Document ID: EPA-HQ-OA-2003-0005-0009
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2003-06-05T04:00Z

1
EPA
Draft
Agency­
wide
2000
Public
Involvement
Policy
Introduction
This
Draft
2000
Public
Involvement
Policy
(
hereinafter
called
the
Draft
Policy)
addresses
public
involvement
in
all
of
the
Environmental
Protection
Agency's
(
EPA)
decision­
making,
rulemaking,
and
program
implementation
activities.
The
fundamental
premise
of
this
Draft
Policy
is
that,
in
all
its
programs,
EPA
should
provide
for
meaningful
public
involvement.
This
requires
that
everyone
at
EPA
remain
open
to
receive
all
points
of
view
and
extend
every
effort
to
solicit
input
from
those
who
will
be
affected
by
decisions.
This
openness
to
the
public
furthers
our
mission
to
protect
public
health
and
safeguard
the
natural
environment
by
increasing
our
credibility,
improving
our
decision­
making
and
developing
broad
support
for
Agency
initiatives.
Our
willingness
to
remain
open
to
new
ideas
from
our
constituents,
and
to
incorporate
them
where
appropriate,
is
absolutely
essential
to
the
execution
of
our
mission.
At
the
same
time,
we
should
not
accord
privileged
status
to
any
special
interest,
nor
accept
any
recommendation
or
proposal
without
careful,
critical
examination.

Definitions
The
term
the
public
is
used
in
the
Draft
Policy
in
the
broadest
sense,
meaning
the
general
population
of
the
United
States.
Many
segments
of
"
the
public"
may
have
a
particular
interest
or
may
be
affected
by
Agency
programs
and
decisions.
In
addition
to
private
individuals,
"
the
public"
includes,
but
is
not
limited
to,
representatives
of
consumer,
environmental
and
other
advocacy
groups;
environmental
justice
groups;
indigenous
people;
minority
and
ethnic
groups;
elected
and
appointed
public
officials;
the
media;
business
and
industrial
interests;
trade,
industrial,
agricultural,
and
labor
organizations;
public
health,
scientific,
and
professional
representatives
and
societies;
civic
and
community
associations;
faith­
based
organizations;
research,
university,
education,
and
governmental
organizations
and
associations,
and
governments
and
agencies
at
all
levels.
Public
agencies
that
serve
as
co­
regulators
may
have
a
dual
role;
they
can
be
beneficiaries
of
public
involvement
in
their
decision­
making
processes
as
well
as
stakeholders
who
provide
input
into
EPA's
decisions.

The
term
public
involvement
is
used
in
this
document
to
encompass
the
full
range
of
actions
and
processes
that
EPA
uses
to
engage
the
public
in
the
Agency's
work,
and
means
that
the
Agency
considers
public
concerns,
values,
and
preferences
when
making
decisions.
Public
involvement
enables
the
public
to
work
with
the
Agency
and
hold
it
accountable
for
its
decisions.
Though
every
person
living
in
the
United
States
is
an
ultimate
beneficiary
of
EPA
actions
to
protect
public
health
and
the
environment,
a
relatively
small
number
of
individuals
directly
participate
in
Agency
activities.
Individuals
and
organizations
who
have
a
strong
interest
in
the
Agency's
work
and
policies
are
referred
to
as
stakeholders.
Stakeholders
also
may
interact
with
EPA
on
behalf
of
another
person
or
group
that
seeks
to
influence
the
Agency's
future
direction.
Some
stakeholders
are,
or
believe
they
are,
affected
parties,
that
is,
individuals
or
groups
who
will
be
impacted
by
EPA
policies
or
decisions.

What
are
the
purposes,
goals
and
objectives
of
this
Draft
Policy?
2
The
purposes
of
this
Draft
Policy
are
to:

C
reaffirm
EPA's
commitment
to
early
and
meaningful
public
involvement;
C
ensure
that
environmental
decisions
are
made
with
an
understanding
of
the
interests
and
concerns
of
affected
people
and
entities;
C
promote
the
use
of
a
wide
variety
of
techniques
to
create
early
and,
when
appropriate,
continuing
opportunity
for
public
involvement
in
Agency
decisions;
and
C
establish
clear
and
effective
procedures
for
conducting
public
involvement
activities
in
EPA's
decision­
making
processes.

Implementing
a
strong
policy
and
consistent
procedures
will
make
it
easier
for
the
public
to
become
involved
and
to
affect
the
Agency's
decisions.
This
in
turn
will
assist
the
EPA
in
carrying
out
its
mission
by
providing
the
Agency
with
a
better
understanding
of
the
public's
viewpoints,
concerns,
and
preferences.
Full
implementation
of
this
Draft
Policy
also
should
build
public
trust
and
make
the
Agency's
decisions
more
likely
to
be
accepted
and
implemented
by
those
who
are
most
concerned
with
and
affected
by
them.
Finally,
implementing
this
policy
will
support
EPA
in
meeting
statutory
requirements
regarding
public
participation,
particularly
in
environmental
permitting
programs
and
enforcement
activities.

Decision
makers
are
sometimes
concerned
about
delays
associated
with
public
involvement.
In
some
circumstances,
a
compelling
need
for
immediate
action
may
make
it
appropriate
to
limit
public
involvement.
However,
issues
that
are
not
resolved
to
the
satisfaction
of
the
concerned
public
may
ultimately
face
time­
consuming
review.
Achievement
of
EPA's
public
involvement
objectives
may
reduce
delays
caused
by
litigation
or
other
adversarial
activities.

EPA
has
the
following
goals
for
public
involvement
processes:

C
To
foster
a
spirit
of
mutual
trust,
confidence,
and
openness
between
the
Agency
and
the
public;

C
To
fulfill
legal
requirements
imposed
by
various
environmental
statutes;

C
To
ensure
that
the
Agency
consults
with
interested
or
affected
segments
of
the
public
and
takes
public
viewpoints
into
consideration
when
making
decisions;

C
To
ensure
that
the
Agency
provides
the
public
with
information
at
a
time
and
in
a
form
that
it
needs
to
participate
in
a
meaningful
way;

C
To
ensure
that
the
public
understands
official
programs
and
the
implications
of
potential
alternative
courses
of
action;

C
To
learn
from
the
public
the
information
it
is
uniquely
able
to
provide
(
community
values,
concerns,
practices,
local
norms,
and
relevant
history,
such
as
locations
of
past
contaminant
sources,
etc.);

C
To
solicit
assistance
from
the
public
in
understanding
potential
consequences
of
technical
3
issues,
identifying
alternatives
to
be
studied,
and
selecting
among
the
alternatives
considered;

C
To
keep
the
public
informed
about
significant
issues
and
changes
in
proposed
programs
or
projects;

C
To
foster,
to
the
extent
possible,
equal
and
open
access
to
the
regulatory
process
for
all
interested
and
affected
parties;

C
To
ensure
that
the
government
understands
public
goals
and
concerns,
and
is
responsive
to
them;

C
To
anticipate
conflicts
and
encourage
early
discussions
of
differences
among
affected
parties;

C
To
promote
the
public's
involvement
in
implementing
environmental
protection
laws;
and
C
To
ensure
that
the
Agency
communicates
to
the
public
how
its
input
affected
the
Agency's
decision.

To
achieve
the
purposes
and
goals,
while
also
recognizing
resource
constraints,
Agency
officials
will
strive
to
provide
for,
encourage,
and
assist
public
involvement
in
the
following
ways:
.
C
Beginning
public
involvement
early
in
the
decision­
making
process
and
continuing
it
throughout
the
process
as
necessary
to
provide
the
best
information
possible;

C
Striving
to
identify,
communicate
with
and
listen
to
all
affected
sectors
of
the
public.
The
role
of
Agency
officials
is
to
plan
and
conduct
public
involvement
activities
that
provide
equal
opportunity
for
all
individuals
and
groups
to
be
heard.
Where
appropriate,
implementation
of
this
Draft
Policy
will
require
Agency
officials
to
give
extra
encouragement
and
consider
providing
assistance
to
some
sectors,
such
as
minorities
and
low­
income
populations,
which
may
have
fewer
opportunities
or
resources
to
participate;

C
Involving
members
of
the
public
in
developing
options
and
alternatives
(
when
possible)
and,
before
making
decisions,
seeking
the
public's
opinion
on
options
or
alternatives.
Agency
officials
must
avoid
advocacy
and
pre­
commitment
to
any
particular
alternative
or
option
prior
to
decision­
making,
unless
statutory
or
regulatory
requirements
dictate
otherwise
(
e.
g.
when
EPA
proposes
a
Plan
for
a
Superfund
site);

C
Actively
developing
options
that
address
the
conflicts
in
underlying
issues
expressed
by
disagreeing
stakeholders,
thereby
seeking
to
facilitate
discussion;
and
C
Making
every
effort
to
match
the
design
of
public
involvement
programs
with
the
complexity
and
potential
for
controversy
surrounding
the
issue
being
addressed,
the
segments
of
the
public
affected,
the
time
frame
for
decision­
making,
and
the
overall
4
desired
outcome
of
the
public
involvement
process.

