United States
       Environmental Protection
       Agency
Solid Waste and
Emergency Response
(5305W)
EPA530-R-98-007
 September 1996
EPA  RCRA Public
        Participation Manual
    RecyelectfRecyclable • Printed with Vegetable Based Inks on Recycled Paper (20% Postconsumer)

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RCRA Public Participation Manual

                  1996 Edition
       United States Environmental Protection Agency
          Office of Solid Waste, Permits Branch
                 Mail Code 5303 W
                 401 M Street,, SW
               Washington, DC 20460

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Statement
This  manual reviews  regulatory requirements  and
provides policy guidance to help implement the RCRA
program.  The policies set forth in the attached manual
are not final agency action, but are intended solely as
guidance. They are not intended, nor can they be relied
on, to create any rights enforceable by any party in
litigation with the United States. EPA officials may decide
to follow the guidance provided, or to act at variance with
the guidance, based on an analysis  of specific site
circumstances.   The Agency also reserves  the right to
change this guidance at any time without public notice.

This manual replaces and supersedes the 1993  RCRA
Public Involvement Manual (EPA 530-R-93-006).  This
manual is designed for use by agency staff, public interest
organizations, private citizens, and owners operators of
hazardous waste management facilities.
Acknowledgments
The RCRA Public Participation Manual was developed by
the Office of Solid Waste with the invaluable help of a task
group comprised of EPA and State regulators, industry
representatives,  and representatives of public interest
groups. EPA would like to thank the members of the task
group who provided their able services to this effort. For
a full listing of participants, please refer to Appendix O.

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                                     Table of Contents
Chapter 1: Introduction
       Overview of this Manual	    1-1
       The Big Picture	    1-3
       RCRA and its 1984 Amendments	    1-3
       RCRA Facility Permitting	    1-4
       The RCRA Corrective Action Program	    1-5
       Public Participation in the RCRA Program	     1-6

Chapter 2: Guidelines for a Successful Public Participation Program
       What  is Public Participation?	    2-1
       Why Bother with Public Participation?	    2-2
       What  Makes a Successful Public Participation Program?	    2-3
              Dialogue and Feedback	    2-3
              Honesty and Openness	    2-4
              A Commitmentto the Public	    2-5
              An Informed and Active Citizenry	    2-5
              Starting Early	    2-7
              Assessing the Situation	    2-8
              Planning for Participation	    2-14
              Understanding and Interaction Between Stakeholders	    2-18
              Promoting Environmental Justice	   2-18
              Supporting Community-Based Environmental Protection	    2-21
              Re-Evaluating and Adjusting the Public Participation Program	    2-22
       Summary	   2-24
       Exhibit 2-1: Determining the Likely Level of Public Interest in a RCRA Facility....   2-25
       Exhibit 2-2: Steps in Evaluating Facilities and Gathering Information	    2-26

Chapter 3: Public Participation During  the RCRA Permitting Process
       Introduction	  3-1
       Public Participation During the  Permit Decision Process	  3-3
              Step One:  The Pre-Application Phase	  3-3
                     The Pre-Application Meeting	  3-4
                     Notice of the Pre-Application  Meeting	   3-9
                     The Facility  Mailing List	  3-13
              Step Two:  Application  Submittal and Review	  3-16
              Step Three: The Draft Permit, Public Comment Period,
                      and Public Hearing	 3-18
              Step Four: Response to Comments and Final Permit Decision	   3-20
       Public Participation During the  Life of a Facility	   3-21
              Interim Status Public Participation	   3-21
              Permit Modifications	  3-22
       Public Participation in Closure and Post-Closure	  3-29
              Closure and Post-Closure at Permitted Facilities	  3-30
              Closure and Post-Closure at Interim Status Facilities	  3-30
       Summary	  3-32
       Exhibit 3-1: Public Participation Requirements for Class 1, 2,
              and 3 Permit Modifications	  3-34

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Chapter 4: Public Participation in RCRA Corrective Action Under Permits
              and §3008(h) Orders
       Introduction	 4-1
       Current Status of the Corrective Action Program	 4-2
       Special Consideration for Public Participation Activities
              Under §3008(h) Orders	 4-4
       Public Participation in Corrective Action	  4-6
       Initial Site Assessment (RFA)	 4-7
       Site Characterization (RFI)	 4-9
       Interim Actions	 4-11
       Evaluation of Remedial Alternatives (CMS)	  4-12
       Remedy Selection	  4-13
       Remedy Implementation (CMI)	  4-15
       Completion of Remedy	  4-16
       Summary	  4-17

