**Aligning the Complementary Processes of Environmental Management
Systems and the National Environmental Policy Act**

> *...\[I\]t is the continuing policy of the Federal Government ...to
> use all practicable means and measures ...to create and maintain
> conditions under which man and nature can exist in productive harmony,
> and fulfill the social, economic, and other requirements of present
> and future generations of Americans.*
>
> *\-- National Environmental Policy Act of 1969*

This document is provided to all Federal agencies to assist them in
aligning Environmental Management Systems (EMSs) elements with the
National Environmental Policy Act (NEPA) statement of policy in Section
101 and the analysis and decision processes of Section 102 and
incorporating the EMS approach into the NEPA process when establishing,
implementing, and maintaining their EMS. The Council on Environmental
Quality (CEQ) recognizes the benefits of aligning these complementary
processes and encourages Federal agencies to do so where appropriate.

The *National Environmental Policy Act* of 1969 (NEPA) articulates a
broad national environmental policy.[^1] NEPA also includes requirements
for Federal agencies proposing actions "significantly affecting the
quality of the human environment" to analyze the environmental impacts
of these actions, and of alternatives. These requirements are what
associated regulations identify as the "NEPA process."[^2] The NEPA
process includes forecasting the impacts of an action (and alternatives)
and identifying mitigation measures for those impacts prior to making
decisions and taking action ("predict-mitigate-implement" model). The
analyses are documented and available to the public in NEPA
environmental documents such as Environmental Assessments (EAs) and
Environmental Impact Statements (EISs).

Executive Order 13148 was issued in April 2000, directing Federal
agencies to implement EMSs at all appropriate agency facilities. Federal
agencies have been complying with the environmental review requirements
of NEPA for over 35 years. It is important for Federal agencies to
understand the relationship of EMS to NEPA. Consequently, the Council
provides this document to help Federal agencies recognize the
complementary relationship of EMS and NEPA and how this relationship can
support the policies set forth in Section 101 of NEPA and the processes
set forth in Section 102 of NEPA and the CEQ NEPA regulations[^3].

An Environmental Management System (EMS)[^4] is a structure of
procedures and policies used to systematically identify, evaluate, and
manage environmental impacts. An EMS provides order and consistency for
organizations to address environmental concerns in a comprehensive
manner through the allocation of resources, assignment of
responsibilities, and continual improvement of practices, procedures and
processes. An EMS for a Federal agency is intended to ensure that all
necessary actions are taken to integrate environmental accountability
into day-to-day decision-making and long-term planning processes related
to the agency's activities, products and services. EMS employs a
continuous and rigorous self-monitoring cycle for continual improvement
of environmental performance. Improvement is achieved by identifying how
the activities, products, and services interact with the environment to
cause environmental impacts; by establishing and maintaining
environmental objectives and targets; by training staff and clearly
defining responsibilities; by instituting operational controls,
emergency procedures, and monitoring; and by taking corrective action
where necessary to avoid and reduce impacts ("plan-do-check-act" model).

EMSs also use a unique set of terminology. For example, the "cause" in
cause-and-effect relationships involving natural resources may be called
an "environmental aspect" for EMS purposes. An environmental aspect for
a facility could include such things as air emissions, wastewater
discharges, or natural resource consumption. Aspects that could result
in significant environmental impacts[^5] are one group of aspects termed
"significant aspects." Many of the EMS processes are geared toward
addressing these significant aspects. This process of identifying and
evaluating environmental aspects bears many similarities to the NEPA
process of identifying and assessing environmental impacts. In the EMS
context, this information is used to not only assess environmental
issues, but more so, to actively manage them.

One way to address significant aspects in an EMS is to account for them
when setting "objectives and targets" for environmental performance. In
an EMS, an objective is essentially a goal established for management of
an aspect consistent with policy commitments, and targets are interim
goals or milestones for achieving objectives. Objectives and targets in
combination with other system checks and controls are the basis for
continual improvement in an EMS. Thus, the focus of an EMS is ultimately
on the active management of environmental issues that includes
monitoring and action based on monitoring results.

By contrast, the application of NEPA has generally been viewed as a
non-recurring process focused on a specific proposal that terminates
with the decision on whether and how to proceed with the proposed
action. Generally speaking, agencies have not integrated the NEPA
analyses and documents into the ongoing implementation and management of
the action. Further, the information and analyses contained in such
documents are often not revisited to verify or update the accuracy of
the data, predictions or assessments of the efficacy of mitigation
options. To a certain extent, the focus of the NEPA process has become
the successful production of the NEPA document whose use is limited to
the time point a decision is made on the proposal. Therefore, the full
value of the resources expended in the NEPA process is frequently not
carried over into the actual successful implementation and management of
the actions subject to NEPA.

As shown in the table below, the elements of an EMS and of NEPA can
support and complement each other, and integration of EMS and NEPA can
bring substantial benefits to an agency's environmental performance and
further our national environmental policy. For example, the EMS
typically requires identification of environmental aspects and
significant environmental impacts associated with ongoing activities,
products or services, as well as with new proposals. NEPA commonly
provides a forecast of the impacts of the proposal and any mitigation
measures accompanying the proposal at a discrete proposal design and
decision phase. Incorporating an EMS approach into the NEPA process
would drive the use of this impact prediction and mitigation information
beyond the decision stage and into day-to-day implementation.

Commitments and mitigation measures established in NEPA decision
documents (e.g., Findings of No Significant Impact and Records of
Decision) can be implemented, tracked and monitored through the EMS
because the EMS provides a framework to improve environmental
performance in ongoing day-to-day operations through the EMS
"operational controls."[^6] The implementation, tracking and monitoring
of commitments and mitigation measures can assist in training, internal
auditing, identification of appropriate corrective actions and
communication with interested parties.

