### **Council on Environmental Quality**

### 

### 

**Aligning**

**National Environmental**

**Policy Act Processes**

**with**

**Environmental**

**Management Systems**

**-**

***A Guide for NEPA & EMS Practitioners***

![](media/image1.jpeg){width="2.4993055555555554in"
height="2.303472222222222in"}

**April 2007**

Preface

This guide builds on research and consultations undertaken by the
Council on Environmental Quality (CEQ) on the complementary aspects of
the National Environmental Policy Act (NEPA) and Environmental
Management Systems (EMS). It introduces issues and provides information
on how NEPA and EMS can be aligned. This guide does not establish new
requirements, does not constitute formal CEQ guidance, and its
recommendations should not be considered legally binding.

**Aligning National Environmental Policy Act Processes**

**with**

**Environmental Management Systems**

**-**

***A Guide for NEPA and EMS Practitioners***

∆ ∆ ∆

> *\[I\]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*
>
> *\[T\]he head of each agency shall ...*
>
> *(a) implement within the agency sustainable practices for (i) energy
> efficiency, greenhouse gas emissions avoidance or reduction, and
> petroleum products use reduction, (ii) renewable energy, including
> bioenergy, (iii) water conservation, (iv) acquisition, (v) pollution
> and waste prevention and recycling, (vi) reduction or elimination of
> acquisition and use of toxic or hazardous chemicals, (vii) high
> performance construction, lease, operation, and maintenance of
> buildings, (viii) vehicle fleet management, and (ix) electronic
> equipment management*
>
> *(b) implement within the agency environmental management systems
> (EMS) at all appropriate organizational levels to ensure (i) use of
> EMS as the primary management approach for addressing environmental
> aspects of internal agency operations and activities...*
>
> *"\[S\]ustainable" means to create and maintain conditions, under
> which humans and nature can exist in productive harmony, that permit
> fulfilling the social, economic, and other requirements of present and
> future generations of Americans.*
>
> \-- *Executive Order 13423*

**Introduction**

The Council on Environmental Quality (CEQ) offers this guide to assist
Federal agencies in aligning the National Environmental Policy Act
(NEPA) statement of policy in Section 101 and the analysis and decision
processes of Section 102 with the elements of an Environmental
Management System (EMS) when establishing, implementing, and maintaining
their EMS. The Council on Environmental Quality (CEQ) recognizes the
benefits of aligning the complementary processes of NEPA and an EMS 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 to analyze the environmental impacts of their
actions, and of alternatives. The CEQ NEPA regulations identify these
requirements as the "NEPA process."[^2] The NEPA process includes
forecasting the impacts of a proposed action and reasonable
alternatives, and identifying mitigation measures for those impacts
prior to making decisions and taking action
("predict-mitigate-implement" model). The analyses are documented and
made available to the public in NEPA environmental documents such as
Environmental Assessments (EAs) and Environmental Impact Statements
(EISs).

Federal agencies have been complying with NEPA's environmental review
requirements for more than 35 years. The issuance of Executive Order
13423 in January 2007, which directs Federal agencies to implement EMSs
at all appropriate organizational levels[^3], provides a means to
enhance NEPA compliance. It is important for Federal agencies to
understand the relationship of EMS to NEPA. Toward that end, CEQ
provides this guide to help Federal agencies recognize the complementary
relationship of NEPA and EMS and how this relationship can support the
policies set forth in Section 101 of NEPA and the NEPA process. This
guide is predicated on the assumption that the reader has a basic
understanding of NEPA's analysis and document preparation processes as
well as the elements of an EMS.

**[EMS and NEPA]{.underline}**

An EMS[^4] is a structure of procedures and policies used to
systematically identify, evaluate, and manage environmental impacts of
ongoing activities, products, and services. Designed to provide order
and consistency for organizations to address environmental concerns in a
comprehensive manner, 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. An EMS employs a continuous, 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 when necessary to avoid and reduce adverse
impacts, using the "plan-do-check-act" model.

EMSs employ unique terminology. For EMS purposes, the "cause" in
cause-and-effect relationships involving natural resources may be called
an "environmental aspect." An environmental aspect for a facility could
include such things as air emissions, wastewater discharges, or natural
resource consumption. Aspects that are termed "significant aspects"
under an EMS include aspects that could result in "significant
environmental impacts."[^5] Many 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 however, this information is used not only to assess
environmental issues, but also to actively manage them.

One way to address significant aspects in an EMS is to take them into
account 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. In
combination with other system checks and controls, objectives and
targets are the basis for continual improvement in an EMS. An EMS
ultimately focuses on the active management of environmental issues,
including monitoring and action based on monitoring results.

Conversely, the application of NEPA occurs *before* an agency has
decided whether and how to undertake a new proposed action or activity.
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. Moreover, the information
and analyses contained in NEPA documents are often not revisited to
verify or update the accuracy of data, predictions, and/or the efficacy
of mitigation options. To a certain extent, the focus of the NEPA
process has become the successful production of the NEPA document, the
use of which is limited to the point in time a decision on the proposed
action is made. The full value of the resources expended in the NEPA
process, therefore, frequently does not carry over into the actual
implementation and management of the action.

**[Complementary Processes]{.underline}**

As shown in the table below, the integration of NEPA with an EMS can
substantially benefit an agency's environmental performance and, in so
doing, further national environmental policy. The EMS typically requires
identification of environmental aspects and significant environmental
impacts associated with ongoing activities, products, and services. On
the other hand, NEPA forecasts the impacts of proposed actions and any
mitigation measures at a discrete proposal design and decision phase.
Incorporating an EMS approach into the NEPA process, particularly with
regard to monitoring and taking corrective action, would facilitate the
use of this impact prediction and mitigation information beyond the
decision into actual day-to-day implementation.