Chapter 5: Public Participation Activities: How to do Them
       Introduction	 5-1
       Directory	 5-2

Appendices

A:     List of EPA Contacts  (including the RCRA Hotline, the Public Information Center,
       and the RCRA Information Center)

B:     List of State Environmental Agencies

C:     League of Women Voters Contact List

D:     Environmental Justice Public Participation Checklist

E:     Guidance for Community Advisory Groups at Superfund Sites

F:     Public Participation Regulations in 40 CFR Part 25

G:     Public Participation Regulations in 40 CFR 124 Subpart A

H:     Examples of Public Notices

I:      Examples of Additional RCRA Public Participation Tools (Fact Sheets, News Releases,
       Public Involvement Plans)

J:      The Hazardous Waste Facility Permitting Process ~ Fact Sheet

K:     RCRA Expanded Public Participation Final Rule and Brochure

L:     Modifying RCRA Permits - Fact Sheet

M:     Public Participation Resources Available to the Permitting Agency

N:     Memorandum: Implementation of the RCRA Expanded Public Participation Rule

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O:     Overview of Public Participation in the Entire RCRA Program ~ Excerpt from 1990 RCRA
       Orientation Manual

P:     Public Participation in Enforcement and Compliance

Q:     RCRA Public Participation Manual Revisions ~ Task Group Participants

R:     Accessing EPA Information

S:     Pollution Prevention & Small Business Assistance Contacts

T:     Glossary of Acronyms

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What  This Manual  Can  Do For  You
A Handbook for All
Stakeholders
This document is a user's manual for public participation activities in the
permitting process. In the same way that a user's manual explains how a
car or an appliance works, this manual explains how public participation
works in the RCRA permitting process and how citizens, regulators, and
industry can cooperate to make it work better.

EPA teamed up with a diverse group of stakeholders from the
environmental community, industry, and government agencies to produce
this manual. The manual emphasizes the importance of cooperation and
communication, and highlights the public's role in providing valuable input
during the permitting process. The manual also furthers EPA's
commitments to early and meaningful involvement for communities, open
access to information, and the important role of public participation in
addressing environmental justice concerns.

EPA wrote this manual to help all stakeholders in the permitting process.
Here is how the manual can help you:

If you are a citizen...
This manual provides a clear description of the many public participation
activities that are required by federal regulations. The manual also points
out steps that agencies, company owners, and public interest groups can
take to provide more public input into the process. In this manual, you will
also find a list of people and organizations that you can contact to learn
more about the permitting process and about community organizing.

If you are a government regulator...
This manual provides specific details about public participation
requirements and outlines EPA's  current policies.  The manual also
explains activities that you can conduct to provide better information to the
public and to invite more public input into your RCRA permitting work.
By reading this manual, you will learn how to open a dialogue with other
stakeholders, how to assess communities and be sensitive to their concerns,
how to plan for public participation, how to fulfill all the regulatory
requirements, and how to go beyond the requirements.

If you are a member of a public interest or environmental group...
Reading this manual will let you know what public participation events are
required under federal regulations, and how your organization can get
involved.  It provides  useful tips, based on the experience of public
participation practitioners, on how to interact with other stakeholders and

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Other Sources of
Information
how to conduct public participation activities. The manual also provides
contacts and publications that you can tap into for more information.

If you own or operate a hazardous waste management facility...
This manual describes when and how to conduct the public participation
events involved in the permitting process.  It points out the events you are
responsible for and lets you know how the permitting agency will conduct
other activities.  By reading the manual, you will find out how to interact
with the community around your facility, and how to be sensitive to their
concerns, and how  to cooperate and communicate with all stakeholders.
The manual also describes public participation opportunities you can
provide that go beyond the requirements.