A major component of the NEPA process is communicating and involving the
interested public. An EMS can provide numerous opportunities for
communicating with the public and serve a major role in providing
information about the proposal under consideration and thereby help
focus the public involvement.

An EMS can improve the NEPA process through an adaptive management
approach for projects that face uncertain or unforeseen conditions[^7]
during implementation. Exploiting the complementary elements of the NEPA
and EMS processes can help managers make decisions more effectively,
reduce environmental impacts, and further the NEPA policy goals and
processes.

Finally, it is conceivable that a well constructed EMS can include all
the elements of the NEPA process and serve as the basis for complying
with NEPA requirements. CEQ encourages innovative efforts to experiment
with this concept as agencies develop complementary EMS and NEPA
processes.

Agencies should be guided in their efforts to implement complementary
EMS and NEPA processes in a manner that promotes the advantages of each
in supporting the national environmental policy of the United States.
Examples include:

-   Incorporating the NEPA process or process milestones into EMS
    objectives and targets.

-   Identifying the NEPA process as a key element of the EMS, thereby
    requiring various requirements of the NEPA process be incorporated
    into the appropriate elements of the EMS.

-   Identifying NEPA expertise as a competency required for an agency's
    practices.

-   Maintaining appropriate NEPA documents as EMS procedures and
    records.[^8]

-   Incorporating NEPA impact analyses into the EMS aspects
    identification process.

-   Considering EMS aspects in NEPA impact analyses.

-   Incorporating mitigation commitments from the EIS record of decision
    (ROD) or EA finding of no significant impact (FONSI) into the EMS
    legal and other requirements[^9], objectives and targets,
    environmental management program(s)[^10] and operational controls.

-   Incorporating metrics for desired conditions into monitoring and
    measurement procedures.

-   Encouraging EMS and NEPA practitioners to work together in
    developing EMS and NEPA procedures and processes.

The following description illustrates specific ways EMS and NEPA
processes can complement one another to improve how Federal agencies
manage their impacts on the environment.

-   The NEPA process generally approaches environmental management
    decisions on a case-by-case basis, and mainly focuses on identifying
    and mitigating "significant" environmental impacts. An EMS addresses
    the full range of ongoing activities (and products and services) the
    agency has decided to implement with the intent to continually
    improve environmental performance by minimizing the adverse effects
    of its environmental aspects.

-   The identification of environmental aspects in the development of an
    EMS can build on the environmental aspects identified in a previous
    NEPA analysis of a facility, activity, program or policy.
    Conversely, a new NEPA analysis can consider the identified
    environmental aspects in an EMS when assessing potential
    environmental impacts of a proposed action. The EMS can provide a
    platform for using the information collected and analyses performed
    in the NEPA process on a going forward basis in the actual
    implementation of proposed actions.

-   The performance measurements and monitoring conducted as part of an
    EMS may provide comparable and verifiable data to improve
    environmental impact predictions in an EA or EIS.

-   An EMS provides a systematic framework for an agency to monitor and
    continually improve its environmental performance. Agencies with an
    EMS may be able to use data generated through their EMS to establish
    a record of environmental performance to support, for example (a)
    identifying categories of actions that normally require an EIS, (b)
    finding no significant impact when incorporated into an EA, which
    would preclude the need to prepare an EIS, or (c) establishing a
    categorical exclusion[^11] under NEPA which would reduce the need to
    prepare EAs. Further, where an EIS is needed, the EMS approach of
    keeping environmental data up-to-date should facilitate the
    preparation of an EIS.

-   Where an EMS has established environmental objectives and targets
    relevant to resource areas subject to NEPA mitigation measures, the
    EMS can ensure implementation and performance of mitigation measures
    through applicable measurement and monitoring programs.

-   An EMS can support the implementation of a NEPA "adaptive
    management" approach when there are uncertainties in the prediction
    of the impacts or outcome of project implementation, or the
    effectiveness of proposed mitigation. The adaptive management
    approach can provide managers with the flexibility to make necessary
    corrections or adjustments in project implementation, possibly
    without needing new or supplemental NEPA analyses.

> The adaptive management approach (the
> "predict-mitigate-implement-monitor-adapt" model) adjusts actions to
> foster desired outcomes and reduce undesired ones.[^12] Predictions
> are based on a potential range of impacts and appropriate
> implementation adjustments. Adaptive management involves real-time
> adjustments where the NEPA process has identified a range of possible
> outcomes, and appropriate adjustments to respond to them. The checking
> and corrective action elements of the EMS can add the "monitor and
> adapt" steps to the traditional NEPA "predict-mitigate-implement"
> model. This approach allows continuous improvement in management
> effectiveness and in reduction of environmental impacts within
> parameters established by the NEPA-informed decision.

There will be Federal agencies or facilities that have an EMS but do not
prepare EAs or EISs. And there will be proposed actions for which an EA
or EIS is required which are not covered by an existing EMS. But where
both do exist, and the NEPA "proposed action" is within the scope of the
EMS, then the NEPA process is one of the (numerous) requirements and
procedures that can be managed as part of the EMS.

This paper concludes with the table provided below. Highlighting the
complementary processes is the objective of the table. Understanding the
table requires the reader have a basic understanding of both the NEPA
analysis and decision document preparation processes and the elements of
the ISO 14001 EMS standard (with their associated procedures and
requirements). While not all EMSs developed in the Federal sector follow
the ISO 14001 model, most have elements that are common to those shown
in the tables.

The EMS elements depicted in the left hand column of Table represent
those of the International Organization for Standardization EMS
standard, ISO 14001. The information presented in the middle column
relates to commonalities between the EMS element's procedures or
information requirements and the NEPA elements described in the right
hand column. This table will be useful for the NEPA practitioner to
identify information and procedures associated with EMS elements that
may support the various phases of the NEPA review process and
information requirements. The EMS specialist will find the table useful
for identifying NEPA review procedures and analyses that can support the
development or implementation of EMS procedures and processes. For
example, those who develop NEPA analyses for Federal actions may be
called on to help characterize an agency's environmental aspects and
impacts for their EMS.

