[Federal Register Volume 64, Number 229 (Tuesday, November 30, 1999)]
[Notices]
[Pages 66906-66913]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-31047]
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ENVIRONMENTAL PROTECTION AGENCY
[FRL-6482-1]
Review of Environmental Protection Agency Public Participation
Policies
AGENCY: Environmental Protection Agency (EPA).
ACTION: Notice; request for public comment.
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SUMMARY: The EPA Administrator, in EPA Report 100-R-99-006, dated July
1999, entitled ``Aiming for Excellence--Actions to Encourage
Stewardship and Accelerate Environmental Progress, Report of the EPA
Innovations Task Force,'' pledges the Agency to, ``Evaluate and update
EPA's public participation requirements. We will assess how well our
regulations and policies ensure public participation in decision
making. We will report on what we find and develop an action plan to
upgrade requirements and fill gaps.'' EPA has convened an internal
workgroup to conduct a review of EPA public participation regulations
and policies in accordance with this pledge.
The workgroup is scheduled to give a report to the Administrator by
January 31, 2000, which will contain an inventory of EPA regulations
and policies regarding public participation and an initial assessment
of how well these regulations and policies ensure public participation
in decision making. The report will also contain an action plan to
update requirements and fill gaps.
One of the primary policies being reviewed is the Final EPA Policy
on Public Participation (Federal Register/Vol. 46/no. 12/Monday,
January 19, 1981), herein referred to as the 1981 Policy. The
statements in the 1981 Policy have been the basis for many of EPA's
public participation requirements in the nineteen years since its
initial publication.
The workgroup is seeking public comment on two issues at this time:
1. What changes need to be made to the 1981 Policy on Public
Participation?
(1a) What is working well, and how does the experience of the past
nineteen years suggest the need for improvements in the general
procedures for involving the public in EPA programs and decisions?
2. How can we further engage the public in the effort to revise the
1981 Policy and other EPA regulations and policies which may need to be
updated in regard to public participation?
(2a) What are the suggested elements of a strategy to further
engage the public in updating requirements and filling gaps in EPA's
regulations and policies concerning public participation?
Comments received within the 30-day period designated in this
notice will be taken under consideration as the workgroup writes the
initial report to the Administrator in January 2000. Comments received
after the 30-day period will be reviewed as the Agency further develops
and implements an action plan to update the 1981 policy and, as
necessary, other regulations and policies.
DATES: Comments must be submitted on or before December 30, 1999.
FOR FURTHER INFORMATION CONTACT: Deborah Dalton at EPA by fax at (202)
260-5478, by email at: [email protected]. The 1981 Policy on Public
Participation, without the responsiveness summary and preamble,
[[Page 66907]]
has been attached to this FR Notice. You may also review the all
inclusive 1981 Policy, as well as other information on EPA stakeholder
involvement activities on EPA's website: www.epa.gov/stakeholders . The
Report of the EPA Innovations Task Force may be reviewed on EPA's
website: www.epa.gov/reinvent/taskforce/report99.
SUPPLEMENTARY INFORMATION:
Title: Review of EPA Public Participation Regulations and Policies
Abstract: The EPA's Regulatory Steering Committee has convened an
internal workgroup to conduct a review of EPA public participation
regulations and policies in accordance with a pledge made by the EPA
Administrator in EPA Report 100-R-99-006, dated July 1999, entitled
``Aiming for Excellence--Actions to Encourage Stewardship and
Accelerate Environmental Project, Report of the EPA Innovations Task
Force.'' Action 9 of the Report reads: ``Build leadership capacity in
communities to participate in local environmental problem solving. Task
5 of Action 9 reads: ``Evaluate and update EPA's public participation
requirements. We will assess how well our regulations and policies
ensure public participation in decision making. We will report on what
we find and develop an action plan to upgrade requirements and fill
gaps.''
The workgroup is scheduled to give a report to the Administrator by
January 31, 2000, which will contain an inventory of EPA regulations
and policies regarding public participation and an initial assessment
of how well these regulations and policies ensure public participation
in decision making. The report will also contain an action plan to
update requirements and fill gaps.
One of the primary policies being reviewed is the Final EPA Policy
on Public Participation (Federal Register/Vol. 46/no. 12/Monday,
January 19, 1981), herein referred to as the 1981 Policy. The purpose
of this policy is to ``strengthen EPA's commitment to public
participation and to establish uniform procedures for participation by
the public in EPA's decision-making process. This in turn will assist
EPA in carrying out its mission, by giving a better understanding of
the public's viewpoints, concerns and preferences. It should also make
the agency's decisions more acceptable to those who are most concerned
and affected by them.'' The statements in the 1981 Policy have been the
basis for many of EPA's public participation requirements in the
nineteen years since its initial publication.
Since 1981, EPA has made great strides in incorporating public
participation in all facets of its work--from rulemaking to Superfund
cleanups, program implementation, and permitting.
