SEPA
190B12012
United States
Environmental Protection
Agency
Cross-Cutting Fundamental Strategy
FY 2012 Action Plan Annual Progress Report
Strategy 4: Strengthening State, Tribal, and International Partnerships
Deliver on our commitment to a clean and healthy environment through consultation and shared accountability
with states, tribes, and the global community for addressing the highest priority problems.
Executive Summary
Throughout FY 2012, EPA strengthened its state, tribal, and international partnerships to achieve mutual environmental
and human health goals. As we work together, the relationships must continue to be based on integrity, trust, and
shared accountability to make the most effective use of our respective bodies of knowledge, our existing authorities, our
resources, and our talents. This year's accomplishments highlighted that successful partnerships are based on four
working principles: consultation, collaboration, cooperation, and accountability.
Accomplishment Highlights:
• EPA continued to build on successful efforts to improve communications and dialogue with states and tribes on the
EPA National Program Managers' (NPM) annual guidance, which communicates program priorities, strategies, and
operational measures for the upcoming fiscal year. EPA conducted the first-ever tribal consultation and
coordination process on the FY 2013 NPM guidances and held conference calls with states and with tribes to discuss
the draft documents. During the calls, EPA reviewed the key changes from the prior year based on the President's
FY 2013 budget request and answered the states' and tribes' questions on policy and programmatic matters
impacting the EPA partnership.
• In addition to consulting with our partners on regulatory actions that have federalism impacts, EPA conducted
numerous additional outreach meetings with key associations that represent state and local elected officials. These
meetings provide a unique opportunity for Agency officials to discuss EPA's program and policy priorities and to
facilitate dialogue on the environmental priorities of state and local governments. The meetings are billed as
"conversational," and the associations have provided feedback that this format facilitates a beneficial level of
exchange. In 2012, outreach meetings covered topics such as: (1) Environmental Justice and EPA's Plan EJ 2014,
including Title VI of the Civil Rights Act; (2) the Urban Waters Federal Partnership; (3) EPA's Integrated Municipal
Stormwater and Wastewater Planning Framework; (4) the National Academy of Sciences Green Book Report on
incorporating sustainability into the Agency's principles and decision making; (5) EPA's FY 2013 Budget Priorities;
and, (6) Hydraulic Fracturing, which also included two additional briefings via conference call directly to 130 state
and local government officials.
• EPA established a new partnership with states to ensure that Title VI of the Civil Rights Act is consistently and
effectively implemented for state programs receiving federal financial assistance.
• In FY 2012, EPA reinvigorated the National Tribal Operations Council (NTOC), an EPA-tribal leadership body that
provides advice and guidance to EPA management on national policy and budget issues affecting tribes, by
establishing workgroups to develop strategic action plans for tribal involvement in energy extraction, hydraulic
fracturing, climate change adaptation, and reducing administrative burdens on the tribal grant application process.
• The Office of Water (OW) continued to meet at least once annually with each of the federal partners that are
addressing safe drinking water and basic sanitation needs in Indian Country, including EPA, the Indian Health
Service, the U.S. Department of Agriculture-Rural Development, and others. With EPA as a member, the multi-
agency Tribal Infrastructure Task Force (formed to address safe drinking water and basic sanitation needs in Indian
FY 2012 Annual Progress Report: Strengthening State, Tribal, and International Partnerships 1
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Country) developed a compilation of best practices that tribal water and wastewater utilities can use to ensure
longevity of the utility systems.
• EPA's Region 8 provided technical assistance to improve tribal grants and financial management, resulting in
removal of two Tribes (Oglala Sioux and Rosebud Sioux) from the high-risk grantee designation. This is the
culmination of more than four years of effort with each Tribe. These significant improvements were made through
the combined efforts of the environmental program offices, the finance offices, and tribal leadership of both Tribes.
• EPA's Region 4 successfully reinstituted the Regional Tribal Advisory Workgroup which meets monthly to discuss and
collaboratively address tribal issues and concerns. In addition, in consultation with Region 4 tribes and consistent
with the EPA's "Policy on Consultation and Coordination with Indian Tribes," a uniform approach was developed to
identify Regional program activities appropriate for consultation, define the consultation process and roles, and
establish a Regional reporting process to ensure accountability and transparency.
