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Classification No.: 5700.7

Effective Date: 01/01/2005

Review Date: 01/01/2007

Environmental Results under EPA Assistance Agreements 

1. PURPOSE.

This Order establishes Environmental Protection Agency (EPA) policy for addressing

environmental results under EPA assistance agreements, including grants and cooperative

agreements.

2. BACKGROUND.

The mission of EPA is to protect human health and the environment. To help carry out its

mission, EPA awards approximately one-half of its budget annually in assistance agreements to

State, Tribal, local government, educational institution, and non-profit partners. Goal 5 of

EPA’s Grants Management Plan (GMP), “Support Identifying and Achieving Environmental

Outcomes,” explicitly recognizes the importance of linking assistance agreements to the

Agency’s performance goals and includes specific objectives to ensure that assistance agreement

solicitations, work plans, and decision memoranda discuss anticipated environmental results and

how they will be measured. 

Goal 5 was developed, in part, to address criticism of EPA for failing to consider, at the preaward stage, how proposed assistance agreements will contribute to achieving the Agency’s

strategic goals. For example, in 2001, the Government Accountability Office concluded that

EPA programs treated the Agency’s strategic goals under the Government Performance Results

Act (GPRA) as a clerical tool for categorizing grants after funds had been awarded as opposed to

a guide for selecting which grants to award. In audit reports issued in 2002 and 2003, the Office

of the Inspector General found that many of the work plans it reviewed focused on short-term

procedural results and/or lacked negotiated environmental outcomes. The Office of

Management and Budget has expressed similar concerns in its Program Assessment Rating Tool

reviews of EPA grant programs. Further, in hearings before the House Transportation and

Infrastructure Committee and Senate Environment and Public Works Committee, Congress has

questioned whether Agency grants are achieving environmental benefits for the taxpayer. 
Approved: 11/30/2004

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This Order is intended to implement GMP Goal 5 objectives by ensuring that EPA assistance

agreements are results-oriented and aligned with the Agency’s strategic goals. 

3. EFFECTIVE DATE.

Except as may be specified below, this Order applies to all non-competitive funding

packages/funding recommendations submitted to the Grants Management Offices after January

1, 2005, all competitive assistance agreements resulting from competitive funding

announcements issued after January 1, 2005, and competitive funding announcements issued

after January 1, 2005.

4. POLICY.

It is EPA policy, to the maximum extent practicable, to: 1) link proposed assistance agreements

to the Agency’s Strategic Plan/GPRA architecture; 2) ensure that outputs and outcomes are 

appropriately addressed in assistance agreement competitive funding announcements, work

plans and performance reports; and 3) consider how the results from completed assistance

agreement projects contribute to the Agency’s programmatic goals and objectives.

5. DEFINITIONS.

a. The term “outcome” means the result, effect or consequence that will occur from carrying out

an environmental program or activity that is related to an environmental or programmatic goal or

objective. Outcomes may be environmental, behavioral, health-related or programmatic in

nature, must be quantitative, and may not necessarily be achievable within an assistance

agreement funding period. 

b. The term “output” means an environmental activity, effort, and/or associated work products

related to an environmental goal or objective, that will be produced or provided over a period of

time or by a specified date. Outputs may be quantitative or qualitative but must be measurable

during an assistance agreement funding period. 

6. COMPETITIVE FUNDING ANNOUNCEMENTS.

a. Section I of all competitive funding announcements for assistance agreements must (1)

describe the linkage between the work intended to be accomplished under the assistance

agreement and EPA’s Strategic Plan/GPRA Architecture, and (2) contain a concise discussion of

any expected outputs and outcomes.

b. All competitive funding announcements for assistance agreements must include ranking

criteria for evaluating the applicant’s plan for tracking and measuring its progress toward

achieving the expected outputs and outcomes identified in Section I of the announcement.
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c. All competitive funding announcements for assistance agreements issued after January 1,

2006, must include ranking criteria for evaluating the applicant’s past performance in reporting

on outputs and outcomes. 

d. EPA’s Grants Competition Advocate may issue such guidance as may be necessary to

implement the requirements of this Section, including guidance on the evaluation of applicants

under paragraph c. that lack past performance history.

7. ASSISTANCE AGREEMENT WORK PLANS.

a. Program offices, in negotiating an assistance agreement work plan, must ensure that the work

plan contains well-defined outputs and, to the maximum extent practicable, well-defined

outcomes. For State and Tribal assistance agreements under 40 C.F.R. Part 35, Subparts A and

B, program offices may satisfy this requirement by ensuring compliance with 40 C.F.R.

§§35.107 (State and local government work plans) and 35.507 (Tribal work plans). 

b. Prior to approving an assistance agreement work plan, program offices must ensure that they

can link the workplan to EPA’s Strategic Plan/GPRA architecture as required by Section 8 of

this Order.

c. Appendix A of this Order provides guidance on outputs and outcomes and linking work plans

to EPA’s Strategic Plan/GPRA architecture. 

8. ASSISTANCE AGREEMENT FUNDING PACKAGES.

a. Program offices must include in the funding package/funding recommendation for a proposed

assistance agreement a description of how the program/project fits within the Agency’s Strategic

Plan/GPRA architecture. The description must identify all applicable EPA strategic goal(s),

objective(s), and where available, sub-objective(s), consistent with the appropriate Program

Results Code(s). 

b. The description must also contain an assurance from the program office that: (1) it has

reviewed the assistance agreement work plan; and (2) the work plan meets the requirements of

Section 7(a) of this Order.

c. Except for State and Tribal assistance agreements under 40 C.F.R. Part 35, Subparts A and B,

award officials must include in assistance agreements the applicable term and condition on

recipient performance reporting specified in Appendix B of this Order, or a program-specific

term and condition approved by the Director of the Office of Grants and Debarment.
Approved: 11/30/2004

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9. RECIPIENT PERFORMANCE REPORTING AND EPA REVIEW.

a. Program offices must assure that interim and final performance reports submitted by

recipients under 40 C.F.R. §§30.51 and 30.71, and interim and final construction and nonconstruction grant performance reports submitted by recipients under §§31.40 and 31.50 (i.e.,

Monitoring and Reporting Program Performance and Closeout, respectively), adequately address

progress in achieving agreed-upon outputs and outcomes. This includes ensuring that

performance reports provide a satisfactory explanation of why outcomes or outputs were not

achieved.

b. For State and Tribal program grants under 40 C.F.R. Part 35, Subparts A and B, program

offices may satisfy the requirements of this Section by ensuring compliance with 40 C.F.R. §§

35.115 and 35.515 (Evaluation of Performance).

c. Program offices must review recipient performance reports to determine whether the recipient

achieved the outputs and outcomes contained in the assistance agreement work plan and

document this review in the official project file.

10. ADVANCED MONITORING.

In conducting advanced monitoring under EPA Order 5700.6 (Policy on Compliance, Review

and Monitoring), program offices must assess the recipient’s progress in achieving the outputs

and outcomes set forth in the assistance agreement work plan. In accordance with guidance

issued by the Director of the Grants Administration Division, program offices must record the

results of this assessment in the Grantee Compliance Database.

11. REVIEW AND REPORTING OF RESULTS INFORMATION. 

a. Program offices must report on significant results information from completed assistance

agreements through reporting processes established by the National Program Manager.

b. National Program Managers must report significant results information from completed

assistance agreements as part of the Agency’s Annual Report process and in their internal

evaluation systems.

c. The Office of Grants and Debarment will convene an Agency-wide work group in Fiscal Year

2005 to examine existing EPA systems for collecting results information from assistance

agreements and identify ways to better integrate those systems. This Order will be revised as

appropriate to reflect the results of the work group. Pending completion of the work group

process, program offices must retain, at a minimum, paper copies of final performance reports

from completed assistance agreements.
Approved: 11/30/2004

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12. OFFICE OF GRANTS AND DEBARMENT REVIEWS.

The Office of Grants and Debarment will assess compliance with the requirements of this Order

through its Comprehensive Grants Management Reviews.

13. COMPLIANCE WITH THE FEDERAL GRANT AND COOPERATIVE 

 AGREEMENT ACT AND THE PAPERWORK REDUCTION ACT.

a. Nothing in this Order authorizes EPA to treat assistance agreements like contracts. Under the

Federal Grant and Cooperative Agreement Act, and associated EPA Order 5700.1, the principal

purpose of any proposed EPA assistance agreement must be, unless otherwise provided by 

statute, to support a recipient in carrying out a public purpose authorized by EPA’s statutory

authorities, as opposed to providing goods or services for the direct benefit or use of EPA or the

Federal Government.

b. When implementing this Order, EPA officials must comply with the applicable provisions of

the Paperwork Reduction Act of 1995.