EPA is compiling a reference list of public participation and risk
communication literature. For this list, EPA is interested in the following
subjects areas: community organizing, community involvement and
participation, environmental justice, risk communication, creative problem-
solving, alternative dispute resolutions, participatory activities,
environmental activism, and information-sharing.  EPA is not interested in
technical documents or data related to permitting.  To initially solicit items
for the reference list, EPA published a notice in  the Federal Register (61
FR 15942). EPA intends to update the list periodically; any additional
items people wish to propose for inclusion in the reference list may be
submitted to the attention of the RCRA Permits  Branch, Office of Solid
Waste (5303W), U.S. Environmental Protection Agency, 401 M Street SW,
Washington, DC 20460. Please do not send the  original document. Include
the full names of all authors, full titles, publisher, date of publication, city
where the work was published, an abstract, and an address and/or phone
number where one  can write or call to obtain the publication (if applicable).
                                An initial draft of this reference list is available through the RCRA Hotline,
                                or through the RCRA Information Center, in Docket Number F-95-PPCF-
                                FFFFF, (see Appendix A for the appropriate telephone numbers).

                                If you are not trying to find out about public participation in the permitting
                                process for facilities that store, treat, or dispose of hazardous wastes, then
                                this manual will not be the best one for you. The following are suggestions
                                of places to look for related information:

                                •       If you are trying to learn more about public participation in the
                                        Superfund program, refer to Community Relations in Superfund:  A
                                        Handbook (USEPA, EPA/540/R-92/009, OSWER Directive
                                        9230.0-3C, January 1992).

                                •       If you are trying to learn more about the siting of hazardous waste
                                        management facilities prior to permitting, you will most likely need
                                        to contact your local or state officials.  See Appendix B for a list of
                                        state agency contacts. EPA is planning to issue guidance on this

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       topic during 1996. Contact the RCRA Hotline (see Appendix A for
       the number) for more information.

•      If you are trying to learn about hazardous substances (other than
       wastes) stored by facilities or amounts of toxic substances released
       to the environment, you will  want to find out more about the
       Emergency Planning and Community Right-to-Know Act
       (EPCRA), or and the Toxics  Release Inventory (TRI).  Call EPA
       HQ, your Regional Office, or the RCRA/Superfund Hotline (see
       Appendix A for phone numbers ) for more information.
       Information on accessing EPA data is available in Appendix R.

•      If you are trying to find out about how the public can participate in
       siting municipal waste landfills, refer to Sites for Our Solid Waste:
       A Guidebook for Effective Public Involvement (USEPA, EPA/530-
       SW-90-019, March 1990).

If you are unsure about whether a facility in your area will need a RCRA
permit, you can contact your State agency or your Regional EPA office
(see the Appendices A and B for numbers).

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Chapter  1
Introduction
Overview  of this
Manual
   This manual covers
     federal public
      participation
  requirements. States
   may have additional
     requirements.
This manual is a guide to improving cooperation and communication
among all participants in the RCRA permitting process. Like the
September 1993 RCRA Public Involvement Manual (EPA530-R-93-006),
this manual outlines public participation procedures and what staff in EPA
and RCRA-authorized state programs can do to ensure that the public has
an early and meaningful role in the process. However, this new manual
goes beyond the scope of past manuals by providing public participation
guidance to regulated industries and the communities that interact with
them.

The broader scope of today's manual reflects EPA's belief that all
stakeholders have a role in providing for meaningful public participation.
Permitting agencies, public interest organizations, community members,
and regulated facilities are all stakeholders in RCRA permitting actions.
Each group has an interest in the permitting process and, moreover, can
take steps to increase public participation and improve communication.
This manual provides guidance for all RCRA stakeholders who seek to
achieve these goals.  Of course, the Federal and State agencies still
administer RCRA and its public participation activities, but EPA
acknowledges that members of communities and owners and operators of
hazardous waste management facilities also play an integral role in the
permitting process.

One reason for the broader scope of this guidance document is that facility
owners and operators have more formal responsibilities than ever in RCRA
public participation.  This trend in EPA's approach, demonstrated through
regulations such as the permit modifications procedures in 40 CFR 270.42
(52 FR 35838, September 23, 1987) and the part 124 changes in the "RCRA
Expanded Public Participation" rule (60 FR 63417-34,  December 11, 1995),
has made facility owners and operators responsible for a number of public
participation activities ~ from public notices to meetings and information
repositories. These new regulations underscore EPA's  support for
strengthening the link between facilities and their host communities.