When
does
this
Draft
Policy
apply?

This
Draft
Policy
applies
to
all
EPA
programs
conducted
under
the
laws
and
Executive
Orders
that
EPA
implements.
Appendix
1
contains
a
list
of
these
laws
and
orders.

The
activities
covered
by
this
Draft
Policy
include:

C
EPA
rulemaking,
when
the
regulations
are
classified
as
significant
(
under
the
terms
of
Executive
Order
12866);

C
The
issuance
or
significant
modification
of
permits
or
licenses;

C
EPA
activities
in
support
of
programs
that
are
authorized,
approved,
or
delegated
by
EPA
that
are
funded
by
EPA
financial
assistance
(
grants
and
cooperative
agreements)
to
States,
tribes,
interstate
agencies,
intertribal
consortia,
and
local
governments;

C
Selection
of
plans
for
cleanup,
remediation,
or
restoration
of
hazardous
waste
sites,
or
Brownfields
properties;

C
The
process
leading
to
a
determination
of
approval
of
state,
tribal
or
local
government
administration
of
a
program;

C
All
other
policy
decisions
that
are
determined
by
the
Administrator,
Deputy
Administrator,
or
appropriate
Assistant,
Regional,
or
Associate
Administrator
to
warrant
application
of
the
Draft
Policy
in
view
of
EPA's
responsibility
to
involve
the
public
in
important
decisions.
[
Note:
Science­
based
decisions
prompt
application
of
the
Agency's
policy
on
peer
review.]

Many
of
the
activities
covered
by
this
Draft
Policy
have
their
own
public
involvement
requirements
established
by
statute,
rule,
or
Executive
Order.
Those
provisions
should
be
considered
the
minimum
level
of
public
involvement
that
EPA
will
provide.
This
Draft
Policy
should
be
used
to
determine
the
appropriate
nature
and
extent
of
public
involvement
above
the
basic
requirements.
While
it
is
important
for
the
Agency
to
consider
the
interests
of
the
public
and
take
steps
to
effectively
involve
the
communities
or
constituencies
that
will
be
most
impacted
by
EPA's
decisions,
it
is
not
necessary
to
have
extensive
involvement
for
all
public
participation
or
stakeholder
involvement
activities.
However,
lack
of
adequate
participation
or
lack
of
effective
means
for
participation
can
result
in
agreements
or
policies
that
do
not
necessarily
reflect
the
interests
of
communities
or
constituencies
that
will
be
most
impacted
by
them.

Major
national
rules
and
policy
decisions
will
generally
involve
the
most
extensive
public
involvement,
but
more
localized
decisions
such
as
individual
permits
and
cleanups
sometimes
engender
a
high
degree
of
public
interest
and
warrant
a
more
extensive
involvement
process
as
well.
This
Draft
Policy
does
not
limit
the
degree
of
public
involvement
provided,
or
preclude
developing
new
tools
for
5
public
involvement.

This
Draft
Policy
relies
heavily
on
the
sound
use
of
discretion
by
Agency
officials,
although
always
with
a
bias
in
favor
of
public
involvement.
The
Agency
should
make
all
reasonable
efforts
to
ensure
that
the
public
is
informed
and
given
appropriate
opportunities
for
involvement.
Those
opportunities
should
not
be
judged
solely
by
their
quantity;
but
also
by
whether
they
are
designed
to
improve
the
quality
of
EPA's
decisions.
The
Agency
will
always
provide
opportunity
for
public
involvement
in
rulemaking
that
requires
public
notice
and
comment,
but
not
every
document
or
decision
requires
public
involvement.
Every
involvement
opportunity
does
not
call
for
the
inclusion
of
all
potentially
interested
persons;
including
legitimate
representatives
of
the
various
interests
may
be
sufficient.
Agency
officials
must
have
the
flexibility
to
determine
appropriate
public
involvement,
and
will
be
accountable
for
those
decisions.
Agency
officials
must
recognize
that
agreement
among
all
parties,
while
valuable,
is
not
always
needed,
and
that
the
Agency
must
retain
the
discretion
to
make
decisions
or
take
actions
to
preserve
and
protect
the
environment
and
public
health.

The
Draft
Policy
is
not
a
rule,
is
not
legally
enforceable,
and
does
not
confer
legal
rights
or
impose
legal
obligations
upon
any
member
of
the
public,
EPA
or
any
other
agency.
It
is,
however,
EPA's
statement
of
its
strong
commitment
to
full
and
meaningful
public
involvement
in
Agency
activities.
As
a
policy,
the
Draft
Policy
is
not
binding
upon
states,
tribes
and
local
governments
that
implement
federally
delegated,
authorized
or
approved
programs.
However,
EPA
encourages
those
entities
to
adopt
similar
policies
and
will
discuss
public
involvement
among
other
issues
in
its
periodic
joint
planning
efforts
with
states,
tribes
and
local
governments
that
implement
these
programs.

What
should
EPA
do
to
ensure
full
and
meaningful
public
involvement?

Each
Assistant
Administrator,
Associate
Administrator,
Office
Director,
or
Regional
Administrator
should
ensure
that
the
Agency
fully
carries
out
this
Draft
Policy
and
all
public
involvement
provisions
of
the
laws
that
they
are
responsible
for
implementing.
They
should
ensure
that,
to
the
greatest
extent
possible,
authorized
and
delegated
program
partners
provide
opportunities
for
the
public
to
participate
in
decision­
making
related
to
implementing
their
EPA­
related
programs.
EPA
officials
are
responsible
for
determining
forthcoming
decisions
or
activities
to
which
this
Draft
Policy
and
applicable
laws
and
Executive
Orders
should
be
applied,
and
taking
the
steps
needed
to
ensure
that
adequate
public
involvement
processes
are
developed
and
implemented.

This
Draft
Policy
identifies
six
key
functions
that
should
be
considered
when
planning
for
public
involvement.
Agency
officials
must
exercise
judgment
and
take
into
consideration
the
particular
circumstances
of
each
situation
in
determining
how
those
functions
will
be
carried
out.
Agency
employees
should
strive
to
provide
the
most
meaningful
public
involvement
opportunities
appropriate
to
each
situation.
The
issues,
locations,
potential
environmental
and
public
health
consequences
of
the
activities,
potential
for
controversy,
specific
needs
of
the
public
and
the
Agency,
and
other
circumstances
will
influence
the
design
of
public
involvement
processes.
The
Draft
Policy
recognizes
the
Agency's
need
to
set
priorities
for
its
use
of
resources.
It
also
emphasizes
involvement
by
the
public
in
decisions
where
options
are
available
and
alternatives
must
be
weighed,
or
where
EPA
is
seeking
substantial
agreement
from
the
public
to
carry
out
a
program.
6
The
six
basic
functions
for
effective
public
involvement
in
any
decision
or
activity
are:

1.
Plan
and
budget
for
public
involvement
activities;
2.
Identify
the
interested
and
affected
public;
3.
Consider
providing
technical
or
financial
assistance
to
the
public
to
facilitate
involvement;
4.
Provide
information
and
outreach
to
the
public;
5.
Conduct
public
consultation
and
involvement
activities;
6.
Assimilate
information
and
provide
feedback
to
the
public.

The
goals(
s)
and
recommended
actions
for
each
of
these
functions
are
described
below.

4.
Plan
and
budget
for
public
involvement
activities
Goal:
To
ensure
effective
public
involvement
processes
through
advance
planning,
early
notice
to
stakeholders,
adequate
time
and
resources,
and
evaluation.

a.
Recommended
actions:
When
preparing
budgetary
documents
for
programs
affecting
the
public,
Agency
officials
should
include
resources
for
conducting
and
evaluating
public
involvement
activities.
These
may
be
included
as
an
element
of
regulatory
development
plans,
analytic
blueprints,
program
plans,
or
EPA's
plans
for
complying
with
the
Government
Performance
and
Results
Act.
Programs
also
should
plan
for
complying
with
the
Unfunded
Mandates
Reform
Act,
the
Regulatory
Flexibility
Act,
as
amended
by
the
Small
Business
Regulatory
Enforcement
Fairness
Act,
Executive
Order
13132
(
Federalism),
and
Executive
Order
13175
(
Consultation
and
Coordination
with
Indian
Tribal
Governments).