The EMS can track and monitor the commitments and mitigation measures
established in NEPA decision documents (e.g., Findings of No Significant
Impact and Records of Decision). The EMS provides a framework to improve
environmental performance in ongoing, day-to-day operations through
"operational controls."[^6] Such tracking and monitoring can contribute
to training, internal auditing, and identification of appropriate
corrective actions.

Communicating and involving the interested public about a proposed
action is a major component of the NEPA process. An EMS can provide
numerous opportunities for such communication and, by providing
information about the proposal under consideration, help focus public
participation.

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

Finally, although they are not functionally equivalent, it is
conceivable that an EMS could be designed to include elements of the
NEPA process and, thereby, provide the framework for complying with NEPA
requirements. CEQ encourages innovative efforts on the part of agencies
to experiment with this concept.

For example, the EMS element for communications with the public can
support and strengthen communications for public involvement. Although
the public involvement requirements of NEPA are more extensive, and
prescriptive, than the external communication procedures in a typical
EMS, EMS external communication procedures might incorporate the NEPA
public involvement requirements (e.g., scoping and commenting on the
draft EIS). The communications requirements would then be met using the
required NEPA processes. An EMS can also support NEPA public involvement
by including NEPA public involvement requirements in the EMS legal and
other requirements element.[^8] In so doing, an EMS supports NEPA
requirements and strengthens the process as a whole.

Monitoring and measurement procedures established for an EMS provide
another example of how an EMS can complement the NEPA process in
significant ways. Monitoring and measurement procedures established for
an EMS address the key characteristics of an organization's operations
that can have significant environmental impacts. This is of particular
interest when, for example, a NEPA document (e.g., record of decision)
commits an agency to implementing mitigation measures to protect a
resource. In such a case, the EMS could monitor to ensure the mitigation
was implemented, and assess whether the mitigation is performing as
expected. Implementing monitoring and other complementary processes is
discussed further below.

**[Implementing complementary processes]{.underline}**

Implementing complementary NEPA and EMS processes in a manner that
supports national environmental policy can only be achieved if agencies
encourage NEPA and EMS practitioners to work together in developing NEPA
and EMS procedures and processes. Complementary processes that may be
pursued include:

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

-   Identifying the NEPA process as an operational control of the EMS,
    thereby requiring various requirements of the NEPA process to be
    incorporated into the appropriate elements of the EMS;

-   Identifying NEPA knowledge as a competency required for an agency's
    practices;

-   Maintaining appropriate NEPA documents as EMS records;[^9]

-   Incorporating NEPA impact analyses into the EMS aspects
    identification process and considering EMS aspects in NEPA impact
    analyses; and

-   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[^10], objectives and targets,
    environmental management program(s)[^11] and operational controls.

The NEPA process generally approaches environmental management decisions
on a case-by-case basis for proposed actions, focusing on identifying
and mitigating "significant" environmental impacts. An EMS uses a
holistic approach to 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 suggestions below
illustrate some specific ways that NEPA and EMS processes can complement
each other and improve the management of environmental impacts.

-   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 to use the
    information collected and analyses performed in the NEPA process on
    a going forward basis during implementation of proposed actions.

-   Performance measurements and monitoring conducted as part of an EMS
    can provide comparable and verifiable data to improve environmental
    impact predictions in future NEPA analyses and documents.

-   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 the data it generates 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 performance practices are
    incorporated into a proposed action (which would conclude the EA
    process without the need to prepare an EIS); or (c) determining that
    a category of actions does not have individual or cumulative
    significant impacts and should properly be established as a
    categorical exclusionwhich would reduce the need to prepare either
    an EA or an EIS. Further, when a NEPA analysis is needed, the EMS
    approach of keeping environmental data up-to-date should facilitate
    the preparation of the NEPA documents.

-   When 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 checking and corrective
    action elements of the EMS can add the "monitor and adapt" steps to
    the traditional NEPA "predict-mitigate-implement" model. The
    resulting adaptive management approach (the
    "predict-mitigate-implement-monitor-adapt" model) can provide
    managers with the flexibility to make necessary corrections or
    adjustments in project implementation, possibly without needing new
    or supplemental NEPA analyses when the NEPA process has identified
    and analyzed the range of possible outcomes and the appropriate
    adjustments to respond to them.[^12] This approach allows continuous
    improvement in management effectiveness and in reducing
    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 for certain proposed actions, just as there will be
proposed actions for which an EA or EIS is required which are not
covered by an existing EMS. Nevertheless, when an agency is preparing an
EA or EIS and the proposed action is within the scope of the EMS, the
NEPA process is one of many requirements and procedures that can be
managed as part of the EMS.

In conclusion, the table below highlights the complementary processes of
EMS and NEPA.[^13] The EMS elements depicted in the left hand column of
the Table represent the elements of an International Organization for
Standardization EMS standard (ISO 14001) EMS. The information presented
in the right hand column relates to commonalities between the EMS
element's procedures or information requirements and the NEPA elements
that are described in the middle 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 and implementation of EMS procedures and
processes.