This manual will also be helpful to many private companies that have
adopted, or are establishing, public participation programs as part of their
commitment to  good corporate citizenship.  While these activities often
take place outside of the official RCRA permitting process, EPA supports
Chapter 1: Introduction
                                                          Page 1-1

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       Some of the most
  meaningful involvement for
   citizens may occur outside
    of the official process.
facilities in their efforts to inform and involve the public. This manual will
guide facility owners and operators as they implement the public
participation requirements of the RCRA program, especially those in the
RCRA Expanded Public Participation rule. The manual will help facility
owners and operators go beyond the regulatory requirements, expand their
public participation activities, and build lasting relationships with
surrounding communities.

Citizens are an essential component of the RCRA permitting process. The
formal public participation activities, required by regulation, aim to provide
citizens with both access to information and opportunities to participate in
the process.  Some citizens and other groups have expressed concerns about
barriers to involvement in RCRA permitting.  EPA was also concerned —
as are many members of the public - that formal public participation
begins too late in the permitting process and that RCRA permitting
information is not always accessible to people.  In response to these
concerns and others, EPA promulgated the RCRA Expanded Public
Participation rule.  We hope that this rule and its accompanying policy
statement will improve access to permitting information and enhance public
participation.

EPA recognizes that valuable public participation can take place outside of
the formal procedures mandated by regulation.  Through informal channels,
citizens communicate and interact with other citizens, public interest
groups, regulated facilities, and permitting agencies.  EPA supports
communities  in their efforts to carry out informal means of participation
that go beyond regulatory standards. Some of the most meaningful and
informative involvement for citizens may come through activities not
organized by  permitting agencies or regulated facilities.  We hope that this
manual will be a valuable resource for communities and public interest
groups that are concerned about RCRA facilities in their area.

Following this introductory chapter, the manual is organized as follows:

     Chapter 2, "Guidelines for a Successful Public Participation
     Program," introduces some basic public participation concepts and
     points out principles of public participation that we encourage all
     RCRA stakeholders to follow.

     Chapter 3, "Public Participation in RCRA Permitting," covers the
     basic steps  in the RCRA permitting process and the public
     participation  activities that accompany them. After reviewing the
     requirements, the chapter provides a list of additional participation
     activities to supplement the requirements.

     Chapter 4, "Public Participation for RCRA Corrective Action Under
     Permits and §3008(h) Orders," details EPA's public participation
     guidelines for the corrective action program.  This chapter reflects the
Chapter 1:  Introduction
                                                              Page 1-2

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                                     current agency position on these issues as the corrective action
                                     program continues to evolve.

                                     Chapter 5, "Public Participation Activities: How to do Them,"
                                     provides detailed descriptions for dozens of public participation
                                     techniques - required and optional, formal and informal. The chapter
                                     explains all of the public participation methods mentioned in the
                                     previous chapters  and provides information on additional methods.

                                     The Appendices provide resources that will help any participant in the
                                     RCRA permitting or corrective  action programs. Included in the
                                     Appendices  are: phone numbers and addresses for contact persons at
                                     all state agencies,  the 10 EPA Regional offices, and EPA
                                     Headquarters; current permitting fact sheets; example notices and
                                     press releases; and EPA policy memoranda.

                                If you already have a general knowledge of the RCRA permitting program,
                                you may want to skip ahead to Chapter 2 at this point.
The Big Picture
RCRA and its 1984
Amendments
The RCRA program involves many people and organizations with roles
that vary greatly. Congress writes or amends the Act which, when signed
by the President, becomes law. After the Office of Solid Waste and Emer-
gency Response (OSWER)  at EPA develops the regulations that more
specifically define and explain how the law will be implemented,  the
RCRA program is implemented by both EPA Headquarters (OSWER) and
staff in EPA regional offices. The states may, in turn, apply to EPA for the
authority to run all or part of the RCRA program. In doing so, a state may
adopt the federal program outright or develop its own program, as long as it
is at least as stringent and as broad in scope as the federal program.  The
regulated community is involved with the RCRA program because it must
comply with the law and its regulations. Finally, the general public
participates by providing  input and comments at almost every  stage of the
program's development and implementation.
The Resource Conservation and Recovery Act, an amendment to the Solid
Waste Disposal Act, was enacted by Congress in  1976 to address a problem
of enormous magnitude — how to safely manage and dispose of the huge
volumes of municipal and industrial solid waste generated nationwide.  The
goals set by RCRA were:

•    To protect human health and the environment;

•    To reduce waste and conserve energy and natural resources; and
Chapter 1: Introduction
                                                            Page 1-3

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      RCRA GOALS

       To protect human health
       and the environment

       To reduce waste and
       conserve energy and
       natural resources

       To reduce or eliminate the
       generation of hazardous
       waste as expeditiously as
       possible
RCRA  Facility
Permitting
•    To reduce or eliminate the generation of hazardous waste as
     expeditiously as possible (also referred to as waste minimization and
     pollution prevention).

