[Federal Register Volume 66, Number 21 (Wednesday, January 31, 2001)]
[Notices]
[Pages 8432-8436]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-1764]


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MORRIS K. UDALL SCHOLARSHIP AND EXCELLENCE IN NATIONAL ENVIRONMENTAL 
POLICY FOUNDATION


The United States Institute for Environmental Conflict 
Resolution; Agency Information Collection Activities; Proposed 
Collection; Comment Request; U.S. Institute for Environmental Conflict 
Resolution Application for the National Roster of Dispute Resolution 
and Consensus Building Professionals: Sub-Roster of Transportation 
Mediators & Facilitators

AGENCY: Morris K. Udall Scholarship and Excellence in National 
Environmental Policy Foundation, U.S. Institute for Environmental 
Conflict Resolution.

ACTION: Notice.

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SUMMARY: In compliance with the Paperwork Reduction Act and supporting 
regulations, this document announces that the U.S. Institute for 
Environmental Conflict Resolution (the Institute), part of the Morris 
K. Udall Foundation, is planning to submit the following proposed 
Information Collection Request (ICR) to the Office of Management and 
Budget (OMB): National Roster of Environmental Dispute Resolution and 
Consensus Building Professionals: Sub-Roster of Transportation 
Mediators & Facilitators. Before submitting the ICR to OMB for review 
and approval, the Institute is soliciting comments regarding the 
proposed information collection (see the section C. below entitled 
Questions to Consider in Making Comments.) This document provides 
information on the need for the Sub-Roster of Transportation Mediators 
& Facilitators, the information to be recorded in the sub-roster, and 
the entry criteria for applicants who wish to be listed. The sub-roster 
application will not be available until all Paperwork Reduction Act 
requirements are met.

DATES: Comments must be submitted on or before April 2, 2001.

ADDRESSES: Direct comments and requests for information, including 
copies of the proposed ICR to: Joan C. Calcagno, Roster Manager, U.S. 
Institute for Environmental Conflict Resolution, 110 South Church 
Avenue, Suite 3350, Tucson, Arizona 85701, Fax: 520-670-5530, Phone: 
520-670-5299, E-mail: [email protected].

FOR FURTHER INFORMATION CONTACT: Joan C. Calcagno, Roster Manager, U.S. 
Institute for Environmental Conflict Resolution, 110 South Church 
Avenue, Suite 3350, Tucson, Arizona 85701, Fax:

[[Page 8433]]

520-670-5530, Phone: 520-670-5299, E-mail: [email protected].

SUPPLEMENTARY INFORMATION:

A. Title for the Collection of Information

    Application for National Roster of Environmental Dispute Resolution 
and Consensus Building Professionals: Sub-Roster of Transportation 
Mediators & Facilitators.

B. Potentially Affected Persons

    You are potentially affected by this action if you are a dispute 
resolution professional with experience related to environmental 
reviews of transportation projects and you wish to be listed on the 
National Roster of Environmental Dispute Resolution and Consensus 
Building Professionals: Sub-Roster of Transportation Mediators & 
Facilitators.

C. Questions To Consider in Making Comments

    The U.S. Institute for Environmental Conflict Resolution requests 
your comments to any of the following questions related to collecting 
information for the Sub-Roster of Transportation Mediators & 
Facilitators:
    (1) Is the proposed sub-roster application (``collection of 
information'') necessary for the proper performance of the functions of 
the agency, including whether the information will have practical 
utility?
    (2) Is the agency's estimate of the time spent completing the 
application (``burden of the proposed collection of information'') 
accurate, including the validity of the methodology and assumptions 
used?
    (3) Can you suggest ways to enhance the quality, utility, and 
clarity of the information collected?
    (4) Can you suggest ways to minimize the burden of the collection 
of information on those who are to respond, including through the use 
of appropriate automated electronic, mechanical, or other technological 
collection techniques or other forms of information technology?

D. Abstract

    The U.S. Institute for Environmental Conflict Resolution plans to 
collect information from environmental dispute resolution professionals 
with experience in transportation cases who desire to become members of 
a roster of neutrals from which agencies may select providers of 
neutral services. The proposed transportation roster is being 
established as part of the U.S. Department of Transportation's Guidance 
on Dispute Resolution, to provide resources for neutral assistance in 
connection with environmental reviews of transportation projects.
    Responses to the collection of information (the application) are 
voluntary, but required to obtain a benefit (listing on the Sub-Roster 
of Transportation Mediators & Facilitators.) An agency may not conduct 
or sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number.