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

+------------------+-------------------------+-------------------------+
| # EMS Element    | **NEPA**                | **EMS and NEPA          |
|                  |                         | Complementary           |
|                  |                         | Examples**              |
+------------------+-------------------------+-------------------------+
| #                | Several provisions in   | The EMS Policy          |
|                  | CEQ Regulations address | Statement defines the   |
| # Policy         | the national            | scope of the agency's   |
|                  | environmental policy    | organization and        |
| The organization | Congress declared for   | activities covered by   |
| states its       | Federal agencies in     | the EMS; this is likely |
| commitment to    | Section 101 of the      | to include activities   |
| environmental    | National Environmental  | for which NEPA analyses |
| compliance,      | Policy Act.             | are required or have    |
| environmental    |                         | been prepared.          |
| protection, and  | The primary provision   |                         |
| continual        | is at 40 CFR Section    | In Section 101 of NEPA, |
| improvement      | 1500.2 (Policy).        | Congress provided a     |
| within the scope |                         | common environmental    |
| of the           | Other relevant          | policy statement for    |
| organization's   | provisions include 40   | all Federal agencies.   |
| activities and   | CFR Sections 1500.1     | This policy statement   |
| products and     | (Purpose), 1505.1       | is a general statement  |
| services covered | (Agency decisionmaking  | of the Federal          |
| by its EMS.      | procedures), and 1507.2 | government's commitment |
|                  | (Agency capability to   | to environmental        |
|                  | comply).                | protection and          |
|                  |                         | interagency             |
|                  |                         | coordination in the     |
|                  |                         | implementation of that  |
|                  |                         | policy. The policy      |
|                  |                         | goals of Section 101    |
|                  |                         | can serve as a basis    |
|                  |                         | for commitments to      |
|                  |                         | prevent pollution and   |
|                  |                         | comply with other       |
|                  |                         | environmental laws.     |
+------------------+-------------------------+-------------------------+
| # EMS Element    | **NEPA**                | **EMS and NEPA          |
|                  |                         | Complementary           |
|                  |                         | Examples**              |
+------------------+-------------------------+-------------------------+
| #                | Under NEPA, an agency   | The EMS aspects can     |
|                  | evaluates a new project | inform the development  |
| # Envir          | at the proposal stage   | and preparation of NEPA |
| onmental Aspects | to identify how it or   | analyses and            |
|                  | reasonable alternatives | documentation. Aspects  |
| An EMS includes  | will interact with the  | can inform an agency's  |
| procedure(s) to  | environment, and what   | identification of the   |
| identify, and    | the related impacts     | types of activities     |
| keep up-to-date  | will be. Impacts are    | that normally merit an  |
| environmental    | characterized as to     | EA or EIS which should  |
| aspects and      | significance based on   | be included in its      |
| impacts of       | the setting of the      | agency NEPA procedures  |
| activities and   | proposed action and the | developed in accordance |
| products and     | intensity of its        | with 40 CFR Section     |
| services it can  | impacts.                | 1507.3(b).              |
| control and      |                         |                         |
| influence,       | NEPA analyses and       | An EMS can include      |
| including        | documentation are       | procedure(s) that       |
| ongoing and new  | described in the CEQ    | consider the            |
| projects.        | NEPA Regulations at 40  | identification of new   |
| Significant      | CFR Parts 1500-1508.    | impacts or the          |
| aspects must be  | The relevant provisions | significance of impacts |
| taken into       | include Sections:       | in existing NEPA        |
| account in       |                         | documents[^14] when     |
| establishing,    | 1501.2 (Apply NEPA      | establishing associated |
| implementing,    | early in the process);  | significant aspects.    |
| and maintaining  |                         | The completed NEPA      |
| the EMS.         | 1501.3 (When to prepare | process can provide     |
|                  | an environmental        | information to update   |
|                  | assessment);            | the EMS aspects.        |
|                  |                         | Aspects addressed in    |
|                  | 1501.4 (Whether to      | the EMS should be       |
|                  | prepare an              | reviewed and updated as |
|                  | environmental impact    | new NEPA reviews are    |
|                  | statement);             | completed or as         |
|                  |                         | relevant associated     |
|                  | 1501.7 (Scoping);       | monitoring data become  |
|                  |                         | available.              |
|                  | 1502.15 (Affected       |                         |
|                  | environment); and       | Thresholds of impact    |
|                  |                         | significance considered |
|                  | 1502.16 (Environmental  | in the preparation of   |
|                  | Consequences).          | an EA or EIS may be     |
|                  |                         | considered as           |
|                  | 1508.27 (Significantly) | significance criteria   |
|                  |                         | for the EMS aspects     |
|                  |                         | procedure.[^15]         |
+------------------+-------------------------+-------------------------+