The workgroup views the 1981 Policy's overall purpose and
objectives as still generally appropriate, but it recognizes the need
to update some of the specifics of the policy, e.g., to include the
requirements of the Comprehensive Environmental Response, Compensation,
and Liability Act (CERCLA), the Negotiated Rulemaking Act, the
Administrative Dispute Resolution Act, and Executive Order 12898 on
Environmental Justice.
The workgroup will not actually update the policy by January 31,
2000, but will make general recommendations to the Administrator on the
scope and timing of the update effort for the 1981 policy as well as
other EPA regulations and policies. After the report is made to the
Administrator in January 2000, the workgroup will address the changes
to the 1981 policy in more detail and will be conducting a more
intensive public participation effort to work on those changes.
Specific EPA program offices may also be conducting processes to update
their public participation policies.
The workgroup members feel strongly that it is essential for the
public to have an opportunity to participate in the review of EPA's
public participation regulations and policies. However, the short
duration of the time available to present the initial report to the
Administrator poses difficulties in obtaining meaningful participation
in the review of a multitude of EPA regulations and policies.
Therefore, the workgroup has decided to use the 1981 policy as the
overarching statement of EPA's intentions and procedures.
The workgroup is seeking public comment on two issues at this time:
1. What changes need to be made to the 1981 Policy on Public
Participation?
(1a) What is working well, and how does the experience of the past
nineteen years suggest the need for improvements in the general
procedures for involving the public in EPA programs and decisions?
2. How can we further engage the public in the effort to revise the
1981 Policy and other EPA regulations and policies which may need to be
updated in regard to public participation?
(2a) What are the suggested elements of a strategy to further
engage the public in updating requirements and filling gaps in EPA's
regulations and policies concerning public participation?
Comments received within the 30-day period designated in this
notice will be taken under consideration as we write the initial report
to the Administrator in January 2000. Comments received after the 30-
day period will be reviewed as the Agency further develops and
implements an action plan to update the 1981 policy and, as necessary,
other regulations and policies.
Your comments are valuable to us and, while we have a short
deadline for receiving them before we submit our report to the
Administrator, we feel that your experiences and opinions will enrich
both the initial report and subsequent action steps.
Attachment
Final EPA Policy on Public Participation (1981)
This Policy addresses participation by the public in decision-
making, rulemaking, and program implementation by the Environmental
Protection Agency (EPA), and other governmental entities carrying out
EPA programs. The term, ``the public'' as it is used here, means the
people as a whole, the general population. There are a number of
identifiable ``segments of the public'' who may have a particular
interest or who may be affected one way or another by a given program
or decision. In addition to private citizens, ``the public'' includes,
among others, representatives or consumer, environmental, and minority
groups; the business and industrial communities; trade, industrial,
agricultural, and labor organizations; public health, scientific, and
professional societies; civic associations; universities, educational,
and governmental associations: and public officials, both elected and
appointed.
``Public participation'' is that part of the agency's decision-
making process that provides opportunity and encouragement for the
public to express their views to the agency, and assures that the
agency will give due consideration to public concerns, values, and
preferences when decisions are made.
A. Scope
The requirements and procedures contained in this Policy apply to
the Environmental Protection Agency and other governmental entities
carrying out EPA programs (referred to herein as ``agency''). The
activities covered by this Policy are:
EPA rulemaking, when regulations are classified as significant,
(under terms of Executive Order 12044);
[[Page 66908]]
The administration of permit programs as delineated in applicable
permit program regulations;
Program activities supported by EPA financial assistance (grants
and cooperative agreements) to State and substate governments;
--The process leading to a determination of approval of State
administration of a program in lieu of Federal administration;
--Major policy decisions, as determined by the Administrator,
appropriate Associate Administrator, Regional Administrator, or Deputy
Assistant Administrator, in view of EPA's responsibility to involve the
public in important decisions.
When covered activities are governed by EPA regulations or program
guidance, the provisions of the Policy shall be included at appropriate
points in these documents. Before those changes are made, the
provisions of the existing regulations or program guidance shall
govern.
B. Purpose
The purpose of this Policy is to strengthen EPA's commitment to
public participation and establish uniform procedures for participation
by the public in EPA's decision-making process. A strong policy and
consistent procedures will make it easier for the public to become
involved and affect the outcome of the agency's decisions.
This in turn will assist EPA in carrying out its mission, by giving
a better understanding of the public's viewpoints, concerns, and
preferences. It should also make the agency's decisions more acceptable
to those who are most concerned and affected by them.
Agency officials will provide for, encourage, and assist
participation by the public. Officials should strive to communicate
with and listen to all sectors of the public. Where appropriate, this
will require them to give extra encouragement and assistance to some
sectors, such as minorities, that may have fewer opportunities or
resources.