Background Information: U.S. Institute for Environmental Conflict 
Resolution

    The U.S. Institute for Environmental Conflict Resolution was 
created in 1998 by the Environmental Policy and Conflict Resolution Act 
(P.L. 105-156). The Institute is located in Tucson, Arizona and is part 
of the Morris K. Udall Foundation, an independent agency of the 
executive branch of the federal government. The Institute's primary 
purpose is to provide impartial, non-partisan assistance to federal and 
non-federal parties. The Institute provides assistance in seeking 
agreement or resolving disputes through use of mediation and other 
collaborative, non-adversarial means regarding environmental, natural 
resources, and public lands issues involving a federal interest. The 
Institute accomplishes most of its work by partnering or contracting 
with, or referral to, experienced practitioners.

The Need for and Proposed Use of the Information Collected in the 
Application for the Sub-Roster of Transportation Mediators and 
Facilitators

    The environmental streamlining section of the Transportation Equity 
Act for the 21st Century (TEA-21) (Public Law 105-178, as amended 105-
206) was created by Congress in response to undue delays in completing 
transportation projects and directs federal agencies to coordinate 
environmental reviews of transportation projects. Many of the delays 
were a result of unresolved disputes among agencies in the review 
process. Thus, a key part of environmental streamlining is managing 
conflict when it develops. Through discussions with federal and state 
transportation and environmental agencies, the Federal Highway 
Administration (FHWA) (an agency in the U.S. Department of 
Transportation) identified the need for an efficient, effective 
alternative dispute resolution (ADR) system. The FHWA contracted with 
the Institute to provide assistance in designing and implementing an 
ADR system. The system has been designed to prevent and resolve 
disputes among federal and state transportation, natural resource, and 
environmental regulatory agencies. It is designed to address conflicts 
over specific issues that arise under the National Environmental Policy 
Act (NEPA) process, that is, the preparation of Environmental 
Assessments or Environmental Impact Statements for specific projects, 
or determining whether Categorical Exemptions apply. It also applies to 
reviews for potential impacts on historical and archeological 
resources, and to reviews associated with permits that some projects 
require, such as dredge and fill permits from the Army Corps of 
Engineers (under Section 404 of the Clean Water Act).
    The Sub-Roster of Transportation Mediators & Facilitators (``sub-
roster'') is part of the ADR system. Interviews with numerous federal 
and state agency representatives, who are potential users of the 
system, identified the need for professional third-party assistance. 
The sub-roster provides agencies with one source from which to find 
experienced neutrals to facilitate negotiations and to help resolve 
disputes. Agency personnel will use the sub-roster primarily to find 
facilitators or mediators experienced in preventing and resolving 
disputes that arise during environmental reviews of transportation 
projects. Agencies may also look to the sub-roster for such services as 
conflict assessment, process design, or related professional advice in 
these same issues.
    In order for the sub-roster to be an efficient and effective part 
of the environmental streamlining ADR system, it must provide agency 
personnel seeking assistance specific information related to the third-
party neutral's experience with environmental reviews of transportation 
projects. The Institute operates the National Roster of Environmental 
Dispute Resolution and Consensus Building Professionals (``roster''), 
which has existed since February 2000. (The roster application is open 
and continuous and available on Institute's website: www.ecr.gov.) Sub-
roster applications will be submitted by those practitioners who are 
already, or will become, members of the roster. The information already 
collected through the roster application process is not specific enough 
to allow all roster members with this particular experience to be 
identified. Collection of specific information relating to 
transportation experience will expedite the identification of 
appropriate neutrals.
    The sub-roster information, instructions and application will be 
available from the Institute's website as a PDF document. The 
application gathers the information necessary to

[[Page 8434]]

determine whether the applicant meets the entry criteria and gathers 
some additional information important to selecting appropriate 
practitioner candidates for the particular situation. Information will 
be entered on the application online, similarly to common computerized 
word processing. It will then be printed out and mailed in. The 
applicant can also save the application electronically for purposes of 
updating or revision. Hardcopy applications will be available by 
request to the Institute. Sub-roster members names and locations will 
be tracked and searchable in an electronic database maintained by the 
Institute. Agencies will be able to request assistance in identifying 
appropriate practitioners by contacting the Institute Roster Manager.