• In May 2012, EPA, joined by the Secretary of Commerce, Secretary of Agriculture, the U.S. Trade Representative, and
other leaders, announced EPA's new export-promotion strategy which is designed to promote, through web portals
and in international venues, environmental solutions designed and manufactured by U.S. companies, and which also
serves to demonstrate that environmental standards stimulate new technologies, manufacturing, and jobs.
Challenges:
• Issuance of the draft General Assistance Program (GAP) Guidebook in FY 2012 was of significant interest to tribal
governments across the country. As a result, the initial tribal consultation period was extended twice, allowing for a
total of 6 months of tribal engagement with EPA on the Guidebook in FY 2012. EPA has substantially revised the
Guidebook based on feedback and is launching a second round of tribal consultation in early FY 2013. The workload
for this effort has been sizeable for staff across the Agency in headquarters and the Regions. The new Guidebook
(to be issued in a revised guidance) will bring significant changes and improvements to how the program is managed
and implemented. These changes have been challenging to communicate both internally and externally; however,
EPA remains optimistic that the changes will result in better environmental protection and greater accountability for
the resources associated with the GAP program.
• As tribal governments continue to build capacity to carry out new program delegations and responsibilities, EPA will
continue to build the GAP management framework that promotes and measures progress in tribal capacity building.
• Ongoing state and tribal and potential future federal budget constraints pose on-the-ground challenges for EPA,
tribes, and the states in implementing the nation's environmental programs.
• The oversight of state delegations and improving coordination with federal and state agencies have been identified
as Agency management challenges in 2008 and 2011, respectively, by the IG and GAO. EPA is taking actions on
multiple fronts-including efforts articulated in this action plan-to enhance its collaborations with
intergovernmental partners and to ensure sustained attention by senior Agency leadership.
FY 2012 Annual Progress Report: Strengthening State, Tribal, and International Partnerships
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FY 2012 Performance Summary
Strategy 4: Strengthening State, Tribal, and International Partnerships
FY 2012 Action Plan Activity
Status/Explanation
= Activity Complete
With States
1. Continue Agency consultations with state (and local)
elected officials on EPA rulemakings and policies
(Supports Principles 1 and 4).
Conduct rule-specific consultations with the ten
major state and local government associations for
regulatory actions that have federalism implications
(i.e., impose substantial compliance costs on
government entities or preempt state or local law),
as defined in "EPA's Action Development Process:
Guidance on Executive Order (E.O.) 13132
(Federalism)."
Conducted consultations in three key regulatory and
policy areas: Steam Electric Utility Effluent Guidelines
and Limitations Rule; Waters of the U.S., and Lead and
Copper in Drinking Water. Intergovernmental
organizations received timely and meaningful access to
Agency rule development processes at critical decision
points. Consultations with EPA's state and local partners
increased transparency and accountability, which will
improve environmental and public health outcomes.
Implement and report on EPA's progress related to
commitments made in "U.S. Environmental
Protection Agency: Implementing the Presidential
Memorandum on Administrative Flexibility" and the
Agency's E.O. 13563 Implementation Plan for
retrospective review of existing rules.
(Note: The President's Administrative Flexibility
memo requires Agencies to work with state, tribal,
and local governments to identify opportunities to
improve efficiency and streamline administrative
requirements. E.O. 13563 directs Agencies to
conduct a retrospective review of existing rules to
harmonize and align redundant and overlapping
requirements.)
EPA is publicly reporting on its progress related to the
regulatory actions taken in response to the Presidential
Memorandum on Administrative Flexibility and E.O.
13563 at
www.epa.gov/regdarrt/retrospective/history.html.
EPA worked with the Department of Transportation
(DOT) and Housing and Urban Development (HUD) to
further cooperation and provide additional flexibility as
part of the ongoing Sustainable Community Partnership.
EPA and the Environmental Council of the States (ECOS)
established a pilot program to improve regulatory
implementation. The pilot will seek effective ways to
help states plan for and implement new federal
regulations. Two regulations have been selected for the
pilot: the 2012 PM2.5 National Ambient Air Quality
Standard (NAAQS); and the Effluent Guidelines Revisions
to Address Discharges from Unconventional Extraction in
the Oil and Gas Industry including Coalbed Methane and
Shale Gas.