14. ROLES AND RESPONSIBILITIES.

a. Program offices and National Program Managers must ensure that: (1) competitive funding

announcements, work plans, funding packages/funding recommendations, and performance

reports comply with the requirements of this Order; and (2) that the results of assistance

agreements are reviewed and reported in accordance with the requirements of this Order.

b. Grants Management Offices will return funding packages/funding recommendations that do

not meet the requirements of sections 8(a) and (b) of this Order.

c. Award officials are responsible for including in assistance agreements the applicable term and

condition described in section 8(c) of this Order.

d. The Director, Grants Administration Division, will issue guidance for the use of the Grantee

Compliance Database under Section 10 of this Order.

e. The Director, Office of Grants and Debarment, will chair the Agency-wide work group under

Section 11(c) of this Order.

15. WAIVERS.

a. In response to requests submitted by approval officials, the Director, Office of Grants and

Debarment, may grant individual or class waivers from the non-statutory requirements of this

Order, except for requirements under Section 6, where compliance would be impracticable or

otherwise not in the public interest.
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b. In response to requests submitted by approval officials, EPA’s Grant Competition Advocate

may grant individual or class waivers from the ranking criteria described in Section 6 of this

Order if the Program office can demonstrate that such criteria are inappropriate for a particular

competition or program. 

16. SUPERSESSION AND REVIEW.

This Order supersedes Grants Policy Issuance 04-02, “Interim Policy on Environmental

Results.” The Office of Grants and Debarment will review this Order within two years of its

effective date, taking into account the findings of the work group established under Section

11(c).
Approved: 11/30/2004

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APPENDIX A

GUIDANCE ON COMPLYING WITH EPA ORDER 5700.7

Introduction

Each fiscal year, EPA awards, on average, $4 billion in assistance agreements (including

grants and cooperative agreements), over half the Agency’s budget. This funding represents a

key mechanism by which EPA’s national program managers, in partnership with States, local

governments, Indian Tribes, educational institutions, and non-profit organizations, deliver

environmental protection to the public. Assistance agreements cover a wide array of activities,

including support for authorized and delegated programs, clean water and safe drinking water

infrastructure, Superfund clean-ups, research and development, and educating the public on the

Agency’s voluntary programs. EPA has an obligation to manage its assistance agreements for

results in furtherance of the five goals in the Agency’s Strategic Plan. 

Congress, the Government Accountability Office and the Office of Management and

Budget (OMB) have expressed concerns that EPA assistance agreements are not results-oriented

and aligned with the Agency’s strategic goals and objectives. EPA Order 5700.7 addresses these

concerns in two ways. First, it requires EPA assistance programs to focus not only on outputs

(i.e., the activities and/or associated work products performed or conducted by an assistance

agreement recipient during the funding period), but also on outcomes (i.e., the results, effects, or

consequences of a recipient’s activities). Second, it requires program offices to link proposed

assistance agreements to the Agency’s Strategic Plan/Government Performance and Results Act

(GPRA) Architecture and consider how the results of completed assistance agreements

contribute to the achievement of the Agency’s mission. 

The purpose of this Appendix is to provide guidance to program offices in implementing

the Order. The Order affects the assistance agreement process starting from the issuance of

competitive funding announcements to program office review of final performance reports. It

also affects how EPA reports on the results from completed assistance agreements. Further, it

prescribes a term and condition on performance reporting which must be included in assistance

agreements, if applicable. 

A. Understanding the Strategic Plan/GPRA Architecture

EPA’s 2003 Strategic Plan sets out 5 long-term goals for the next 5 years. Each of these

five goals is supported by a series of objectives and sub-objectives that identify, as precisely as

possible, what environmental outcomes or results the Agency seeks to achieve within a defined

time frame using resources expected to be available. The objectives and sub-objectives

established in EPA's Strategic Plan are part of the "GPRA architecture" that is used to measure

the Agency’s progress in meeting its strategic goals.

 
Approved: 11/30/2004

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As noted above, EPA assistance agreements fund a broad range of activities designed to

help achieve the Agency’s strategic goals. Some of these activities will produce results that have

a direct, quantitative or immediate impact on the environment. Others will generate results that

are best expressed in terms other than environmental change. In evaluating proposed assistance

agreements, it is therefore important for project officers to understand the purpose and nature of

the activity being funded and its relationship to, and role in furthering, the Agency’s strategic

goals. This understanding can provide insight on the types of outputs and outcomes that are

appropriate for a particular assistance agreement work plan.

As an initial matter, project officers should work closely with EPA strategic planning and

performance results staff within their respective program offices to develop a clear

understanding of program priorities and how these are reflected in the Strategic Plan/GPRA

Architecture. There are a number of resources available to help project officers understand the

Strategic Plan/GPRA Architecture. These include the EPA Strategic Plan itself, National

Program Guidance, Regional Plans, the Program Project Description Book and a Strategic

Plan/Program Results Code Crosswalk. 

The EPA Strategic Plan can be found at: http://www.epa.gov/ocfo/plan/2003sp.pdf. 

The EPA Program Project Description Book outlines, among other things, the purpose,

statutory goals, objectives of, and the legal authority for, all of EPA’s assistance agreement

programs. It can be found at http://intranet.epa.gov/ocfo/budget/architecture.htm. 

National Program Guidance describes multi-year strategies for each environmental

program in order to accomplish goals set out in EPA’s Strategic Plan. The Guidance can be

found at: http://www.epa.gov/ocfopage/npmguidance/index.htm, EPA’s National Program

Managers issue this Guidance to EPA’s 10 regional offices that help implement the 5 major

environmental programs: air, water, solid waste and emergency response, pollution prevention

and toxic substances, and enforcement and compliance assurance programs. This web site also

includes national guidance issued by the Office of Congressional and Intergovernmental

Relations on Performance Partnerships. 

Regional Plans, found at http://www.epa.gov/ocfopage/regionplans/regionalplans2.htm ,

ensure that regional offices have “road maps” outlining their contributions toward achievement

of the Agency’s goals. Regional Plans: (1) provide a strong basis and rationale for Regional

actions, including activities undertaken in partnership with States and Tribes; (2) focus on

geographic problems and regional/state priorities; (3) directly support achievement of the

Agency’s Strategic Plan; and (4) provide a sound foundation for, and reduce the transaction costs

of, developing operational plans.

The Strategic Plan/Program Results Code Crosswalk is attached to this Appendix. The

Crosswalk summarizes the strategic goals, objectives, sub-objectives, and the Program Results

Codes (PRCs) for every EPA assistance agreement program. 
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In addition to these resources, beginning in January 2005, the electronic Funding

Recommendation of the Integrated Grant Management System will include enhancements linked

to EPA’s PRC budget architecture which program offices may use to help determine the linkage

of proposed assistance agreements to the Strategic Plan/GPRA Architecture. This will ensure

that the Strategic Plan linkage and PRC(s) for a proposed assistance agreement are consistent. 

An example of Strategic Plan linkages and PRCs for a Performance Partnership Grant is

provided on the next page.
Approved: 11/30/2004

NJ PPG

Prog.

PRC # Goal Objective Sub-objective NPM Program/ Project

CAA §105

Radon

101A04E

102A05E

Goal 1:

Clean Air and

Global Climate

Change

Objective 1.1:

Healthier Outdoor Air 

PRC # 101A04E

Sub-objective 1.1.1:

More People Breathing Cleaner Air

A 04- Categorical Grants: State and

Local Air Quality Management

Sub-objective 1.1.2:

Reduced Risk from Toxic Air Pollutants

Objective 1.2:

Healthier Indoor Air

PRC # 102A05E

Sub-objective:

None

A 05- Categorical Grants: Radon

PWSS

UIC

CWA §319(h)

CWA §104b3

CWA §106

201B03E

201B08E

202B01E

202B02E

202B06E

Goal 2:

Clean and Safe

Water

Objective 2.1:

Protect Human Health

PRC # 201B03E

PRC # 201B08E

Sub-objective 2.1.1:

Water Safe To Drink

B 03-Categorical Grants: Public

Water Systems Supervision 

B 08-Categorical Grants: 

Underground Injection Control

Objective 2.2:

Protect Water Quality

PRC # 202B01E

PRC # 202B02E

PRC # 202B06E

Sub-objective 2.2.1:

Improve Water Quality on a Watershed Basis

B 01-Categorical Grants: Nonpoint

Source (Section 319)

B 02-Categorical Grants: Water

Quality Cooperative Agreements

B 06-Categorical Grants: Pollution

Control (Section 106)

RCRA (prog.)