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

+------------------+-------------------------+-------------------------+
| # EMS Element    | **NEPA**                | **EMS and NEPA          |
|                  |                         | Complementary           |
|                  |                         | Examples**              |
+==================+=========================+=========================+
| **Resources,     | The overarching         | The EMS can identify    |
| Roles,           | resources, roles,       | roles and               |
| Responsibility   | responsibility and      | responsibilities and    |
| and Authority**  | authority for complying | the resources necessary |
|                  | with NEPA are addressed | to carry out NEPA       |
| Management must  | in the CEQ NEPA         | review and              |
| ensure resources | regulations at Section  | decision-making         |
| are available to | 1506.5 (Agency          | requirements.           |
| establish,       | responsibility) and     |                         |
| implement,       | Part 1507 (Agency       | The EMS can define      |
| maintain and     | Compliance). Several    | roles and               |
| improve the EMS. | other relevant          | responsibilities for    |
| Roles,           | provisions include      | carrying out the chosen |
| responsibilities | Sections 1501.5 (Lead   | alternative, as well as |
| and authorities  | agencies) and 1501.6    | mitigation measures     |
| must be defined, | (Cooperating agencies). | identified in a ROD     |
| documented and   |                         | (EIS) or FONSI (EA).    |
| communicated.    | Decisions on how to     |                         |
|                  | proceed are made at the | Identifying the         |
|                  | conclusion of the NEPA  | resources and           |
|                  | process, and are        | responsibilities for    |
|                  | identified in the       | EMS monitoring          |
|                  | EA/FONSI and EIS/ROD.   | activities may assist   |
|                  |                         | the NEPA process when   |
|                  |                         | monitoring is necessary |
|                  |                         | to allow, for example,  |
|                  |                         | an adaptive management  |
|                  |                         | approach. A much        |
|                  |                         | stronger case can be    |
|                  |                         | made for using adaptive |
|                  |                         | management when the     |
|                  |                         | responsibilities and    |
|                  |                         | resources for carrying  |
|                  |                         | it out are clearly      |
|                  |                         | identified in the EMS.  |
+------------------+-------------------------+-------------------------+
| Competence,      | Staff that contributes  | Training that is        |
| Training and     | to, or uses information | relevant to the         |
| Awareness        | from, the NEPA process  | achievement of          |
|                  | should be knowledgeable | environmental policies, |
| Person(s)        | about the CEQ NEPA      | objectives, and targets |
| performing tasks | regulations in addition | should be provided to   |
| for the          | to agency NEPA          | all person(s) within    |
| organization or  | procedures (see 40 CFR  | and working on behalf   |
| on its behalf    | Part 1507, Agency       | of the agency covered   |
| that have the    | Compliance). In         | by the EMS.             |
| potential for    | addition, individuals   |                         |
| significant      | responsible for the     | When NEPA is an         |
| impacts must be  | management of agency    | integral part of the    |
| competent as a   | programs and projects   | EMS or linked to the    |
| result of        | that may have a         | agency's environmental  |
| education,       | significant effect on   | aspects, or when NEPA   |
| training, or     | the environment should  | outcomes are linked to  |
| experience.      | be aware of specific    | the objectives and      |
|                  | aspects of the NEPA     | targets, the EMS can    |
|                  | process, such as those  | facilitate the NEPA     |
|                  | set out in Sections     | process by requiring    |
|                  | 1506.1 (Limitations on  | appropriate staff be    |
|                  | actions during NEPA     | trained on NEPA and     |
|                  | process) and 1506.10    | related environmental   |
|                  | (Timing of agency       | analysis requirements   |
|                  | action).                | (e.g., how to conduct   |
|                  |                         | the process, and how to |
|                  |                         | prepare and document    |
|                  |                         | the analysis).          |
+------------------+-------------------------+-------------------------+
| #                | One of NEPA's goals is  | The EMS can be used as  |
|                  | to effectively          | a platform for ongoing  |
| # Communication  | communicate             | communication and       |
|                  | environmental           | cooperation with the    |
| Procedures are   | information to          | public and interested   |
| established in   | decisionmakers and the  | parties. For example:   |
| an EMS for       | public and to           |                         |
| communicating    | facilitate involvement  | -   NEPA procedures for |
| internally and   | in decisions which      |     public comment and  |
| documenting and  | affect the quality of   |     public involvement  |
| responding to    | the human environment   |     at the Scoping      |
| relevant         | (40 C.F.R.              |     stage, and for the  |
| external         |                         |     Draft and Final     |
| communications.  | § 1500.2).              |     EIS, can be part of |
| An organization  |                         |     the EMS procedures  |
| has discretion   | In addition to the      |     for external        |
| about            | mandate that agencies   |     communication; and  |
| communicating    | shall make diligent     |                         |
| externally on    | efforts to involve the  | -   progress toward     |
| significant      | public in implementing  |     meeting ROD or      |
| environmental    | their NEPA procedures   |     FONSI               |
| aspects;         | set forth in Sections   |     r                   |
| however, Federal | 1501.4(b) and 1506.6,   | equirements/commitments |
| agencies are in  | the CEQ NEPA            |     may be shared with  |
| a special        | Regulations address     |     the public as part  |
| position to      | specific stages of the  |     of the ongoing EMS  |
| emphasize the    | NEPA process when       |     communication       |
| importance of    | communication with      |     procedures.         |
| ongoing          | other agencies and the  |                         |
| communication    | public are required     | In developing EMS       |
| and cooperation  | such as Sections 1501.7 | objectives, the agency  |
| with the public  | (Scoping), 1502.19      | should consider the     |
| and interested   | (Circulation of the     | views of interested     |
| parties.         | EIS) and 1502.25        | parties. Comments       |
|                  | (Environmental review   | received during the     |
|                  | and consultation        | NEPA review process may |
|                  | requirements).          | provide useful insight  |
|                  |                         | when developing         |
|                  |                         | objectives.             |
+------------------+-------------------------+-------------------------+
| *                | The CEQ NEPA            | NEPA documents may be   |
| *Documentation** | regulations primarily   | essential for planning  |
|                  | address the contents of | or controlling          |
| # Docum          | the EA/FONSI in         | processes related to    |
| entation for the | Sections 1508.9 and     | significant             |
|  EMS must includ | 1508.13, and the        | environmental aspects.  |
| e documents and  | contents of EIS/ROD in  | In such a case, EMS     |
| records necessar | Part 1502.              | documentation would     |
| y for planning,  |                         | include the NEPA        |
| operation and co | The CEQ NEPA            | documents.              |
| ntrol of process | regulations provide for |                         |
| es related to si | efficient documentation | The EA/FONSI and        |
| gnificant enviro | in Section 1500.4.      | EIS/ROD developed       |
| nmental aspects. |                         | during the NEPA process |
|                  |                         | should be reviewed for  |
|                  |                         | inclusion in the EMS    |
|                  |                         | documentation,          |
|                  |                         | particularly when they  |
|                  |                         | set forth agency        |
|                  |                         | commitments.            |
+------------------+-------------------------+-------------------------+