Draft Sub-Roster Application

    The draft application is attached. The format of the draft 
application will be modified to use fonts, spacing and formatting for 
optimum electronic use.

E. Burden Statement

    This ICR compiles data available from the resumes of most mediators 
and facilitators with experience in environmental reviews of 
transportation projects into a format that is standardized and easily 
accessible for use in making referrals. The application will be 
submitted only by members of the National Roster of Environmental 
Dispute Resolution and Consensus Building Professionals, who will have 
familiarity with providing this type of information as a result of 
applying for membership; the roster application is filled out and 
submitted online and is more detailed. Sub-roster applicants will need 
to complete the sub-roster application only once. They will be able to 
update their information on a voluntary basis. The burden includes time 
spent to: (1) Review the entry criteria, definitions, instructions and 
application; (2) access current (within the last ten years) information 
about their experience with environmental reviews of transportation 
projects; and (3) enter the information on the form, print it and mail 
it.
    Likely Respondents: Current and future members of the National 
Roster of Environmental Dispute Resolution and Consensus Building 
Professionals.
    Estimated Number of Respondents (first year): 80.
    Estimated Number of New Respondents (per year for succeeding year): 
10.
    Proposed Frequency of Response: one, with voluntary update.

    Respondent Time Burden Estimates:
    Estimate Time per Response: 140 minutes.
    Estimated Number of Updates (per year): 1, for half of the 
respondents.
    Estimated Time for Update: 15 minutes.
    Estimated Total First Year Burden: 11200 minutes.
    Estimated Total Subsequent Year Annual Burden: 1400 minutes, new 
respondents + 675 minutes, updates.

    Respondent Cost Burden Estimates (at $150. per hour):

No capital or start-up costs (respondents will use the same computer 
equipment to access the sub-roster application as was used for their 
National Roster of ECR Practitioner application or respondents can 
request an application by phone or mail; applications are submitted 
through US Postal Service)

    Estimated Cost per Respondent (first year): $345.
    Estimated Cost per Respondent (subsequent year): $38.
    Estimated Total First Year Burden: $27,990.
    Estimated Total Subsequent Year annual Burden: $3,500, new 
respondents; $1,688, updates.
    Burden means the total time, effort, or financial resources 
expended by persons to generate, maintain, retain, or disclose or 
provide information to or for a Federal agency. This includes the time 
needed to review instructions; develop, acquire, install, and utilize 
technology and systems for the purpose of collecting, validating, and 
verifying information, processing and maintaining information, and 
disclosing and providing information and transmitting information.

(Authority: 20 USC Sec. 5601-5609).

    Dated the 16th day of January, 2001.
Christopher L. Helms,
Executive Director, Morris K. Udall Foundation.

U.S. Institute for Environmental Conflict Resolution

National Roster of Environmental Dispute Resolution and Consensus 
Building Professionals; Sub-Roster of Transportation Mediators & 
Facilitators Instructions & Application

Sub-Roster Entry Criteria

1. Membership on the National Roster of Environmental Dispute 
Resolution and Consensus Building Professionals
2. Participation as a Principal Professional in two Transportation 
Cases within the last ten years

        or

    Participation as a Principal Professional in one Transportation 
Case within the last ten years

        and

    one-year full time equivalent experience within the last ten years: 
working for, or as a consultant to, a transportation agency, an 
environmental resource agency or an environmental regulatory agency in 
a position with responsibility for environmental reviews of 
transportation projects

        or

    providing legal advice or representation to parties in cases 
involving environmental reviews of transportation projects

Please Note

     ``Membership on the National Roster of Environmental 
Dispute Resolution and Consensus Building Professionals'' in criteria 
(1.) means you have submitted an application to the roster and been 
notified of approval.
     The italicized terms in the entry criteria have specific 
definitions. The definitions are included below.
     Principal Professional incorporates the definition of 
Environmental Dispute Resolution and Consensus Building Professional, 
which requires that you only count cases in which you were a ``third 
party neutral engaged to assist all parties * * *'' in various 
collaborative processes. Do not include cases in which you acted as a: 
representative of or negotiator for a party, presiding judge, hearing 
officer, or arbitrator.
     A Case requires at least 20 hours of your activity. Case 
Hours is specifically defined.
     Only cases within the last ten years and on going cases 
can be included.
     A transportation case could involve the affected agencies 
(inter-agency), just one agency (intra-agency), or all stakeholders. 
Listing inter-agency cases is preferred.
     You may count as a transportation case, a case you 
included in the Qualifying Case section of your roster application, but 
you must include the information about the case as requested in the 
sub-roster application.
     ``One year full time experience in the last ten years'' 
means that the experience does not necessarily have to have been gained 
during one calendar year and could be spread over the last ten years.