UST

RCRA (correct.

action)

301D11E

301D16E

302D11E

Goal 3:

Land Preservation

and Restoration

Objective 3.1:

Preserve Land

PRC # 301D11E

PRC # 301D16E

Sub-objective 3.1.1:

Reduce Waste Generation and Increase

Recycling

D 11-Categorical Grants: 

Hazardous Waste Financial

Assistance

Sub-objective 3.1.2:

Manage Hazardous Wastes and Petroleum

Products Properly

D 16 - Categorical Grants:

Underground Storage Tanks

Objective 3.2: 

Restore Land

PRC # 302D11E

Sub-objective 3.2.2:

Clean Up and Reuse Contaminated Land

D 11- Categorical Grants: Hazardous

Waste Financial Assistance

Pesticide (Certif.) 401C09E Goal 4:

Healthy

Communities and

Ecosystems

Objective 4.1:

Chemical, Organism, and

Pesticide Risks

PRC # 401C09E

Sub-objective 4.1.1:

Reduce Exposure to Toxic Pesticides

C 09- Categorical Grants: Pesticides

Program Implementation

Pesticide

(enforcement)

501E12E Goal 5:

Compliance and

Environmental

Stewardship

Objective 5.1:

Improve Compliance

PRC # 501E12E

Sub-objective 5.1.3:

Monitoring and Enforcement

E 12- Categorical Grants: Pesticides

Enforcement

NPM:

A = Office of Air and Radiation (OAR) E = Office of Enforcement and Compliance Assurance (OECA)

B = Office of Water (OW)

C = Office of Prevention, Pesticides and Toxic Substances (OPPTS)

D = Office of Solid Waste and Emergency Response (OSWER)
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B. Outputs and Outcomes - General Principles 

Section 5 of the Order defines “outcome” as “the result, effect or consequence that will occur from

carrying out an environmental program or activity that is related to an environmental or programmatic goal

or objective. Outcomes may be environmental, behavioral, health-related or programmatic in nature, must

be quantitative, and may not necessarily be achievable within an assistance agreement funding period.”

Section 5 of the Order defines “output” as “an environmental activity, effort, and/or

associated work products related to an environmental goal and objective, that will be produced or provided

over a period of time or by a specified date. Outputs may be quantitative or qualitative but must be

measurable during an assistance agreement funding period.” Outputs reflect the products and services

provided by the recipient, but do not, by themselves, measure the programmatic or environmental results of

an assistance agreement.

There are two major types of outcomes - end outcomes and intermediate outcomes. End outcomes

are the desired end or ultimate results of a project or program. They represent results that lead to

environmental/public health improvement. A change in water quality and resultant change in human health

or environmental impacts are examples of end outcomes. 

Intermediate outcomes are outcomes that are expected to lead to end outcomes but are not

themselves “ends.” Given that the end outcomes of an assistance agreement may not occur until after the

assistance agreement funding period, intermediate outcomes realized during the funding period are an

important way to measure progress in achieving end outcomes. For example, for an air pollution program

assistance agreement, reductions in pollution emissions may be viewed as an intermediate outcome to

measure progress toward meeting or contributing to end outcomes of improved ambient air quality and

reduced mortality from air pollution. 

While the Order promotes outcome-oriented work plans, it also recognizes that in certain instances,

the nature of the activity itself may necessitate the use of outputs. For example, some basic research

programs may be limited to reporting directly on outputs, such as the conclusions reached, and may not be

able to identify outcomes. 

The relationship between outputs and outcomes is illustrated by the following example. 

I. Assistance agreement for an outreach program to building code officials on radonresistant building techniques: Outputs would include development of a model building code

manual and training sessions on the benefits of radon-resistant construction. Intermediate

outcomes would be the enactment of local building codes and the actual construction of radonresistant houses. This would contribute to an end outcome of improved indoor air quality. See

Final Audit Report: Surveys, Studies, Investigations and Special Purpose Grants, Report

Number 2002-P-0005 at page six.
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Other examples of outputs and outcomes for specific types of assistance agreements are provided in Section

D of this guidance.

C. Competitive Funding Announcements (Section 6)

Section 6 of the Order requires program offices to explain in competitive funding announcements

how proposed assistance agreements will be aligned with EPA’s strategic goals and objectives and the

results anticipated by the Agency. Specific requirements for competitive funding announcements include:

1. A description in Section I of the announcement of the linkage between the work to be

accomplished and EPA’s Strategic Plan/GPRA Architecture (where possible, down to the subobjective level);

S A concise discussion in Section I of the announcement of the expected outcomes/outputs to be

accomplished under the agreement; and 

S Ranking criteria for evaluating an applicant’s plan for tracking and measuring its progress

toward achieving the expected outcomes/outputs identified in Section I of the announcement. 

These requirements apply to competitive funding announcements issued after January 1, 2005

The Order also requires competitive funding announcements to include ranking criteria for

evaluating an applicant’s past performance in reporting on outputs and outcomes. These criteria should

focus on an applicant’s past performance in filing timely progress and final technical reports that adequately

document the achievement of expected outputs and outcomes or satisfactorily explain why the expected

outputs and outcomes were not achieved. Ordinarily, an applicant will be evaluated based on its past

performance in reporting on outputs and outcomes under previous Federal assistance agreements. If

applicants do not have such past performance information, they may be evaluated on past performance in

reporting on outputs and outcomes under previous non-Federal assistance agreements.

The Order delays the effective date of this requirement until January 1, 2006, to allow potential

applicants time to develop a relevant record of past performance if one does not currently exist. EPA’s

Grants Competition Advocate will issue guidance on how to evaluate applicants that have no past

performance history. 

D. Outputs and Outcomes in Assistance Agreement Workplans (Section 7)

Section 7 of the Order directs program offices, when negotiating assistance agreement workplans, to

ensure that the workplans contain not only well-defined outputs, but also, to the maximum extent

practicable, well-defined outcomes. This process is already required for State and Tribal workplans under

40 C.F.R. Part 35 Subparts A and B, and Section 7 extends it to other types of assistance agreements.
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Examples of workplan outputs and outcomes for particular types of assistance agreements include:

C Research and Development, Studies, Surveys, Investigations and Experiments: Outputs: 

Number of experiments or samples, number of reports or publications. Outcomes: 

Advancement in knowledge on the effects of pollution as reflected in a peer reviewed,

scientific journal article.

C Training and Outreach: Outputs: Number of training sessions, number of persons trained. 

Outcomes: Increase in knowledge as demonstrated by pre- and post-training surveys.

C State/Tribal: Outputs: Number of permits issued. Outcomes: Improvement in environmental

quality (e.g. improved air or water quality); Increase in number of areas attaining national

ambient air quality standards.

C Compliance and Enforcement: Outputs: Number of inspections or enforcement actions. 

Outcomes: Increase in number of facilities that reduce emissions or other pollutants; amount

of emissions, pollutants, or risks reduced.

C Special Projects and Demonstrations: Outputs: Number of diesel school buses under

demonstration project replaced or retrofitted with new emission control technology. 

Outcomes: Reduction in tons of emissions from demonstration project.

In negotiating assistance agreement work plans, the Office of Enforcement and Compliance

Assurance has supplemented traditional outputs such as site visits, workshops, mailed outreach material,

hotlines, phone calls, meetings and training sessions with outcomes. Examples of outcomes in these work

plans include:

Changes in awareness or understanding of regulations or compliance:

A. Change in number of facilities whose understanding of environmental regulations has

improved as measured by pre- and post tests at workshops.

• Change in number of facilities whose understanding of environmental regulations has

improved, as indicated by verbal or written responses to surveys. 

Behavioral Changes (regulatory and non-regulatory environmental management changes):

• Change in number of facilities making environmental management changes because of the

compliance assistance received (e.g., self-audits, development of an environmental

management system).
Approved: 11/30/2004

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E. Examples of Acceptable Descriptions In Assistance Agreements Funding Packages (Section 8)

EPA assistance agreements are intended to support activities of the Agency’s governmental (State,

Local and Tribal governments) and non-governmental (educational institutions and non-profit

organizations) partners that advance EPA’s mission. Section 8 of the Order recognizes this principle by

requiring program offices to describe in assistance agreement funding packages how a proposed assistance

agreement is linked to the Agency’s Strategic Plan/GPRA Architecture. Although the Order does not

require recipient workplans to mirror the Strategic Plan/GPRA Architecture, program offices must be able

to demonstrate the linkage between a work plan and the Architecture before an award can be made. 