+------------------+-------------------------+-------------------------+
| # EMS Element    | **NEPA**                | **EMS and NEPA          |
|                  |                         | Complementary           |
|                  |                         | Examples**              |
+==================+=========================+=========================+
| # Cont           | The process for         | For NEPA documents      |
| rol of Documents | finalizing EISs         | required by the EMS,    |
|                  | described in CEQ NEPA   | there must be an        |
| #                | regulations at Sections | established procedure   |
| Documents requir | 1505.2 and 1502.9 are   | for ensuring adequacy,  |
| ed by the EMS mu | document control        | and a process for       |
| st be controlled | procedures that help    | updating and            |
|  using procedure | ensure adequacy, and    | re-approval if          |
| s to, among othe | assist re-approval and  | necessary.              |
| r things, approv | updating NEPA           |                         |
| e documents for  | documents. Additional   |                         |
| adequacy and upd | relevant provisions     |                         |
| ate and re-appro | include Sections        |                         |
| ve as necessary. | 1502.9(c) (supplemental |                         |
|                  | statements), 1502.20    |                         |
|                  | (Tiering), and 1502.21  |                         |
|                  | (Incorporation by       |                         |
|                  | reference).             |                         |
+------------------+-------------------------+-------------------------+
| #                | Agency identification   | Procedures to perform   |
|                  | of actions that         | the NEPA process can be |
| # Ope            | normally require an EA  | a key operational       |
| rational Control | or EIS, or are          | control.                |
|                  | categorically excluded, |                         |
| In an EMS, an    | are the foundation for  | Specific activities and |
| "operational     | using the NEPA process  | operations (including   |
| control" is a    | as part of an           | mitigation) described   |
| procedure        | environmental           | in a NEPA document can  |
| associated with  | management program's    | be incorporated into    |
| an operation     | system of operational   | EMS operational         |
| that is an       | controls.               | procedures.             |
| identified       |                         |                         |
| significant      | The CEQ NEPA            | The procedures can      |
| environmental    | regulations describe    | include steps to ensure |
| aspect.          | procedures for          | information regarding   |
|                  | conducting the NEPA     | aspects developed       |
| Procedures are   | process to review       | during preparation of   |
| established to   | proposed operations --  | an EA or EIS is         |
| ensure           | including, but          | reviewed for inclusion  |
| operations       | certainly not limited   | in the aspects          |
| related to       | to:                     | inventory.              |
| significant      |                         |                         |
| aspects do not   | Part 1501 NEPA and      |                         |
| deviate from     | Agency Planning;        |                         |
| environmental    |                         |                         |
| policy or        | Part 1502 Environmental |                         |
| objectives and   | Impact Statement; and   |                         |
| targets.         |                         |                         |
|                  | Part 1505 NEPA and      |                         |
| Operational      | Agency Decisionmaking.  |                         |
| controls are     |                         |                         |
| process controls | The following sections  |                         |
| necessary for    | of the regulations      |                         |
| ensuring the     | provide examples of     |                         |
| system functions | elements of the NEPA    |                         |
| as intended.     | process that can be     |                         |
|                  | operational controls:   |                         |
| Procedures are   | 1501.8 (Time limits);   |                         |
| required for any | 1505.1 (Agency          |                         |
| operation when   | decisionmaking          |                         |
| their absence    | procedures); 1506.1     |                         |
| can lead to a    | (Limitations on actions |                         |
| deviation from   | during NEPA process);   |                         |
| EMS              | 1506.2 (Elimination of  |                         |
| requirements.    | 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**  | **NEPA**                | **EMS and NEPA          |
|                  |                         | Complementary           |
|                  |                         | Examples**              |
+------------------+-------------------------+-------------------------+
| **Emergency      | CEQ NEPA regulations at | EMS procedures          |
| Preparedness and | Section 1506.11 set out | developed for emergency |
| Response**       | alternative             | planning should include |
|                  | arrangements that can   | provisions for using    |
| Procedures are   | be used for proposed    | NEPA emergency          |
| required for     | actions that respond to | procedures.             |
| identifying      | an emergency and have   |                         |
| potential        | the potential for       | Decisions regarding     |
| emergencies and  | significant             | what action or          |
| accidents and    | environmental effects.  | alternative to take     |
| for preventing   |                         | could be used to inform |
| adverse          | Many NEPA analyses are  | emergency preparedness  |
| environmental    | done for contingency    | and response procedures |
| impacts from     | plans or emergency      | for an EMS.             |
| those            | response plans and for  |                         |
| emergencies and  | actions with potential  |                         |
| accidents.       | for accidents or other  |                         |
|                  | types of emergency      |                         |
| #                | situations.             |                         |
+------------------+-------------------------+-------------------------+
| #                | Section 1505.2(c) of    | Existing EMS monitoring |
|                  | the CEQ NEPA            | data may inform         |
| # Monitoring     | regulations call for    | analysis and support    |
|  and Measurement | the adoption of a       | predictions of          |
|                  | monitoring and          | environmental impacts   |
| An EMS specifies | enforcement program,    | throughout the NEPA     |
| procedures to    | where applicable, for   | process.                |
| monitor and      | mitigation measures     |                         |
| measure key      | identified in an EIS    | Performance metrics     |
| characteristics  | record of decision.     | related to activities   |
| of its           |                         | and mitigation measures |
| operations that  | Other relevant          | identified in the EIS   |
| can have         | provisions of the CEQ   | ROD or EA FONSI, may be |
| significant      | NEPA regulations        | part of the EMS         |
| environmental    | address:                | evaluation process.     |
| impacts. These   |                         | This can ensure that    |
| include          | (1) When supplemental   | activities associated   |
| monitoring of    |     analyses should be  | with EMS objectives and |
| performance,     |     prepared (Section   | targets or operational  |
| operational      |     1502.9(c));         | controls are occurring  |
| controls, and    |                         | as planned, and the     |
| conformance with | (2) How to deal with    | intended results are    |
| objectives and   |     incomplete or       | being achieved.         |
| targets.         |     unavailable         |                         |
|                  |     information         | When a monitoring and   |
|                  |     (Section 1502.22);  | enforcement program is  |
|                  |     and                 | established through the |
|                  |                         | NEPA process, it can be |
|                  | (3) Methodology and     | incorporated into EMS   |
|                  |     scientific accuracy | monitoring and          |
|                  |     (Section 1502.24).  | measurement activities. |
|                  |                         |                         |
|                  |                         | An essential component  |
|                  |                         | of the adaptive         |
|                  |                         | management model (i.e., |
|                  |                         | predict, mitigate,      |
|                  |                         | implement, monitor and  |
|                  |                         | adapt) is monitoring to |
|                  |                         | assess whether          |
|                  |                         | predictions of          |
|                  |                         | environmental effects   |
|                  |                         | are correct, and that   |
|                  |                         | any mitigation          |
|                  |                         | implemented is          |
|                  |                         | functioning as          |
|                  |                         | intended. Monitoring    |
|                  |                         | activities implemented  |
|                  |                         | for an EMS may subsume  |
|                  |                         | or complement the       |
|                  |                         | monitoring needed to    |
|                  |                         | accomplish adaptive     |
|                  |                         | management in the NEPA  |
|                  |                         | process.                |
+------------------+-------------------------+-------------------------+