Such
planning
documents
should
set
forth,
at
a
minimum:

C
Key
decisions
subject
to
public
involvement;
C
Staff
contacts
and
budget
resources
to
be
allocated
to
public
involvement;
C
Segments
of
the
public
targeted
for
involvement
and
plans
for
identifying
organizations
and
individuals,
consistent
with
the
Paperwork
Reduction
Act
if
the
plans
involve
the
collection
of
information;
C
Proposed
schedule
for
public
involvement
activities
consistent
with
the
Federal
Advisory
Committee
Act;
C
Mechanisms
to
apply
the
six
basic
functions
 
Planning
and
Budgeting,
Identification,
Providing
Assistance,
Information
and
Outreach,
Public
Consultation
and
Involvement,
and
Assimilation
and
Feedback
 
outlined
above;
and
C
Measures
or
methods
to
evaluate
the
effectiveness
of
public
involvement.

When
identified
in
an
approved
grant
work
plan,
grant
funds
may
be
used,
subject
to
any
statutory
or
regulatory
limitations,
to
support
reasonable
costs
of
public
involvement
incurred
by
assisted
agencies,
including
advisory
group
expenses.

Assistant
Administrators,
Associate
Administrators
and
Regional
Administrators
should
ensure
that
program
and
activity
planning
documents
include
public
involvement
activities
and
that
they
are
developed
in
a
timely
manner
for
use
in
the
annual
budget
planning
process.
7
2.
Identify
the
interested
and
affected
public
Goal:
To
identify
groups
or
members
of
the
public
who
may
have
expressed
an
interest
in,
or
may
by
the
nature
of
their
location,
purposes
or
activities
be
affected
by
or
have
an
interest
in
an
upcoming
activity
or
action.

a.
Recommended
actions:
The
responsible
official
should
develop
a
contact
list
for
each
program,
activity
or
project,
and
add
to
the
list
those
members
of
the
public
who
request
to
be
added.
Each
list
should
be
updated
frequently,
and
will
be
most
useful
if
subdivided
by
category
of
interest
or
geographic
area.
The
nature
and
intensity
of
the
involvement
activities
will
drive
the
updating
frequency.
Pro­
active
efforts
should
be
made
to
ensure
that
all
points
of
view
are
represented
on
the
lists.
The
contact
lists
should
be
used
to
send
announcements
of
involvement
opportunities;
notices
of
meetings,
hearings,
field
trips,
and
other
events;
notices
of
available
information,
reports
and
documents;
and
to
identify
members
of
the
public
who
may
be
considered
for
advisory
group
membership
and
other
activities.
Where
circumstances
("
lesser
actions"
such
as
minor
program
guidance
or
minor
amendments
to
a
permit)
do
not
warrant
identifying
individual
interested
parties
to
this
extent,
Agency
officials
should,
at
a
minimum,
be
aware
of
who
the
interested
parties
are
and
how
best
to
provide
them
notice.

b.
Methods:
Construction
of
this
list
of
contacts
may
be
accomplished
by
any
number
of
activities,
including,
but
not
limited
to
the
following
[
Note:
Where
the
above
activities
involve
the
collection
of
information
from
non­
agency
parties,
they
may
be
subject
to
the
Paperwork
Reduction
Act
(
PRA).
For
advice,
staff
should
consult
with
the
Office
of
General
Counsel]:

C
requesting
the
names
of
interested
and
affected
individuals
from
others
in
the
Agency;
from
facilities/
companies;
state,
tribal,
regional
and
local
governments;
or
from
key
nongovernmental
for­
profit
and
not­
for­
profit
groups;
C
using
questionnaires
or
surveys
to
find
out
levels
of
awareness;
C
reviewing
dockets,
depositories,
research
papers
or
other
publications
for
previous
similar
or
related
activities;
C
including
an
EPA
point
of
contact
on
EPA
documents
(
fact
sheets,
public
notices,
sign­
up
sheets
at
meetings,
etc.)
so
that
individuals
may
ask
to
be
placed
on
lists;
C
soliciting
interest
through
notices
in
the
Federal
Register;
trade
and
trade
association
publications;
local
print,
radio,
cable
and
television
outlets;
not­
for­
profit
secular
and
religious
publications;
or
through
the
Internet
or
other
electronic
means;
C
asking
those
who
attend
events
what,
if
any,
interests
or
key
individuals
are
missing;
and
C
by
using
other
comprehensive
or
creative
means
that
consider
the
community
structure,
languages
spoken,
local
communications
preferences
and
the
locations
(
such
as
libraries
and
other
centers)
where
the
community
regularly
congregates.

3.
Consider
providing
technical
or
financial
assistance
to
the
public
to
facilitate
involvement.

Goal:
To
assist
stakeholder
groups
and
members
of
the
public
who
may
not
have
resources
to
obtain
the
technical
assistance
or
funding
that
would
enable
them
to
contribute
effectively
and
in
a
timely
manner.
8
a.
Recommended
actions:
EPA
recognizes
that
responsible
involvement
by
the
various
elements
of
the
public
in
some
of
the
highly
technical
and
complex
issues
addressed
by
the
Agency
requires
substantial
commitments
of
time,
study,
research,
analysis,
and
discussion.
Where
it
is
possible
to
provide
technical
or
financial
assistance,
doing
so
can
improve
the
quality
of
public
involvement.

In
some
circumstances,
direct
financial
assistance
may
be
available.
For
example,
depending
on
annual
budget
authorizations,
Assistant
and
Associate
Administrators,
Regional
Administrators
and
Office
Directors
may
have
authority
to
provide
funds
to
outside
organizations
and
individuals
for
public
involvement
activities
associated
with
rules
under
development
that
they,
as
EPA
managers,
deem
appropriate
and
essential
for
achieving
program
goals.
However,
funds
for
such
purposes
are
generally
very
limited.
When
funding
is
provided,
the
primary
purpose
must
be
consistent
with
the
Federal
Grant
and
Cooperative
Agreement
Act,
and
appropriate
authority
for
the
funded
activities
must
be
provided
in
one
or
more
of
EPA's
organic
statutes.
In
other
cases,
assistance
in
forms
other
than
direct
financial
support
can
be
provided.
Examples
of
such
assistance
are
provided
below.

b.
Methods:
There
are
numerous
ways
to
provide
assistance
to
members
of
the
public
who
lack
the
ability
to
participate
in
an
effective
or
timely
manner
in
Agency
public
consultation
or
involvement
activities.
Agency
managers
should
consult
with
knowledgeable
staff
to
determine
the
most
feasible
and
legal
methods
to
follow.
Methods
may
include
staff
resources
or
funding
for:

C
Access
to
Agency
experts
or
contractors
to
obtain
information
and
analyses
as
resources
allow;
C
Access
to
technical
personnel
through
grants
to
universities
(
e.
g.:
The
Superfund
Program's
Technical
Outreach
Services
to
Communities
project
has
provided
independent
university­
based
scientific
and
engineering
expertise
to
115
communities
dealing
with
hazardous
substance
contamination
questions);
C
Travel
and
per
diem
to
consult
and
provide
advice
directly
to
Agency
officials;
C
Compensation
for
time
spent
on
Federal
Advisory
Committee
meetings;
C
Technical
Assistance
Grants
(
TAGs)
under
Section
117
of
CERCLA
awarded
to
groups
of
individuals
who
may
be
affected
by
a
release
or
a
threatened
release
at
Superfund
sites
to
obtain
assistance
in
interpreting
and
disseminating
data
and
information
related
to
site
activities;
C
Task­
specific
technical
assistance
to
help
stakeholders
address
issues
either
in
project
negotiation
or
implementation
phases
of
XL
(
Excellence
and
Leadership)
projects;
C
Collection
and
dissemination
of
information
on
outside
sources
of
funding
or
technical
assistance;
C
Collaboration
with
non­
governmental
organizations
and
other
information
brokers;
C
Provision
of
surplussed
computer
equipment
to
parties
who
need
access
to
the
Internet,
following
Agency
requirements
for
this
activity
(
under
EPA's
policy
in
response
to
Executive
Order
12999
­
Educational
Technology
Ensuring
Opportunity
for
all
Children
in
the
Next
Century
that
directs
special
attention
be
given
to
schools
and
nonprofit
organizations,
including
community
based
educational
organizations
located
in
minority,
low­
income
and
underserved
communities).

c.
Public
involvement
funding
criteria:
Currently
the
Agency
does
not
have
Agency­
wide
9
criteria
for
providing
formal
assistance
to
facilitate
public
involvement.
Any
criteria
that
the
Agency
may
develop
in
the
future
for
the
award
of
financial
assistance
by
the
Agency
for
public
involvement
should
be
based
on
the
following
criteria:

(
1)
whether
the
proposed
activity
is
allowable
under
applicable
statutory
authority;
(
2)
whether
the
activity
proposed
will
involve
interests
not
adequately
represented;
(
3)
whether
the
applicant
does
not
otherwise
have
adequate
resources
to
participate;
(
4)
whether
the
applicant
is
qualified
to
accomplish
the
work;
(
5)
whether
the
proposed
activity
will
be
undertaken
by
those
with
a
direct
and
genuine
stake
in
the
local
community;
and,
(
6)
whether
the
activity
proposed
will
further
the
objectives
of
this
Draft
Policy
that
benefit
the
public.