EPA collaborated with states in developing a new policy
to ensure the timely award and utilization of EPA grant
funds to states. Key aspects of the new policy include:
(1) a goal to obligate all grant funds in the first year of
availability; (2) streamlining the state grant process from
workplan negotiation to award; and, (3) accelerating
grant outlays and reducing the unexpended
appropriations in awarded grants.
FY 2012 Annual Progress Report: Strengthening State, Tribal, and International Partnerships
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FY 2012 Performance Summary
Strategy 4: Strengthening State, Tribal, and International Partnerships
FY 2012 Action Plan Activity
Status/Explanation
= Activity Complete
2. Use the National Environmental Performance
Partnership System (NEPPS) as a platform to improve
EPA's working relationship with the states (Supports
Principles 1, 2, and 3).
Work with states through the EPA-State
WorksharingTask Force to identify, develop, and
make available to EPA Regions and states a list of
worksharing best practices. Investigate ways to
make EPA's expertise available to assist states
through personnel and information/data exchange
and training, and provide recommendations to the
EPA Executive Management Council by September
2012.
The Task Force published its first report, Prohibitions,
Areas of Caution, and Recommendations to Enhance
Worksharing Opportunities, completed a draft final
report that outlines worksharing core principles and best
practices, and developed an initial list of EPA training
opportunities currently available to state employees.
The Task Force also began working with EPA's National
Training Officer to identify other ways to expand training
opportunities for states, which will be completed in FY
2013.
Establish an Agency-wide workgroup (National
Program Managers, Regions, and HQ support offices)
to plan and implement an Agency-wide effort to
collect available information to define, describe, and
assess EPA's processes, practices, and tools for
overseeing state delegations and authorizations. The
workgroup will report its findings to the Deputy
Administrator and propose options for next steps as
needed to ensure the Agency is carrying out its
oversight responsibilities in a coordinated,
transparent, and accountable manner.
In July 2012, EPA convened an Agency-wide workgroup
comprised of national program managers for the
National Pollutant Discharge Elimination System
(NPDES), Clean Air Act (CAA), and Resource Conservation
and Recovery Act (RCRA) programs, Regions, and
headquarters support offices. The workgroup compared
current tools and practices for oversight for each media
permitting program. The workgroup also considered
emerging areas of state oversight concern, such as
financial and human resource constraints caused by the
economic downturn. The workgroup continues to
analyze the key similarities and differences between
NPDES, CAA, and RCRA permitting programs, and is
identifying options for improving communication
between states and EPA, increasing data availability, and
making the results of oversight transparent to permit
writers, oversight entities, and other stakeholders.
In early FY 2013, the workgroup will report on its
progress to the Deputy Administrator and propose
options for improving the coordination, transparency,
and accountability of EPA's oversight of state permitting
programs. Work on this effort will continue through FY
2013.
FY 2012 Annual Progress Report: Strengthening State, Tribal, and International Partnerships
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FY 2012 Performance Summary
Strategy 4: Strengthening State, Tribal, and International Partnerships
FY 2012 Action Plan Activity
Status/Explanation
= Activity Complete
3. Improve the effectiveness and efficiency of state-federal
interactions and facilitate the exchange of data with
states (Supports Principles 1, 2, and 3).
Building on the Business Process Improvement (BPI)
tools and training identified with Environmental
Council of the States (ECOS) and other state
partners, the EPA will identify a list of candidate
processes for EPA-State BPI events and continue to
share learning for BPIs nationally through
development of a Lean Government training options
guide and a BPI methods guide. (September 2012)
EPA has engaged in three national priority BPI processes
and events for the NPM Guidance (Office of the Chief
Financial Officer), Grants Transformation (Office of
Administration and Resources Management), and the
State Implementation Plan (SIP) process (EPA Region 10
and the State of Washington). EPA continues to share
learning for BPIs nationally through release of its Lean
Government Starter Kit (version 3.0), which includes
Lean methods guidance, and has developed a training
guide, Considerations in Building Lean Capacity through
Training, for use by EPA and its partners.
