[Federal Register Volume 65, Number 49 (Monday, March 13, 2000)]
[Notices]
[Pages 13383-13384]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-6097]


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ENVIRONMENTAL PROTECTION AGENCY

[FRL-6560-1]


Interim Statement of Policy on Alternative Dispute Resolution

AGENCY: Environmental Protection Agency.

ACTION: Notice.

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SUMMARY: This document publishes the interim statement of policy of the 
United States Environmental Protection Agency regarding the use of 
alternative dispute resolution (``ADR''). In addition to publishing the 
interim statement of policy, this document describes a process for 
developing and issuing a final EPA policy on ADR. We are also 
requesting public comment on issues that the Agency should take into 
consideration in preparing a final ADR policy and comments on how EPA 
can best encourage the acceptance and use of ADR techniques in 
appropriate circumstances.
    This document is published in the Federal Register to affirm the 
commitment of the U.S. Environmental Protection Agency to the use of 
alternative dispute resolution (ADR) in Agency activities. Nothing in 
this document creates any right or benefit by a party against the 
United States.

DATES: Comments must be submitted on or before May 12, 2000.

ADDRESSES: Please address comments to W. Robert Ward, Dispute 
Resolution Specialist, by mail at U.S. EPA, Ariel Rios Building, 1200 
Pennsylvania Avenue, NW (MC 2310A), Washington, D.C. 20460, or by e-
mail at [email protected].

FOR FURTHER INFORMATION CONTACT:  W. Robert Ward, Dispute Resolution 
Specialist, U.S. EPA, Ariel Rios Building, 1200 Pennsylvania Avenue, NW 
(MC 2310A), Washington, D.C., 20460; (202) 564-2922; 
[email protected].

SUPPLEMENTARY INFORMATION: This interim statement of policy is 
consistent with the Administrative Dispute Resolution Act of 1996 
(Public Law 104-320, Oct. 19, 1996, 5 U.S.C. 571-583), which requires, 
in part, that each federal agency adopt a policy that addresses the use 
of ADR. It is also consistent with provisions of the Civil Justice 
Reform Act (Public Law 101-650, Dec. 1, 1990, 28 U.S.C. 471-482), 
Executive Order 12988, ``Civil Justice Reform,'' February 5, 1996; the 
Regulatory Negotiation Act of 1996 (Public Law 104-320, Oct. 19, 1996, 
5 U.S.C. 561-570); the Federal Acquisition Streamlining Act (Public Law 
103-355, Oct. 13, 1994, 41 U.S.C. 405); the Contracts Disputes Act (41 
U.S.C. 601-613); the Federal Acquisition Regulation (48 CFR 33.204); 
Executive Order 12979, ``Agency Procurement Protests,'' October 25, 
1995; Equal Employment Opportunity Commission regulations (29 CFR part 
1614); Presidential Memorandum, ``Designation of Interagency Committees 
to Facilitate and Encourage Use of Alternative Means of Dispute 
Resolution and Negotiated Rulemaking,'' May 1, 1998, and the Report of 
the National Performance Review, ``Creating a Government that Works 
Better and Costs Less,'' September 7, 1993.

Interim Statement of Policy on Alternative Dispute Resolution

    It is the policy of the Environmental Protection Agency to 
consider, under guidelines to be established by the Agency for this 
purpose, the use of ADR techniques in the conduct of Agency activities 
and to use ADR whenever it is appropriate. For purposes of this interim 
statement of policy, ADR has the definition given to it by the 
Administrative Dispute Resolution Act, namely, ``any procedure that is 
used to resolve issues in controversy, including but not limited to, 
conciliation, facilitation, mediation, fact finding, minitrials, 
arbitration, and use of ombuds, or any combination thereof.'' 5 U.S.C. 
571. In addition, it is the policy of the Environmental Protection 
Agency to work to prevent disputes and to use ADR techniques where 
appropriate to engage stakeholders as a part of the dispute prevention 
effort. It is furthermore the policy of the Environmental Protection 
Agency to develop new programs that employ alternative means of dispute 
prevention and resolution; to provide information and training in 
alternative dispute resolution methods for Agency staff and managers 
who may have occasion to use ADR in their work; to enhance its program 
for providing the services of third-party neutrals on an expedited 
basis; and to track and report on the use of ADR throughout the Agency.
    Alternative dispute resolution techniques are increasingly being 
used by Federal agencies, private citizens and organizations to prevent 
and resolve disputes and manage cases. The Environmental Protection 
Agency already has a long history of encouraging and supporting the use 
of ADR in Agency practice. In 1981, EPA issued a policy designed to 
provide guidance and direction on reasonable and effective means of 
involving the public in program decisions under all of the major 
environmental statutes. 46 FR 5736, Jan. 19, 1981. In 1983, EPA 
established the Regulatory Negotiation Project to explore and 
demonstrate the value of negotiation and other consensus-building 
techniques for developing regulations. In 1987, the Project expanded 
its activities to the use of consensus-building in policy