Definitions

    Case. Involves an actual or potential dispute or lack of agreement 
on one or more issues in controversy. A case may also be described as a 
process of building agreement, recommendations,

[[Page 8435]]

or advice on actual or potential issues in controversy as well as 
facilitating collaborative processes among multiple parties on actual 
or potential issues in controversy. Systems design and evaluation work 
would also be included. A case must have engaged the environmental 
dispute resolution and consensus building professional for more than 20 
case hours.
    Transportation case. A case involving (1) environmental review of a 
specific transportation project or (2) a case involving ``up-front'' 
collaborative efforts at the planning stage among transportation, 
environmental resource and environmental regulatory agencies or (3) the 
design of processes to manage conflict and resolve disputes relating to 
environmental review of transportation projects.
    Environmental review. Review of transportation projects for 
environmental, archeological, or historical impacts (e.g., reviews 
associated with the National Environmental Policy Act (NEPA) process; 
permits under Section 404 of the Clean Water Act; U.S. Fish and 
Wildlife Service and National Marine Fisheries Service consultations 
under the Endangered Species Act; U.S. Environmental Protection Agency 
project approvals; historical and archeological reviews associated with 
Section 4(f) of the U.S. DOT Act of 1966 and Section 106 of the 
National Historic Preservation Act and related regulations; or similar 
state requirements.)
    Transportation project. A surface (highway and/or transit) or air 
transportation project.
    Transportation agency. Local, state, or federal transportation 
agency.
    Environmental resource agency and/or Environmental regulatory 
agency. Agencies charged with planning for and managing natural 
historical, or archeological resources; issuing and enforcing 
environmental regulations; conducting environmental reviews. For 
example: a state department of game and fish or natural resource 
agency, U.S. Environmental Protection Agency, U.S. Fish and Wildlife 
Service, U.S. Forest Service, National Marine Fisheries Service, Bureau 
of Land Management, Army Corps of Engineers, U.S. Coast Guard, National 
Advisory Council on Historic Preservation.
    Case hours. Actual contact time with the parties as individuals or 
a group, plus time spent in conduct of all phases of the process, or 
evaluating or reporting on the process. This does not include hours 
spent prior to professional engagement in the project.
    Environmental dispute resolution and consensus building 
professional. Any third party neutral engaged to assist all parties in 
the prevention, management, or resolution of disputes or controversy. 
The environmental dispute resolution and consensus building 
professional shall have expertise in one or more of the following 
processes: facilitation, mediation, consensus building, neutral 
evaluation/fact finding, settlement judge, conflict assessment, process 
design, or dispute systems design.
    Principal professional. An environmental dispute resolution and 
consensus building professional (see above) who has been engaged to 
serve as the lead in a case. A principal professional includes serving 
as a co-mediator or other such circumstance where duties and 
responsibilities are shared equally as peers.

Saving the Application for Your Records and Revision (To Be Added)

Submitting Your Application

    The application pages will provide information for determining 
compliance with the entry criteria and will be sent to those seeking 
referrals. Thus you must supply information that reflects a match with 
entry criteria and you have the opportunity to supply additional 
information to users. The reference page is for Institute use only.
    Please fill out the application pages and the reference page 
online. Print these pages. Mail, do not fax, these pages only to: Joan 
C. Calcagno, Roster Manager, U.S. Institute for Environmental Conflict 
Resolution, 110 South Church Avenue, Suite 3350, Tucson, Arizona 85701; 
and for assistance, questions or hardcopy application: 520-670-5299 
Ext. 19 [email protected]

Conditions for Listing

    In submitting your application for the Sub-Roster of Transportation 
Mediators & Facilitators, you agree to abide by the same Terms and 
Conditions agreement that applies to your roster membership (see the 
last page of your roster application) and the same.
    Certification: I certify that all information submitted by me on 
this application is correct to the best of my knowledge. I wish to be 
listed on the Sub-Roster of Transportation Mediators & Facilitators if 
found to meet the qualifications for inclusion. Moreover, I have read, 
understand and agree to abide by all terms set forth in the Conditions 
of Listing Agreement, referred to above, as a condition for listing on 
the sub-roster. I further understand that false certification may 
subject me to civil or criminal penalties as prescribed in 18 U.S.C. 
1001. I also understand that all information provided by me on this 
application is public record. In my application, I certify that I am 
not currently debarred, suspended, proposed for debarment or 
suspension, nor have I been declared ineligible for the award of 
contracts by any Federal agency.

