Review of Environmental Protection Agency Public Participation Policies

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