[Federal Register: June 6, 2003 (Volume 68, Number 109)]
[Notices]
[Page 33946-33949]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr06jn03-71]
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ENVIRONMENTAL PROTECTION AGENCY
[OA-2003-0005: FRL-7508-7]
Public Involvement Policy
AGENCY: Environmental Protection Agency (EPA).
ACTION: Notice of New Public Involvement Policy.
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SUMMARY: The EPA is issuing its new Public Involvement Policy. The
purpose of today's Notice is to advise the public and present the
Policy. The new Policy provides guidance to EPA staff on effective and
reasonable means to involve the public in EPA's regulatory and program
implementation decisions. The core of the Policy is the recommended
seven basic steps for effective public involvement, which the Agency
should consider when making major decisions on rules, policies and
program implementation activities. The Policy is directed internally,
but EPA's partners in states, tribes or local governments may also find
it to be a useful tool for them.
FOR FURTHER INFORMATION CONTACT: Patricia Bonner, Environmental
Protection Agency, 1200 Pennsylvania Avenue, NW., Washington, DC 20460-
0001; 202-566-2204; bonner.patricia@epa.gov. For printed copies,
telephone 202-566-2216.
SUPPLEMENTARY INFORMATION: How Can I Get Copies of This Document and
Other Related Information?
1. Docket. EPA has established an official public docket for this
action under docket identification (ID) number OA-2003-0005. The
official public docket consists of the complete Public Involvement
Policy with its appendices and addenda, public comments on the 1981 and
draft 2000 Policy, the Agency's Response to Comments and the Framework
for Implementing EPA's Public Involvement Policy. The official public
docket is the collection of materials that is available for public
viewing at the Office of Environmental Information Docket, EPA Docket
Center, (EPA/DC) EPA West, Room B102, 1301 Constitution Ave., NW.,
Washington, DC. The EPA Docket Center Public Reading Room is open from
8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal
holidays. The telephone number for the Reading Room is (202) 566-1744.
2. Electronic Access. You may access this Federal Register document
electronically through the EPA Internet under the ``Federal Register''
listings at http://www.epa.gov/fedrgstr/ or use http://www.epa.gov/publicinvolvement
Electronic versions of items in the public docket are available through
EPA's electronic public docket and comment system, EPA Dockets
(EDOCKET). You may use EDOCKET at http://www.epa.gov/edocket/ to access
the index listing of the contents of the official public docket and
documents that are available electronically. Once in the system, select
``search,'' then key in the appropriate docket ID number. You may still
access any of the publicly available docket materials through the EPA
Docket Center.
Background
On January 19, 1981, the Environmental Protection Agency (EPA)
published its first Agency-wide Public Participation Policy (46 FR
5736, Jan. 19, 1981). In November 1999, the EPA requested public
comment on whether and how to change that Policy, and subsequently
began a process to revise the policy and create a plan to implement it
across the Agency. In December 2000, EPA released a draft revised
Public Involvement Policy for public comment (65 FR 82335, Dec. 28,
2000). The comment period closed on July 31, 2001, following a two-week
internet-based dialogue on ``Public Involvement in EPA Decisions,''
which included 1,144 participants from all 50 states.
Overview of EPA's New Public Involvement Policy
The Policy's core elements are the following seven basic steps for
effective public involvement:
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. Review and use input, and provide feedback to the public.
7. Evaluate public involvement activities.
This Policy is meant to encourage development of new tools for
public involvement and should not limit the degree or types of public
involvement already in use at EPA. Agency guidance, which EPA is
issuing simultaneously with this Policy, provides specific
recommendations for accomplishing each of these seven steps, while also
acknowledging the need for EPA officials to use discretion when
[[Page 33947]]
planning and implementing public involvement activities.
The Policy reflects changes over the past 22 years such as:
[sbull] New and expanded public participation techniques.
[sbull] New options for public involvement through the Internet.
[sbull] EPA's emphasis on assuring compliance.
[sbull] Increased use of partnerships and technical assistance.