Application Instructions

    Item 1. Transportation Case Information: In the spaces provided, 
enter the requested information on up to two Transportation Cases in 
which you were the Principal Professional and which took place in the 
last ten years. Indicate your primary Alternative Dispute Resolution/
Environmental Conflict Resolution role. Enter the estimated number of 
case hours (to date, if the case is on going), the number of parties or 
represented interests involved, and the type of transportation project. 
Provide a detailed description of the case including the environmental 
review process involved, your activities, and the outcomes.
    Item 2. Professional Transportation Experience: In the spaces 
provided, enter information on your paid job experience working for a 
transportation agency, environmental resource agency, or environmental 
regulatory agency, or your experience as a consultant to such agencies. 
Include only work or consulting experience in which you had 
responsibility for environmental reviews of transportation projects. 
And/or enter information about your experience providing legal advice 
or representation to parties in cases involving environmental reviews 
of transportation projects.
    Item 3. Summary Numbers: In the space provided, enter the total 
number of Transportation Cases in which you participated as Principal 
Professional in the last 10 years and the average number of case hours.
    Item 4. Summary Narrative: In the space provided, enter a narrative 
description of the body of your experience with transportation cases, 
issues, and processes, particularly experience with developing 
timelines for transportation projects, with ``404/NEPA merger'' 
processes, or with resolving interagency disputes.
    References: For each case, provide one reference. Please provide 
one reference for your Professional Transportation Experience, if 
applicable.

[[Page 8436]]

References

    For each case, provide one reference. Please provide name, title, 
and address and phone number, including area code.
Case name:------------------------------------------------------------
Reference Name:-------------------------------------------------------
Title:----------------------------------------------------------------
Address:--------------------------------------------------------------
Phone Number:---------------------------------------------------------

Case name:------------------------------------------------------------
Reference Name:-------------------------------------------------------
Title:----------------------------------------------------------------
Address:--------------------------------------------------------------
Phone Number:---------------------------------------------------------

    Please provide one reference for your Professional 
Transportation Experience, if applicable. Please include name, 
title, transportation or environmental agency, address, phone 
number.

Work Reference Name:--------------------------------------------------
Title:----------------------------------------------------------------
Transportation/Environmental Agency:----------------------------------
Address:--------------------------------------------------------------
Phone Number:---------------------------------------------------------

    Note: The reference information is for Institute use only and 
will not be available to other parties.

U.S. Institute for Environmental Conflict Resolution Sub-Roster of 
Transportation Mediators and Facilitators

Name:-----------------------------------------------------------------
City and State:-------------------------------------------------------

Highlights of Transportation Case Experience

Transportation Case Name:---------------------------------------------
Primary Role:---------------------------------------------------------
Month and year of completion or on going:-----------------------------
Estimated Number of case hours:---------------------------------------
Number of Parties or represented interests:---------------------------
Parties/entities:-----------------------------------------------------
Type of Transportation project (highway, transit, air):---------------
Case Description:-----------------------------------------------------

Transportation Case Name:---------------------------------------------
Primary Role:---------------------------------------------------------
Month and year of completion or on going:-----------------------------
Estimated Number of case hours:---------------------------------------
Number of Parties or represented interests:---------------------------
Parties/entities:-----------------------------------------------------
Type of Transportation project (highway, transit, air):---------------
Case Description:-----------------------------------------------------

Transportation Work Experience

Organization:---------------------------------------------------------
Full or Part time:----------------------------------------------------
Occupation, position or title:----------------------------------------
Month and year worked from and to:------------------------------------
Description of primary responsibility/involvement:--------------------

The total number of Transportation Cases as a Principal Professional in 
the last ten years: ______

The average number of case hours:______

Narrative Description of experience with transportation cases, issues 
and/or processes:

[FR Doc. 01-1764 Filed 1-30-01; 8:45 am]
BILLING CODE 6820-FN-M