMMITMENT SYSTEM (ACS) 9
VII. ADJUSTING AND REPORTING FY 2017 ANNUAL COMMITMENTS 9
VIII. ESTABLISHING FY 2018 OPERATIONAL MEASURES AND ANNUAL COMMITMENTS 9
IX. COMPLIANCE WITH FEDERAL CIVIL RIGHTS LAWS 11
X. GRANTS MANAGEMENT 11
XI. CONSOLIDATED LIST OF TEMPLATES 12
APPENDIX A: KEY MILESTONES 13
APPENDIX B: KEY CONTACTS 15
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I. INTRODUCTION
The Office of the Chief Financial Officer's (OCFO) Technical Guidance: FY 2018-2019 National Program
Manager Guidance and Annual Commitment Process provides National Program Managers (NPMs) with
specific details, deliverables, and milestones to guide development of the FY 2018-2019 NPM Guidances and
the annual commitment process. The NPM Guidances set forth the operational priorities and strategies the
EPA and its state and tribal partners will undertake to protect human health and the environment,
consistent with priorities in EPA's Annual Performance Plan and Budget and EPA Strategic Plan.
The NPM Guidances and grant guidances serve as a national framework for the 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. The NPM Guidances help
advance EPA's five strategic goals and four cross-agency strategies (CAS) in the current FY2014-2018 EPA
Strategic Plan. Note: Development of strategic goals and objectives will be underway for the FY 2018-2022
Strategic Plan prior to issuance of the final FY 2018-2019 NPM Guidances. We will work to integrate the two
efforts.
Importantly, the NPM Guidances reflect the national priorities and strategies of the administration and align
with the President's Budget; consequently, the draft and final NPM Guidances are issued after the release of
the President's Budget. The transition to a new administration will delay the release of the FY 2018
President's Budget Request (from early February to March or later); therefore, we are extending the
timeframe for early engagement to December 1, 2016, and providing placeholder milestones for issuing
draft and final NPM Guidances in 2017. Early engagement prior to the transition to a new administration
will provide the agency valuable input to help inform the new agency leaderships' priorities and strategies;
however, it also will be important for NPMs and regions to continue engaging with states and tribes
throughout the transition, and keep them informed about the new administration's direction.
Beginning in FY 2016, EPA implemented a two-year cycle for the NPM Guidances, which includes
exceptions-based addendums in the second year to address high level changes not captured in the two-year
guidances. The two-year cycle and process was informed by recommendations from the EPA-State NPM
Guidance/NEPPS workgroup. OCFO conducted an assessment of the FY 2016-2017 process (available on the
NPM Guidance website) to gather input from the NPM Guidance/NEPPS workgroup and members of EPA's
planning and budgeting community. Based on the results of the assessment, the workgroup recommended:
Promoting additional dialogue among EPA headquarter offices, regions, states, and tribes during early
engagement and involving a broad community of stakeholders.
Continuing to strengthen early engagement with co-regulators, partners, and stakeholders on the most
important areas of focus to inform commitment-setting for EPA operational measures.
For the FY 2018-2019 NPM Guidances, EPA will continue to strengthen meaningful engagement and
promote flexibility for states and tribes. EPA also will seek to incorporate cross-agency strategies and other
cross-cutting efforts (e.g., children's health, E-Enterprise: and the Environmental Justice (El) 2020 Action
Agenda}.
II. 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 posted separately on OCFO's NPM Guidance website and must be
linked within each NPM Guidance. The EPA's Overview to the FY 2018-2019 NPM Guidances will:
Communicate the documents' purpose and scope;
Provide linkages to the FY2014-2018 EPA Strategic Plan and FY'2018-2022 EPA Strategic Plan (under
development);
Include a brief description and reference to streamlining grants management and Title VI;
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Include the following information related to flexibility:
Language affirming flexibilities available to states and tribes within identified parameters
and using available agency processes (e.g., grant guidances; NEPPS - including Performance
Partnership Agreements (PPAs)/Performance Partnership Grants (PPGs).
General language that refers to program-specific flexibilities found in the NPM Guidances.
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.
III. DEVELOPING FY 2018-2019 NPM GUIDANCES
This section provides guidelines to NPMs for developing their individual Guidances, and includes the
following areas: 1) early engagement with states and tribes; 2) development of the NPM Guidances; and 3)
internal and public reviews.
1. Early Engagement with States and Tribes to Frame Guidance Development: NPMs and regions
will engage collaboratively with states and tribes to identify the most important areas of focus for
protecting the environment and human health.