These
criteria
should
be
the
primary
tests
used
for
public
involvement
financial
assistance.
From
among
those
who
meet
these
tests,
the
Agency
would
make
special
efforts
to
provide
assistance
to
groups
that
may
have
fewer
opportunities
or
insufficient
resources
to
participate.

4,
Provide
information
and
outreach
to
the
public.

Goals:
To
provide
the
public
with
accurate,
understandable,
pertinent
and
timely
information
in
accessible
places
so
that
the
public
can
contribute
effectively
to
Agency
program
decisions.
To
ensure
that
the
public
understands
the
legal
requirements
for
Agency
action
and
the
significance
of
the
related
technical
data
so
that
the
public
can
provide
meaningful
comments
that
assist
the
Agency
in
its
decision­
making.

a.
Recommended
actions:
Agency
officials
should:

C
Ensure
that
adequate,
timely
information
concerning
a
forthcoming
action
or
decision
reaches
the
public;

C
Provide
policy,
program,
and
technical
information
to
the
affected
public
and
interested
parties
at
the
earliest
practicable
times,
to
enable
those
potentially
affected
or
interested
persons
to
make
informed
and
constructive
contributions
to
decision­
making;

C
Ensure
that
information
is
provided
at
places
easily
accessible
to
interested
and
affected
persons
and
organizations;

C
Fully
implement
the
goals
of
the
Agency's
Public
Access
Strategy
when
released
(
to
provide
the
public
with
integrated,
online,
user­
friendly
access
to
environmental
data
and
information)
and,
to
the
extent
practicable,
enable
communities,
including
minority,
lowincome
and
undeserved
populations,
to
have
access
to
relevant
data
and
information;

C
To
the
extent
practicable,
direct
that
information
and
educational
programs
be
developed
so
that
all
levels
of
government
and
the
public
have
an
opportunity
to
become
familiar
with
the
issues
and
the
technical
data
from
which
they
emerge;
10
C
Ensure
that
informational
materials
clearly
identify
the
role
of
the
public
in
the
specific
decisions
to
be
made;

C
Highlight
significant
issues
that
will
be
the
subject
of
decision­
making;

C
Make
special
efforts
to
summarize
complex
technical
materials
for
the
public;

C
Write
documents
in
plain
language
that
the
public
will
easily
understand;
and
C
Consider
whether
EPA
should
provide
documents
in
languages
in
addition
to
English
in
order
to
reach
the
affected
public
or
interested
parties.

b.
Methods:
Information
and
outreach
programs
require
the
use
of
appropriate
communication
tools,
and
should
be
tailored
to
accommodate
the
public's
level
of
familiarity
with
the
subject.

The
following,
among
many
other
approaches,
may
be
used
for
this
purpose:

(
1)
publications,
fact
sheets,
technical
summaries,
bibliographies,
resource
guides
and
other
printed
materials
which
may
be
made
available
through
the
mail
and
at
information
depositories
(
e.
g.,
EPA
regional
and
field
offices,
federal
depository
libraries
and
local
public
libraries,
and
state/
tribal/
local
agencies);
(
2)
videos
and
CD
ROMs;
(
3)
questionnaires,
surveys,
and
interviews,
subject
to
approval
by
the
Office
of
Management
and
Budget
under
the
Paperwork
Reduction
Act;
(
4)
public
service
announcements
and
news
releases;
(
5)
educational
publications,
programs
or
activities;
(
6)
electronic
communications
such
as
Web
pages,
chat
rooms,
on­
line
dialogues,
and
list
servers;
(
7)
participation
in
conferences,
workshops,
or
meetings;
(
8)
telephone
communications
such
as
hotlines,
clearinghouses
and
toll­
free
comment
lines;
(
9)
video
conferences
and
satellite
downlinks;
and
(
10)
participation
at
public
events,
such
as
fairs
and
festivals.

c.
Content.
Outreach
materials
may
include:

C
background
information
(
e.
g.
statutory
basis,
rationale,
specific
goal(
s)
of
involvement
activities,
or
the
triggering
event
of
the
action);
C
a
timetable
of
proposed
actions;
C
summaries
of
lengthy
documents
or
technical
material
if
relevant;
C
a
delineation
of
issues
and
the
interests
that
they
may
affect;
C
alternative
courses
of
action
or
tentative
determinations
that
the
Agency
may
have
made;
C
information
on
whether
an
Environmental
Impact
Statement
or
Environmental
Assessment
is,
or
will
be,
available;
C
specific
encouragement
to
stimulate
active
involvement
by
the
public,
including
describing
the
nature
of
its
influence,
roles,
and
potential
impact
on
the
decisions;
C
the
name
and
contact
information
(
address,
e­
mail
address,
telephone
and
telefax
11
numbers)
to
reach
an
individual
for
further
information;
C
whenever
possible,
the
social,
economic,
and
environmental
consequences
of
proposed
decisions
and
alternatives;
and
C
technical
evidence
and
research
methodology
explained
in
non­
technical
language.
(
Summaries
of
technical
documents
should
be
footnoted
to
refer
to
the
original
data.)

Fact
sheets,
news
releases,
summaries,
and
similar
publications
in
print
and
on
the
Internet
may
be
used
to
provide
notice
of
availability
of
materials
and
to
facilitate
public
understanding
of
more
complex
documents,
but
should
not
be
a
substitute
for
public
access
to
the
complete
documents.
When
practicable,
information
should
be
provided
in
formats
and
locations
that
match
the
public's
needs.
Some
information
(
e.
g.,
Confidential
Business
Information)
is
not
available
for
public
review
and
the
Agency
cannot
release
it.

d.
Notification.
Responsible
officials
should
seek
to
ensure
that
parties
on
the
contact
list
and
the
media
are
aware
of
the
outreach
materials
available
and
that
they
have
adequate
time
and
opportunity
to
receive
and
review
the
information
before
any
additional
public
involvement
activities
are
conducted.
Notices
should
include
information
about
the
depository
(
address,
hours
of
operation,
etc.)
or
other
information
relating
to
access
to
all
documents
referred
to
in
the
notice,
including
the
name
of
a
contact
person
when
appropriate.

e.
Timing.
To
enable
effective
and
meaningful
public
involvement,
outreach
materials
that
make
the
public
aware
of
the
planned
activity
and
that
outline
the
issue(
s)
should
be
distributed
as
early
as
such
information
is
available.
The
more
complex
the
issue
and
greater
the
potential
for
controversy
or
misunderstanding,
the
earlier
the
materials
should
be
distributed.
When
the
Agency
holds
a
formal
public
comment
process,
notification
should
take
place
as
soon
as
possible
when
the
Agency
takes
an
action
to
permit
the
public
to
obtain
and
review
the
materials,
and
prepare
responses
in
a
timely
and
meaningful
way.
Minimum
public
comment
periods
are
often
specified
in
statutes
or
rules.
Generally,
materials
for
public
comment
should
be
provided
as
soon
as
they
are
available
and
should
allow
for
not
less
than
30
days
for
the
public
review
and
comment
(
or
longer,
as
specified
in
program­
specific
requirements),
or
45
days
in
the
case
of
public
hearings.

When
unusually
complex
issues
or
lengthy
documents
are
presented
for
public
review
this
period
generally
should
be
no
less
than
60
days.
(
For
Superfund
actions,
regardless
of
complexity,
the
public
is
provided
30
days
to
submit
comments
on
proposed
remedies.
Upon
a
timely
request,
the
public
comment
period
can
be
extended
by
a
minimum
of
30
additional
days.)

f.
Fees
for
Copying.
Whenever
possible,
the
Agency
should
provide
copies
of
relevant
documents,
free
of
charge.
Free
copies
may
be
reserved
for
private
citizens
and
public
interest
organizations
with
limited
funds.
Any
charges
must
be
consistent
with
requirements
under
the
Freedom
of
Information
Act
as
set
forth
in
40
CFR
Part
2.

g.
Depositories
or
dockets:
The
Agency
should
provide
one
or
more
central
collections
of
documents,
reports,
studies,
plans,
etc.
relating
to
controversial
issues
or
significant
decisions
in
a
location
or
locations
convenient
to
the
public.
Suitable
locations
will
depend
on
the
nature
of
the
action;
for
national
rules
a
single
central
docket
is
generally
appropriate
whereas
local
repositories
may
be
preferable
12
when
decisions
relate
to
individual
facilities
or
sites.
RCRA
authorizes
EPA
to
require
a
facility
to
set
up
and
maintain
a
depository.
In
all
other
instances,
for
actions
at
local
facilities
or
sites,
Agency
officials
should
work
with
community
representatives
and
the
facility
to
determine
the
most
accessible
depository
site(
s)
within
the
community.
Consideration
should
be
given
to
accessibility,
travel
time,
parking,
transit,
and
availability
during
off­
work
hours.
Copying
facilities,
at
reasonable
charges,
should
be
available
at
depositories.
Agency
officials
are
encouraged
to
determine
the
accessibility
to
the
interested
public
and
feasibility
of
electronic
depositories
that
take
advantage
of
the
Internet
to
reach
directly
into
homes,
libraries
and
other
facilities
throughout
a
community
and
across
the
nation.
If
the
public
has
reasonably
convenient,
well
advertised
electronic
repositories,
this
can
achieve
significantly
enhanced
accessibility
at
a
very
modest
cost.