+------------------+-------------------------+-------------------------+
| **EMS Element**  | **NEPA**                | **EMS and NEPA          |
|                  |                         | Complementary           |
|                  |                         | Examples**              |
+==================+=========================+=========================+
| Evaluation of    | An agency's             | When NEPA compliance is |
| Compliance       | responsibilities to     | an applicable legal or  |
|                  | comply with NEPA        | other requirement       |
| The EMS must     | requirements are        | within the EMS,         |
| include          | specifically addressed  | procedures developed    |
| procedures to    | in Part 1507.           | for the EMS must        |
| periodically     |                         | address how the agency  |
| evaluate         | Other compliance        | will evaluate           |
| compliance with  | responsibilities        | compliance with NEPA.   |
| applicable legal | identified in the CEQ   | This can lend support   |
| and other        | NEPA regulations        | to the agency's NEPA    |
| requirements.    | include the             | implementation efforts. |
|                  | responsibility to       |                         |
|                  | develop alternatives    | The EMS would also      |
|                  | when there are          | evaluate compliance     |
|                  | unresolved conflicts    | with other applicable   |
|                  | concerning alternative  | environmental laws      |
|                  | uses of resources       | which can inform the    |
|                  | (Section 1501.2) and    | NEPA process.           |
|                  | the responsibility to   |                         |
|                  | implement mitigation    |                         |
|                  | that is committed as    |                         |
|                  | part of the decision    |                         |
|                  | (Section 1505.3).       |                         |
+------------------+-------------------------+-------------------------+
| **Nonconformity, | NEPA requirements are   | In cases where NEPA     |
| Corrective and   | assessed as part of     | procedures are key to   |
| Preventive       | ongoing reviews.        | maintaining operational |
| Action**         | Nonconformance in       | controls or meeting     |
|                  | conducting the NEPA     | objectives and targets, |
| The EMS must     | process would be        | and are not being       |
| include          | addressed by corrective | followed, corrective    |
| procedures for   | and preventive actions. | action should be        |
| identifying and  | Relevant provisions of  | identified and taken.   |
| correcting       | the CEQ NEPA            | Changes in procedures   |
| nonconformities, | regulations include     | as a result of          |
| mitigating their | sections 1502.9(c)      | corrective action must  |
| environmental    | (preparation of         | be documented.          |
| impacts, and     | supplemental analyses), |                         |
| defining actions | 1503.4 (responding to   | For agency actions      |
| to avoid         | comments), and 1506.1   | reviewed under NEPA and |
| nonconformity    | (limitations that       | also covered by an EMS, |
| occurrence.      | should be included in   | monitoring and          |
| Procedures must  | instructions to         | adaptation associated   |
| also define      | applicants), and        | with adaptive           |
| requirements for | 1507.3(a) (review NEPA  | management may fall     |
| reviewing the    | policies and            | squarely within the     |
| effectiveness of | procedures).            | purview of an EMS's     |
| the corrective   |                         | preventive and          |
| and preventive   | Section 1505.3 of the   | corrective action       |
| actions taken.   | CEQ NEPA regulations    | program.                |
|                  | calls for agencies to   |                         |
| Findings,        | ensure mitigation       | The checking and        |
| conclusions, and | committed to in the     | corrective action       |
| recommendations  | "decision" is           | elements of an EMS may  |
| reached as a     | implemented by making   | also identify instances |
| result of        | the mitigation a        | when environmental      |
| monitoring and   | condition of grants,    | mitigation commitments  |
| audits of the    | permits or other        | in the EIS ROD or EA    |
| EMS are the      | approvals and funding   | FONSI are not being     |
| basis for        | actions. And            | implemented and         |
| corrective and   | cooperating and         | nonconformance in       |
| preventive       | commenting agencies can | implementing actions    |
| actions and the  | request information on  | would be addressed by   |
| systematic       | the progress of         | the corrective and      |
| follow-up to     | carrying out the        | preventive actions.     |
| ensure their     | mitigation, which can   |                         |
| effectiveness.   | help to ensure the      |                         |
|                  | mitigation conforms to  |                         |
|                  | stakeholder             |                         |
|                  | expectations.           |                         |
+------------------+-------------------------+-------------------------+