[sbull] Increased public access to information.
[sbull] Increased capacity of States, Tribes and local governments
to carry out delegated programs.
The Policy also reflects EPA's experience with public involvement
from the national to the local level, and incorporates many ideas
provided to EPA through public comments on the draft Policy. Today's
Notice is limited to this brief introduction and the core policy
statement. Concurrent with this Notice, EPA is also issuing the
following supporting documents to facilitate and promote support the
Policy's implementation:
Appendix 1--``Guidance for Implementing Public Involvement at EPA''
[http://www.epa.gov/publicinvolvement/policy2003/guidance.pdf.]
Appendix 2--Definitions that are integral to this Policy.
Appendix 3--Examples of EPA's Public Involvement Regulations.
Appendix 4--Federal Advisory Committees.
Addendum 1--Selected tools the Agency has developed since 1981 to
assist EPA staff and regulatory partners in conducting public
involvement and consultation.
Addendum 2--Summary of comments and EPA's responses.
Two additional documents may be of interest. The Agency's complete
``Response to Comments on EPA's Draft 2000 Public Involvement Policy''
is available at http://www.epa.gov/publicinvolvement/responsetocomments.pdf
and the ``Framework for Implementing EPA's
Public Involvement Policy'' is available at http://www.epa.gov/publicinvolvement/framework.pdf.
(All documents referenced in the
Policy are also available upon request to Public Involvement Staff,
USEPA/OPEI/OEPI/PPCD Mail Code 1807T, 1200 Pennsylvania Ave., NW.,
Washington, DC 20460.)
The goal of this Policy is to improve the effectiveness of EPA's
public involvement activities, ensure well-informed decisions, and
encourage innovative methods for involving the public. As EPA
implements the Policy, the Agency plans to share its experiences with
states, tribes, local governments and other partners and interested
parties.
Dated: May 29, 2003.
Christine Todd Whitman,
Administrator.
EPA's Public Involvement Policy (Final May 2003)
Introduction
EPA's mission is to protect human health and the environment. To
achieve that mission, EPA needs to continue to integrate, in a
meaningful way, the knowledge and opinions of others into its
decision-making processes. Effective public involvement can both
improve the content of the Agency's decisions and enhance the
deliberative process. Public involvement also promotes democracy and
civic engagement, and builds public trust in government.
EPA has long been committed to public involvement. The
fundamental premise of this Policy is that EPA should continue to
provide for meaningful public involvement in all its programs, and
consistently look for new ways to enhance public input. EPA staff
and managers should seek input reflecting all points of view and
should carefully consider this input when making decisions. They
also should work to ensure that decision-making processes are open
and accessible to all interested groups, including those with
limited financial and technical resources, English proficiency, and/
or past experience participating in environmental decision-making.
Such openness to the public increases EPA's credibility, improves
the Agency's decision-making processes, and informs its final
decisions. At the same time, EPA should not accept any
recommendation or proposal without careful, critical examination.
This Policy supplements, but does not amend, existing EPA
regulations that prescribe specific public participation
requirements applicable to EPA's activities under specific statutes,
such as those found at 40 CFR part 25 ``Public Participation in
Programs Under the Resource Conservation and Recovery Act, the Safe
Drinking Water Act, and the Clean Water Act.'' (See 40 CFR part 25,
which can be found at http://www.epa.gov/publicinvolvement/pdf/part25.pdf.
) The public participation requirements contained in such
regulations specify the minimum required level of public
participation. (A partial listing of existing public participation
regulatory requirements is contained in Appendix 3.) Whenever
feasible, Agency officials should strive to provide increased
opportunities for public involvement above and beyond the minimum
regulatory requirements.
What Is Public Involvement?
The term ``public involvement'' is used in this Policy 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. The term ``the public'' is used in the Policy in the
broadest sense to include anyone, including both individuals and
organizations, who may have an interest in an Agency decision. (See
Appendix 2 for a detailed definition of ``public'' and other
important terms.)