A. Early Engagement - Process
a. Time-Frame for Early Engagement: Tuly 19 - December 1, 2016
b. Early Engagement Plans. Bvluly26, 2016, NPMs will submit to OCFO short (1-2 page)
timelines/planned approaches for early engagement. OCFO will post the "Early Engagement
Plans" on the NPM Guidance website. In developing their Early Engagement Plans, NPMs
should:
Utilize new and existing opportunities for soliciting state/tribal input and proposed
priorities.
Employ a combination of NPM and regional-driven requests for input from states
and tribes.
Engage with national associations, state and other media-specific associations, the
National Tribal Operations Committee, the Regional Tribal Operations Committee,
and Tribal/NPM and Tribal/Regional workgroups to obtain both broad and media-
specific perspectives.
Ensure Early Engagement Plans submitted to OCFO are Section 508 compliant.1
c. Consultation and Coordination Process with Federally Recognized Tribes: During the
summer/fall 2016 early engagement period, OCFO will send consultation notification letters
to all federally-recognized tribes to provide both an overarching opportunity for early input
from tribes on draft FY 2018-2019 NPM Guidance development and consultation on the
draft NPM Guidances. This consultation opportunity complements efforts by NPMs seeking
early input from their tribal partners. Information about consultation and coordination with
tribes can be found on the agency's Tribal Consultation Opportunities Website.
d. Early Engagement Summaries: By December 1, 2016, each NPM will submit to OCFO a
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 areas of
1 OCFO will consolidate the Early Engagement Plans into a single document with one EPA publication number.
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focus/priorities of multiple programs. This summary will inform development of the draft
NPM Guidances. OCFO will post these summaries on the NPM Guidance website.
Early Engagement Summaries submitted to OCFO must be Section 508 compliant and
have a NSCEP number.
B. Early Engagement - Key Considerations
a. Principles for Early Engagement: While NPMs and regions have flexibility in how to
implement engagement, NPMs should consider the following principles during the early
engagement period:
Cross-Program Coordination - Importance of early identification of joint areas of focus of
multiple programs to ensure effective cross-program coordination.
Flexibility - Each NPM and Region should tailor an approach for engagement that meets
the mutual needs of EPA, states, and tribes.
Minimal Burden - Ensure the greatest "payoff for EPA, states, and tribes through
efficient collaborative processes.
Transparency and Communications - Document and communicate engagement efforts
(i.e., approach, participants, and results).
Provide regions, states and tribes with adequate notice of early engagement
opportunities and clearly communicate roles and responsibilities.
Provide feedback to regions, states, and tribes on how the results of early engagement
are being considered in the NPM Guidance development process.
Work with Lead Regions, as appropriate, to facilitate information sharing and
engagement efforts.
Use templates to capture state and tribal input.
b. Cross-Agency Strategies: The four cross-agency strategies outlined in the current FY2014-
2018 Strategic Plan (Working Toward a Sustainable Future; Working to Make a Visible
Difference in Communities; Launching a New Era of State, Tribal, Local, and International
Partnerships; Embracing EPA as a High-Performing Organization) are delivering changes to
how the EPA achieves its results by leveraging programs, resources, tools, and expertise
across NPMs and Regions. Cross-agency strategy facilitation teams should engage with NPMs
early on in the NPM Guidance development process, especially during early engagement with
a focus on NPM-specific implementation activities. Over the next year as EPA develops the FY
2018-2022 Strategic Plan, NPMs should consider any updates to cross-agency strategy work.
c. Joint Program Priorities and Collaboration: EPA programs and regions should identify
environmental or health issues requiring active participation of multiple programs and, as
appropriate, address those issues in the NPM Guidances (e.g., implementation strategies;
measures).
d. Environmental Justice (EJ) 2020 Action Agenda Implementation: Consistent with the
Agency's commitment in the EJ 2020 Action Agenda, NPMs and regions will work with states
and tribes to disseminate best practices and develop shared expectations to address adverse
impacts to and disparities in vulnerable, environmentally burdened, and economically
disadvantaged communities. NPMs will reflect these shared expectations in NPM Guidances
and annual commitments.
e. E-Enterprise: During early engagement, NPMs, regions, states, and tribes will discuss the
NPM's updated list of E-Enterprise national and aligned projects for which the respective
NPM is a project lead, to explore potential benefits to regions, states, and tribes from
participating in or coordinating with the work of those E-Enterprise projects, and how the
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projects may currently include or be expanded to include complementary priorities,
processes, or objectives of the regions, states, and tribes.