**Table**

**Complementary Elements of the Environmental Management System and
National Environmental Policy Act Processes**

+-------------------+--------------------------+-----------------------+
| # EMS Element     | **EMS and NEPA           | **NEPA**              |
|                   | Complementary Examples** |                       |
+-------------------+--------------------------+-----------------------+
| #                 | The EMS Policy Statement | Several provisions in |
|                   | defines the scope of the | the CEQ Regulations   |
| # Policy          | agency's organization    | address the national  |
|                   | and activities covered   | environmental policy  |
| The organization  | by the EMS; this is      | Congress declared for |
| states its        | likely to include        | federal agencies in   |
| commitment to     | activities for which     | section 101 of the    |
| environmental     | NEPA analyses are        | National              |
| compliance,       | required or have been    | Environmental Policy  |
| environmental     | prepared.                | Act.                  |
| protection, and   |                          |                       |
| continual         | In Section 101 of NEPA,  | The primary provision |
| improvement       | Congress provided a      | is at 40 CFR section  |
| within the scope  | common environmental     | 1500.2 (Policy).      |
| of the            | policy statement for all |                       |
| organiz           | federal agencies. This   | Other relevant        |
| ation/activities, | policy statement is a    | provisions include 40 |
| products and      | general statement of the | CFR sections 1500.1   |
| services covered  | federal government's     | (Purpose) and 1507.2  |
| by its EMS.       | commitment to continuous | (Agency capability to |
|                   | environmental            | comply).              |
|                   | improvement and          |                       |
|                   | inter-agency             |                       |
|                   | coordination in the      |                       |
|                   | implementation of that   |                       |
|                   | policy.                  |                       |
+-------------------+--------------------------+-----------------------+
| #                 | Under NEPA, an agency    | The aspects can       |
|                   | evaluates a new project  | inform the            |
| # Envi            | at the proposal stage to | development and       |
| ronmental Aspects | identify how it or       | preparation of NEPA   |
|                   | reasonable alternatives  | analyses and          |
| An EMS includes   | will interact with the   | documentation         |
| procedure(s) to   | environment, and what    | described in the CEQ  |
| identify, and     | the related impacts will | NEPA Regulations at   |
| keep up to date   | be. Impacts are          | 40 CFR parts          |
| environmental     | characterized as to      | 1500-1508. The        |
| aspects and       | significance based on    | relevant provisions   |
| impacts of        | criteria specific to the | in the CEQ NEPA       |
| activities        | affected resources.      | Regulations at 40 CFR |
| products and      |                          | parts 1500-1508       |
| services it can   | An EMS includes          | include sections      |
| control and       | procedure(s) that may    | 1501.2 (Apply NEPA    |
| influence         | consider the             | early in the          |
| (including        | identification of new    | process); 1501.3      |
| ongoing and new   | impacts or the           | (When to prepare an   |
| projects).        | significance of impacts  | environmental         |
| Significant       | in existing NEPA         | assessment); 1501.4   |
| aspects must be   | documents[^13] when      | (Whether to prepare   |
| taken into        | establishing associated  | an environmental      |
| account in        | significant aspects.     | impact statement);    |
| establishing,     | Aspects addressed in the | 1501.7 (Scoping);     |
| implementing, and | EMS should be reviewed   | 1502.15 (Affected     |
| maintaining the   | and updated as new NEPA  | environment); 1502.16 |
| EMS.              | reviews are completed or | (Environmental        |
|                   | as relevant associated   | Consequences); and    |
|                   | monitoring data become   |                       |
|                   | available. Thresholds of | 1507.3(b) Agency      |
|                   | impact significance      | procedures. Aspects   |
|                   | considered in the        | can also inform an    |
|                   | preparation of an EA or  | agency's              |
|                   | EIS may be considered as | identification of the |
|                   | significance criteria    | types of activities   |
|                   | for the EMS aspects      | that normally merit   |
|                   | procedure.[^14]          | an EA or EIS that     |
|                   |                          | should be included in |
|                   |                          | its agency NEPA       |
|                   |                          | procedures developed  |
|                   |                          | in accordance with    |
|                   |                          | section 1507.3(b).    |
|                   |                          |                       |
|                   |                          | The completed NEPA    |
|                   |                          | process provides      |
|                   |                          | information to update |
|                   |                          | the EMS aspects.      |
+-------------------+--------------------------+-----------------------+