5.
Conduct
public
consultation
and
involvement
activities.

Goals:
To
understand
the
interests
and
needs
of
the
affected
public.
To
provide
for
the
exchange
of
information
and
views
and
open
exploration
of
issues,
alternatives
and
consequences
between
interested
and
affected
members
of
the
public
and
officials
responsible
for
the
forthcoming
action
or
decision.

a.
Recommended
actions:
Agency
officials
should:

C
Ensure
that
public
consultation
and
involvement
are
preceded
by
timely
outreach
activities,
including
timely
distribution
of
information;
C
Notify
the
public
of
potential
consultation
and
involvement
activities
early
enough
to
ensure
that
the
public
has
adequate
time
to
obtain
and
evaluate
information;
conduct
any
additional
data
gathering;
consult
experts
and
formulate
their
opinions,
options,
and
suggestions
prior
to
Agency
action;
C
Conduct
public
consultation
and
involvement
activities
at
times
and
places
which,
to
the
maximum
extent
feasible,
facilitate
attendance
or
involvement
by
the
affected
public.
Whenever
possible,
public
meetings
concerning
local
facilities
or
sites
should
be
held
during
non­
work
hours,
such
as
evenings
or
weekends,
and
at
locations
accessible
to
public
transportation;
C
Identify
and
select
the
public
consultation
or
involvement
process
appropriate
to
the
decision
being
made,
and
the
time
frame
and
resources
available.
When
possible,
consult
or
involve
the
affected
public
in
identifying
and
selecting
appropriate
public
involvement
processes.
This
ensures
that
the
approaches
selected
consider
and,
if
appropriate,
accommodate
the
potentially
affected
parties'
needs,
preferences,
schedules
and
resources,
as
well
as
the
Agency's
needs;
C
Provide
guidance,
resources,
training,
and
professional
assistance
to
Agency
staff,
interested
delegated
program
partners,
and
the
public
to
assist
them
in
conducting
or
participating
in
public
consultation
and
involvement
activities
in
an
effective
and
credible
manner.
(
EPA
invites
comment
on
how
best
this
can
be
accomplished,
particularly
with
respect
to
including
those
from
minority,
low­
income,
and
other
underserved
communities);
C
Consider
the
appropriate
use
of
third
parties
in
the
development
and
implementation
of
programs,
projects
and
activities;
and
C
Be
knowledgeable
of
and
comply
with
provisions
of
open
meetings
laws
and
regulations,
13
such
as
the
Federal
Advisory
Committee
Act,
whenever
they
apply
to
the
public
involvement
process
being
conducted.

b.
Methods:
Consultation
and
involvement
processes
may
take
a
variety
of
forms,
depending
upon
the
issues
to
be
addressed,
the
timing
of
the
decision­
making
action,
and
the
needs
and
resources
of
the
public
whose
involvement
is
sought.
Public
hearings
and
public
meetings
are
two
familiar
forms
of
consultation
and
often
are
legally
required,
but
their
use
should
not
serve
as
the
only
forum
for
citizen
input.
When
required,
public
hearings
and
meetings
should
be
held
at
the
end
of
a
process
that
has
previously
given
the
public
more
informal
and
interactive
opportunities
for
becoming
informed
and
involved.
Alternative
Dispute
Resolution
(
ADR)
is
another
tool
that
the
Agency
uses
to
consider
and
seek
to
resolve
differences
among
various
stakeholders.
ADR
is
a
consensual
resolution
of
disputes
and
issues
in
controversy.
ADR
allows
EPA
to
obtain
the
services
of
neutral
parties
on
an
expedited
basis
to
manage
a
public
dialogue
in
which
neighbors,
business
interests,
environmental
groups,
and
other
interested
parties
have
an
opportunity
to
raise
concerns
to
the
parties
involved
in
the
enforcement
action
or
other
controversy.

EPA
and
other
public
agencies
employ
a
wide
variety
of
consultation
techniques
that
can
be
divided
into
three
categories
based
upon
the
outcomes
of
the
process:
(
1)
Information
Exchange;
(
2)
Recommendations;
and
(
3)
Agreements.

Information
exchange
involves
EPA
staff
and
management
sharing
data,
options,
issues
and
ideas
with
the
public
in
a
way
that
encourages
dialogue.
Information
exchange
activities
include
workshops,
forums,
joint
fact
finding,
interactive
public
meetings,
focus
groups,
surveys
(
subject
to
provisions
of
the
Paperwork
Reduction
Act),
roundtables
and
informal
consultation
such
as
meetings
with
interest
groups,
attendance
at
conferences,
and
other
opportunities
for
informal
dialogue.
These
activities
are
not
meant
to
reach
agreement
or
consensus
on
future
action.
Their
purpose
is
to
compile
a
mutually
developed
knowledge
base
of
everyone's
interests,
ideas
and
needs.
Though
not
a
fully
interactive
method,
the
notice
and
comment
process
also
serves
as
a
limited
form
of
information
exchange.

Recommendations
activities
involve
a
number
of
stakeholder
representatives
collaborating
with
each
other
and
with
Agency
staff
to
develop
recommendations.
The
Agency
may
accord
significant
deference
to
the
recommendations,
but
is
generally
not
bound
to
implement
the
recommendations,
nor
are
the
parties
bound
to
accept
them.
(
See
Appendix
2
for
FACA
requirements.)
Examples
of
recommendations
activities
include
FACA
committees
established
by
EPA,
external
technical
committees
(
such
as
those
conducted
with
the
American
Society
for
Testing
and
Materials),
peer
review
panels,
and
various
technical
advisory
groups,
citizens
advisory
groups,
or
panels.

Agreement
activities
involve
EPA
management
and
representatives
of
stakeholders
who
reach
an
agreement
by
consensus.
Agreement
activities
include
negotiated
rulemaking
committees
and
other
mediated
agreements.
If
the
agreement
activity
used
does
not
produce
a
legally
binding
agreement,
the
desired
outcome
of
such
an
activity
is
a
commitment
on
the
part
of
the
participants
to
full
implementation.

The
list
above
is
not
exhaustive
but
it
indicates
the
need
for
program
officials
to
be
flexible
and
14
choose
the
right
techniques
for
the
right
occasion.
These
activities
are
not
mutually
exclusive;
they
form
a
progression.
They
can
and
should
be
used
as
part
of
a
thorough,
well­
planned
system
of
consultation
and
public
involvement.
Successful
agreement
or
recommendation
processes
occur
only
with
significant
information
exchange
and
outreach.
However,
progressing
to
a
recommendation
process
or
agreement
process
is
not
necessary,
practical
or
affordable
in
all
decision­
making
processes.

c.
Content
­
Agency
officials
should
clearly
identify
issues
to
be
discussed,
negotiated
or
decided
prior
to
and
throughout
the
engagement
process
so
that
the
public
understands
which
decisions
are
subject
to
its
input.
The
type
of
process
to
be
conducted,
the
schedule,
and
the
assumptions
and
expectations
for
the
outcomes
of
the
process
also
should
be
clearly
stated
so
that
the
public
and
its
representatives
understand
whether
they
are
being
invited
to
an
information
exchange
or
a
negotiation
and
can
set
their
expectations
accordingly.
If
possible,
the
public
should
be
involved
in
determining
the
design
of
the
processes.
The
Agency
will
comply
with
all
applicable
open
meeting
requirements,
such
as
FACA
and
all
information
gathering
requirements,
such
as
the
Paperwork
Reduction
Act,
in
the
design
of
its
public
outreach
processes.

d.
Notification
­
The
Agency
should
ensure
that
all
parties
on
the
contact
list
and
the
media
are
notified
of
opportunities
to
participate
and
provided
with
appropriate
information.
Agency
officials
should
not
assume
that
the
general
public
reads
printed
legal
notices
or
Federal
Register
notices
which
are
often
required
by
statute
or
regulation.
Although
these
methods
serve
as
legal
notice
to
the
public,
they
can
be
augmented
by
broader
notice
to
the
media
or
interested
persons
on
the
contact
list,
and
other
tailored
notifications.
Notification
should
give
the
time,
date
and
location
of
the
consultation
process,
a
general
description
of
the
topics
or
agenda,
a
contact
person
and
contact
information,
and
a
general
description
of
the
nature
of
the
process
to
be
conducted,
as
well
as
the
role
of
the
public.
Agency
officials
should
consider
the
use
of
multilingual
notices
of
upcoming
activities
and/
or
translator
services,
when
appropriate.