What Are the Purposes, Goals and Objectives of This Policy?
The purposes of this Policy are to:
[sbull] Improve the acceptability, efficiency, feasibility and
durability of the Agency's decisions.
[sbull] Reaffirm EPA's commitment to early and meaningful public
involvement.
[sbull] Ensure that EPA makes its decisions considering the
interests and concerns of affected people and entities.
[sbull] Promote the use of a wide variety of techniques to
create early and, when appropriate, continuing opportunities for
public involvement in Agency decisions.
[sbull] Establish clear and effective guidance for conducting
public involvement activities.
Effective public involvement will make it easier for the public
to contribute to the Agency's decisions, build public trust, and
make it more likely that those who are most concerned with and
affected by Agency decisions will accept and implement them. This
policy supports EPA in meeting statutory and regulatory requirements
regarding public participation, particularly in environmental
permitting programs and enforcement activities.
EPA goals for public involvement processes are to:
[sbull] Foster a spirit of mutual trust, confidence, and
openness between the Agency and the public.
[sbull] Ensure that the public has timely, accessible and
accurate information about EPA programs in a variety of formats so
that people can better understand the implications of potential
alternative courses of action.
[sbull] Consult with interested or affected segments of the
public and take public viewpoints into consideration when making
decisions.
[sbull] Learn from individuals and organizations representing
various public sectors and the information they are uniquely able to
provide (community values, concerns, practices, local norms, and
relevant history, such as locations of past contaminant sources,
potential impacts on small businesses or other sectors, industry
conducted study results, etc.)
[sbull] Solicit assistance from the public in understanding
potential consequences of technical issues, identifying alternatives
for study, and selecting among the alternatives considered.
[sbull] Keep the public informed about significant issues and
changes in proposed programs or projects.
[sbull] Foster, to the extent possible, equal and open access to
the regulatory process for all interested and affected parties.
[sbull] Understand the goals and concerns of the public, and
respond to them.
[sbull] Anticipate conflict and encourage early discussions of
differences among affected parties.
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[sbull] Promote the public's involvement in the Agency's mission
of protecting human health and the environment.
[sbull] Explain to the public how its input affected the
Agency's decision.
To achieve these purposes and goals, while recognizing resource
constraints, Agency officials should strive to provide for,
encourage, and assist public involvement in the following ways:
[sbull] Involve the public early and often throughout the
decision-making process.
[sbull] Identify, communicate with and listen to affected
sectors of the public (Agency officials should plan and conduct
public involvement activities that provide equal opportunity for
individuals and groups to be heard. Where appropriate, Agency
officials should give extra encouragement and consider providing
assistance to sectors, such as minority and low-income populations,
small businesses, and local governments, to ensure they have full
opportunity to be heard and, where possible, access to technical or
financial resources to support their participation.)
[sbull] Involve members of the public in developing options and
alternatives when possible and, before making decisions, seek the
public's opinion on options or alternatives.
[sbull] Use public input to develop options that facilitate
resolution of differing points of view.
[sbull] Make every effort to tailor public involvement programs
to the complexity and potential for controversy of the issue, the
segments of the public affected, the time frame for decision making
and the desired outcome.
[sbull] Develop and work in partnerships with state, local and
tribal governments, community groups, associations, and other
organizations to enhance and promote public involvement.
When Does This Policy Apply?
This Policy applies to all EPA programs and activities. In
programs or activities where the public is already meaningfully
involved, EPA can use this Policy to enhance that public
involvement. Where the existing level of public involvement needs to
improve, this Policy provides suggestions for how to move forward.
Finally, this Policy can serve as a model for building public
involvement into new programs as they are developed.
The activities where conducting meaningful public involvement
should particularly be considered include:
[sbull] EPA rulemaking, when the regulations are expected to be
classified as Significant Actions (under the terms of Executive
Order 12866).
[sbull] EPA issuance or significant modification of permits,
licenses or renewals.
[sbull] Selection of plans for cleanup, remediation or
restoration of hazardous waste sites or Brownfields properties.