+-------------------+--------------------------+----------------------+
| # EMS Element     | **EMS and NEPA           | **NEPA**             |
|                   | Complementary Examples** |                      |
+===================+==========================+======================+
| #                 | NEPA imposes legal       | The requirements for |
|                   | requirements, which must | complying with the   |
| # Legal and O     | be identified as part of | National             |
| ther Requirements | the EMS where            | Environmental Policy |
|                   | applicable. Procedures   | Act are found        |
| An EMS includes   | to meet NEPA             | throughout the CEQ   |
| procedure(s) to   | requirements are in      | NEPA regulations and |
| identify and have | place (e.g., Council on  | agency NEPA          |
| access to legal   | Environmental Quality    | procedures. The      |
| and other         | and agency NEPA          | provisions that      |
| requirements      | regulations and          | address the legal    |
| related to an     | procedures). Project-    | status of the NEPA   |
| organization's    | and program-related NEPA | requirements are at  |
| environmental     | analysis and document    | sections 1500.6      |
| aspects.          | preparation processes    | (Agency authority)   |
|                   | are conducted in         | and 1506.5 (Agency   |
|                   | accordance with these    | responsibility) and  |
|                   | procedures.              | the agency           |
|                   |                          | compliance           |
|                   | Regulatory requirements  | requirements set out |
|                   | applicable to            | in part 1507.        |
|                   | alternatives should be   |                      |
|                   | identified in the NEPA   | The decisions made   |
|                   | analysis (e.g.           | after considering    |
|                   | permitting, endangered   | the environmental    |
|                   | species, etc.).          | consequences may     |
|                   | Requirements applicable  | establish new        |
|                   | to the chosen            | requirements.        |
|                   | alternative can be       | Relevant provisions  |
|                   | integrated into the EMS. | in the CEQ NEPA      |
|                   |                          | Regulations include  |
|                   | Mitigation and           | sections 1505.2      |
|                   | monitoring commitments   | (Record of decision  |
|                   | made in a ROD or FONSI   | in cases requiring   |
|                   | may be incorporated into | EISs); and           |
|                   | the EMS, and carried     |                      |
|                   | through the system.      | 1505.3 (Implementing |
|                   |                          | the decision).       |
+-------------------+--------------------------+----------------------+
| Objectives,       | EMS objectives may       | Numerous provisions  |
| Targets, and      | include complying with   | of the CEQ NEPA      |
| Environmental     | all applicable           | regulations require  |
| Management        | requirements, which      | activity and         |
| Programs (EMPs)   | would include the NEPA   | performance that can |
|                   | requirements.            | be used to develop   |
| Objectives and    |                          | objectives, targets  |
| targets are       | The NEPA process can     | and EMPs. For        |
| established to    | provide information to   | example, section     |
| address           | help establish relevant  | 1501.8 (Time limits) |
| significant       | objectives, and the      | provides for setting |
| aspects and legal | performance measures     | dates for NEPA       |
| requirements      | needed to assess         | process milestones   |
| (unless they can  | attainment of objectives | (i.e., targets) as   |
| be fully          | and targets.             | well as for          |
| addressed with    |                          | completing the       |
| operational       | Mitigation measures      | process (i.e.,       |
| controls), and    | identified in a ROD or   | objectives).         |
| lead to continual | FONSI can be             |                      |
| improvement.      | incorporated in EMS      |                      |
|                   | objectives. EMPs are     |                      |
| EMPs identify the | developed for each       |                      |
| means and         | objective describing     |                      |
| responsibilities  | specific tasks,          |                      |
| for achieving     | milestones, responsible  |                      |
| objectives and    | parties, and measurement |                      |
| targets.          | parameters. An EMS may   |                      |
|                   | use the results of NEPA  |                      |
|                   | review and associated    |                      |
|                   | monitoring data, where   |                      |
|                   | applicable, to update    |                      |
|                   | its objectives and       |                      |
|                   | targets.                 |                      |
+-------------------+--------------------------+----------------------+