e.
Timing
­
Agency
officials
should
provide
early
advance
notice
of
public
involvement
processes
so
that
the
public
can
obtain
background
information,
obtain
and
evaluate
additional
data,
formulate
their
needs
and
interests,
and
obtain
expert
assistance,
if
necessary.
Generally,
notice
should
be
given
not
less
than
15
days
in
advance
of
an
impending
meeting
or
consultation
process.
If
the
issues
are
unusually
complex
or
involve
review
of
lengthy
documents
this
period
generally
should
be
no
less
than
60
days.
Program
specific
notice
requirements
should
be
consulted;
for
example,
for
Superfund
actions,
regardless
of
complexity,
the
public
is
provided
30
days
to
submit
comments
on
proposed
remedies.
Upon
a
timely
request,
the
public
comment
period
can
be
extended
by
a
minimum
of
30
additional
days.

f.
Summaries:
Detailed
summaries
of
advisory
committee
meetings
under
FACA
are
required
by
law.
[
Appendix
2
contains
requirements
for
formation
and
use
of
EPA
advisory
committees.]
In
addition,
some
statutes
also
require
minutes
of
public
meetings.
Even
when
not
required,
when
possible
and
appropriate,
Agency
officials
should
make
summaries
of
public
hearings
and
public
meetings
available
to
participants
and
other
interested
parties.
When
possible
and
appropriate,
Agency
officials
should
be
open
to
participants'
comments
that
might
correct
or
add
to
the
summary.
In
rulemaking
proceedings
under
the
Administrative
Procedure
Act,
a
memorandum
summarizing
any
significant
new
factual
data
or
information
likely
to
affect
the
final
decision
received
during
an
informal
meeting
or
other
conversations
should
be
placed
in
the
public
docket
for
the
rule.
In
other
situations,
it
may
be
helpful
to
document
15
discussions
that
contribute
information
useful
to
decision­
making
and
make
that
information
available
to
participants
and
interested
parties.

6.
Assimilate
information
and
provide
feedback
to
the
public.

Goal:
To
consistently
earn
and
retain
the
public's
trust
and
credibility
for
EPA
consultation
processes,
by
evaluating
and
assimilating
public
viewpoints
and
preferences
into
final
decisions,
where
appropriate
and
possible,
and
communicating
to
the
public
the
decisions
made
and
how
their
input
affected
those
decisions.

Assimilating
public
viewpoints
and
preferences
into
decisions
and
final
actions
involves
examining
and
analyzing
public
input,
considering
if
and
how
to
incorporate
that
input
into
final
program
decisions,
and
making
or
modifying
decisions
according
to
carefully
considered
public
views.
The
Agency
should
demonstrate,
in
its
decisions
and
actions,
that
it
has
understood
and
fully
considered
public
concerns.
Finally,
the
Agency
should
communicate
the
decision
and
discuss
the
influence
of
the
public's
input
in
the
final
decision.

a.
Recommended
actions:

(
1)
Assimilate
the
information:
Agency
officials
should
briefly
and
clearly
document
consideration
of
the
public's
views
in
Responsiveness
Summaries,
regulatory
preambles,
EISs
or
other
appropriate
forms.
This
should
be
done
at
key
decision
points.
Each
Responsiveness
Summary
(
or
similar
document)
should:

C
include
a
statement
of
the
action
that
was
taken;
C
explain
briefly
the
type
of
public
involvement
activity
that
was
conducted;
C
identify
or
summarize
those
who
participated
and
their
affiliation;
C
describe
the
matters
on
which
the
public
was
consulted;
C
summarize
the
public's
views,
important
comments,
criticisms
and
suggestions;
C
disclose
the
Agency's
logic
in
developing
decisions;
C
indicate
the
effect
the
public's
comments
had
on
that
action;
and
C
discuss
the
Agency's
specific
responses
to
significant
issues,
in
terms
of
modifying
the
proposed
action,
or
explaining
why
the
Agency
rejected
proposals
made
by
the
public.

(
2)
Provide
feedback
to
the
public:
For
all
major
actions
and
whenever
practicable
for
lesser
actions,
the
Agency
should
provide
feedback
to
participants
and
interested
parties
concerning
the
outcome
of
the
public's
involvement.
The
Agency
should
publish,
post
on
a
web
site
or
in
public
places,
distribute,
mail,
or
e­
mail
a
Responsiveness
Summary
or
similar
document
for
those
who
participated
in
or
observed
the
public
involvement
processes,
those
who
provided
public
comments
and
to
those
on
the
contact
list.
In
addition,
where
circumstances
and
resources
permit,
or
where
the
number
of
participants
was
small,
feedback
may
be
in
the
form
of
personal
letters.
Feedback
provided
in
meetings
or
through
other
means
should
be
documented.

Who
is
responsible
for
ensuring
that
this
Draft
Policy
is
applied
appropriately?
16
Public
involvement
is
an
integral
part
of
any
program.
It
should
routinely
be
included
in
decision­
making
and
not
be
treated
as
an
independent
or
secondary
function.
Managers
should
ensure
that
personnel
are
properly
trained,
supported
and
counseled,
and
that
adequate
funding
needs
are
incorporated
in
their
specific
budgets.

Under
the
overall
direction
of
the
Administrator,
the
Assistant,
Associate,
and
Regional
Administrators
are
responsible
and
accountable
for
the
adequacy
of
public
involvement
programs.
They
are
ultimately
responsible
for
making
certain
that,
for
the
activities
under
their
jurisdiction,
all
Agency
staff
implement
the
purpose
of
this
Draft
Policy.
They
are
responsible
for
ensuring
that
the
level
of
effort
in
public
involvement
is
commensurate
with
the
potential
impact
of
the
upcoming
action
or
decision.
The
Regional,
Assistant,
or
Associate
Administrators
will
make
certain
that
concerns
about
the
adequacy
of
public
involvement
are
heard
and,
where
necessary,
acted
upon
as
resources
allow.
Citizens
who
have
questions
or
objections
about
the
substance
of
this
Draft
Policy
or
the
appropriateness
of
applying
it
in
a
particular
case
should
raise
that
issue
with
the
Agency
officials
involved.

Although
this
Draft
Policy
is
not
binding
on
states,
tribes
and
local
governments,
EPA
encourages
these
entities
to
adopt
similar
policies
where
they
administer
federal
programs
authorized,
approved
or
delegated
by
EPA.
The
Agency
intends
to
include
public
involvement
among
the
issues
discussed
during
the
annual
reviews
of
state,
tribal
or
local
program(
s),
and
during
any
other
program
audit
or
review.

1.
The
Administrator
maintains
overall
direction
and
responsibility
for
the
Agency's
public
involvement
activities.
Specifically,
the
Administrator
will:
a.
establish
policy
direction
and
guidance
for
all
EPA
public
involvement
programs;
b.
provide
incentives
to
Agency
personnel
to
ensure
commitment
to
and
competence
in
implementing
this
Draft
policy;
c.
evaluate
the
adequacy
of
public
involvement
activities
conducted
under
this
Draft
Policy,
the
appropriateness
and
results
of
public
involvement
expenditures,
and
the
effectiveness
of
this
Draft
Policy;
and
d.
provide
transparency
by
making
the
Administrator's
appointment
calendar
publicly
available
through
the
Office
of
Communication,
Education
and
Media
Relations.