[[Page 13384]]

dialogues and the development of research strategies.
    In 1985, EPA's Office of Enforcement piloted the use of ADR to 
assist in the resolution of enforcement actions. In 1987, EPA issued a 
``Guidance on the Use of Alternate Dispute Resolution in EPA 
Enforcement Cases'' establishing the review of all enforcement actions 
for the potential use of ADR processes and the use of ADR whenever such 
use may lead to a prompt, fair, and efficient resolution of disputes.
    In 1996, the Office of Solid Waste and Emergency Response initiated 
a program to use ADR professionals to facilitate the resolution of 
hazardous waste site disputes. Also in 1996, the Office of Civil Rights 
piloted the use of ADR processes to support the resolution of Equal 
Employment Opportunity complaints.
    In October 1998, as partial fulfillment of the requirements of the 
ADR Act and in response to the Presidential Memorandum on ADR of May 1, 
1998, EPA appointed a Dispute Resolution Specialist. In November of 
1999, the establishment of a Conflict Prevention and Resolution Center 
was announced. The Center will be part of the Agency's ADR Law Office 
that will serve as EPA's national ADR policy and coordination office. 
In addition, the Agency has established ombuds programs in several 
Regional and headquarter offices and is currently developing programs 
for the use of ADR in contract and claims disputes, and in programs 
that invite public participation.
    The Agency's capacity for accessing outside professional 
facilitation and mediation support has significantly increased through 
a series of contracts managed by the Agency. In 1988, EPA issued a 
contract authorizing up to $1,000,000 in neutral services over three 
years. The most recent contract, issued in 1999, has a ceiling of more 
than $41,000,000. The growth in demand for outside dispute resolution 
services reflects the breadth of ADR activities that have been 
supported by the Agency.

Additional Steps

    An internal Agency workgroup is preparing a final Agency ADR policy 
and is determining the need for practice-specific guidances on the use 
of ADR in certain EPA programs. The final policy and/or guidelines will 
address Agency activities and issues cited in the Administrative 
Dispute Resolution Act (``ADRA'') as well as other issues deemed 
important to the appropriate practice of ADR at EPA. Activities that 
will be considered during EPA's policy development process include:
    (1) Formal and informal adjudications;
    (2) Issuance of rules and regulations;
    (3) Development of policy and guidance;
    (4) Enforcement and compliance actions;
    (5) Issuing and revoking licenses and permits;
    (6) Grants administration and Memoranda of Understanding;
    (7) Contract placement and administration;
    (8) Interactions with the public and regulated community;
    (9) Legal actions brought by or against the Agency;
    (10) Employment related actions.
    In addition, the policy and/or guidances will address salient 
issues such as confidentiality, the use of binding arbitration, and 
guidelines for providing appropriate ADR training. In developing the 
final policy, the Agency will take into account any comments received 
on the interim statement of policy published in this document. The 
Agency also plans to issue a draft of the final ADR policy for public 
review and will seek comment at that time.

Coordination With Public Participation Policy Review

    On November 30 of last year, EPA's Regulatory Steering Committee 
published a document in the Federal Register seeking public comment on 
the Agency's 1981 Policy on Public Participation, including the 
question of how the Agency can best engage the public in an effort to 
revise that policy (and other related EPA policies and regulations). 
(See 64 FR 66906, Nov. 30, 1999) Because interaction with the public 
and regulated community is one of the areas to be addressed in the 
final ADR policy, the Agency will be using the feedback received in 
response to that document to inform the final ADR policy as well.

Request for Public Comment

    The Environmental Protection Agency invites public comment on 
issues that the internal Agency workgroup should consider in developing 
a final ADR policy. In particular, the Agency would like to hear the 
views of stakeholders regarding how EPA can best encourage the 
acceptance and use of ADR techniques in appropriate circumstances. 
Comments should be received by May 12, 2000.

    Dated: March 7, 2000.
Carol Browner,
Administrator.
[FR Doc. 00-6097 Filed 3-10-00; 8:45 am]
BILLING CODE 6560-50-P