The Policy identifies those actions which are required and others
that are discretionary, on the part of agency managers. The Policy
assumes, however, that agency employees will strive to do more than the
minimum required, and is not intended to create barriers to more
substantial or more significant participation. The Policy recognizes
the agency's need to set priorities for its use of resources, and
emphasizes participation by the public in decisions where options are
available and alternatives must be weighed, or where substantial
agreement is needed from the public if a program is to be carried out.
Public participation must begin early in the decision-making
process and continue throughout the process as necessary. The agency
must set forth options and alternatives beforehand, and seek the
public's opinion on them. Merely conferring with the public after a
decision is made does not achieve this purpose.
Agency officials must avoid advocacy and precommitment to any
particular alternative prior to decision-making. The role of agency
officials is to plan and conduct public participation activities that
provide equal opportunity for all individuals and groups to be heard.
Officials should actively seek to facilitate resolution of issues among
disagreeing interests whenever possible.
Decision makers are aware that issues which are not resolved to the
satisfaction of the concerned public may ultimately face time-consuming
review. If the objectives of EPA's public participation program are
achieved, delays to accommodate litigation should be reduced.
C. Objectives
In establishing a policy on public participation, EPA has the
following objectives:
--To use all feasible means to create early and continuing opportunity
for public participation in agency decisions;
--To promote the public's involvement in implementing environmental
protection laws;
--To make sure that the public understands official programs and the
implications of potential alternative courses of action;
--To solicit assistance from the public in identifying alternatives to
be studied. And in selecting among alternatives considered;
--To keep the public informed about significant issues and changes in
proposed programs or projects, as they arise;
--To create an equal and open access for the interested and affected
parties to the regulatory process;
--To make sure that the government understands public goals and
concerns, and is responsive to them;
--To demonstrate that the agency consults with interested or affected
segments of the public and takes public viewpoints into consideration
when decisions are made;
--To anticipate conflicts and encourage early discussions of
differences among affected parties;
--To foster a spirit of mutual trust, confidence, and openness between
public agencies and the public.
D. General Procedures for All Programs
Each Assistant Administrator, Office Director, or Regional
Administrator shall determine forthcoming decisions or activities to
which this Policy should be applied, and take the steps needed to
assure that adequate public participation measures are developed and
implemented.
To ensure effective public participation in any decision or
activity, the agency must carry out five basic functions:
Identification, Outreach, Dialogue, Assimilation, and Feedback.
1. Identification
It is necessary to identify groups or members of the public who may
be interested in, or affected by, a forthcoming action. This may be
done by a variety of means: developing a contact list of person and
organization who may have expressed an interest in, may by the nature
of their purposes or activities be affected by or have an interest in
forthcoming activity; requesting from others in the agency or from key
public groups, the names of interested and affected individuals to
include; using questionnaires or surveys to find out levels of
awareness; or by other means. If EPA is required to file an
Environmental Impact Statement (EIS), the scoping process can be used
to identify interested parties.
The responsible official(s) shall develop a contact list for each
program or projects, and add to the list whenever members of the public
request it. The list should be updated frequently, and it will be most
useful if subdivided by category of interest or geographic area.
The contact list shall be used to send announcements of
participation opportunities, notices of meetings, hearings, field trips
and other events, notices of available reports and documents, and for
identifying members of the public who may be considered for advisory
group membership and other activities.
2. Outreach
The public can contribute effectively to agency programs only if it
is provided with accurate, understandable, pertinent and timely
information on issues and decisions. The agency shall make sure that
adequate, timely information concerning a forthcoming action or
decision reaches the public. The agency shall provide policy, program,
and technical information at the earliest practical times, and at
places easily accessible to interested and affected
[[Page 66909]]
persons and organizations, so they can make informed and constructive
contributions to decision-making. Information and educational programs
shall be developed so that all levels of government and the public have
an opportunity to become familiar with the issues and the technical
data from which they emerge. Informational materials shall highlight
significant issues that will be the subject of decision-making. Special
efforts shall be made to summarize complex technical materials for the
public.
a. Methods. The objective of the agency's public outreach program
is to insure that the public understands the significance of the
technical data so that rational public choices can be made. Outreach
programs require the use of appropriate communication tools, and should
be tailored to start at the public's level of familiarity with the
subject.
The following, among other approaches, may be used for this
purpose:
(1) Publications, fact sheets, technical summaries, bibliographies;
(2) Questionnaires, surveys, interviews;
(3) Public service announcements, and news releases;
(4) Educational activities carried out by public organizations.
b. Content. Outreach materials must include background information
(e.g. statutory basis, rationale, or the triggering event of the
action); a timetable of proposed actions; summaries of lengthy
documents or technical material where relevant; a delineation of
issues; alternative courses of action or tentative determination which
the agency may have made; whether an EIS is, or will be, available;
specific encouragement to stimulate active participation by the public;
and the name of an individual to contact for further information.