+------------------+-------------------------+-------------------------+
| **EMS Element**  | **NEPA**                | **EMS and NEPA          |
|                  |                         | Complementary           |
|                  |                         | Examples**              |
+==================+=========================+=========================+
| #                | Procedures for          | To the extent that NEPA |
|                  | controlling NEPA        | documents are EMS       |
| # Co             | documents that are also | records, they should be |
| ntrol of Records | EMS records can be      | maintained in           |
|                  | added to the agency     | accordance with EMS     |
| An EMS includes  | NEPA procedures         | records management      |
| procedures for   | developed in accordance | procedures.             |
| maintaining      | with the provisions in  |                         |
| records          | the CEQ NEPA            |                         |
| necessary to     | regulations Sections    |                         |
| demonstrate      | 1505.1 (Agency          |                         |
| conformance with | decisionmaking          |                         |
| the EMS          | procedures), and 1507.3 |                         |
| standard.        | (Agency procedures).    |                         |
|                  | They should include     |                         |
|                  | procedures for filing   |                         |
|                  | records (section        |                         |
|                  | 1506.9) and             |                         |
|                  | incorporation by        |                         |
|                  | reference (section      |                         |
|                  | 1502.21).               |                         |
+------------------+-------------------------+-------------------------+
| #                | There is no equivalent  | Commitments for         |
|                  | NEPA requirement.       | mitigation made         |
| #                |                         | pursuant to the NEPA    |
|  Internal Audits |                         | process may be reviewed |
|                  |                         | in an EMS audit when    |
| An EMS defines   |                         | such commitments are    |
| audit programs   |                         | linked to objectives    |
| and processes to |                         | and targets or          |
| assess the EMS   |                         | operational controls in |
| itself (e.g.,    |                         | the EMS. In these       |
| assessing        |                         | cases, the EMS audit is |
| conformity to    |                         | another means for       |
| the EMS          |                         | ensuring that agency    |
| standard) at     |                         | commitments made under  |
| planned          |                         | NEPA are appropriately  |
| intervals. The   |                         | implemented.            |
| results of       |                         |                         |
| audits must be   |                         | As part of the EMS      |
| presented to     |                         | audit, NEPA processes   |
| management.      |                         | may be spot-checked and |
|                  |                         | evaluated, and          |
| #                |                         | adjustments made to     |
|                  |                         | those processes if      |
|                  |                         | necessary.              |
+------------------+-------------------------+-------------------------+
| #                | Each agency must be     | Management review of    |
|                  | capable of complying    | the EMS is an           |
| # M              | with the requirements   | opportunity to assess   |
| anagement Review | set out in Section      | the effectiveness of    |
|                  | 1507.2.                 | the NEPA program,       |
| # Senior         |                         | adjust procedures to    |
| management revie |                         | take advantage of       |
| ws the EMS at re |                         | NEPA/EMS synergy, and   |
| gularly schedule |                         | enhance areas in which  |
| d intervals to e |                         | NEPA and EMS procedures |
| nsure suitabilit |                         | are complementary.      |
| y and effectiven |                         |                         |
| ess. Reviews ass |                         | NEPA procedures that    |
| ess the need for |                         | are relevant to         |
|  change in EMS p |                         | maintaining operational |
| olicy or objecti |                         | controls or meeting     |
| ves and targets. |                         | objectives and targets  |
|                  |                         | should be included in   |
| #                |                         | the management review.  |
+------------------+-------------------------+-------------------------+

**BIBLIOGRAPHY and SUGGESTED READING**

American Association of State Highway and Transportation Officials
Center for Environmental Excellence, "EMS Implementation Guide," (2003):
http://www.environment.transportation.org/documents/ems_implementation_guide.asp.

Boling, Edward A., "Environmental Management Systems and NEPA: A
Framework for Productive Harmony," *Environmental Law Reporter*, Volume
35, Number 1 (2005), pp. 10022-10031.

Cascio, Joseph, et al, *ISO 14000 Guide -- The New International
Environmental Management Standards*, (New York: McGraw Hill, 1996).

Council on Environmental Quality, "Regulations for Implementing the
Procedural Provisions of the National Environmental Policy Act," 40
C.F.R. Parts 1500-1508 (2005):
http://ceq.eh.doe.gov/nepa/regs/ceq/toc_ceq.htm.