[sbull] EPA's decision on whether to authorize, delegate or
approve states or local governments to administer EPA programs
consistent with the relevant regulatory requirements for each
program (Note: Tribes seeking approval to administer environmental
programs under EPA statutes generally also seek ``treatment in a
similar manner as a state (TAS)'' status from EPA. Appropriate
opportunities for public participation are contained in the relevant
statutory and regulatory provisions establishing a TAS process.
Consult with the Office of Regional Counsel or the Office of General
Counsel, and/or the American Indian Environmental Office for
assistance.)
[sbull] All other policy decisions that the Administrator,
Deputy Administrator or appropriate Assistant, Regional or Associate
Administrator determine warrant public participation in view of
EPA's commitment to involve the public in important decisions.
[sbull] The development of significant information products (as
the Office of Environmental Information has defined them in Appendix
2: Definitions).
[sbull] For activities not listed here, EPA staff may use this
Policy in whole or in part to strengthen decision making.
In planning and conducting public involvement activities, Agency
officials should rely on the sound use of discretion. The 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. Resource constraints, the need for timely
action and other considerations may affect the appropriate nature
and extent of public involvement. For example, a compelling need for
immediate action may make it appropriate to limit public
involvement. In particular, the desire to reach agreement among all
parties, while valuable, should not prevent the Agency from carrying
out its responsibility to make decisions or take actions to preserve
and protect the environment and public health.
Nevertheless, the Agency should approach all decision making
with a bias in favor of significant and meaningful public
involvement. Experience throughout government has shown that a lack
of adequate participation or of effective means for participation
can result in decisions that do not appropriately consider the
interests or needs of those that will be most affected by them.
Furthermore, early involvement can ultimately reduce delay, by
avoiding time-consuming review, public debate or litigation.
Finally, decisions based on meaningful public involvement are likely
to be better in substance and stand the test of time, avoiding the
need to reopen controversial issues.
Does This Policy Affect Authorized, Approved or Delegated Programs?
EPA developed this Policy for EPA staff use, but it also may be
useful to States, Tribes and local governments that implement
federally delegated, authorized or approved programs. EPA encourages
these entities to adopt similar public involvement policies if they
have not already done so. EPA intends to discuss the effectiveness
of their public involvement activities during periodic meetings with
States, Tribes and local governments, and will obtain their input
about ways to improve EPA's activities. EPA will not use whether a
State, Tribe or local government has adopted EPA's Public
Involvement Policy as a criterion for the authorization, approval or
delegation of programs or the award of grants. In general,
recipients may use grants for continuing environmental programs and
Performance Partnership Grants to fund public involvement activities
to the extent that costs are allowable under OMB Circular A-87 and
applicable EPA regulations. (Note: Some statutory or regulatory
provisions require compliance with certain public participation
requirements before EPA may approve a grant. See 40 CFR 25.11 and
25.12.) The grant applicant may comply with such requirements
without adopting EPA's Policy.
What Are the Roles of States, Tribes and Local Governments?
State agencies, Tribes and some local governments have unique
roles regarding EPA's programs and decisions:
1. State agencies, Tribes and some local governments may be co-
regulators with EPA. In some cases, they implement authorized,
approved or delegated Federal programs. In other cases, they run
independent, but closely-related programs. In both cases they work
closely with EPA as regulatory partners, and EPA will consult them
as appropriate when implementing this Policy. In addition, they may
have expertise that can be valuable to EPA in designing public
involvement activities.
2. State agencies, Tribes and local governments also may be
regulated parties when they undertake activities that are subject to
Federal laws and regulations. As regulated parties, they are also
members of the community of regulated stakeholders, and would
benefit from the application of the Policy like other regulated
parties.
3. Whether they are partners helping EPA implement a program or
members of the regulated community affected by EPA regulations,
state agencies, Tribes, and regional and local governments often
play an active role in making recommendations on policies, rules,
plans and recommendations under development, and providing input on
EPA's decisions.