Whenever possible, the social, economic, and environmental
consequences of proposed decisions and alternatives should be clearly
stated in outreach material. Technical evidence and research
methodology should be explained. Summaries of technical documents
should be footnoted to refer to the original data. Fact sheets, news
releases, summaries, and similar publications may be used to provide
notice of availability of materials and to facilitate public
understanding of more complex documents, but should not be a substitute
for public access to the complete documents.
c. Notification. The agency must notify all parties on the contact
list and the media of opportunities to participate and provide
appropriate information. As described in the first paragraph of Section
2.b. above. Printed legal notices are often required by program
regulations, but do not substitute for the broader notice of the media
and contact list required by this section.
d. Timing. Notification (above) must take place well enough in
advance of the agency's action to permit the public to respond.
Generally, it should take place not less than 30 days before the
proposed action, or 45 days in the case of public hearings (exceptions
in the case of public hearings are discussed under Dialogue, below).
Where complex issues or lengthy documents are presented for public
comment, the comment period should allow enough time for interested
parties to conduct their review. This period generally should be no
less than 60 days. Where participation opportunities are to be provide
in programs of State, substate, and local governments supported by EPA
financial assistance, notice shall be given by the recipient to the
public within 45 days after award acceptance.
e. Fees for copying. Whenever possible, the agency should provide
copies of relevant documents, free of charge. Free copies may be
reserved for private citizens and public interest organizations with
limited funds. Any charges must be consistent with requirements under
the Freedom of Information Act as set forth in 40 CFR part 2.
f. Depositories. The agency shall provide one or more central
collections of documents, reports, studies, plans, etc. relating to
controversial issues or significant decisions in a location or
locations convenient to the public. Depository arrangements should be
made when possible with public libraries and university libraries.
Consideration must be given to accessibility, travel time, parking,
transit, and to availability during off-work hours. Copying facilities,
at reasonable charges, should be available at depositories.
3. Dialogue. There must be dialogue between officials responsible
for the forthcoming action or decision and the interested and affected
members of the public. This involves exchange of views and open
exploration of issues, alternatives, and consequences.
Public consultation must be preceded by timely distribution of
information and must occur sufficiently in advance of decision-making
to make sure that the public's options are not foreclosed, and to
permit response to public views prior to agency action. Opportunities
for dialogue shall be provided at times and places which, to the
maximum extent feasible. Facilitate attendance or participation by the
public. Whenever possible, public meetings should be held during non-
work hours, such as evenings or weekends, and at locations accessible
to public transportation.
Dialogue may take a variety of forms, depending upon the issues to
be addressed and the public whose involvement is sought. Public
hearings are the most familiar forum for dialogue and often are legally
required, but their use should not serve as the only forum for citizen
input. When used, hearings should be at the end of a process that has
given the public earlier opportunity for becoming informed and
involved. Often other techniques may serve a broader purpose:
Review groups or ad hoc committees may confer on the
development of a policy or written materials;
Workshops may be used to discuss the consequences of
various alternatives, or to negotiate differences among diverse
parties;
Conferences provide an important way to develop consensus
for changing a program or the momentum to undertake new directions;
Task forces can give concentrated and experienced
attention to an issue;
Personal conversations and personal correspondence gives
the individualized attention that some issues require;
Meetings offer a good opportunity for diverse individuals
and groups to express their questions or preferences;
A series of meetings may be the best way to address a long
and complex agenda of topics;
Toll-free lines can aid dialogue, especially when many
questions can be anticipated or time is short;
A hearing panel compiled of persons from representative
public groups may be used in non-adjudicatory hearings to listen to
presentations and review the hearing summary.
This list is not exhaustive, but it indicates the importance for
program managers in being flexible and choosing the right techniques
for the right occasions.
a. Requirements for public hearings.
(1) Timing of Notice. Notices must be well publicized and mailed to
all interested and affected parties on the contact list (see 1. above)
and to the media at least 45 days prior to the date of the hearing.
However, when the Assistant Administrator or Regional Administrator
find that no review of substantial documents is necessary for effective
participation and there are no complex or controversial matters to be
addressed, the notice requirement may
[[Page 66910]]
be reduced to no less than 30 days in advance of the hearing.
Additionally, in permit programs, notice requirements will be governed
by permit regulations and will be no less than 30 days. Notice for
EIS's are covered by EIS regulation which calls for a 45-day review
period, with an optional 15-day extension. Notice of the EIS hearing is
generally contained in the Draft EIS. Hearings on EIS's are usually
held before the end of the EIS review period, but no earlier than 30
days after the EIS notice. Assistant Administrators or Regional
Administrators may further reduce or waive the requirements for advance
notice of a hearing in emergency situations where there is imminent
danger to public health and safety or in situations where there is a
legally mandated timetable. Assistant Administrators may also reduce
this requirement if they determine that all affected parties would
benefit from a shorter time period.
Members of the public who object to a waiver may appeal to the
Administrator, stating their reasons in detail.