+-------------------+--------------------------+----------------------+
| # EMS Element     | **EMS and NEPA           | **NEPA**             |
|                   | Complementary Examples** |                      |
+===================+==========================+======================+
| **Resources,      | The EMS can identify     | The overarching      |
| Roles,            | roles and                | resources, roles,    |
| Responsibility    | responsibilities and the | responsibility and   |
| and Authority**   | resources necessary to   | authority for        |
|                   | carry out NEPA review    | complying with NEPA  |
| Management must   | and decision-making      | are addressed in the |
| ensure resources  | requirements.            | CEQ NEPA regulations |
| are available to  |                          | at section 1506.5    |
| establish,        | The EMS can define roles | (Agency              |
| implement,        | and responsibilities for | responsibility) and  |
| maintain and      | carrying out the chosen  | part 1507 (Agency    |
| improve the EMS.  | alternative identified   | Compliance). Several |
| Roles,            | in a ROD (EIS) or FONSI  | other relevant       |
| responsibilities  | (EA).                    | provisions include   |
| and authorities   |                          | sections 1501.5      |
| must be defined,  | Identifying the          | (Lead agencies) and  |
| documented and    | resources and            | 1501.6 (Cooperating  |
| communicated.     | responsibility for EMS   | agencies).           |
|                   | monitoring activities    |                      |
|                   | may assist the NEPA      | The decisions made   |
|                   | process where monitoring | at the conclusion of |
|                   | is necessary to allow,   | the NEPA process, as |
|                   | for example, an adaptive | well as mitigation   |
|                   | management approach. A   | measures identified  |
|                   | much stronger case can   | in the EA/FONSI and  |
|                   | be made for using        | EIS/EIS, can be the  |
|                   | adaptive management when | basis for new roles  |
|                   | the responsibilities and | and responsibilities |
|                   | resources for carrying   | that should be added |
|                   | it out are clearly       | to the EMS.          |
|                   | identified in the EMS.   |                      |
+-------------------+--------------------------+----------------------+
| Competence,       | Where NEPA is an         | The staff that       |
| Training and      | integral part of the EMS | contribute to, or    |
| Awareness         | or linked to the         | use information      |
|                   | agency's environmental   | from, the NEPA       |
| Person(s)         | aspects, appropriate     | process should be    |
| performing tasks  | staff must be trained on | knowledgeable of the |
| for the           | NEPA and related         | entire CEQ NEPA      |
| organization or   | environmental analysis   | regulations and      |
| on its behalf     | requirements, how to     | agency NEPA          |
| that have the     | conduct the process, and | procedures as set    |
| potential for     | how to prepare and       | out in part 1507     |
| significant       | document the analysis.   | (Agency Compliance). |
| impacts must be   |                          | In addition,         |
| competent as a    | Training that is         | individuals          |
| result of         | relevant to the          | responsible for the  |
| education,        | achievement of           | management of agency |
| training, or      | environmental policies,  | programs and         |
| experience.       | objectives and targets   | projects that may    |
|                   | should be provided to    | have a significant   |
|                   | all person(s) within and | effect on the        |
|                   | working on behalf of the | environment need to  |
|                   | agency covered by the    | be aware of specific |
|                   | EMS. Where NEPA reviews  | aspects of the NEPA  |
|                   | or their outcomes are    | process, such as     |
|                   | linked to the objectives | those set out in     |
|                   | and targets, the EMS can | sections 1506.1      |
|                   | facilitate the NEPA      | (Limitations on      |
|                   | process by supporting    | actions during NEPA  |
|                   | adequate training for    | process) and 1506.10 |
|                   | NEPA practitioners.      | (Timing of agency    |
|                   |                          | action).             |
+-------------------+--------------------------+----------------------+
| #                 | NEPA procedures for      | One of NEPA's goals  |
|                   | public comment and       | is to effectively    |
| # Communication   | public involvement, for  | communicate          |
|                   | example the Scoping      | environmental        |
| Procedures are    | stage, and for the Draft | information to       |
| established in an | and Final EIS, can be    | decisionmakers and   |
| EMS for internal  | part of the EMS          | the public and to    |
| communication and | procedures for external  | facilitate           |
| documenting and   | communication.           | involvement in       |
| responding to     |                          | decisions which      |
| relevant external | Progress toward meeting  | affect the quality   |
| communications.   | ROD or FONSI             | of the human         |
| An organization   | requirements/commitments | environment (40 CFR  |
| has discretion    | may be shared with the   | section 1500.2).     |
| about             | public as part of the    |                      |
| communicating     | ongoing EMS              | In addition to the   |
| externally on     | communication            | mandate that         |
| significant       | procedures.              | agencies shall make  |
| environmental     |                          | diligent efforts to  |
| aspects; however, | In developing EMS        | involve the public   |
| federal agencies  | objectives, the agency   | in implementing      |
| are in a special  | should consider the      | their NEPA           |
| position to       | views of external        | procedures set forth |
| emphasize the     | interested parties.      | in sections          |
| importance of     | Comments received during | 1501.4(b) and        |
| ongoing           | the NEPA review process  | 1506.6, the CEQ NEPA |
| communication and | may provide useful       | Regulations address  |
| cooperation with  | insight when developing  | specific stages of   |
| the public and    | objectives.              | the NEPA process     |
| interested        |                          | when communication   |
| parties.          | The EMS can be used as a | with other agencies  |
|                   | platform for ongoing     | and the public are   |
|                   | communication and        | required such as     |
|                   | cooperation with the     | sections 1501.7      |
|                   | public and interested    | (Scoping), 1502.19   |
|                   | parties.                 | (Circulation of the  |
|                   |                          | EIS) and 1502.25     |
|                   |                          | (Environmental       |
|                   |                          | review and           |
|                   |                          | consultation         |
|                   |                          | requirements).       |
+-------------------+--------------------------+----------------------+
| **Documentation** | NEPA documents may be    | The CEQ NEPA         |
|                   | essential for planning   | regulations          |
| # Documentatio    | or controlling processes | primarily address    |
| n for the EMS mus | related to significant   | the contents of the  |
| t include documen | environmental aspects.   | EA/FONSI in sections |
| ts and records ne | As such, EMS             | 1508.9 and 1508.13,  |
| cessary for plann | documentation would      | and the contents of  |
| ing, operation an | include some, or perhaps | EIS/ROD in part      |
| d control of proc | many, of an agency's     | 1502. The CEQ NEPA   |
| esses related to  | NEPA documents.          | regulations provide  |
| significant envir |                          | for efficient        |
| onmental aspects. | The EA/FONSI and EIS/ROD | documentation in     |
|                   | developed during the     | section 1500.4.      |
|                   | NEPA process should be   |                      |
|                   | reviewed for inclusion   |                      |
|                   | in the EMS               |                      |
|                   | documentation,           |                      |
|                   | particularly when they   |                      |
|                   | set out commitments for  |                      |
|                   | agency actions.          |                      |
+-------------------+--------------------------+----------------------+

+-------------------+--------------------------+----------------------+
| # EMS Element     | **EMS and NEPA           | **NEPA**             |
|                   | Complementary Examples** |                      |
+===================+==========================+======================+
| # Con             | For NEPA documents       | In addition to the   |
| trol of Documents | required for the EMS,    | process for          |
|                   | there must be an         | finalizing EISs      |
| # Document        | established procedure    | described in the     |
| s required by the | for ensuring adequacy,   | Council on           |
|  EMS must be cont | and a process for        | Environmental        |
| rolled using proc | updating and re-approval | Quality NEPA         |
| edures to, among  | if necessary.            | regulations at       |
| other things, app |                          | sections 1502.9 and  |
| rove documents fo |                          | 1505.2, the          |
| r adequacy, and u |                          | provisions that may  |
| pdate and re-appr |                          | help in developing   |
| ove as necessary. |                          | document control     |
|                   |                          | procedures for       |
|                   |                          | ensuring adequacy    |
|                   |                          | and for re-approving |
|                   |                          | and updating NEPA    |
|                   |                          | documents include    |
|                   |                          | sections 1502.9(c)   |
|                   |                          | (supplemental        |
|                   |                          | statements), 1502.20 |
|                   |                          | (Tiering), and       |
|                   |                          | 1502.21              |
|                   |                          | (Incorporation by    |
|                   |                          | reference).          |
+-------------------+--------------------------+----------------------+