In developing descriptions under Section 8, a project officer must list all applicable EPA strategic

goals and objectives and, where available, sub-objectives. The project officer must ensure that the PRC(s)

listed on the commitment notice is consistent with the selected strategic goals, objectives and subobjectives. The Strategic Plan/Program Results Code Crosswalk attached to this Appendix is a helpful

resource for identifying the appropriate PRC(s). In addition, the description must contain an assurance that

the program office has reviewed the assistance agreement work plan and that the work plan includes welldefined outputs and, to the maximum extent practicable, well-defined outcomes. For programs using the

Integrated Grants Management System (IGMS), the description should be included in the electronic funding

recommendation. For Headquarters programs awaiting IGMS deployment, the description should be

contained in the assistance agreement decision memorandum.

The following are examples of acceptable descriptions under Section 8 of the Order for major types

of assistance agreements:

Single Goal Project Assistance Agreements

C This project supports Goal 2 (Clean and Safe Water), Objective 2 (Protect Water Quality), Subobjective 1 (Improve Water Quality on a Watershed Basis). Specifically, the recipient will

undertake a study of nonpoint source pollution in a watershed in support of a comprehensive

watershed-based approach to protecting and restoring water resources. The PRC assigned to the

funding for this project is consistent with that strategic goal/objective/sub-objective. The [name of

Headquarters office/division] in the Office of Water has reviewed the work plan for this project and

determined that it contains well-defined outputs, and to the maximum extent practicable, welldefined outcomes. 

• This project supports Goal 1 (Clean Air and Global Climate Change), Objective 1.1 (Healthier

Outdoor Air), Sub-objective 1.1.1 (More People Breathing Clean Air). Specifically, under EPA’s

School Bus USA Assistance Program, the recipient will retrofit all buses newer than the 1995 model

year with certified diesel retrofit technology and use diesel fuel with 30 parts per million sulfur. The

PRC assigned to the funding for this project is consistent with the strategic goal/objective. The

[name of Headquarters office/division] in the Office of Air and Radiation has reviewed the work

plan for this project and determined that it contains well-defined outputs, and to the maximum extent

practicable, well-defined outcomes.
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Multi - Goal Program Assistance Agreements

C This Performance Partnership Grant (PPG) supports the following EPA strategic goals and

objectives: Goal 1 (Clean Air and Climate Change), Objective 1.1 (Healthier Outdoor Air), Subobjectives 1.1.1 (More People Breathing Clean Air) and 1.1.2 (Reduced Risk From Toxic Air

Pollutants), and Goal 2 (Clean and Safe Water), Objective 2.1 (Protect Human Health), Subobjective 2.1.1 (Water Safe to Drink). Specifically, the recipient will carry out a State program of

environmental management which will monitor, abate, and control air and water pollution by

carrying out activities in accordance with the work plan of the grant and the requirements of the

Clean Air and Safe Drinking Water Acts. The PRCs assigned to the funding for this project are

consistent with these strategic goals/objectives/sub-objectives. The [name of Regional

office/division] has reviewed the work plan for this PPG and determined that it contains welldefined outputs, and to the maximum extent practicable, well-defined outcomes.

Tribal Assistance Agreement 

C This project supports Goal 1 (Clean Air and Global Climate Change), Objective 1.1 (Healthier

Outdoor Air), Sub-objectives 1.1.1 (More People Breathing Clean Air) and 1.1.2 (Reduced Risk

from Toxic Air Pollutants) as well as Goal 5 (Compliance and Environmental Stewardship ),

Objective 5.3 (Build Tribal Capacity). In completing this project, the Tribe will identify and

investigate air pollution sources within Tribal lands and prepare possible remediation plans. The

PRCs assigned to the funding for this project are consistent with these strategic

goals/objectives/sub-objectives. The [name of Regional office/division] has reviewed the work plan

for this agreement and determined that it contains well-defined outputs, and to the maximum extent

practicable, well-defined outcomes. 

Research Assistance Agreement

C This project supports Goal 4 (Healthy Communities and Ecosystems), Objective 4.5 (Enhance

Science and Research), Sub-objective 4.5.2 (Conduct Relevant Research). The overall goal of the

proposed project is to quantify key atmospheric transformations that impact the fate of mercury in

transport from sources to receptor sites. In particular, the chemical and physical controls on

gas/particle partitioning and deposition of mercury (Hg) to the earth's surface will be determined.

The PRC assigned to the funding for this project is consistent with these strategic

goals/objectives/sub-objectives. The [name of Research Center/Laboratory] in the Office of

Research and Development has reviewed the work plan for this agreement and determined that it

contains well-defined outputs, and to the maximum extent practicable, well-defined outcomes. 

Outreach Assistance Agreement

C This project supports Goal 4 (Healthy Communities and Ecosystems), Objective 4.2 (Healthy

Communities), Sub-objective 4.2.1 (Sustain and Restore Community Health). In this project, the

grantee will use existing data to identify and target communities at risk, will work to facilitate

access to safe housing for families with children, and will promote lead poisoning prevention

through screening, education, and outreach. The PRC assigned to the funding for this project is
Approved: 11/30/2004

-16-

consistent with these strategic goals/objectives/sub-objectives. The [name of Regional

office/division] has reviewed the work plan for this agreement and has determined that it contains

well-defined outputs, and to the maximum extent practicable, well-defined outcomes.

Training Assistance Agreement

C This project supports Goal 5 (Compliance and Environmental Stewardship), Objective 5.1 (Improve

Compliance), Sub-objective 5.1.3 (Monitoring and Enforcement). The overall goal of this project is

to develop and maintain effective enforcement training for State, local and Tribal government

enforcement personnel in the western region of the U.S. Specifically, the recipient will: 1)

communicate with State, local and Tribal personnel in the western region to determine training

needs: 2) develop training courses to meet the identified needs; and 3) conduct the training courses. 

The PRC assigned to the funding for this project is consistent with these strategic

goals/objectives/sub-objectives. The [name of office/division] in the Office of Enforcement and

Compliance Assurance has reviewed the work plan for this agreement and determined that it

contains well-defined outputs, and to the maximum extent practicable, well-defined outcomes.

F. EPA Review of Recipient Performance Reports (Sections 8 and 9)

Section 8 directs EPA award officials to include a special condition in all assistance agreements,

except for State and Tribal assistance agreements under 40 C.F.R. Part 35 Subparts A and B, requiring

performance reports to provide a comparison of actual accomplishments to agreed-upon outputs/outcomes. 

Award officials must use the special condition outlined in Appendix B of the Order or a program-specific

condition approved by the Director, Office of Grants and Debarment. A similar special condition is not

required for State and Tribal assistance agreements under 40 C.F.R. Part 35 Subparts A and B, which have

their own regulatory process for performance evaluation. 

Section 9 of the Order establishes requirements for program office review of construction and nonconstruction interim and final recipient performance reports for progress in achieving outputs and outcomes

contained in assistance agreement work plans. Under 40 C.F.R. Parts 30 and 31, EPA may require

recipients to submit performance/progress reports as frequently as quarterly but no less frequently than

annually. These regulations also require recipients to provide the Agency with an acceptable final

performance report at the end of a project. Performance reporting for State Revolving Fund capitalization

grants is governed by regulations at 40 C.F.R. Part 35 Subparts K and L. While performance reports are

one way for the Agency to obtain information on a recipient’s progress toward achievement of agreed-upon

outputs and outcomes, program offices may also conduct mid-year and end-of-year reviews to evaluate

recipient performance. 

The review of recipient performance reports is largely the responsibility of the EPA project officer. 

Under Section 9, the project officer must review interim and final performance reports to determine whether

they adequately address the achievement of agreed-upon outputs/outcomes, including providing a

satisfactory explanation for insufficient progress or a failure to meet planned accomplishments. This review

must be documented in the official project file. If a report does not adequately address the achievement of

outputs/outcomes, the project officer should seek further explanation from the recipient and require

appropriate corrective action.
Approved: 11/30/2004

-17-

For State and Tribal program grants under 40 C.F.R. Part 35 Subparts A and B, Section 9

incorporates existing regulatory requirements for evaluating a recipient’s success in achieving agreed-upon

outputs and outcomes (see 40 C.F.R. §§ 35.115 and 35.515). These requirements include a joint evaluation

of recipient performance by the recipient and EPA that provides, among other things, a discussion of

accomplishments measured against work plan commitments. 

In reviewing performance reports, project officers should recognize that it may be difficult for

recipients, in some cases, to demonstrate that their assistance agreements have achieved agreed-upon

outcomes. For example, there may be long lag times before the environmental results of an assistance

agreement become apparent. Similarly, even where desired results are observed, it may be hard to link

those results to the assistance agreement due to the impact of external variables (e.g., activities of other

agencies or individuals). EPA’s Grant Environmental Results Workgroup will be developing further

guidance on these issues.