(2) Content of Notice. The notice must identify the matters to be
discussed at the hearing and must include or be accompanied by: (a) A
discussion of alternatives the public is being asked to comment upon
and the agency's tentative conclusions on major issues (if any); (b)
information on the availability of an EIS and bibliography of other
relevant materials (if appropriate); (c) procedures and contact for
obtaining further information; and (d) information which the agency
particularly solicits from the public.
(3) Provision of Information. All reports, EIS's and other
documents and data relevant to the discussions at the public hearings
must be available to the public on request after the notice, as soon as
they become available to agency staff. Background information should be
provided no later than 30 days prior to the hearing.
(4) Conduct of Hearing. The agency conducting the hearing must
inform the audience of the issues involved in the decision to be made,
the considerations the agency will take into account under law and
regulations, the agency's tentative conclusions (if any), and the
information which the agency particularly solicits from the public.
Whenever possible, the hearing room should be set up informally. The
agency should allocate time for presentations, questions and answers,
as well as formal commentary on the record. When needed, a pre-hearing
meeting to discuss the issues should be held. Procedures must not
inhibit free expression of views. When the subject of a hearing
addresses conditions in a specific geographic area, the hearing itself
should be held in that general area.
(5) Record of Hearing. The hearing record must be left open for at
least ten days to receive additional comment, including any from those
unable to attend in person, and may be kept open longer, at the
discretion of the hearing officer. The agency must prepare a transcript
or record of the hearing itself and add additional comments to the
complete record of the proceeding. This must be available for public
inspection and copying at cost at convenient locations. Alternatively,
copies shall be provided free. If tapes are used, they should be
available for use and copying on conventional equipment. When a
Responsiveness Summary (see Assimilation below) is prepared after a
hearing, it must be provided to those who testified at or attended the
hearing, as well as anyone who requests it.
b. Requirements for advisory groups. Formation of an advisory group
is one of the methods that can be chosen to gain sustained advice from
a representative group of citizens.
The primary function of an advisory group is to assist elected or
appointed officials by making recommendations to them on issues which
the decision making body and the advisory group consider relevant.
These issues may include policy development, project alternatives,
financial assistance applications, work plans, major contracts,
interagency agreements, budget submissions, among others. Advisory
groups can provide a forum for addressing issues, promote constructive
dialogue among the various interests represented on the group, and
enhance community understanding of the agency's action.
(1) Requirements for Federal EPA Advisory Committees: When EPA
establishes an advisory group, provisions of the Federal Advisory
Committee Act (Public Law 92-463) and General Service Administration
(GSA) Regulations on Federal Advisory Committee Management must be
followed.
(2) Requirements for State and Substate and Local Advisory
Committees: (Explanatory Note: The following guidelines do not apply to
advisory committees, as defined by the Federal Advisory Committee Act,
which are established or utilized by EPA.) In instances where
regulations, program guidance, or the public participation work plans
of State, substate, or local agencies, call for advisory groups, the
following special requirements will apply:
(A) Composition of Advisory Groups. Agencies must try to constitute
advisory groups so that the membership includes the major affected
parties, reflects a balance of interests, and consists of substantially
equivalent proportions of the following groups:
Private citizens. This portion of the advisory group would
not include anyone who is likely to incur a financial gain or loss
greater than that of an average homeowner, taxpayer, or consumer as a
result of any action that is likely to be taken by the managing agency;
Individual citizens or representatives of organizations
that have substantial economic interests in the plan or project;
Federal, State, local, and tribal officials. These may be
both elected and policy-level appointed officials, so long as the
elected officials do not come from the decision-making body the group
is advising;
Representatives of public interest groups. A ``public
interest group'' is an organization which has a general civic, social,
recreational, environmental, or public health perspective in the area,
and which does not directly reflect the economic interests of its
membership.
Generally, where an activity has a particular geographic focus, the
advisory group should be composed of persons from that geographic area,
unless issues involved are of wider application.
Where problems in meeting the membership composition arise, the
agency should request advice and assistance from EPA or the State in
the case of a delegated program. EPA shall review the agency's efforts
to comply, and approve the advisory group composition or, if the
agency's efforts were inadequate, require additional actions.
(b) Resources for Advisory Groups. To the extent possible, agencies
shall identify professional and clerical staff time which the advisory
group may depend upon for assistance, and provide the advisory group
with an operating budget which may be used for mailing, duplicating,
technical assistance, and other purposes the advisory group and the
agency have agreed upon. The agency should establish a system for
reimbursing advisory group members for reasonable out-of-pocket
expenses that relate to their participation on the advisory group.
(3) Advisory Group Recommendations: Recommendations, including
minority reports and the minutes of all meetings of an advisory
[[Page 66911]]
group, are matters of public information. As soon as these become
available to agency staff, the agency must provide them to the public
on request and distribute them to relevant public agencies. Advisory
groups may communicate with EPA or the public as needed, or request EPA
to perform an evaluation of the assisted agency's compliance with the
requirements of this part.