In addition, the FY 2016 Partnerships Action Plan directs that conversations be held among
these participants, in the regular program discussions of the applicable Regional Division
Directors and NPMs, about further work to advance the projects posted by the EPA Regions
pursuant to that Action Plan. Deputy Chief Financial Officer (DCFO) David Bloom's
memoranda of April 16 and June 9, 2016 (available under "Related Documents" on EPA's
E-Enterprise for the Environment Partnerships Action Plan SharePoint site] give further
details about next steps needed to hold and report on the results of those conversations and
follow-up work.
/ Children's Health: EPA continues to prioritize children's health to ensure that its policies,
programs, activities, and standards address disproportionate risks to children that result
from environmental health risks or safety risks. As such, NPMs and regions will engage with
each other and with states and tribes to inform development of the NPM Guidances and
annual commitments and ensure that they reflect EPA's commitment to children's health.
NPMs especially should consider existing strategic measures that reference children and their
environments.
2. Developing the NPM Guidances: The substantive content of the NPM Guidances are contained in
three major sections: (a) Introduction, (b) National Areas of Focus, (c) Program-Specific Guidance
(optional), and (d) four required appendices - FY 2018 Measures Appendix, Explanation of
Changes between FY 2016-2017 and FY 2018-2019, E-Enterprise Projects, and Key Contacts.
NPMs will affirm 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.
Flexibility enables EPA to work with states and tribes to streamline approaches, reduce workload,
and leverage resources to advance our collective mission. To highlight the importance of
flexibility, NPM Guidances will include the following:
Introduction: Language that affirms and articulates the intent to address flexibility issues
within identified parameters and using current or new agency processes.
National Areas of Focus and Program-Specific Guidance: Language on parameters for
flexibilities, such as clearly identified areas that are discretionary, where appropriate.
Where appropriatein Introduction or National Areas of Focus and Program-Specific
Guidance: Specific guidelines for seeking approval for flexibilities and well-defined processes
for elevating issues.
a. Introduction. The introduction should provide NPM-specific context and include an overarching
message highlighting the most significant areas of focus for FY 2018-2019. The introduction also
should:
Describe how input received from states and tribes during the early engagement process
informed priority-setting and NPM Guidance development
Clearly communicate the availability of flexibilities and associated mechanisms/approaches
to advance the most important environmental and human health work.
Encourage regions, states, and tribes to participate in or coordinate any E-Enterprise
projects where they can benefit from complementary priorities, processes, or objectives.
Commit to at least annual consideration - in collaboration with states and tribes in the
regular program discussions of the applicable Regional Division Directors and NPMs - of
joint projects proposed by the regions for potential scalability as national E-Enterprise
projects or for continuation as E-Enterprise-aligned projects.
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b. National Areas of Focus: Building on the early engagement with states and tribes, NPMs should
identify national areas of focus and associated activities and strategies for FY 2018-2019.
Translate decisions made in EPA's FY 2018 Annual Plan and Budget into operational
strategies and measures to guide regional implementation with states and tribes.
Ensure that all National Areas of Focus align with and reflect the goals and strategies in the
FY2014-2018 EPA Strategic Plan. This includes EPA's current five strategic goals and the
four cross-agency strategies that address sustainability, communities, partnerships, and EPA
as a high performing organization. Note: Development of strategic goals, objectives and
strategies will be underway for FY 2018-2022 EPA Strategic Plan prior to issuance of final
FY 2018-2019 NPM Guidances. OCFO will work with NPMs and Regions to integrate the two
efforts.
Explain to the extent possible how adverse impacts to and disparities in vulnerable,
environmentally burdened, and economically disadvantaged communities are addressed.
Include language on parameters for flexibilities and guidelines for seeking approval for
flexibilities and elevating issues, as appropriate.
c. Program-Specific Guidance (only if essential): This section provides NPMs the opportunity to
discuss program areas not addressed in the previous section and provide program-specific
guidance where NPM direction is critical for the two year period covered by the guidance. This
also should build on the early engagement effort with states and tribes and take into account
input on NPM-specific topics and those requiring coordination and collaboration across multiple
programs. If this section is included in an NPM Guidance, it should contain language on
parameters for flexibilities and guidelines for seeking approval for flexibilities and elevating
issues within specific programs, as appropriate.
d. Required Appendices
FY 2018 Measures Appendix: NPMs will use the FY 2018 NPM Guidance Measures Appendix
Template (available on the NPM Guidance SharePoint Site] to communicate new, continued,
revised, or discontinued measures, indicators, FY 2018 planning targets, and any
comments/clarification.