+-------------------+--------------------------+----------------------+
| **EMS Element**   | **EMS and NEPA           | **NEPA**             |
|                   | Complementary Examples** |                      |
|                   |                          | #                    |
+===================+==========================+======================+
| #                 | Procedures to perform    | The NEPA process is  |
|                   | the NEPA process may be  | a key operational    |
| # Op              | part of an EMS's         | control. Agency      |
| erational Control | operational controls.    | identification of    |
|                   |                          | actions that         |
| Procedures are    | Specific activities and  | normally require an  |
| established to    | operations (including    | EA or EIS, or are    |
| ensure operations | mitigation) described in | categorically        |
| related to        | a NEPA document can be   | excluded, are the    |
| significant       | incorporated into EMS    | foundation for using |
| aspects do not    | operational procedures.  | NEPA as part of an   |
| deviate from      |                          | environmental        |
| environmental     |                          | management program's |
| policy or         |                          | system of            |
| objectives and    |                          | operational          |
| targets.          |                          | controls.            |
|                   |                          |                      |
| Procedures are    |                          | The CEQ NEPA         |
| required for any  |                          | regulations describe |
| operation where   |                          | procedures for       |
| their absence can |                          | conducting the NEPA  |
| lead to a         |                          | process to review    |
| deviation from    |                          | proposed operations  |
| EMS requirements. |                          | -- including, but    |
|                   |                          | certainly not        |
|                   |                          | limited to:          |
|                   |                          |                      |
|                   |                          | Part 1501 NEPA and   |
|                   |                          | Agency Planning;     |
|                   |                          |                      |
|                   |                          | Part 1502            |
|                   |                          | Environmental Impact |
|                   |                          | Statement; and       |
|                   |                          |                      |
|                   |                          | Part 1505 NEPA and   |
|                   |                          | Agency               |
|                   |                          | Decisionmaking.      |
|                   |                          |                      |
|                   |                          | The procedures can   |
|                   |                          | also include steps   |
|                   |                          | to ensure            |
|                   |                          | information          |
|                   |                          | regarding aspects    |
|                   |                          | developed during     |
|                   |                          | preparation of an EA |
|                   |                          | or EIS is reviewed   |
|                   |                          | for inclusion in the |
|                   |                          | aspects inventory.   |
|                   |                          |                      |
|                   |                          | The following        |
|                   |                          | sections provide     |
|                   |                          | examples of          |
|                   |                          | operational controls |
|                   |                          | that may be included |
|                   |                          | in the EMS: 1501.8   |
|                   |                          | (Time limits);       |
|                   |                          | 1505.1 (Agency       |
|                   |                          | decisionmaking       |
|                   |                          | procedures); 1506.1  |
|                   |                          | (Limitations on      |
|                   |                          | actions during NEPA  |
|                   |                          | process); 1506.2     |
|                   |                          | (Elimination of      |
|                   |                          | duplication with     |
|                   |                          | State and local      |
|                   |                          | procedures); 1506.5  |
|                   |                          | (Agency              |
|                   |                          | responsibility (for  |
|                   |                          | information to       |
|                   |                          | applicants; for      |
|                   |                          | applicant prepared   |
|                   |                          | EAs; for contractor  |
|                   |                          | prepared EISs)); and |
|                   |                          |                      |
|                   |                          | 1506.10 (Timing of   |
|                   |                          | agency action).      |
+-------------------+--------------------------+----------------------+

+-------------------+--------------------------+----------------------+
| **EMS Element**   | **EMS and NEPA           | **NEPA**             |
|                   | Complementary Examples** |                      |
|                   |                          | #                    |
+-------------------+--------------------------+----------------------+
| **Emergency       | Many NEPA analyses are   | The EMS procedures   |
| Preparedness and  | done for actions with    | developed for        |
| Response**        | potential for accidents  | emergency planning   |
|                   | or other types of        | should include       |
| Procedures are    | emergency situations.    | provisions for using |
| required for      | Contingency plans or     | the NEPA emergency   |
| identifying       | emergency response plans | procedures set out   |
| potential         | in the NEPA document,    | in the CEQ NEPA      |
| emergencies and   | and decisions made       | regulations at       |
| accidents and for | regarding what action or | section 1506.11.     |
| preventing        | alternative to take      |                      |
| adverse           | (e.g., per the ROD),     |                      |
| environmental     | could be used to inform  |                      |
| impacts from      | emergency preparedness   |                      |
| those emergencies | and response procedures  |                      |
| and accidents.    | for an EMS.              |                      |
|                   |                          |                      |
| #                 |                          |                      |
+-------------------+--------------------------+----------------------+
| #                 | Existing EMS monitoring  | Performance metrics  |
|                   | data may inform analysis | related to           |
| # Monitorin       | and support predictions  | activities           |
| g and Measurement | of environmental impacts | identified in the    |
|                   | throughout the NEPA      | EIS ROD (including   |
| An EMS includes   | process.                 | mitigation measures) |
| procedures to     |                          | developed pursuant   |
| monitor and       | An essential component   | to Part 1505, or in  |
| measure key       | of the NEPA adaptive     | the decision         |
| characteristics   | management model (i.e.,  | document following   |
| of its operations | predict, mitigate,       | an EA FONSI based on |
| that can have     | implement, monitor and   | mitigation measures, |
| significant       | adapt) is monitoring to  | may be part of the   |
| environmental     | assess whether           | EMS evaluation       |
| impacts.          | predictions of           | process to ensure    |
| Procedures are to | environmental effects    | that activities      |
| include           | are correct, and that    | associated with EMS  |
| monitoring of     | any mitigation           | objectives and       |
| performance,      | implemented is           | targets or           |
| operational       | functioning as intended. | operational controls |
| controls, and     | Monitoring activities    | are occurring as     |
| conformance with  | implemented for an EMS   | planned, and the     |
| objectives and    | may subsume or           | intended results are |
| targets.          | complement the           | being achieved.      |
|                   | monitoring needed to     |                      |
|                   | accomplish adaptive      | Other relevant       |
|                   | management in the NEPA   | provisions of the    |
|                   | process.                 | CEQ NEPA regulations |
|                   |                          | address:             |
|                   |                          |                      |
|                   |                          | (1) when             |
|                   |                          |     supplemental     |
|                   |                          |     analyses should  |
|                   |                          |     be prepared      |
|                   |                          |     (section         |
|                   |                          |     1502.9(c));      |
|                   |                          |                      |
|                   |                          | (2) how to deal with |
|                   |                          |     incomplete or    |
|                   |                          |     unavailable      |
|                   |                          |     information      |
|                   |                          |     (section         |
|                   |                          |     1502.22); and    |
|                   |                          |                      |
|                   |                          | (3) methodology and  |
|                   |                          |     scientific       |
|                   |                          |     accuracy         |
|                   |                          |     (section         |
|                   |                          |     1502.24).        |
+-------------------+--------------------------+----------------------+