4. Assimilation
The heart of public participation lies in the degree to which it
informs and influences final agency decisions.
Assimilating public viewpoints and preferences into final
conclusions involves examining and analyzing public comments,
considering how to incorporate them into final program decisions, and
making or modifying decisions according to carefully considered public
views. The agency must then demonstrate, in its decisions and actions,
that it has understood and fully considered public concerns.
Assimilation of public views must include the following three elements:
a. Documentation. The agency must briefly and clearly document
consideration of the public's views in Responsiveness Summaries,
regulatory preambles, EIS's or other appropriate forms. This should be
done at key decision points specified in program guidance or in work
for public participation.
b. Content. Each Responsiveness Summary (or similar document) must:
--Explain briefly the type of public participation activity that was
conducted;
--Identify or summarize those who participated and their affiliation;
--Describe the matters on which the public was consulted;
--Summarize the public's views, important comments, criticisms and
suggestions;
--Disclose the agency's logic in developing decisions; and
--Set forth the agency's specific responses, in terms of modifying the
proposed action, or explaining why the agency rejected proposals made
by the public.
c. Use. The agency must use Responsiveness Summaries in its
decision-making.
In addition, final Responsiveness Summaries that are prepared by an
agency receiving financial assistance from EPA must also include that
agency's (and, where applicable, its advisory group's) evaluation of
its public participation program.
5. Feedback
The agency must provide feedback to participants and interested
parties concerning the outcome of the public's involvement. Feedback
may be in the form of personal letters or phone calls, if the number of
participants is small. Alternatively, the agency may mail a
Responsiveness Summary to those on the contact list, or may publish it.
a. Content. The feedback that the agency gives must include a
statement of the action that was taken, and must indicate the effect
the public's comments had on that action.
b. Availability. Agency officials must take the initiative in
giving appropriate feedback, and must assure that all public
participants in a particular activity are provided that feedback. As
Responsiveness Summaries are prepared, their availability should be
announced to the public. When regulations are developed, reprints of
Preambles and final regulations must be provided to all who commented.
E. Work Plans
A work plan is a written document used for planning a public
participation program. It may be an element of regulatory development
plans or program plans. Each work plan should include the following
elements: objectives, schedules, techniques, audiences and resources
requirements. Work plans should be completed on both a program and
project level or for each activity identified under Scope of the
Policy.
Public participation work plans, undertaken by EPA or by applicants
for EPA financial assistance, shall set forth, at a minimum:
1. Key decisions subject to public participation;
2. Staff contacts and budget resources to be allocated to public
participation;
3. Segments of the public targeted for involvement;
4. Proposed schedule for public participation activities to impact
program decisions;
5. Mechanism to apply the five basic functions--Identification,
Outreach, Dialogue, Assimilation, and Feedback--outlined in section D
of this Policy.
Reasonable costs of public participation incurred by assisted
agencies, including advisory group expenses, and identified in an
approved public participation work plan, will be eligible for financial
assistance, subject to statutory or regulatory limitations.
Assistant Administrators and Regional Administrators will ensure
that program work plans are developed in a timely manner for use in the
annual budget planning process. Work plans will be reviewed by the
Special Assistant for Public Participation, who will work with program
and regional managers to ensure that work plans adequately carry out
this Policy. Work plans may be used as public information documents.
F. Assistance to the Public
EPA recognizes that responsible participation by the various
elements of the public in some of the highly technical and complex
issues addressed by the agency requires substantial commitments of
time, study, research analysis, and discussion. While the Agency needs
the perspectives and ideas that citizens bring, it cannot always expect
the public to contribute its efforts on a voluntary basis.
Assistant Administrators, office Directors, and Regional
Administrators can provide funds to outside organizations and
individuals for public participation activities which they, as EPA
managers, deem appropriate and essential for achieving program goals,
and which clearly do not involve rulemaking or adjudicative activities.
Participation funding criteria--Any financial assistance awarded by
the Agency for non-regulatory or non-adjudicatory participation should
be based on the following criteria:
(1) whether the activity proposed will further the objectives of
this Policy:
(2) whether the activity proposed will result in the participation
of interests not adequately represented;
(3) whether the applicant does not otherwise have adequate
resources to participate; and
(4) whether the applicant is qualified to accomplish the work.
These are the primary tests for public participation financial
assistance. From among those who meet these tests, the Agency will make
special efforts to provide assistance to groups who may have had fewer
opportunities or insufficient resources to participate.
G. Authority and Responsibility
Public participation has an integral part in the accomplishment of
any program. It should routinely be included in decision-making and not
be treated as an independent function. Managers shall assure that
personnel are properly trained, and that funding needs are incorporated
in their specific budgets.
Responsibility and accountability for the adequacy of public
participation programs belong primarily to the Regional Administrators
and the Assistant Administrators, under the overall direction of the
Administrator.