Explanation of Changes between FY 2016-2017 and FY 2018-2019: NPMs should use the
Explanation of Changes between FY 2016-2017 and FY 2018-2019 Template (available on the
NPM Guidance SharePoint Site] to provide the rationale, context and scope of changes from
the FY 2016-2017 NPM Guidance and FY 2017 Addendum to national areas of focus,
program-specific guidance, activities, measures, and grant guidance.
E-Enterprise Projects: As in the FY 2016-2017 NPM Guidances, each NPM Guidance will
use the E-Enterprise Projects Template (available on the NPM Guidance SharePoint Site] to
update their list of E-Enterprise national and aligned projects for which the respective NPM
is a project lead.
Key Contacts: NPMs should use the Key Contacts Template (available on the NPM Guidance
SharePoint Site] to identify the key contacts for each national area of focus and program
area.
3. Reviews
a. Internal Agency Review: EPA will conduct an internal agency-wide review prior to
disseminating draft NPM Guidances for public review and comment. The internal review
provides an important opportunity for agency-wide vetting. The internal draft NPM Guidances
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and the Internal Comments and Response to Comments Template will be posted on the NPM
Guidance SharePoint Site.
During the internal review period, NPMs will engage with internal commenters, as needed, to
ensure input is understood clearly and considered fully.
b. Public Review: The draft FY 2018-2019 NPM Guidances will be posted to the NPM Guidance
website for a one month public review and comment period.
In preparation for the public comment period, NPMs will use the templates available on
the NPM Guidance SharePoint Site to prepare and submit to OCFO a Summary of Key Changes
for States and a Summary of Key Changes for Tribes.
These summaries should address significant additions, changes, deletions, and work-
sharing/streamlining opportunities.
The summaries will be posted with the draft FY 2018-2019 NPM Guidances on the
NPM Guidance website to facilitate engagement during the public review period.
Draft NPM Guidances, Summary of Key Changes for States, and Summary of Key
Changes for Tribes.
During the public comment period, NPMs and Regions will:
Clearly communicate to stakeholders the objectives of the review process and
broadly publicize the opportunity to comment
Engage with states, tribes, and other external stakeholders to discuss key changes
from the FY 2016-2017 NPM Guidances and the FY 2017 Addendums.
Participate in national teleconference call(s) for tribes to provide an overview of the
process for commenting on the draft FY 2018-2019 NPM Guidances and discuss key
changes that may affect tribes.
States, tribes, and other interested parties may submit comments using the External
Comments and Response to Comments Template, which also will be posted on the NPM
Guidance website.
NPMs will use this template to respond to all comments from states, tribes, and other
interested parties by providing a brief explanation of how comments were addressed
in the final FY 2018-2019 NPM Guidances.
The responses to public comments are posted with the final NPM Guidances; they
must be Section 508 compliant and have a NSCEP number.
IV. FORMAT REQUIREMENTS FOR NPM GUIDANCES
When developing draft and final NPM Guidances, NPMs should consult and follow the EPA's Grammar,
Style and Usage Guide. NPMs should use the § 508 compliant NPM Guidance Template, which will be
available on the NPM Guidance SharePoint Site, and which adheres to the following outline:
1. Paginated Table of Contents: NPM Guidances must contain a paginated table of contents.
2. NPM Introduction: The Introduction should include a sentence linking to OCFO's NPM Guidance
Overview, which will be posted on the NPM Guidance website. The Introduction should be no longer
than three pages.
3. FY 2018-2019 National Areas of Focus Guidance: The guideline is up to eight national areas of
focus; however, NPMs can include additional national areas of focus if they determine doing so is
essential for advancing EPA's mission. The guideline is no more than 2-5 pages for each national
area of focus using the following format:
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Short Title of National Focus
Description: Briefly describe the national area of focus for the two upcoming fiscal years.
Activities: List the activities 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, NPMs will describe the key measure(s) associated with the national
area of focus and clarification necessary. At a minimum, NPMs should cite where in the Measures
Appendix the supporting measures are described [e.g., "See ACS measures with code numbers
(insert #) in Appendix # on pages #."]
4. FY2018-2019 Program-Specific Guidance (Optional): NPMs may discuss program areas not
addressed in the previous section. 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 activities 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 #."]
5. Appendices: Required appendices to the draft and final FY 2018-2019 NPM Guidances are: FY
2018 Measures Appendix, Explanation of Changes between FY 2016-2017 and FY 2018-2019, E-
Enterprise Projects, and Key Contacts. NPMs will use the § 508 compliance templates located on
the NPM Guidance SharePoint Site to prepare these documents. NPMs can include additional
attachments/appendices to provide supplemental information, as needed.