• Expanding on collaborations with states to provide
more transparent information on the performance
of state enforcement programs, Office of
Enforcement and Compliance Assurance (OECA) will
expand its interactive web application to include
National Comparative Maps and State Dashboards
from both the Clean Air Act and Resource
Conservation and Recovery Act, and develop
prototypes for the Safe Drinking Water Act, and the
Federal Insecticide, Fungicide, and Rodenticide Act
(FIFRA). (September 2012)
State dashboards for the Clean Water Act (CWA), RCRA,
and CAA enforcement programs were released to the
states and Regions for testing, and will be finalized in
December 2012. The same prototype can be used for
other state programs.
Increase the number of most critical EPA program
information systems considered to be "Exchange
Network Ready" from 5 at end of FY 2011 to 9 (out
of a total of 10).
(Note: Network Readiness, as defined in the
Exchange Network Action Plan, is measured for each
information system and indicates that the EPA has
removed all technology barriers from state partners
being able to implement that data flow.)
With the successful deployment of the Exchange
Network Services Center, additional flows became
"network ready." Additional data flows include Air
Quality Systems, Beaches, Safe Drinking Water
Information System (SDWIS), and RCRAInfo.
With Tribes:
1. Coordinate with Regions and tribal partners to
implement specific programmatic steps outlined in the
new General Assistance Program (GAP) Guidebook to
help build capacity for environmental programs
(Supports Principles 1 and 2). (September 2012)
[Placeholder language for more specific outcome
pending finalization of GAP guidebook effort]).
EPA is implementing many of the changes identified in
the GAP Guidebook through GAP Online and individual
workplan negotiations. While consultation with Tribes
on the GAP Guidebook extended longer than
anticipated, it will be final by April 30, 2013, which will
be in time to affect grant work plans negotiated in the FY
2014 funding cycle for activities in FY 2015.
FY 2012 Annual Progress Report: Strengthening State, Tribal, and International Partnerships
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FY 2012 Performance Summary
Strategy 4: Strengthening State, Tribal, and International Partnerships
FY 2012 Action Plan Activity
Status/Explanation
= Activity Complete
• By implementing the steps laid out in the
Guidebook, tribes can expand their environmental,
monitoring, and assessment programs. As a result,
and as part of the Tribal Data Management Strategy,
increase the number of tribes reporting data to the
EPA through the Exchange Network from 88 to 100.
(September 2012)
With the successful deployment of the Exchange
Network Services Center, 113 tribes are now using
Exchange Network mechanisms to report priority data to
EPA.
2. The American Indian Environmental Office (AIEO) and
Agency Tribal Consultation Advisors (TCAs) develop
specific implementation guidelines for carrying out the
EPA "Policy on Consultation and Coordination Guidance
with Indian Tribes" (Supports Principle 2 and 3).
(January 2012)
AIEO and TCAs have developed several successful tools,
in addition to guidelines, to implement the Policy.
All EPA employees complete the "Working
Effectively with Tribal Governments" training,
ensuring that all employees understand their
connection to our tribal stakeholders. Progress will
be tracked through an in-house database.
(September 2012)
Ninety three percent of EPA on-board employees
successfully completed the newly designed and launched
"Working Effectively with Tribal Governments" training,
which provides guidance to Agency employees on how
to work with tribal governments.
With Other Countries:
1. By September 2012, complete and sign the successor
U.S.-Mexico Border Environment Program 2020
strategic design that will address the most severe
environmental and human health issues in the border
region (Supports Principles 1 and 2).
The Border 2020 Program, signed on August 8, 2012, is
the latest environmental program implemented under
the 1983 La Paz Agreement. It builds on the Border 2012
Environmental Program, emphasizing regional, bottom-
up approaches for decision making, priority setting, and
project implementation to address the environmental
and public health problems in the border region. EPA
successfully achieved the six Border 2012 goals that
addressed public health and environmental protection
along the US-Mexico Border, including cleaning up over
12 million scrap tires, collecting more than 73 metric
tons of unused pesticides, and removing over 673,000
tons of trash and 570 tons of e-waste.
2. To improve effectiveness of the Submission on
Enforcement Matters (SEM) process of the Commission
for Environmental Cooperation (CEC), complete SEM
modernization recommendations and submit for
Council vote at July 2012 session, and (assuming
adoption) commence implementation by September
2012.
SEM Trilateral Task Force proposals were cleared by the
CEC Secretariat, presented to the CEC Joint Public
Advisory Committee and the public, and adopted at the
July 2012 Council Session.
FY 2012 Annual Progress Report: Strengthening State, Tribal, and International Partnerships
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