[[Page 66912]]
1. The Administrator maintains overall direction and responsibility
for the Agency's public participation activities. Specifically, the
Administrator, aided by the Special Assistant for Public Participation,
will:
(a) establish policy direction and guidance for all EPA public
participation programs;
(b) review public participation program work plans, including
resource allocation;
(c) coordinate public participation funding to outside groups to
ensure the most economical expenditures;
(d) provide technical advice and assistance as appropriate;
(e) develop guidance and training needed to ensure that program
personnel are equipped to implement the Policy;
(f) provide incentives to agency personnel to ensure commitment and
competence; and
(g) evaluate at least annually the adequacy of public participation
activities conducted under this Policy, and the appropriateness and
results of public participation expenditures.
2. Assistant Administrators have the following responsibilities:
(a) identify and address those activities where application of this
Policy is require;
(b) identify and address those forthcoming major policy decisions
where the Policy should be applied;
(c) ensure that program work plans are developed annually to
provide for adequate public participation in the above decisions and
activities;
(d) implement approved work plans for public information and public
participation activities;
(e) ensure that, as regulations for the programs cited in the
Appendix of the Policy are amended, they incorporate the Policy's
provisions;
(f) evaluate the appropriateness of public participation
expenditures and activities under their jurisdiction, revising and
improving them as necessary;
(g) encourage coordination of public participation activities;
(h) provide guidance and assistance to support regional office
activities;
(i) seek public participation in decisions to modify or develop
major national policies, at their discretion;
(j) consider funding authorized pilot and/or innovative
demonstration projects;
(k) consider measures to ensure Policy implementation in
appropriate managers' performance standards;
(l) provide financial assistance, as appropriate and available, for
authorized public participation activities at the national level.
3. Regional Administrators have the following responsibilities:
(a) identify and address those EPA and EPA-assisted activities
where application of this Policy is required;
(b) identify and address those forthcoming EPA and EPA-assisted
major policy decisions where the Policy should be applied;
(c) ensure that work plans are developed annually by the programs
and recipients to provide for adequate public participation in the
above decisions and activities;
(d) implement approved work plans for public information and public
participation activities;
(e) ensure that public participation is included by applicants in
the development of program funding applications to EPA, and in other
decisions as identified by this Policy;
(f) provide guidance and technical assistance to recipients on the
conduct of public participation activities;
(g) evaluate annually public participation activities of State,
substate, or local entities revising and improving them as necessary;
(h) encourage coordination of public participation activities;
(i) support and assist the public participation activities of
Headquarters;
(j) ensure that Regional staff are trained, and resources allocated
for public participation program;
(k) incorporate measures to ensure Policy implementation in
managers' performance standards;
(l) provide small grants to representative public groups for needed
public participation work;
(m) evaluate the appropriateness of public participation
expenditures and activities, revising and improving them as necessary.
4. The Director, Office of Public Awareness has an important role
in the development and support of Agency public participation
activities. The Director will:
(a) Assist Headquarters and regional programs in identifying
interested and affected members of the public in compiling project
contacts lists;
(b) Support Headquarters and regional program in development and
distribution of outreach materials to inform and educate the public
about environmental programs and issues, and participation
opportunities;
(c) Develop annual public awareness/participation support plans to
complement public participation work plans and identify resources
requirements.
H. Compliance
Assistant Administrator, Office Directors, and Regional
Administrators are responsible for making certain that, for the
activities under their jurisdiction, all those concerned comply with
the public participation requirements set forth in this Policy.
Regional Administrators will evaluate compliance with public
participation requirements in appropriate State and substate programs
supported by EPA financial assistance. This will be done during the
annual review of the States' program(s) which is required by grant
provisions, and during any other program audit or review.
If the Regional Administrator is not satisfied that this Policy is
being carried out, he or she should defer the grant award until these
conditions can be met where that course is legally permissible. A
Regional Administrator may grant a waiver from specific requirements in
this Policy upon a showing by the agency that proposed action will
result in substantially greater public participation that would be
provided by the Policy.
The Administrator of EPA has final authority and responsibility for
ensuring compliance. Citizens with information concerning apparent
failures to comply with these public participation requirements should
first notify the appropriate Regional Administrator or Assistant
Administrator, and then if necessary, the Administrator. The Regional
Administrator, Assistant Administrator, or Administrator will make
certain that instances of alleged noncompliance are promptly
investigated and that corrective action is taken where necessary.
Appendix--List of Citations Covering Program Grants, Delegations,
or Permits to States and Substate Governments
The Public Participation Policy will be incorporated in program
regulations that cover financial assistance or delegations of
authority to State or substate governments or approval of State
programs. Where consolidated awards exist under these provisions,
they also will be covered. Programs under the Clean Water Act, Safe
Drinking Water Act, and the Resource Conservation Recovery Act are
already covered by this Policy insofar as they have been amended, or
will be amended, to incorporate 40 CFR part 25. Consolidated permit
programs are covered by 40 CFR parts 122, 123, and 124. Regulations
that refer to existing programs now covered by the Policy will have
to be amended to incorporate its provisions. Where programs
regulations are not yet written, the Policy shall be incorporated.