V. 508 COMPLIANCE AND PUBLICATION NUMBERS
Each NPM is required to submit its respective draft and final FY 2018-2019 NPM Guidances to OCFO in
both Word and PDF format compliant with § 508 of the U.S. Rehabilitation Act (for detailed instructions,
see EPA Web Workgroup on Accessibility).
To understand what is required to maintain § 508 compliance, OEI offers Introduction
to Accessible Microsoft Word 2013, Introduction to PDF Accessibility, Advanced Accessibility for
PDFs and other pre-recorded and live webinars. To request additional training, contact OEI
Section 508 Program at section508@epa.gov. To ensure draft and final NPM Guidance documents
submitted to OCFO are § 508 compliant, NPM Planners are advised to contact your respective
Section 508 Liaison and/or Web Council Member for guidance, which may include assistance. If in-
house assistance is unavailable, NPMs may purchase the Web and Applications Development
Working Capital Fund service to perform § 508 compliance. OCFO encourages each NPM Planner
to determine your preferred approach early and make the appropriate arrangements. Regardless
of selected approach, NPM Planners should build in the lead time required to ensure documents
are § 508 compliant.
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The draft and final FY 2018-2019 NPM Guidances also must include a National Service Center for
Environmental Publications (NSCEP) number. NPMs can request a NSCEP number via the NSCEP
Website. NPMs should display the NSCEP number on the cover of their respective NPM Guidance.
OCFO's Web Editor-in-Chief will return noncompliant documents to each NPM's respective Section
508 Liaison and Web Council Member for analysis and resolution. OCFO will not post NPM
Guidance documents to the NPM Guidance website until they are § 508 compliant and have a
NSCEP number.
VI. ANNUAL COMMITMENT SYSTEM (ACS)
EPA will use the Annual Commitment System (ACS) to track annual headquarters and regional
performance information and results. While 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
FY 2018 regional commitments. A user manual and instructions for entering information in ACS is found
at http://intranetepa.gov/ocfo/acs. OCFO encourages the Agency to use EPA's Performance Dashboard to
analyze and evaluate performance information tracked in ACS.
OCFO is developing a new agency-wide performance system as part of EPA's new Budget Formulation
System (the new Budget Automation System), which will replace ACS in 2017. OCFO will provide an
update to this guidance when the new system is launched.
VII. ADJUSTING AND REPORTING FY 2017 ANNUAL COMMITMENTS
1. Mid-Year FY2017 Commitment Adjustments: OCFO emphasizes that mid-year commitment
adjustments are not a re-opening of the FY2017 bidding process. Adjustments are warranted on an
exception-only basis. There are many valid reasons for missing a commitment (which can be
explained atend-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 May 2017 for NPMs and regions to enter mid-year
adjustments. An adjustment is permitted only in those limited cases where both the NPM and
region believe it is significant and critical. Commitment adjustments for FY 2017 operational
measures associated with the budget (i.e., budget measure targets) are not allowed, unless the
adjustment aligns the commitment with the budget target following OMB approval of FY 2017
target changes after the commitment was finalized.
NPMs will work with regions on the proposed commitment adjustments and keep changes to a
minimum.
NPMs will submit proposed changes to OCFO (buchard.beth@epa.gov and
murphy. dan@ ep a. go v) using the Mid-Year Adjustments FY 2017 Commitments Template found on
the NPM Guidance SharePoint Site.
2. Reporting FY2017 Results: NPMs and regions should report mid- and end-of-year progress
following issuance of OCFO's reporting and analysis guidances 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.
VIII. ESTABLISHING FY 2018 OPERATIONAL MEASURES AND ANNUAL COMMITMENTS
NPM Guidances govern operational measures that are managed in ACS, many of which align with annual
budget measures. NPMs, along with regions, states, and tribes, should review the FY 2017 operational
measures and consider changes in measures that result in a useful 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
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protecting the environment and human health. NPMs and regions should adhere to the following
guidelines when developing FY 2018 operational measures and commitments:
1. Establishing FY 2018 Operational Measures: Most NPMs will use the FY 2017 operational
measures as the starting point for FY 2018. In December 2016. OCFO will copy FY 2017 annual
commitment measure codes and assignments, text, and additional information in ACS to use as draft
FY 2018 performance measures.
NPMs should adjust the draft FY 2018 measures (e.g., edit, delete or add measures) to reflect any
changes from FY 2017, including consideration of state and tribal input.
Measure adjustments should be consistent with EPA's FY2018 Annual Plan and Budget.
If measures are revised or new measures are added, NPMs should use the OCFO performance
measures guidelines and the Phase I and H supplemental guidance documents, to ensure
accurate and high-quality data for each measure.