The role of Tribes is unique in another way. Each federally-
recognized Tribal government is a sovereign entity that has an
individual government-to-government relationship with the federal
government. EPA should coordinate and consult meaningfully with
Tribes to the greatest extent practicable for agency actions that
may affect the tribes. This Policy complements EPA's efforts to
consult with Tribes. See Executive Order 13175, Consultation and
Coordination With Indian Tribal Governments November 6, 2000.
Consultation should be a meaningful and timely two-way exchange
with Tribal officials that provides for the open sharing of
information, the full expression of Tribal and EPA views, a
commitment to consider Tribal views in decision making, and respect
of Tribal self-government and sovereignty. The Agency should allow
comment from Tribes early in the planning process and prior to
making a decision. However, consultation does not imply that the
Tribes or any other non-EPA entities that are consulted can stop an
Agency action by withholding consent.
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How Does the Policy Relate to Environmental Justice?
This Policy complements and is consistent with EPA's
environmental justice efforts. ``Environmental Justice'' is the fair
treatment of people of all races, cultures, and incomes, including
minority and/or low-income communities and Tribes, with respect to
the development, implementation, and enforcement of environmental
laws and policies, and their meaningful involvement in the decision-
making processes of the government. Environmental justice is
achieved when everyone, regardless of race, culture or income,
enjoys the same degree of protection from environmental and health
hazards and equal access to the decision-making process to have a
healthy environment in which to live, learn and work. This includes
ensuring greater public participation in the Agency's development
and implementation of its regulations and policies. (Memorandum from
EPA Administrator Christine Todd Whitman, dated August 9, 2001,
``EPA's Commitment to Environmental Justice.'') (See also, Executive
Order 12898, ``Federal Actions to Address Environmental Justice in
Minority Populations and Low-Income Populations, dated February 11,
1994.) Thus, ensuring meaningful public involvement advances the
goals of environmental justice.
EPA's Seven Basic Steps for Effective Public Involvement
The EPA should ensure that it conducts meaningful public
involvement activities and implements all public involvement
provisions required by statute.
There are seven basic steps to consider when planning for public
involvement. Agency officials should exercise judgment and carefully
consider the particular circumstances of each situation in
determining how to carry out those steps. Agency staff and managers
should strive to provide the most meaningful public involvement
opportunities appropriate to each situation. Agency officials should
consider the issues, locations, potential environmental and human
health consequences of the activities, potential for controversy,
specific needs of the public and the Agency, and other circumstances
when designing public involvement processes. For instance, enhanced
opportunities for public involvement should be created for those
situations in which there is the potential for greater environmental
or human health consequences or controversy. It is important to note
that the Agency needs to set priorities for its use of resources,
and that budgetary constraints may affect the implementation of any
of these elements.
The seven basic steps 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. Review and use input and provide feedback to the public.
7. Evaluate public involvement activities.
The recommended goals, actions and methods for each of these
steps are described in Appendix 1, Guidance for Implementing Public
Involvement at EPA, at http://www.epa.gov/publicinvolvement/policy2003/guidance.pdf
.
Who Is Responsible for Managing the Application of This Policy?
Under the overall direction of the Administrator, and consistent
with this policy, Assistant, Regional and Associate Administrators
are responsible for ensuring that their managers and staff encourage
and facilitate public involvement in programs and activities. Public
involvement should be an integral part of any Agency program.
Moreover, the Agency should strive to achieve public involvement
that is commensurate with the potential impact of the activity. The
Assistant, Regional or Associate Administrators should make certain
that concerns about the adequacy of public involvement are heard
and, where necessary, acted upon as resources allow. Managers should
encourage and facilitate the proper training, support and counseling
of staff, and, recognizing overall budgetary constraints, should
plan for and provide adequate funding for training or other needs in
their specific budgets. (See more detailed responsibilities section
in Appendix 1 at http://www.epa.gov/publicinvolvement/policy2003/guidance.pdf.
)
[FR Doc. 03-14325 Filed 6-5-03; 8:45 am]
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