G. Advanced Monitoring (Section 10)

Section 10 of the Order directs program offices, when conducting on-site reviews or desk reviews

under EPA Order 5700.6, Policy on Compliance, Review and Monitoring, to include an assessment of the

recipient’s progress in achieving the outputs and outcomes set forth in the assistance agreement work plan. 

If the assessment reveals significant problems in meeting agreed-upon outputs/outcomes, the project officer

must require the recipient to develop and implement an appropriate corrective action plan. The results of

the assessment must be documented in the Grantee Compliance Database in a format determined by the

Director of the Grants Administration Division.

H. Reporting of Results Information (Section 11)

National Program Manager Reporting Processes

The Order requires program offices to report significant results information from completed

assistance agreements through reporting processes established by the National Program Managers (NPM). 

The Order does not define ‘significant’ result. While it is reasonable to assume that a result from an

assistance agreement demonstrating a change in environmental or public health condition is significant, the

term is relative to the circumstances affecting it. Programmatic outputs, intermediate outcomes or public

health impacts could all be significant results depending upon when they occur in the life span of an effort

to protect and improve the environment and public health. 

In collaboration with their partners, Regions and NPMs are developing a single coordinated process

for establishing regional annual performance commitments. To complement this process and facilitate the

negotiation between Regions and NPMs, the Office of the Chief Financial Officer initiated in July 2004 an

electronic Annual Commitment System (ACS) which will record and report the draft targets and final

annual performance commitments. The system will capture the smallest number of agreed-upon measures

and indicators necessary to ensure national and regional accountability for results. The process of

developing and reaching agreement on annual commitments over the course of the summer allows time for

EPA regions to engage with States and Tribes before draft commitments become final in September. This

streamlined process will replace the former Memoranda of Agreement process.
Approved: 11/30/2004

-18-

Complementing the ACS are ongoing Agency reporting processes and systems that will continue to

capture important results information. These NPM reporting processes involve, among other things,

information systems that capture environmental and programmatic data, including results information

produced, in part, through activities funded under assistance agreements. This might include the

documentation of findings from independent research projects, input of environmental monitoring data,

milestone tracking on required elements to implement an environmental program, monitoring of source

compliance behavior, etc. The information is usually entered into the systems by recipients or by the

Regional Offices. Examples of existing NPM-specific reporting processes and systems are STORET (OW’s

STOrage and RETrieval System), PCS (OECA’s Water Permit Compliance System), and FREDS

(OAR/OAQPS’s Findings and Required Elements Data System).

Section 11 of the Order establishes an Agency-wide workgroup to identify ways to better integrate

these systems to permit more efficient collection of results information from assistance agreements. 

Pending completion of the workgroup process, program offices must ensure that Agency decision-makers

have access to assistance agreement results information by retaining, at a minimum, paper copies of final

recipient performance reports.

Annual Reporting Process/Internal Evaluation Systems

Section 11 also requires NPMs to report on significant results information from completed

assistance agreements as part of the Agency’s Annual Report process and in their internal evaluation

systems. The Annual Report describes the Agency’s progress toward meeting the Annual Performance

Goals and Measures established in EPA’s Annual Plan. The Annual Report can be found att:

http://www.epa.gov/ocfo/finstatement/apr.htm

The Annual Report describes annual performance goals, annual performance measures for each goal

in the Agency’s Strategic Plan, the Agency’s performance in meeting the annual performance goals, as well

as specific budget and fiscal information. Given that the impacts of EPA actions and those of its recipient

partners are often intertwined, annual progress will usually be described in the aggregate.

In evaluating the contribution of assistance agreements to meeting the Agency’s goals, it is

important to note that investments from assistance agreements in one year often may not produce

environmental results until several years hence. NPMs will need to establish effective internal evaluation

systems to allow them to identify assistance agreement results information that can be considered for the

Annual Report. At a minimum, these systems should involve periodic assessments by NPMs and the

Regional offices/field locations of the status of ongoing assistance agreement programs, including an

evaluation of findings in final performance reports for successful projects.

I. Compliance with Federal Grant and Cooperative Agreement Act and the Paperwork

Reduction Act (Section 13)

Nothing in the Order authorizes EPA to treat assistance agreements like contracts. To comply with

the Federal Grant and Cooperative Agreement Act, the Agency may not use assistance agreements for its

direct use and benefit. Please refer to EPA Order 5700.1 for details.
Approved: 11/30/2004

-19-

The Paperwork Reduction Act of 1995 requires EPA to obtain OMB approval before conducting or

sponsoring a collection of information that uses identical questions to solicit information from ten or more

persons in a twelve-month period, unless the collection is exempt under the PRA statute or OMB

regulations. The PRA applies to any collection of information conducted by the recipient of a cooperative

agreement. The PRA applies to a collection of information under a grant if either one of the following

conditions applies: the Agency has specifically requested the collection, or the terms and conditions of the

grant require EPA to approve the collection or collection procedures. In addition, EPA may be considered

the sponsor if it exercises control over a survey, publicly endorses the survey or gives the appearance of

sponsoring the survey. 

The PRA may also apply when EPA staff obtain environmental results information under this Order. 

The PRA applies to identical questions in any form or format, including paper, oral, electronic, or other

media. For example, the PRA applies if EPA staff collect information using forms, questionnaires, surveys,

e-mails, telephone calls, or other interview techniques. If a collection of information may be subject to the

PRA, staff should determine whether there is an existing OMB clearance that covers it. If there is not an

existing clearance, staff should determine whether they must obtain OMB approval before conducting the

information. EPA is working with OMB to explore ways to streamline the PRA process for assistance

agreements.
2003-2008 EPA STRATEGIC PLAN [Table updated October 19, 2004 (5:10pm)] File printed November 8, 2004 (8:19am)

Goal (1st digit)

Objective

2

nd & 3rddigits

Sub-objective NPM

4

th digit

Program / Project

5

th & 6th digits

PRC # Activity

7

th digit

RPIO

8

th & 9th digits

Goal 1: Clean Air and Global Climate Change

Objective 1.1:

Healthier

Outdoor Air 

Sub-objective 1.1.1:

More People Breathing

Cleaner Air

A 04- Categorical Grants: State & Local Air Quality Manage. 101A04_ D, E AT, HZ, PM

A 17- Categorical Grants: Tribal Air Quality Management 101A17_ D, E

A 45 - Clean Air Allowance Trading Programs 101A45_ B, C, D, E

A 59 - Federal Support for Air Quality Management 101A59_ B, C, D, E

A 61 - Federal Vehicle & Fuels Standards & Certification 101A61_ B, C, D, E

A 71 - Homeland Security: Critical Infrastructure Protection 101A71_ B, C

L 85 - International Capacity Building 101L85C C

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 101_51_ A, B, C, D, E

Sub-objective 1.1.2:

Reduced Risk from Toxic

Air Pollutants

A 04- Categorical Grants: State & Local Air Quality Manag. 101A04_ D, E

A 17- Categorical Grants: Tribal Air Quality Management 101A17_ D, E

A 58 - Federal Stationary Source Regulations 101A58_ B, C, D, E

A 60 - Federal Support for Air Toxics Programs 101A60_ B, C, D, E

A 61 - Federal Vehicle & Fuels Standards & Certification 101A61_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 101_51_ A, B, C, D, E

Objective 1.2:

Healthier

Indoor Air

Sub-objective :

None.

A 05- Categorical Grants: Radon 102A05_ D, E

A 74 - Indoor Air: Asthma Program 102A74_ B, C, D, E

A 75 - Indoor Air: Environmental Tobacco Smoke Program 102A75_ B, C, D, E

A 76 - Indoor Air: Radon Program 102A76_ B, C, D

A 77- Indoor Air: Schools & Workplace Programs 102A77_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 102_51_ A, B, C, D, E

Objective 1.3:

Protect the

Ozone Layer

Sub-objective :

None.

A C4 - Stratospheric Ozone: Domestic Programs 103AC4_ B, C, D, E

A C5 - Stratospheric Ozone: Multilateral Fund 103AC5_ D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 103_51_ A, B, C, D, E

Objective 1.4:

Radiation

Sub-objective 1.4.1: 

Enhance Radiation Protection

A 72 - Homeland Security: Preparedness, Response, & Recovery 104A72_ B, C, D, E

A 97 - Radiation: Protection 104A97_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 104_51_ A, B, C, D, E

Sub-objective 1.4.2: 

Maintain Emergency

Response Readiness

A 98 - Radiation: Response Preparedness 104A98_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 104_51_ A, B, C, D, E

Objective 1.5:

Reduce

Greenhouse

Gas Intensity

Sub-objective :

None.