FY 2018 planning targets for operational measures generally should not be less ambitious than
FY 2016 actual results or final FY 2017 regional commitments, unless there is a compelling
reason (e.g., policy changes; resource constraints).
Once OCFO posts the final FY 2018-2019 NPM Guidances to the NPM Guidance website in 2017,
NPMs will have one week to finalize operational measure language in ACS.
2. Meaningful Engagement with States and Tribes on Commitment-Setting for FY 2018: From
spring- fall 2017, 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. During this time, NPMs and regions should:
Clearly communicate the purpose of the NPM Guidances in relation to commitment-setting, and
clarify, as needed, the relationship with grant work planning.
Reflect input from states and tribes as the basis for beginning negotiations with NPMs.
3. Entry of Draft FY 2018 Regional Commitments in ACS: 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.
NPMs and regions also should consider past performance, program areas of focus, and budget
realities as they set FY 2018 targets and enter initial bids.
To provide transparency in the commitment process, regions, as appropriate, should consider
identifying contributions from states and tribes in achieving FY 2018 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 2018 regional commitments are due in ACS in summer 2017. and regions must email
OCFO (burchard.beth@epa.gov and murphy.dan@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.
4. Draft FY 2018 Regional Performance Commitments: Sharing draft bids can help 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 in ACS.
To facilitate this, in summer 2017 OCFO will share reports of draft FY 2018 regional performance
commitments with the Environmental Council of the States (ECOS) to distribute to states. These
reports can also serve as a useful tool to facilitate engagement.
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To ensure the reports display only commitments for operational measures relevant to states and
tribes (e.g., commitments associated with grant work plans), NPMs will identify those measures
in ACS by clicking the "Public Access" box in the "Edit" screen.
Prior to distribution to EGOS, OCFO will notify NPM and regional planning contacts and post the
draft FY 2018 regional performance commitment reports to the NPM Guidance SharePoint Site
for review.
During the NPM/regional bidding, regions should 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.
5. Reaching Agreement on Final FY2018 Commitments: Reaching agreement in ACS is the final step
of the FY 2018 commitment-setting process. Performance results will be reported against these
mutually agreed-upon commitments during FY 2018.
Regions should engage with states and tribes to obtain their comments on regional performance
commitments.
NPMs and regions should finalize all bids during fall 2017.
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.
Once NPMs and regions reach agreement on final FY 2018 commitments in ACS, NPMs must
close bidding by checking the "Parties in Agreement (bidding closed)" box in ACS.
NPMs and regions must email OCFO (burchard.beth@epa.gov and murphy.dan@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 Issues for Unresolved FY2018
Commitments Template (available on the NPM Guidance SharePoint Site). OCFO will elevate any
remaining unresolved issues to the DCFO for resolution.
IX, COMPLIANCE WITH FEDERAL CIVIL RIGHTS LAWS
NPMs should coordinate with the Office of Civil Rights (OCR), and the Office of General Counsel (OGC), as
appropriate, to ensure that applicants for and recipients of EPA financial assistance are in compliance
with the civil rights nondiscrimination regulations [Title VI of the Civil Rights Act of 1964 (Title VI),
Section 504 of the Rehabilitation Act of 1973 (Section 504), Section 13 of the Federal Water Pollution
Control Act Amendments of 1972 (Pub. L. 92-500), Title IX of the Education Amendments of 1972 (Title
IX), and the Age Discrimination Act of 1975 (Age Discrimination Act)]. These specific tasks may include:
coordinating efforts on OCR complaint investigations and assistance with post-award compliance review
and/or technical assistance to EPA recipients; review and coordination of EPA's Form 4700-4 (Pre-award
Compliance Review Report for All Applicants and Recipients Requesting EPA Financial Assistance), and
assistance and coordination of any needed pre-award technical assistance to grantees as a result of
grantee responses to Form 4700 questions.
X. GRANTS MANAGEMENT
1. Alignment of Grants Guidance with The Two Year NPM Guidance Process: Considerable
progress has been made in aligning grant guidances with the two-year NPM Guidance cycle.
Alignment of NPM and grant guidances reduces the workload burden for regions, states, and tribes
by streamlining the grant work planning process. The grant guidances listed below are aligned with
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their respective NPM Guidance; grant guidances not listed are issued on other schedules. The
workgroup will continue to work with NPMs to align other grant guidances not listed below.