+-------------------+--------------------------+----------------------+
| **EMS Element**   | **EMS and NEPA           | **NEPA**             |
|                   | Complementary Examples** |                      |
|                   |                          | #                    |
+===================+==========================+======================+
| Evaluation of     | Where NEPA compliance is | An agency's          |
| Compliance        | an applicable legal or   | responsibilities to  |
|                   | other requirement within | comply with NEPA     |
| The EMS must      | the EMS, procedures      | requirements are     |
| include           | developed for the EMS    | specifically         |
| procedures to     | must address how the     | addressed in Part    |
| periodically      | agency will evaluate     | 1507.                |
| evaluate          | compliance with NEPA.    |                      |
| compliance with   | This can lend support to | Other compliance     |
| applicable legal  | the agency's NEPA        | responsibilities     |
| and other         | implementation efforts.  | identified in the    |
| requirements.     |                          | CEQ NEPA regulations |
|                   | The EMS would also       | include the          |
|                   | evaluate compliance with | responsibility to    |
|                   | other applicable         | develop alternatives |
|                   | environmental laws.      | when there are       |
|                   |                          | unresolved conflicts |
|                   |                          | concerning           |
|                   |                          | alternative uses of  |
|                   |                          | resources (section   |
|                   |                          | 1501.2) and the      |
|                   |                          | responsibility to    |
|                   |                          | implement mitigation |
|                   |                          | that is committed as |
|                   |                          | part of the decision |
|                   |                          | (section 1505.3).    |
+-------------------+--------------------------+----------------------+
| **Nonconformity,  | Findings, conclusions,   | NEPA requirements    |
| Corrective and    | and recommendations      | are assessed as part |
| Preventive        | reached as a result of   | of ongoing reviews.  |
| Action**          | monitoring and audits of | Nonconformance in    |
|                   | the EMS are the basis    | conducting the NEPA  |
| The EMS must      | for corrective and       | process would be     |
| include           | preventive actions and   | addressed by         |
| procedures for    | the systematic follow-up | corrective and       |
| identifying and   | to ensure their          | preventative         |
| correcting        | effectiveness. For       | actions. Relevant    |
| nonconformities,  | agency actions reviewed  | provisions of the    |
| mitigating their  | under NEPA and also      | CEQ NEPA regulations |
| environmental     | covered by an EMS,       | include sections     |
| impacts, and      | monitoring and           | 1502.9(c)            |
| defining actions  | adaptation associated    | (preparation of      |
| to avoid          | with the NEPA adaptive   | supplemental         |
| nonconformity     | management process may   | analyses), 1503.4    |
| occurrence. The   | fall squarely within the | (responding to       |
| procedures must   | purview of an EMS's      | comments), and       |
| also define       | preventive and           | 1506.1 (limitations  |
| requirements for  | corrective action        | that should be       |
| reviewing the     | program.                 | included in          |
| effectiveness of  |                          | instructions to      |
| the corrective    | In cases where NEPA      | applicants).         |
| and preventive    | procedures are key to    |                      |
| actions taken.    | maintaining operational  | The checking and     |
|                   | controls or meeting      | corrective action    |
|                   | objectives and targets,  | elements of an EMS   |
|                   | and are not being        | may also identify    |
|                   | followed, corrective     | instances where      |
|                   | action should be         | environmental        |
|                   | identified and taken.    | mitigation           |
|                   | Changes in procedures as | commitments in the   |
|                   | a result of corrective   | EIS ROD or EA FONSI  |
|                   | action must be           | are not being        |
|                   | documented.              | implemented and      |
|                   |                          | nonconformance in    |
|                   |                          | implementing actions |
|                   |                          | would be addressed   |
|                   |                          | by the corrective    |
|                   |                          | and preventative     |
|                   |                          | actions (see section |
|                   |                          | 1505.3).             |
+-------------------+--------------------------+----------------------+