A 46 - Climate Protection Program 105A46_ B, C, D, E

L 46 - Climate Protection Program 105L46C C

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 105_51_ A, B, C, D, E

Objective 1.6:

Enhance

Science and

Research

Sub-objective 1.6.1:

Provide Science to Support

Air Programs

A 45 - Clean Air Allowance Trading Programs 106A45_ B, C, D, E

A 46 - Climate Protection Program 106A46_ B, C, D, E

A 59 - Federal Support for Air Quality Management 106A59_ B, C, D, E

A 60 - Federal Support for Air Toxic Programs 106A60_ B, C, D, E

A 97 - Radiation: Protection 106A97_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 106_51_ A, B, C, D, E

Sub-objective 1.6.2: 

Conduct Air Pollution

Research

F A5 - Research: Air Toxics 106FA5_ A, D, E

F B4 - Research: Particular Matter 106FB4_ A, D, E

F B9 - Research: Tropospheric Ozone 106FB9_ A, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 106_51_ A, B, C, D, E
2003-2008 EPA STRATEGIC PLAN [Table updated October 19, 2004 (5:10pm)] File printed November 8, 2004 (8:19am)

Goal (1st digit)

Objective

2

nd & 3rddigits

Sub-objective NPM

4

th digit

Program / Project

5

th & 6th digits

PRC # Activity

7

th digit

RPIO

8

th & 9th digits

Goal 2: Clean and Safe Water

Objective 2.1:

Protect

Human

Health

Sub-objective 2.1.1: 

Water Safe To Drink

B 03-Categorical Grants: Public Water Systems Supervision 201B03E E

B 08-Categorical Grants: Underground Injection Control 201B08_ C, E

B 25 - Categorical Grants: Homeland Security 201B25_ C, E

B 53 - Drinking Water Programs 201B53_ B, C, D, E 26, 27, 28, 29,

30, 31, 44, 45

B 71 - Homeland Security: Critical Infrastructure Prot. 201B71_ B, C

B 81 - Infrastructure Assistance: Drinking Water SRF 201B81E C, D, E

B 83 - Infrastructure Assistance: Puerto Rico 201B83E E

C 09-Categorical Grants: Pesticides Program Implementation 201C09_ C, D, E

C 92 - Pesticides: Field Programs 201C92_ B, C, D, E

L 85 - International Capacity Building 201L85C C

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 201_51_ A, B, C, D, E

Sub-objective 2.1.2: 

Fish and Shellfish Safe to

Eat

B 42 - Beach/ Fish Programs 201B42_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 201_51_ A, B, C, D, E

Sub-objective 2.1.3: 

Water Safe for Swimming

B 23-Categorical Grants: Beaches Protection 201B23E E

B 42 - Beach/ Fish Programs 201B42_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 201_51_ A, B, C, D, E

Objective 2.2:

Protect

Water

Quality 

Sub-objective 2.2.1:

Improve Water Quality on a

Watershed Basis

B 01-Categorical Grants: Nonpoint Source (Section 319) 202B01E E

B 02 Categorical Grants: Water Quality Cooper. Agreement 202B02_ D, E

B 06-Categorical Grants: Pollution Control (Section 106) 202B06E C, D, E

B 28 - Categorical Grant: Wastewater Operator Training 202B28E E

B 80 - Infrastructure Assistance: Clean Water SRF 202B80_ C, E

B 78 - Infrastructure Assistance: Alaska Native Villages 202B78E E

B D4 - Surface Water Protection 202BD4_ B, C, D, E

13, 14, 15, 16,

17, 18, 19, 20,

21, 22, 23, 24,

25, 35, 36, 37,

38, 39, 40, 41,

42, 43

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 202_51_ A, B, C, D, E

Sub-objective 2.2.2:

Improve Coastal and Ocean

Waters

B 88 - Marine Pollution 202B88_ B, C, D, E

L 85 - International Capacity Building 202L85B B

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 202_51_ A, B, C, D, E

Objective 2.3:

Enhance

Science and

Research

Sub-objective 2.3.1: 

Apply the Best Available

Science

B D4 - Surface Water Protection 203BD4_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 203_51_ A ,B, C, D, E

Sub-objective 2.3.2:

Conduct Leading-Edge

Research

F A7 - Research: Drinking Water 203FA7_ A, D, E

F C1 - Research: Water Quality 203FC1_ A, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 203_51_ A, B, C, D, E
2003-2008 EPA STRATEGIC PLAN [Table updated October 19, 2004 (5:10pm)] File printed November 8, 2004 (8:19am)

Goal (1st digit)

Objective

2

nd & 3rddigits

Sub-objective NPM

4

th digit

Program / Project

5

th & 6th digits

PRC # Activity

7

th digit

RPIO

8

th & 9th digits

Goal 3: Land Preservation and Restoration

Objective 3.1: 

Preserve

Land

Sub-objective 3.1.1:

Reduce Waste Generation

and Increase Recycling

D 11-Categorical Grants: Hazardous Waste Financial Assistance 301D11_ C, D, E

D A1 - RCRA: Waste Minimization Management 301DA1_ B, C, D, E

D A2 - RCRA: Waste Minimization & Recycling 301DA2_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 301_51_ A, B, C, D, E

Sub-objective 3.1.2:

Manage Hazardous Wastes

and Petroleum Products

Properly 

D 11-Categorical Grants: Hazardous Waste Financial Assistance 301D11_ C, D, E

D 16- Categorical Grants: Underground Storage Tanks 301D16_ C, D, E

D 86 - LUST/UST 301D86_ C, D, E

E 48 - Compliance Assistance & Centers 301E48_ B, C, D, E

D A1 - RCRA: Waste Minimization Management 301DA1_ C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 301_51_ A, B, C, D, E

Objective 3.2:

Restore Land

Sub-objective 3.2.1:

Prepare for and Respond to

Accidental and Intentional

Releases

E 44 - Civil Enforcement 302E44_ B, C, D, E

E 48 - Compliance Assistance & Centers 302E48_ B, C, D, E

D 72 -Homeland Security: Preparedness, Response, & Recovery 302D72_ B, C, D, E

D 91 - Oil Spill: Prevention, Preparedness & Response 302D91_ B, C, D, E

D C6 - Superfund Emergency Response & Removal 302DC6_ B, C, D, E

D C8 - Superfund: EPA Emergency Preparedness 302DC8_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 302_51_ A, B, C, D, E

Sub-objective 3.2.2:

Clean Up and Reuse

Contaminated Land

D 11-Categorical Grants: Hazardous Waste Financial Assistance 302D11_ C, D, E

D 41 - Base Realignment and Closure (BRAC) 302D41_ C, D, E B4

D 86 - LUST/UST 302D86_ C, D, E

D 87 - LUST Cooperative Agreements 302D87E C, D, E

D 99 - RCRA Corrective Action 302D99_ B, C, D, E

D C9 - Superfund: Federal Facilities 302DC9_ C, D, E

D D2 - Superfund: Remedial 302DD2_ C, D, E

D D3 - Superfund: Support to Other Federal Agencies 302DD3_ C, D, E

E 44 - Civil Enforcement 302E44_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 302_51_ A, B, C, D, E

Sub-objective 3.2.3:

Maximize Potentially

Responsible Party

Participation at Superfund

Sites

E C7 - Superfund: Enforcement 302EC7_ B, C, D, E

E H2 D1 - Superfund: Federal Facilities Enforcement IAGs 302EH2_ B, C, D, E

J C7 - Superfund: Enforcement 302JC7C C

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 302_51_ A, B, C, D, E

Objective 3.3:

Enhance

Science and

Research

Sub-objective 3.3.1:

Provide Science to Preserve

and Remediate Land

D D2 - Superfund: Remedial 303DD2_ C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 303_51_ A, B, C, D, E

Sub-objective 3.3.2:

Conduct Research to

Support Land Activities

F B3 - Research: Land Preservation and Restoration 303FB3_ A, D, E

F B7 - R esearch: Superfund Inno vative Te ch. Ev aluation (S ITE) Program 303FB7_ A, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 303_51_ A, B, C, D, E
2003-2008 EPA STRATEGIC PLAN [Table updated October 19, 2004 (5:10pm)] File printed November 8, 2004 (8:19am)

Goal (1st digit)

Objective

2

nd & 3rddigits

Sub-objective NPM

4

th digit

Program / Project

5

th & 6th digits

PRC # Activity

7

th digit

RPIO

8

th & 9th digits

Goal 4: Healthy Communities and Ecosystems

Objective 4.1:

Chemical,

Organism,

and Pesticide

Risks 

Sub-objective 4.1.1:

Reduce Exposure to Toxic

Pesticides

C 09- Categorical Grants: Pesticides Program Implementation 401C09_ C, D, E

C 92 - Pesticides: Field Programs 401C92_ B, C, D, E

C 94 - Pesticides: Review/Registration of Existing Pesticides 401C94_ B, C, D, E

L 96 - POPs Implementation 401L96C C

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 401_51_ A, B, C, E D,

Sub-objective 4.1.2: 

License Pesticides Meeting

Safety Standards

C 72 - Homeland Security: Preparedness, Response, & Recovery 401C72_ B, C, D, E

C 93 - Pesticides: Registration of New Pesticides 401C93_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 401_51_ A, B, C, D, E

Sub-objective 4.1.3:

Reduce Chemical and

Biological Risks

C 10- Categorical Grants: Lead 401C10_ C, D, E

L 47 - Commission for Environmental Cooperation 401L47_ C, D

C 72 - Homeland Security: Preparedness, Response, & Recovery 401C72_ B, C, D, E

C D5 - Toxic Substances: Chemical Risk Management 401CD5_ B, C, D, E

C D6 - Toxic Substances: Chemical Risk Review& Reduction 401CD6_ B, C, D, E

C D7 - Toxic Substances: Lead Risk Reduction Program 401CD7_ B, C, D, E

H D8 - Toxics Release Inventory/ Right -to-Know 401HD8C C, D

L 85 - International Capacity Building 401L85C C

L 96 - POPs Implementation 401L96C C

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 401_51_ A, B, C, D, E

Sub-objective 4.1.4: 

Reduce Risks at Facilities.

D C3 - State and Local Prevention and Preparedness 401DC3_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 401_51_ A, B, C, D, E

Objective 4.2:

Communities 

Sub-objective 4.2.1:

Sustain Community Health 

L 47 - Commission for Environmental Cooperation 402L47_ C, D

L 56 - Environment and Trade 402L56C C

M A4 - Regulatory Innovation 402MA4_ B, D, E

M E6 - Children and Other Sensitive Populations 402ME6_ B, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 402_51_ A, B, C, D, E

Sub-objective 4.2.2:

Restore Community Health

E 57 - Environmental Justice 402E57_ B, C, D, E

A, B, C, D 68 - Geographic Programs: Other 402_68_ B, C, D, E

M G3 - Regional Geographic Initiatives 402MG3_ S, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 402_51_ A, B, C, D, E

Sub-objective 4.2.3:

Assess and Clean Up

Brownfields

D 24- Categorical Grants: Brownfields (Non-competitive

grants for 128(a) State and Tribal Response Program) 402D24E E

D 43 - Brownfields 402D43_ C, D, E

E 43 - Brownfields 402E43_ B, C, D, E

M 43 - Brownfields 402M43_ B, C, D, E

D

79 - Infrastructure Assistance: Brownfields Projects

[Includes competitive grants (assessments, job training, revolving

loan funds (RLF) and cleanup); research, technical assistance, and

training; and other associated program support costs.]

402D79_ D, E BP

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 402_51_ A, B, C, D, E

Sub-objective 4.2.4:

Sustain and Restore U.S.-

Mexico Border Ecosystems

B 82 - Infrastructure Assistance: Mexico Border 402B82_ D, E

L E1 - U.S. - Mexico Border 402LE1C C

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 402_51_ A, B, C, D, E
2003-2008 EPA STRATEGIC PLAN [Table updated October 19, 2004 (5:10pm)] File printed November 8, 2004 (8:19am)

Goal (1st digit)

Objective

2

nd & 3rddigits

Sub-objective NPM

4

th digit

Program / Project

5

th & 6th digits

PRC # Activity

7

th digit

RPIO

8

th & 9th digits

Objective 4.3:

Ecosystems

Sub-objective 4.3.1:

Protect and Restore

Ecosystems

B 26 - Categorical Grants: Targeted Watershed 403B26_ D, E

B 66 - Geographic Program: Lake Champlain 403B66_ B, C, D, E

B 67 - Geographic Program: Long Island Sound 403B67_ B, C, D, E

B 68 - Geographic Program: Other 403B68_ B, C, D, E 32, 33, 34

B 89 - National Estuary Program/Coastal Watersheds 403B89_ B, C, D, E

M G3 - Regional Geographical Initiatives 403MG3_ S, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 403_51_ A, B, C, D, E

Sub-objective 4.3.2: 

Increase Wetlands

B 07 - Categorical Grants: Wetlands Program Development 403B07_ D, E

B E2 - Wetlands 403BE2_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 403_51_ A, B, C, D, E

Sub-objective 4.3.3: 

Improve the Health of Great

Lakes Ecosystems 

B 64 - Geographic Program: Great Lakes 403B64_ B, C, D, E

B 69 - Great Lakes Legacy Act 403B69_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 403_51_ A, B, C, D, E

Sub-objective 4.3.4: 

Improve the Aquatic Health

of the Chesapeake Bay

B 63 - Geographic Program: Chesapeake Bay 403B63_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 403_51_ A, B, C, D, E

Sub-objective 4.3.5: 

Improve the Aquatic Health

of the Gulf of Mexico 

B 65 - Geographic Program: Gulf of Mexico 403B65_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 403_51_ A, B, C, D, E

Objective 4.5:

Enhance

Science and

Research

Sub-objective 4.5.1:

Apply the Best Available

Science

C 54 - Endocrine Disruptors 405C54_ B, C, D, E

C C2 - Science Policy & Biotechnology 405CC2_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 405_51_ A, B, C, D, E

Sub-objective 4.5.2:

Conduct Relevant Research

F 72 - Homeland Security: Preparedness, Response, & Recovery 405F72_ A, C, D, E

F 84 - Human Health Risk Assessments (formerly IRIS) 405F84_ A, D, E

F A6 - Research: Computational Toxicology 405FA6_ A, D, E

F A8 - Research: Endocrine Disruptors 405FA8_ A, D, E

F B1 - Research: Global Change 405FB1_ A, D, E

F B2 - Research: Human Health & Ecosystems 405FB2_ A, D, E

F B5 - Research: Pesticides & Toxics 405FB5_ A, D, E

F B8 - Research: Fellowships 405FB8D D

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 405_51_ A, B, C, D, E
2003-2008 EPA STRATEGIC PLAN [Table updated October 19, 2004 (5:10pm)] File printed November 8, 2004 (8:19am)

Goal (1st digit)

Objective

2

nd & 3rddigits

Sub-objective NPM

4

th digit

Program / Project

5

th & 6th digits

PRC # Activity

7

th digit

RPIO

8

th & 9th digits

Goal 5: Compliance and Environmental Stewardship

Objective 5.1:

Improve

Compliance 

Sub-objective 5.1.1:

Compliance Assistance 

E 19- Categorical Grants: Sector Program 501E19_ B, C, D, E

E 48 - Compliance Assistance & Centers 501E48_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 501_51_ A, B, C, D, E

Sub-objective 5.1.2: 

Compliance Incentives 

E 49 - Compliance Incentives 501E49_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 501_51_ A, B, C, D, E

Sub-objective 5.1.3:

Monitoring and

Enforcement

E 12- Categorical Grants: Pesticides Enforcement 501E12_ B, C, D, E

E 14- Categorical Grants: Toxic Substances Enfo Compliance 501E14_ B, C, D, E

E 44 - Civil Enforcement 501E44_ B, C, D, E

E 50 - Compliance Monitoring 501E50_ B, C, D, E

E 52 - Criminal Enforcement 501E52_ B, C, D, E

E 55 - Enforcement Training 501E55_ B, C, D, E

E 71 - Homeland Security: Critical Infrastructure Prot. 501E71_ B, C, D, E

E 85 - International Capacity Building 501E85_ B, C, D, E

E E8 - Congressional, Intergovernmental, External Relations 501EE8_ B, C, D, E

E F8 - IT/Data Management 501EF8_ C, R

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 501_51_ A, B, C, D, E

Objective 5.2:

Improve

Environmental

Performance

through

Pollution

Prevention and

Innovation 

Sub-objective 5.2.1:

Prevent Pollution and

Promote Environmental

Stewardship by Government

and the Public 

E 90 - NEPA Implementation 502E90_ B, C, D, E

C 95 - Pollution Prevention Program 502C95_ B, C, D, E

M E9 - Environmental Education 502ME9_ C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 502_51_ A , B, C, D, E

Sub-objective 5.2.2:

Prevent Pollution and

Promote Environmental

Stewardship by Business

C 13 - Categorical Grants: Pollution Prevention 502C13_ D, E

C 95 - Pollution Prevention Program 502C95_ B, C, D, E

D A2 - RCRA: Waste Minimization & Recycling 502DA2_ B, C, D

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 502_51_ A, B, C, D, E

Sub-objective 5.2.3:

Business and Community

Innovation

M A4 - Regulatory Innovation 502MA4_ B, C, D, E, S

M G9 - Small Business Ombudsman 502MG9_ B, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 502_51_ A ,B, C, D, E

Sub-objective 5.2.4:

Environmental Policy

Innovation

H 21- Categorical Grants: Environmental Information 502H21E E

M A4 - Regulatory Innovation 502MA4_ B, C, D, E, S

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 502_51_ A, B, C, D, E

Objective 5.3:

Build Tribal

Capacity

Sub-objective :

None.