Clean Air Act (Public Law 95-95)
Air Pollution Control Program Grants
Sec. 105--Grants to State and local air pollution control
agencies for support of air
[[Page 66913]]
pollution planning and control programs. (Catalogue of Federal
Domestic Assistance No. 66001.)
Sec. 106--Grants to interstate air quality agencies and
commissions to develop implementation plans for interstate air
quality agencies and commissions to develop implementation plans for
interstate air quality control regions. (When funded.)
Urban Mass Transportation Technical Studies Grants (DOT)
Sec. 175--Grants to organizations of local elected officials
with transportation or air quality maintenance responsibilities for
air quality maintenance planning. (CFDA No. 20.505)
Sec. 210--Grants to State agencies for developing and
maintaining effective vehicle emission devices and systems
inspection and emission testing and control programs. (When funded.)
Quiet Communities Act (Public Law 95-609)
Quiet Communities--State and Local Capacity Building Assistance
Sec. 14(c)--Grants to State and substate governments and
regional planning agencies for planning, developing, evaluating, and
demonstrating techniques for quiet communities. (CFDA No. 66.031.)
Toxic Substances Control Act (Public Law 94-469)
State Toxic Substance Control Projects
Sec. 28--Grants to State for establishing and operating programs
to complete EPA efforts in preventing or eliminating risks to health
or environment from chemicals. (CFDA No. 66.800.)
Federal Insecticide, Fungicide and Rodenticide Act (Public Law 95-398)
Pesticides Enforcement Program Grant
Sec. 23(a)--Funding to States/Indian tribes through cooperative
agreements for enforcement and applicator training and
certification. (CFDA No. 66-700.)
Resource Conservation and Recovery Act (Public Law 94-580)
Sec. 3005(a)--Issuance of permits for treatment, storage and
disposal of hazardous waste.
Sec. 3006--Delegation of authority to administer and enforce
hazardous waste program.
Sec. 4002--State planning guidelines. Solid and hazardous waste
management program support grants
Sec. 4007--Approval for State, local, and regional authorities
to implement State or regional solid waste plans and be eligible for
Federal assistance. (CFDA No. 66.451)
Sec. 4008--Grants to State and substate agencies for solid waste
management, resource recovery and conservation, and hazardous waste
management. (CFDA No. 66.451.)
Sec. 4009--Grants to States for rural areas solid waste
management facilities. (CFDA No. 66.451.)
Solid Waste Management Demonstration Grants
Sec. 8006--Grants to State, municipal, interstate or
intermunicipal agency for resource recovery systems or improved
solid waste disposal facilities. (CFDA No. 66.452.)
Solid Waste Management Training Grants
Section 7007--Grants or contracts for States, interstate agency,
municipality and other organizations for training personnel in
occupations related to solid waste management and resource recovery.
(CFDA No 66.453.)
Safe Drinking Water Act (Public Law 95-190)
Sec. 1421(b)--Issuance of permits for underground injection
control programs.
State Public Water System Supervision Program Grants
Sec. 1443(a)--Grants to States for public water system
supervision. (CFDA 66.432.)
State Underground Water Source Protection--Program Grants
Sec. 1443(b)--Grants to States for underground water source
protection programs. (CFDA 66.433.)
Clean Water Act (Public Law 95-217)
Construction Grants for Wastewater Treatment Works
Sec. 201--Grants to State, municipality, or intermunicipal
agencies for construction of wastewater treatment works. (CFDA
66.418.)
Water Pollution Control--State and Interstate Program Grants
Sec. 106--Grants to State and interstate agencies for water
pollution control administration. (CFDA 66.419.)
Water Pollution Control--State and Areawide Water Quality
Management Planning Agency
Sec. 205(g)--Delegation of management of construction grants
programs to State designated agency(ies). (CFDA 66.438.)
Sec. 208--Grants for State and areawide waste treatment
management planning. (CFDA 66.426.)
Water Pollution Control--Lake Restoration Demonstration Grants
Sec. 314--Clean Lakes Program.
Sec. 402(a)--Issuance of permits under National Pollutant
Discharge Elimination System.
Sec. 404--Issuance of permits for disposal of dredge and fill
materials.
Public Law 94--580, sections 3005 & 3006;
Public Law 95-190, sections 1421-1423; Public Law 95-217,
section 402; Public Law 95-217, section 404;
Public Law 95-95, section 165;
Proposed consolidated permit regulations, covering; Hazardous
Waste Program under RCRA; UIC Program under SDWA. NPDES and section
404 of the Clean Water Act, and the PSD Program under the Clean Air
Act.
Dated: November 23, 1999.
Kathleen Bailey,
Senior Management Analyst.
[FR Doc. 99-31047 Filed 11-29-99; 8:45 am]
BILLING CODE 6560-50-P