+-------------------+--------------------------+----------------------+
| **EMS Element**   | **EMS and NEPA           | **NEPA**             |
|                   | Complementary Examples** |                      |
|                   |                          | #                    |
+===================+==========================+======================+
| #                 | To the extent that NEPA  | Procedures for       |
|                   | documents are EMS        | controlling NEPA     |
| # C               | records, they should be  | documents that are   |
| ontrol of Records | maintained in accordance | EMS records can be   |
|                   | with EMS records         | added to the agency  |
| An EMS includes   | management procedures.   | NEPA procedures      |
| procedures for    |                          | developed in         |
| maintaining       |                          | accordance with the  |
| records necessary |                          | provisions in the    |
| to demonstrate    |                          | CEQ NEPA regulations |
| conformance with  |                          | sections 1505.1      |
| the EMS standard. |                          | (Agency              |
|                   |                          | decisionmaking       |
|                   |                          | procedures), and     |
|                   |                          | 1507.3 (Agency       |
|                   |                          | procedures) and      |
|                   |                          | should include       |
|                   |                          | procedures for       |
|                   |                          | filing records       |
|                   |                          | (section 1506.9) and |
|                   |                          | incorporation by     |
|                   |                          | reference (section   |
|                   |                          | 1502.21).            |
+-------------------+--------------------------+----------------------+
| #                 | Commitments for          |                      |
|                   | mitigation made pursuant |                      |
| # Internal Audits | to the NEPA process may  |                      |
|                   | be reviewed in an EMS    |                      |
| An EMS defines    | audit where such         |                      |
| audit programs    | commitments are linked   |                      |
| and processes to  | to objectives and        |                      |
| assess the EMS    | targets or operational   |                      |
| itself (e.g.,     | controls in the EMS. In  |                      |
| assessing         | these cases, the EMS     |                      |
| conformity to the | audit is another means   |                      |
| EMS standard) at  | for ensuring that agency |                      |
| planned           | commitments made under   |                      |
| intervals. The    | NEPA are appropriately   |                      |
| results of audits | implemented.             |                      |
| must be presented |                          |                      |
| to management.    | As part of the EMS       |                      |
|                   | audit, NEPA processes    |                      |
| #                 | may be spot-checked and  |                      |
|                   | evaluated, and           |                      |
|                   | adjustments made to      |                      |
|                   | those processes if       |                      |
|                   | necessary.               |                      |
+-------------------+--------------------------+----------------------+
| #                 | NEPA procedures that are | Management review of |
|                   | relevant to maintaining  | the EMS is an        |
| #                 | operational controls or  | opportunity to       |
| Management Review | meeting objectives and   | assess the           |
|                   | targets should be        | effectiveness of the |
| # S               | included in the          | NEPA program, adjust |
| enior management  | management review.       | procedures to take   |
| reviews the EMS a |                          | advantage of         |
| t planned interva |                          | NEPA/EMS synergy,    |
| ls to ensure suit |                          | and enhance areas in |
| ability and effec |                          | which NEPA and EMS   |
| tiveness. Reviews |                          | procedures are       |
|  assess the need  |                          | complementary.       |
| for change in EMS |                          |                      |
|  policy or object |                          | This review can      |
| ives and targets. |                          | address the agency   |
|                   |                          | capability to comply |
| #                 |                          | set out in section   |
|                   |                          | 1507.2.              |
+-------------------+--------------------------+----------------------+

[^1]: Pub. L. 91-190, 42 U.S.C. §§ 4321-4347, January 1, 1970, as
    amended.

[^2]: 40 C.F.R. § 1508.21.

[^3]: Council on Environmental Quality, "Regulations for Implementing
    the Procedural Provisions of the National Environmental Policy Act,"
    40 C.F.R. parts 1500-1508, available at www.NEPA.gov.

[^4]: Executive Order No. 13,148, "Greening the Government through
    Leadership in Environmental Management," 65 Fed. Reg. 24,593 (Apr.
    26, 2000), 3 C.F.R. 241 (2001), available at
    http://ceq.eh.doe.gov/nepa/regs/executiveorders.htm. The Executive
    Order directs Federal agencies to develop and implement
    environmental management systems. The ISO 14001 Standard represents
    a widely-used framework for establishing an EMS. Most Federal
    agencies are developing EMSs using the ISO 14001 or a similar
    standard. The ISO standard was issued in 1996 and updated in 2004.
    References to the standard in this document are citing the 2004
    update.

[^5]: Note that "significantly" in the NEPA context is defined in 40
    C.F.R. § 1508.27 and agency NEPA procedures. In the EMS context
    "significant" is not defined, but it is not necessarily the same as
    under NEPA. Consequently, identifying an environmental aspect as
    significant in the EMS does not necessarily mean that it is
    "significant" under NEPA.

[^6]: In an EMS, an "operational control" is an operation associated
    with an identified significant environmental aspect, consistent with
    the environmental policy, objectives, and targets, to ensure they
    are carried out under specified conditions. Operational controls are
    process controls necessary for ensuring the system functions as
    intended. In industrial processes, a control valve may serve as an
    operational control. In an environmental decision-making process, a
    NEPA review may serve as an operational control.

[^7]: 40 C.F.R. § 1502.22 provides a procedure for addressing
    potentially significant adverse effects that are uncertain because
    needed information is unavailable at the time of the impact
    analysis. An adaptive management approach, which includes monitoring
    project implementation, also can address uncertainty by validating
    impact predictions or mitigation efficacy, and taking corrective
    actions when necessary.

[^8]: NEPA documents such as EIS RODs and EA FONSIs may be appropriate
    EMS records if they include agency commitments to mitigation
    resulting in EMS "legal and other requirements," or the NEPA
    document is integral to an objective or target identified in the
    environmental management program(s) of the EMS.

[^9]: For an EMS, "legal and other requirements" are an organization's
    applicable legal requirements and other requirements to which the
    organization subscribes that are related to its environmental
    aspects. For Federal agencies that undertake projects or programs
    with the potential to significantly affect environmental resources
    (have interactions with the environment), NEPA is a legal
    requirement.

[^10]: Environmental management program(s) in an EMS are the plans for
    achieving objectives and targets, including responsibilities for
    implementation.

[^11]: 40 C.F.R. §1508.4.

[^12]: The adaptive management approach for NEPA was examined by the
    recent NEPA Task Force Report*.* Council on Environmental Quality,
    "The NEPA Task Force Report to the Council on Environmental Quality
    -- Modernizing NEPA Implementation," (Sept. 2003), available at
    http://www.ceq.eh.doe.gov/ntf. A more extensive description of
    implementation in the agency context can be found in the FAA's paper
    "Environmental Management Systems and NEPA Adaptive Management"
    available at http://www.aee.faa.gov/aee-200/1050-1E/Adaptive.htm.

[^13]: For the purposes of this crosswalk, NEPA documents include
    Environmental Assessments and related Findings of No Significant
    Impact, and Environmental Impact Statements and their associated
    Records of Decision.

[^14]: See footnote 2.