B 15- Categorical Grants: Tribal General Assistance Prog 503B15_ D, E

B D9 - Tribal - Capacity Building 503BD9_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 503_51_ A, B, C, D, E

Objective 5.4:

Enhance

Science and

Research 

Sub-objective 5.4.1: 

Strengthening Science 

E 62 - Forensics Support 504E62_ B, C, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 504_51_ A, B, C, D, E

Sub-objective 5.4.2:

Conducting Research

F A9 - Research: Environmental Technology Verification 504FA9_ A, D, E

F B6 - Research: Pollution Prevention 504FB6_ A, D, E

A, B , C, D , E, F , H, M 51 - Congressionally Mandated Projects 504_51_ A, B, C, D, E
2003-2008 EPA STRATEGIC PLAN [Table updated October 19, 2004 (5:10pm)] File printed November 8, 2004 (8:19am)

Goal (1st digit)

Objective

2

nd & 3rddigits

Sub-objective NPM

4

th digit

Program / Project

5

th & 6th digits

PRC # Activity

7

th digit

RPIO

8

th & 9th digits

Goal Z: Enabling Support Program

Objective

ZZ:

Enabling

Support

Program

Sub-objective Z:

Enabling Support Program

H, M 70 - Homeland Security: Communication and Information ZZZ_70_ R, S

A 73 -Homeland Security: Protection of EPA Personnel and

Infrastructure

ZZZA73C C

D 73 -Homeland Security: Protection of EPA Personnel and

Infrastructure

ZZZD73C C

G 73 -Homeland Security: Protection of EPA Personnel and

Infrastructure

ZZZG73L L

L 73 -Homeland Security: Protection of EPA Personnel and

Infrastructure

ZZZL73E E

G F2 - Facilities Infrastructure and Operations ZZZGF2L L 1, 2, 3

G F3 - Acquisition Management ZZZGF3L L

G F5 - Human Resources Management ZZZGF5Q Q

G G7 - Financial Assistance/IAG Management ZZZGG7L L

H F1 - Exchange Network ZZZHF1R R

H F6 - Information Security ZZZHF6R R

H F8 - IT/ Data Management ZZZHF8R R

J E5 - Central Planning, Budgeting and Finance ZZZJE5_ D, E, M, N, P , S

M E3 - Administrative Law ZZZME3T T

M E7 - Civil Rights/Title VI Compliance ZZZME7Q Q

M E8 - Congressional, Intergovernmental, External Relations ZZZME8S S

M G4 - Regional Science and Technology ZZZMG4L L

M G5 - Science Advisory Board ZZZMG5S S

M G6 - Small Minority Business Assistance ZZZMG6S S

M H9 - Regulatory/Economic Management & Analysis ZZZMH9 B, D, E

N E4 - Alternative Dispute Resolution (ADR) ZZZNE4T T

N F9 - Legal Advice: Environmental Programs ZZZNF9T T

N G1 - Legal Advice: Support Program ZZZNG1T T

P G2 - Audits, Evaluations, and Investigations ZZZPG2N N
Goal #

(1st digit)

Objective #

(2nd and 3rd digits)

NPM

(4th digit)

Program/Project

(5th & 6th digits)

Activity Code

(7th digit)

RPIO Activity Code

(8th & 9th digit)

NPM: Activities

A = Office of Air and Radiation (OAR)

B = Office of Water (OW)

C = Office of Prevention, Pesticides and Toxic Substances (OPPTS)

D = Office of Solid Waste and Emergency Response (OSWER)

E = Office of Enforcement and Compliance Assurance (OECA)

F = Office of Research and Development (ORD)

G = Office of Administration and Resources Management (OARM)

H = Office of Environmental Information (OEI)

J = Office of the Chief Financial Officer (OCFO)

L = Office of International Affairs (OIA)

M = Office of the Administrator (AO)

N = Office of General Counsel (OGC)

P = Office of Inspector General (OIG)

A = Research & Development

B = Regulation/Policy Development

C = Environmental Program Implementation

D = Financial Assistance to Non-Governmental Organizations

E = Financial Transfer to Governmental Organizations

L = Administrative Management

M = Planning and Resources Management

N = Control and Oversight

P = Financial Management

Q = Human Resources Management

R = Information Lifecycle Management

S = Executive Leadership

T = Legal Services
RPIO 

Activity 

Code

RPIO Activity Title NPM RPIO

01 Agency Rent/ Direct Lease (HQ) OARM 16

02 Utilities (HQ, RT) OARM 16

03 Security (HQ, RT) OARM 16

AT Air Toxic Monitoring OAR 27 + RTs

B4 BRAC OSWER 75 + RTs

BP Brownfields Petroleum OSWER 75 + RTs

HZ Regional Planning - HAPS OAR 27 + RTs

PM Particulate Matter 2.5 monitoring OAR 27 + RTs

13 Water Sustainable Infrastructure Management OW 30

14 Water Sustainable Communities Assistance OW 30

15 Water State/Regional Permits OW 30

16 Water Urban Wet Weather OW 30

17 Water Infrastructure Grants Management OW 30

18 Water Industrial/ Rural OW 30

19 Water Building State/ Tribal Capacity OW 30

20 Water Quality Criteria/Standards OW 30

21 Water Industrial Pollution Control OW 30

22 Water TMDLs/ Watersheds OW 30

23 Water TMDL State Support OW 30

24 Water Quality Monitoring/ Assessment Data Management OW 30

25 Nonpoint Source Pollution Control OW 30

26 DW Implementation OW 30

27 DW Small Systems OW 30

28 DW Regulations OW 30

29 DW Regulatory Tools & Treatment Tech OW 30

30 DW Source Water Protection OW 30

31 Underground Injection Control OW 30

32 Water Lake Ponchartrain OW 30

33 Water Pacific Northwest OW 30

34 Water South Florida OW 30

35 Water National Program Management OW 30

36 Water Tribal Support OW 30

37 Water Tribal Grants Management OW 30

38 Water Tribal NPDES General Permit OW 30

39 Water Tribal NPDES/ Urban Wet Weather OW 30

40 Water Tribal NPDES Industrial/ Rural OW 30

41 Water Tribal Support to Water Quality Standards Program OW 30

42 Water Tribal Watershed Framework OW 30

43 Water Tribal Water Monitoring/Assessment OW 30

44 Water Tribal Management DW-SRF OW 30

45 Water Tribal Capacity Building/ PWSS & UIC OW 30
APPENDIX B 

RECIPIENT PERFORMANCE REPORTING

Recipients subject to 40 C.F.R. Part 30

Performance Reports

In accordance with 40 C.F.R. § 30.51 (d), the recipient agrees to include in performance reports submitted

under this agreement brief information on each of the following areas: 1) a comparison of actual

accomplishments with the anticipated outputs/outcomes specified in the assistance agreement work plan; 2)

reasons why anticipated outputs/outcomes were not met; and 3) other pertinent information, including, when

appropriate, analysis and explanation of cost overruns or high unit costs.

In accordance with 40 C.F.R. § 30.51 (f), the recipient agrees that it will notify EPA of problems, delays, or

adverse conditions which materially impair the ability to meet the outputs/outcomes specified in the assistance

agreement work plan.

Recipients subject to 40 C.F.R. Part 31 (other than recipients of State or Tribal Program grants under 40

C.F.R. Parts 35 Subparts A or B)

Performance Reports

In accordance with 40 C.F.R. §31.40, the recipient agrees to submit performance reports that include brief

information on each of the following areas: 1) a comparison of actual accomplishments to the

outputs/outcomes established in the assistance agreement workplan for the period; 2) the reasons for slippage

if established outputs/outcomes were not met; and 3) additional pertinent information, including, when

appropriate, analysis and information of cost overruns or high unit costs.

In accordance with 40 C.F.R. § 31.40 (d), the recipient agrees to inform EPA as soon as problems, delays or

adverse conditions become known which will materially impair the ability to meet the outputs/outcomes

specified in the assistance agreement work plan.