NPM Grant Guidance
OAR
OW
OW
OW
OW
OCSPP
DEC A
OCSPP/OECA
Effective Use and Distribution of STAG Funds (Air Program State Grants)
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 Guidance
Toxic Substances Compliance Monitoring Cooperative Agreement Program Grant
Guidance (TSCA Sec. 28 & 404)
Joint OPP/OECAFIFRA Sec. 23(a)(l) and (2) Cooperative Agreement Guidance [Note:
The guidance will be updated this Fall 2016, concurrently with the development of the
FY 2018-2019 NPM Guidance.]
2. Compliance with Grants Policies: NPM guidances and grant guidances should comply with the
Office of Grants and Debarment's (OGD) Grants Policy Issuances (GPI). including (but not limited to):
G15-01,12-06 and 13-02 to implementthe grantprocess streamlining principles for State
Continuing Environmental Programs and programs under 40 CFR Part 35 Subpart B.
17-01, (Sustainability in EPA Assistance Agreements). Beginning in FY 2018, NPM guidances
shall include the requirements of GPI 17-01 for sustainability in EPA assistance agreements.
XL CONSOLIDATED LIST OF TEMPLATES (Available on the NPM Guidance SharePoint Site)
Templates for Internal Documents
Mid-Year Adjustments for FY 2017 Commitments
Summary of Issues for Unresolved FY 2018 Commitments
Internal Comments and Response to Comments Template
Section 508 Compliant Templates for Externally Published Appendices and Documents2
NPM Guidance Template
Measures Appendix Template
Explanation of Key Changes between FY 2016-2017 and FY 2018-2019 Template
Key Contacts
Summary of Key Changes for States
Summary of Key Changes for Tribes
Public Comments and Response to Comments Template
E-Enterprise Projects
2 The use of a § 508 compliant template does not obviate the requirement for NPMs to conduct a separate § 508 compliance
review of the completed templates.
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APPENDIX A: KEY MILESTONES
07/19/2016
OCFO will provide an update to this Appendix with specific 2017 target dates once the schedule for
issuing the FY 2018 President's Budget is final.
Target Date
July 26, 2016
July - December
Summer
December 1
January 2 01 7
Spring
June
TBD
TBD
TBD
TBD
NPM Guidance Development
NPMs submit to OCFO a § 508 compliant, one-page timeline on their planned
approach to early engagement with states and tribes on FY 2018-2019 NPM Guidance
development
NPMs solicit input from states and tribes to inform development of the NPM
Guidances
OCFO initiates the consultation and coordination process with tribes on the FY 2018-
20 19 NPM Guidances
NPMs submit to OCFO a§ 508 compliant Summary of Early Engagement that
describes (1) the early engagement process used; and (2) the input received from
states and tribes, including feedback on the most important areas of work
Transition to a New Administration
FY 2018 Annual Performance Plan and Congressional Justification due to Congress
Initial Draft of EPA's Strategic Plan Due to Administration
Internal 2-week EPA review of draft FY 2018-2019 NPM Guidances. Comments
provided to appropriate NPM and OCFO contacts. Draft guidances will be available on
the NPM Guidance SharePoint site
Revised, draft § 508 compliant FY 2018-2019 NPM Guidances due to OCFO
External comment period on the draft FY 2018-2019 NPM Guidances:
States/ECOS/NPM conference calls
National teleconference with tribes
External partners provide comments to appropriate NPM and OCFO contacts
Final § 508 compliant FY 2018-2019 NPM Guidances due to OCFO
Target Date
March 2017
May 22 - June 2
June 9
Summer
FY 2017 Mid-Year Adjustments and Performance Reporting Process
OCFO issues FY 2017 Mid- Year Performance Reporting and Analysis Guidance. NPMs
and regions enter FY 2017 mid-year performance results in ACS
ACS is reopened to allow limited mid-year adjustments to FY 2017 commitments
NPMs notify OCFO of any Mid- Year Adjustments to FY 2017 commitments
OCFO issues FY 20 17 End-of-Year Performance Reporting and Analysis Guidance
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Target Date
December 2016
Spring - Summer
2017
Spring
Summer
Summer
Summer - Fall
Fall
Fall
Fall
Fall
Fall
Fall - Winter
FY 2018 Annual Commitment Process