Eccleston, Charles H., and Robert B. Smythe, "Integrating Environmental
Impact Assessment with Environmental Management Systems," *Environmental
Quality Management Journal*, Volume 11, Number 4 (2002), pp. 1-13.

Executive Order 13423, "Strengthening Federal Environmental, Energy, and
Transportation Management," 72 Federal Register 3919 (Jan. 26, 2007):
http://www.ofee.gov/eo/eo_13423.pdf.

Federal Aviation Administration, "Environmental Management Systems and
NEPA Adaptive Management," (May 2004):
http://www.faa.gov/regulations_policies/policy_guidance/envir_policy.

International Organization for Standardization, "ISO 14001:2004,
Environmental management systems - Requirements with guidance for use"
(2004).

International Organization for Standardization, "ISO 14004:2004,
Environmental management systems - General guidelines on principles,
systems and support techniques" (2004).

Loney, Jon M., Harold M. Draper, et. al., "Integration of the NEPA into
a Comprehensive Environmental Management System -- The Tennessee Valley
Authority Experience," *Environmental Practice*, Volume 5, Number 4
(2003) pp. 231-329

Marcus, Philip A., and Willig, John T., *Moving Ahead with ISO 14000:
Improving Environmental Management and Advancing Sustainable
Development*, (New York: John Wiley & Sons, Inc., 1997).

NEPA Task Force, "The NEPA Task Force Report to the Council on
Environmental Quality -- Modernizing NEPA Implementation," (September,
2003): http://ceq.eh.doe.gov/ntf/report/pdftoc.html.

**ACKNOWLEDGEMENTS**

This guide was developed through the collaborative effort of the Council
on Environmental Quality's Interagency Work Group on EMS and NEPA.

Work Group Leader: CEQ Point of Contact:

Matthew McMillen Horst G. Greczmiel,

Environmental Protection Specialist Associate Director for NEPA
Oversight

Federal Aviation Administration Council on Environmental Quality

Department of Transportation

Work Group Members:

Michael R. Barr

Environmental Specialist

U.S. Postal Service

Joe Carbone

National Environmental Policy Act Coordinator

U.S. Forest Service

U.S. Department of Agriculture

Will Garvey

Chair, EO 13148 Interagency Environmental Leadership Workgroup

U.S. Environmental Protection Agency

Michael (Mike) Green

Environmental Engineer

National Aeronautics and Space Administration

Marlys Osterhues

Environmental Protection Specialist

Federal Highway Administration

Department of Transportation

Malka Pattison

Program Analyst

Department of the Interior

Edwin Pinero

Federal Environmental Executive

Office of the Federal Environmental Executive

Carl Shapiro

Science Impact Program Coordinator

U.S. Geological Survey, Department of the Interior

Karen Waldvogel

Environmental Engineer

Department of Agriculture

Steven Woodbury

Environmental Protection Specialist,

US Department of Energy

Bruce Yeager

NEPA Team Leader/Senior Specialist

Tennessee Valley Authority

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

[^2]: 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. The NEPA
    process is defined at 40 C.F.R. § 1508.21.

[^3]: Executive Order No. 13423, "Strengthening Federal Environmental,
    Energy, and Transportation Management," 72 Fed. Reg. 3917 (Jan. 24,
    2007), available at
    http://ceq.eh.doe.gov/nepa/regs/executiveorders.htm, directs Federal
    agencies, among other things, to implement EMSs at all appropriate
    organizational levels. This Order revoked Executive Order No. 13148,
    "Greening the Government through Leadership in Environmental
    Management," 65 Fed. Reg. 24593 (Apr. 26, 2000), 3 C.F.R. 241
    (2001), also available at
    http://ceq.eh.doe.gov/nepa/regs/executiveorders.htm, which required
    EMS at all appropriate facilities.

[^4]: 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]: "Significantly," in the NEPA context, is defined at 40 C.F.R. §
    1508.27 and in agency NEPA procedures. In the EMS context
    "significant" is not defined, and it is not necessarily the same as
    under NEPA. Consequently, identifying an environmental aspect as
    "significant" in the EMS does not necessarily mean 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]: For Federal agencies that are deciding whether and how to
    undertake projects or programs with the potential to significantly
    affect environmental resources (have interactions with the
    environment), NEPA is a legal requirement. The EMS "legal and other
    requirements" for that agency would include NEPA requirements as
    applicable requirements related to environmental aspects.

[^9]: 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.

[^10]: 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 are deciding whether and how to
    undertake projects or programs with the potential to significantly
    affect environmental resources (have interactions with the
    environment), NEPA is a legal requirement.

[^11]: Environmental management program(s) in an EMS are the plans for
    achieving objectives and targets, including responsibilities for
    implementation.

[^12]: The adaptive management approach for NEPA was examined in the
    NEPA Task Force Report, "The NEPA Task Force Report to the Council
    on Environmental Quality -- Modernizing NEPA Implementation,"
    (September 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 Federal Aviation Administration's paper "Environmental
    Management Systems and NEPA Adaptive Management" available at
    http://www.faa.gov/regulations_policies/policy_guidance/envir_policy.

[^13]: Understanding the table requires the reader have a basic
    understanding of both the NEPA analysis and document preparation
    processes and the elements of the International Organization for
    Standardization EMS standard (ISO 14001) with their associated
    procedures and requirements. While not all EMSs developed in the
    Federal sector follow the ISO 14001 model, most have similar or
    common elements.

[^14]: 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.

[^15]: See footnote 5.