2.
Assistant
Administrators
and
Associate
Administrators
have
the
following
responsibilities:
a.
identify
and
address
those
activities
and
major
decisions
where
application
of
this
Draft
Policy
is
appropriate;
b.
ensure
that
plans
developed
for
these
programs
or
activities
include
and
provide
adequate
time
and
resources
for
effective
public
involvement;
c.
consider
providing
guidance
and
assistance
to
support
regional
office
public
involvement
activities
at
the
request
of
Regional
Administrators;
d.
implement
the
public
information
and
public
involvement
portions
of
approved
plans;
e.
evaluate
the
effectiveness
and
appropriateness
of
public
involvement
expenditures
and
activities
under
their
jurisdiction,
revising
and
improving
them
as
necessary;
f.
encourage
coordination
of
public
involvement
activities;
g.
ensure
that,
as
regulations
for
the
programs
cited
in
Appendix
1
of
the
Draft
Policy
are
amended,
they
incorporate
the
Draft
Policy's
provisions;
h.
consider
funding
authorized
pilot
and/
or
innovative
demonstration
projects;
i.
consider
measures
to
ensure
Draft
Policy
implementation
in
appropriate
managers'
17
performance
standards;
j.
provide
financial
assistance,
as
appropriate
and
available,
for
authorized
public
involvement
activities
at
the
national
level;
k.
coordinate
public
involvement
funding
to
outside
groups
to
ensure
the
most
economical
expenditures;
l.
provide
guidance
and
technical
assistance
and
training
as
appropriate
to
support
authorized
and
delegated
program
activities
of
state,
tribal,
regional
and
local
entities;
m.
develop
guidance
and
training
needed
to
ensure
that
program
personnel
are
equipped
to
implement
the
Draft
Policy;
n.
provide
incentives
to
Agency
staff
to
ensure
commitment
to
and
competence
in
implementing
this
Draft
Policy;
o.
seek
public
involvement
in
decisions
to
modify
or
develop
major
national
policies,
at
their
discretion;
p.
ensure
that
applicable
legal
requirements
associated
with
public
involvement
are
adhered
to,
such
as
the
Federal
Advisory
Committee
Act
and
the
Paperwork
Reduction
Act;
and
q.
make
appropriate
appointment
calendars
available
through
the
Office
of
Communication,
Education
and
Media
Relations
to
provide
transparency.

3.
Regional
Administrators
have
the
following
responsibilities:
a.
identify
and
address
those
EPA
activities,
policies,
and
programs
where
this
Draft
Policy
should
be
applied;
b.
ensure
that
plans
developed
by
the
programs
for
activities,
programs
and
policies
subject
to
this
Draft
Policy
provide
for
adequate
public
involvement;
c.
implement
the
public
information
and
public
involvement
portions
of
approved
Agency
plans;
d.
provide
information
and
technical
assistance
to
staff
and
participants
in
delegated
programs
on
the
conduct
of
public
involvement
activities;
e.
discuss
with
state,
tribal,
regional
and
local
entities
the
effectiveness
and
appropriateness
of
their
public
involvement
activities
during
periodic
meetings;
f.
encourage
coordination
of
public
involvement
activities;
g.
support
and
assist
the
public
involvement
activities
of
EPA
Headquarters;
h.
ensure
that
Regional
staff
members
are
trained,
and
that
resources
are
allocated
for
public
involvement;
i.
incorporate
measures
to
ensure
Draft
Policy
implementation
in
managers'
performance
standards;
j.
provide
small
grants
to
representative
public
groups
for
needed
public
involvement
work,
where
feasible
and
appropriate;
k.
evaluate
the
appropriateness
of
public
involvement
expenditures
and
activities,
revising
and
improving
them
as
necessary;
l.
ensure
that
applicable
legal
requirements
associated
with
public
involvement
are
adhered
to,
such
as
the
Federal
Advisory
Committee
Act
and
the
Paperwork
Reduction
Act;
and
m.
provide
transparency
by
making
appropriate
appointment
calendars
available
through
the
Regions'
public
affairs
offices.

4.
The
Director,
Office
of
Communication,
Education,
and
Media
Relations
(
OCEMR)
has
an
important
role
in
the
development
and
support
of
Agency
public
involvement
activities.
The
Director
18
will:
a.
assist
EPA
Headquarters
and
Regions
in
identifying
interested
and
affected
members
of
the
public;
b.
support
Headquarters
and
Regional
programs
in
critiquing,
developing
and
distributing
outreach
materials
to
inform
and
educate
the
public
about
Agency
environmental
programs
and
issues,
and
involvement
opportunities;
c.
encourage,
develop,
and
support
Agency
strategic
communications
plans
to
foster
public
awareness
and
complement
public
involvement
plans;
and
d.
make
calendars
available
consistent
with
the
above
provisions.

5.
The
Associate
Administrator,
Office
of
Congressional
and
Intergovernmental
Relations,
has
the
responsibility
to
assist
program
offices
in
identifying:
a.
State
and
local
officials,
both
elected
and
appointed,
to
engage
in
public
involvement
activities;
and,
b.
appropriate
mechanisms
and
forums
to
reach
these
constituents.

APPENDIX
1:
LAWS,
EXECUTIVE
ORDERS
AND
PRESIDENTIAL
MEMOS
EPA
is
required
to
implement
public
involvement
provisions
of
laws,
executive
orders
and
presidential
memos
that
include,
but
may
not
be
limited
to:
C
Clean
Air
Act,
42
U.
S.
C.
§
§
7401
­
7671q
(
1994
&
Supp.
2000)
C
Clean
Water
Act
33
U.
S.
C.
§
§
1251
­
1387
(
1982
&
Supp.
2000)
C
Comprehensive
Environmental
Response,
Compensation
and
Liability
Act,
as
amended
by
the
Superfund
Amendments
and
Reauthorization
Act
of
1986,
42
U.
S.
C.
§
§
9601
­
9675
(
1994
and
Supp.
2000)
C
Emergency
Planning
and
Community
Right
to
Know
Act
42
U.
S.
C.
§
§
11011
­
11050)
.
(
1994)
C
Federal
Insecticide,
Fungicide
and
Rodenticide
Act,
(
including
the
Food
Quality
Protection
Act
of
1996),
7
U.
S.
C.
§
§
135
­
136y
(
1994)
C
Marine
Protection
Research
and
Sanctuaries
Act
of
1972
(
including
the
Ocean
Dumping
Act),
33
U.
S.
C.
§
§
1401
­
1445
(
1982)
C
National
Environmental
Policy
Act
of
1969,
§
§
42
U.
S.
C.
4321
­
4347e
(
1988
&
Supp.
2000)
C
Noise
Control
Act
of
1972,
42
U.
S.
C.
§
§
4901
­
4918
(
1995)
C
Solid
Waste
Disposal
Act
as
amended
by
the
Resource
Conservation
and
Recovery
Act,
42
U.
S.
C.
§
§
6901
­
6992k
(
1994
and
Supp.
2000)
C
Safe
Drinking
Water
Act
,
42
U.
S.
C.
§
§
300f
­
300j­
26
(
1988)
C
Toxic
Substances
Control
Act,
15
U.
S.
C.
§
§
2601
­
2692
(
1994
&
Supp.
2000)
C
Chemical
Safety
Information,
Site
Security
and
Fuels
Regulatory
Relief
Act
of
1999,
Pub.
L.
106­
40,
113
Stat.
207
(
1999)
C
Shore
Protection
Act
33
U.
S.
C.
§
§
2601
­
2623
(
Supp.
2000)

This
Draft
Policy
also
applies
to
EPA
activities
under
the
following
Executive
Orders:
C
E.
O.
12580
­
Superfund
Implementation
19
C
E.
O.
12856
­
Federal
Compliance
with
Right­
to­
Know
Laws
and
Pollution
Prevention
Requirements
C
E.
O.
12866
­
Regulatory
Planning
and
Review
C
E.
O.
13132
Federalism
(
which
replaced
E.
O.
12875
­
Enhancing
the
Intergovernmental
Partnerships)
C
E.
O.
12898
­
Federal
Actions
to
Address
Environmental
Justice
in
Minority
Populations
and
Low
Income
Populations
C
E.
O.
13045
­
Protection
of
Children
from
Environmental
Health
Risks
and
Safety
Risks
C
E.
O.
13007
Indian
Sacred
Sites
C
E.
O.
13175
­
Consultation
and
Coordination
with
India
Tribal
Governments
C
E.
O.
11988
­
Floodplain
Management
C
E.
O.
13166
Improving
Access
to
Services
for
Persons
with
Limited
English
Proficiency
In
addition,
this
Draft
Policy
is
effective
for
EPA
activities
conducted
under
the
following
statutes
for
which
other
agencies
have
primary
responsibility:

C
Atomic
Energy
Act
,
42
U.
S.
C.
§
§
2011
­
2297g­
4
(
1995)
C
Energy
Policy
Act
of
1992,
Pub.
L.
No.
102­
486,
106
Stat.
2776
(
codified
as
amended
in
scattered
sections
of
15,
16,
25,
26,
30,
42
and
43
U.
S.
C.)
C
Federal
Food,
Drug
and
Cosmetic
Act,
21
U.
S.
C.
§
§
301
­
397
(
1994)
C
Intermodal
Surface
Transportation
Efficiency
Act
,
Pub.
L.
102­
240,
105
Stat.
1914
(
codified
as
amended
in
scattered
sections
of
15,
16,
23,
26,
and
33
U.
S.
C.)
C
Occupational
Safety
and
Health
Act,
29
U.
S.
C.
§
§
651
­
678
(
1994
&
Supp.
2000)
C
Oil
Pollution
Act
of
1990,
33
U.
S.
C.
§
§
2702
­
2761
(
Supp.
2000)
C
Motor
Vehicle
Information
and
Cost
Savings
Act,
49
U.
S.
C.
§
§
32901
­
32919
(
1994
&
Supp.
2000)
C
Nuclear
Waste
Policy
Act,
42
U.
S.
C.
§
§
10101
­
110270
(
1994
and
Supp.
2000)
C
Uranium
Mill
Tailings
Radiation
Control
Act
,
42
U.
S.
C.
§
§
7901
­
7942
(
1995)
C
WIPP
Land
Withdrawal
Act,
Pub.
L.
No.
102­
579,
106
Stat.
4777
(
1992)
as
amended
by
Pub.
L.
No.
104­
201,
110
Stat.
2422
Implementing
public
involvement
activities
may
also
involve
complying
with
the
following
Acts,
Executive
Orders,
Executive
Memoranda,
and
Regulation:
C
Administrative
Procedure
Act
5
U.
S.
C.
§
§
550
­
596
((
1996)
C
Freedom
of
Information
Act
5
U.
S.
C.
§
552
(
1994
&
Supp.
2000)
C
Civil
Rights
Act
of
1964
,
Pub.
L.
No.
88­
352,
78
Stat.
241
(
codified
as
amended
in
scattered
sections
of
42
U.
S.
C.)
C
Federal
Advisory
Committee
Act
5
U.
S.
C.
app.
2
§
§
1
­
15
(
1996)
C
Government
Performance
and
Results
Act,
Pub.
L.
No.
103­
62,
107
Stat.
285
(
codified
in
scattered
sections
of
31
U.
S.
C.)
C
Negotiated
Rulemaking
Act
5
U.
S.
C.
§
§
561
­
570a
C
Administrative
Disputes
Resolution
Act
5
U.
S.
C.
§
§
571­
584
(
1994)
C
Paperwork
Reduction
Act
44
U.
S.
C.
§
3501
­
3526
(
1998
&
Supp.
2000)
C
Regulatory
Flexibility
Act,
as
amended
by
the
Small
Business
Regulatory
Enforcement
Fairness
Act
of
1996
5
U.
S.
C.
§
§
601
­
612
(
1994
&
Supp.
2000)
C
Unfunded
Mandates
Reform
Act
2
U.
S.
C.
§
§
1501
­
1571
(
1994)
20
C
National
Technology
Transfer
and
Advancement
Act
of
1995,
Pub.
L.
No.
104­
113,
110
Stat.
775
(
codified
as
amended
in
scattered
sections
of
15
and
35
U.
S.
C.)
C
Congressional
Review
Act,
5
U.
S.
C.
§
§
801
­
1808
(
2000)
C
National
Environmental
Education
Act
of
1990,
20
U.
S.
C.
§
§
5501
­
5510
(
1994)
C
Organotin
Antifouling
Paint
Control
Act,
33
U.
S.
C.
§
§
2401
­
2410
(
Supp.
2000)
C
National
Historic
Preservation
Act
of
1996,
as
amended,
16
U.
S.
C.
§
§
470
­
470x­
6
(
Supp.
2000)
C
E.
O.
12862
­
Setting
Customer
Service
Standards
C
E.
O.
12999
­
Educational
Technology
Ensuring
Opportunity
for
all
Children
in
the
Next
Century
C
E.
O.
11593
­
Protection
of
and
Enhancement
of
the
Cultural
Environment
C
E.
O.
11990
­
Protection
of
Wetlands
C
Presidential
Memorandum
on
Plain
Language
in
Government
Writing
(
June
1,
1998)
C
Presidential
Memorandum
on
Electronic
Government
(
December
17,
1999)
C
Presidential
Memorandum
on
Government­
to­
Government
Relations
with
Native
American
Tribal
Governments
(
April
29,
1994)
C
Public
Participation
in
Programs
Under
the
Resource
Conservation
and
Recovery
Act,
the
Safe
Drinking
Water
Act,
and
the
Clean
Water
Act,
40
CFR
Part
25
(
2000)
C
Minority
Business
Enterprise
and
Women's
Business
Enterprise
Program,
contained
in
portions
of
40
CFR
Parts
30,
31,
35
and
40
APPENDIX
2
:
ADVISORY
COMMITTEES
To
gain
advice
from
a
representative
group
of
stakeholders
or
experts,
one
of
the
methods
that
the
Agency
may
choose
is
forming
an
advisory
committee.
These
committees
are
usually
subject
to
the
chartering,
balanced
membership,
and
open
meeting
requirements
of
the
Federal
Advisory
Committee
Act
(
FACA).
The
Office
of
General
Counsel
or
the
Regional
Counsel
should
be
consulted
to
determine
whether
FACA
applies
to
a
particular
group.

In
general,
any
time
the
Agency
forms
a
group
of
non­
federal
people
to
provide
EPA
with
collective
advice,
the
requirements
of
the
Federal
Advisory
Committee
Act
(
FACA)
may
apply.
Such
groups
shall
not
meet
until
the
requirements
of
FACA
are
met.
Staff
may
contact
the
Committee
Management
Officer
in
the
Office
of
Cooperative
Environmental
Management
for
advice
on
complying
with
these
requirements,
and
to
learn
about
the
exceptions
to
FACA.

The
primary
function
of
an
advisory
group
is
to
assist
elected
or
appointed
officials
by
making
recommendations
to
them
on
issues
that
the
decision­
making
body
considers
relevant.
These
issues
may
include
policy
development,
project
alternatives,
financial
assistance
applications,
work
plans,
major
contracts,
interagency
agreements,
and
budget
submissions,
among
others.
Advisory
groups
can
provide
a
forum
for
addressing
issues,
promote
constructive
dialogue
among
the
various
interests
represented
on
the
group,
and
enhance
community
understanding
of
the
Agency's
action.

A.
Requirements
for
Federal
EPA
Advisory
Committees:
When
EPA
establishes
an
advisory
21
group,
provisions
of
the
Federal
Advisory
Committee
Act
5,
U.
S.
C.
App.
2),
and
General
Service
Administration
(
GSA)
Regulations
on
Federal
Advisory
Committee
Management
must
be
followed.

These
requirements
are:

C
The
development
of
a
Charter
that
has
been
approved
by
the
General
Services
Administration
and
Office
of
Management
and
Budget.
It
must
contain
the
committee's
objectives
and
the
scope
of
its
activities,
the
period
of
time
necessary
for
the
committee
to
carry
out
its
objectives,
the
agency
responsible
for
providing
the
necessary
support
for
the
committee,
and
a
description
of
the
duties
for
which
the
committee
is
responsible.
The
Charter
must
be
renewed
every
two
years.
5
U.
S.
C.
App.
2,
§
9.

C
The
Establishment
Federal
Register
Notice.
At
least
15
days
before
the
charter
is
filed
for
a
new
committee,
EPA
is
required
to
publish
an
establishment
notice
in
the
Federal
Register.
Such
notice
describes
the
nature
and
purpose
of
the
committee,
the
agency's
plan
to
attain
fairly
balanced
membership,
and
a
statement
that
the
committee
is
necessary
and
in
the
public
interest
5
U.
S.
C.
App.
2,
§
9.

C
Balanced
Membership.
Advisory
committees
must
be
"
fairly
balanced"
in
points
of
view
represented.
5
U.
S.
C.
App.
2,
§
5.

C
The
Meeting
Federal
Register
Notice.
Each
advisory
committee
meeting
must
be
noticed
in
the
Federal
Register
at
least
15
days
prior
to
the
meeting.
5
U.
S.
C.
App.
2,
§
10.

C
To
close
a
meeting
to
the
public,
you
must
obtain
the
approval
of
both
the
Administrator
and
the
General
Counsel.
5
U.
S.
C.
App.
2,
§
10.

C
Detailed
minutes
must
be
kept
of
all
advisory
committee
meetings.
5
U.
S.
C.
App.
2,
§
10.

C
Open
Meetings.
Interested
persons
may
file
written
statements
with
any
advisory
committee,
attend
any
advisory
committee
meeting
(
unless
properly
closed),
and
appear
before
any
advisory
committee.
5
U.
S.
C.
App.
2,
§
10.

C
DFO
Attendance.
Each
meeting
must
be
attended
by
a
Designated
Federal
Official
(
DFO),
a
full­
time
federal
employee
who
is
authorized
to
adjourn
the
meeting
and
approve
the
agenda.
5
U.
S.
C.
App.
2,
§
10.

C
Documents
Available
to
the
Public.
All
advisory
committee
documents
(
including
drafts)
shall
be
available
to
the
public
upon
request.
5
U.
S.
C.
App.
2,
§
10.

B.
State
and
Local
Advisory
Committees:
In
instances
where
regulations,
program
guidance,
or
the
public
involvement
plans
of
state,
substate,
or
local
agencies,
call
for
advisory
groups,
they
should
follow
applicable
state
and
local
laws.
22