OCFO copies FY 2017 measures as draft FY 2018 measures in ACS
NPMs finalize text for FY 2018 commitments in ACS
NPMs initiate FY 2018 commitment process in the system by entering a value
(including "0," if applicable) in the "Proposed Bid" field for each commitment
FY 2018 draft regional performance commitments due in ACS. Regions email OCFO
[Burchard.beth@epa.gov and murphy.dan@epa.gov] indicating they have entered
draft FY 2018 regional performance commitments
OCFO shares FY 2018 draft regional commitment reports to facilitate state and tribal
review and comment
NPMs engage regions, states, and tribes in negotiating final FY 2018 regional
performance commitments
Deadline for states and tribes to comment on FY 2018 draft regional commitments
NPMs and Regions begin finalizing FY 2018 commitments, including those that inform
grant work plans
FY 2018 regional final commitment information reflecting DRA approval due in ACS
NPMs and regions reach agreement in ACS on FY 2018 performance commitments
NPMs and regions email OCFO [Burchard.beth@epa.gov and murphy.dan@epa.gov]
indicating DRA/DAA approval of final FY 20 18 performance commitments in ACS, and
acknowledgement of any unresolved FY 18 commitments requiring DCFO
involvement
ACS locked to prevent any adjustments to FY 2018 commitments
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OCFO FY 2018-2019 NPM Technical Guidance
APPENDIX B: KEY CONTACTS
07/19/2016
Project
NPM Guidance
ACS
FY 2018-2022 EPA Strategic Plan
OCFO Lead
Joe Greenblott (Management Advisor)
Beth Burchard (Project Lead)
Dan Murphy
Dominic Nelson
Billy Faggart
Vivian Daub (Management Advisor)
Linda Hicklin (Project Lead)
Tel
202-564-4250
202-564-6981
202-564-3227
202-564-0106
202-564-3576
202-564-6970
202-564-2688
NPM
OAR
OW
OLEM
OCSPP
OECA
OEI
State Grant Work Plans
OCIR/NEPPS
OITA
NPM Planner
Margaret Walters
Marc Vincent
Daniel J. Hopkins
Sharon Vazquez
Venus Reyes
Howard Rubin
Jennifer Vernon
Kim Chavez
Jill Smink
Jennifer Hublar
Michael Osinski
Mike Weckesser
Tel
202-564-4107
202-564-0876
202-564-8626
202-564-1622
202-564-0156
202-566-1899
202-564-6573
202-564-4298
202-540-9196
202-564-5294
202-564-3792
202-564-0324
Region
1
2
3
4
5
6
7
8
9
10
Regional Planner
Sarah Levinson
Kevin Hurley
Danla Boykin
Angela Ithier
Dipesh Fifadara
Morgan Jencius
Mayra Maldonado
Dannell Brown
Richard Sumpter
Stephanie Vuong
Kathy Meltzer
Andrea Westenberger
Tel
617-918-1390
212-637-3420
212-637-3587
215-814-5248
404-562-8286
312-886-2407
312-353-6261
214-665-7279
913-551-7661
303-312-7824
415-972-3714
206-553-6111
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Region
Region 1
Region 2
Region 3
Region 4
Region 5
Region 6
Region 7
Region 8
Region 9
Region 10
HQLead
NEPPS Coordinator
Jennifer Brady
Richard Yue
Tracey Clarke
Angie Washington (Billups)
Morgan Jencius
Dannell Brown
Richard Sumpter
Gerard Bulanowski
Anthony Deloach
Kathy Meltzer
Andrea Westenberger
Alison Kent
Tel
617-918-1698
212-637-3424
215-814-5267
404-562-9943
312-886-2407
214-665-7279
913-551-7661
303-312-6141
303-312-6070
415-972-3714
206-553-6111
202-564-7645
Region/NPM
Region 1 (OCSPP)
Region 2 (OLEM)
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)
HQLead
FY 2015-2016 Lead Region Coordinator
Hugh Martinez
Kristin Giacalone
Michael Dunn
Mary Jo Bragan
Steven Dean
Stacy Murphy
Barbara Nann
Katy Miley
Eric Wortman
Kathy Meltzer
Melissa Winters
Alison Kent
Tel
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
202-564-7645
Region/NPM
Region 1 (RCRA & UST)
Region 2 (OCSPP)
Region 3 (SF - HS)
Region 4 (ORD - RST)
Region 5 (OW)
Region 6 (OEI)
Region 7 (OECA-OGC)
Region 8 (OA - OITA)
Region 9 (OAR)
Region 10 (OARM - OCFO)
HQLead
FY 2017-2018 Lead Region Coordinator3
TBD
Caroline DeDora
TBD
Bobbi Carter
Kate Balasa
Kim Graves
Toni Gargas
Sarah LaBoda
TBD
Idalia Perez
Russell Harmon
Alison Kent
Tel
212-637-3924
706-355-8708
312-886-6027
214-665-6565
913-551-7193
913-551-7424
415-972-3428
206-553-1793
202-564-7645
! The complete list of FY 2 017-2 018 Lead Region Coordinators will be available on the Lead Region Website.
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