The Act continues to evolve as Congress amends it to reflect changing
needs.  It has been amended several times since 1976, most significantly on
November 8, 1984.  The 1984 amendments, called the Hazardous and Solid
Waste Amendments (HSWA), significantly expand the scope and
requirements of RCRA. The HSWA provisions related to corrective action
at RCRA facilities are described later in this chapter.

The program outlined under Subtitle C of the Act is the one most people
think about when RCRA is mentioned.  Subtitle C establishes a program to
manage hazardous wastes from cradle to grave.  The objective of the
Subtitle C program is to ensure that hazardous waste is handled in a manner
that protects human health and the environment. To this end, EPA
established regulations  under Subtitle C regarding the generation;
transportation; and treatment, storage, and disposal of hazardous  waste.
These regulations are found in Title 40 of the Code of Federal Regulations
(CFR), in Parts 261-266 and Parts 268-270. [Note: The CFR contains all
the general and permanent rules published by the Executive departments
and agencies of the Federal Government.]

The Subtitle C program has resulted in perhaps the most comprehensive
regulatory program EPA has ever developed. The Subtitle C regulations
first identify those solid wastes that are  "hazardous" and then establish
various  administrative requirements for the three categories of hazardous
waste handlers:  (1) generators; (2) transporters; and (3) owners or
operators of treatment,  storage, and disposal (TSD) facilities. This manual
applies only to the TSD facilities, and the term  "facilities" in this manual
refers only to TSD facilities. The Subtitle C regulations set technical stan-
dards for the design and safe operation of hazardous waste facilities. These
standards are designed  to minimize the release of hazardous waste into the
environment. Furthermore, the regulations for RCRA facilities serve as the
basis for developing and issuing (or denying) permits  to each facility.  Issu-
ing permits is essential  to the Subtitle C regulatory program because it is
through the permitting process that the regulatory agency actually applies
the technical  standards  to facilities.
Owners or operators of TSD facilities are required to submit a
comprehensive permit application covering all aspects of the design,
operation, maintenance, and closure of the  facility.  Owners and operators
are also required to certify annually that they have a waste minimization
program in place.  Many companies have found waste minimization is
often a cost-effective alternative or supplement to waste management.
Facilities in existence on November 19, 1980, operate under interim status
until a final permit decision is made.  Similarly, facilities that are in
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The RCRA
Corrective Action
Program
existence when new regulations are promulgated that subject them to
RCRA Subtitle C may also operate under interim status while they proceed
through the permitting process.  New facilities are ineligible for interim
status and must receive a RCRA permit before construction can commence.

The permit application is divided into two parts: A and B.  Part A is a short,
standard form that collects general information about a facility.  Part B is
much more detailed and requires the owner or operator to supply detailed
and highly technical information about facility operations.  Because there is
no standard form for Part B, the owner or operator must rely on the
regulations to determine what to include in this part of the application.
Existing facilities that received hazardous waste on or after November 19,
1980, or subsequently fell under Subtitle C due to new regulations,
submitted their Part As when applying for interim status.  Their Part B
applications can  be either submitted voluntarily or called in by the
regulatory agency.  Owners or operators of new facilities must submit Parts
A and B simultaneously at least 180 days prior to the date on which they
expect to begin physical construction; however, construction cannot begin
until the agency has issued the permit.  Permit applications are processed
according to the procedures found in 40 CFR Part 124.


RCRA requires owners and operators of RCRA facilities to clean up
contamination resulting from present and past practices, including those
practices of previous owners of the facility.  These clean up activities are
known as corrective action. HSWA added three provisions for corrective
action, thus significantly expanding EPA's authority to initiate corrective
action at both permitted RCRA facilities and facilities operating under
interim  status. Section 3004(u)  of HSWA requires that any permit issued
under RCRA §3005(c) to a facility after November 8, 1984 address
corrective action for releases of hazardous wastes or hazardous constituents
from any solid waste management unit (SWMU) at the facility.  If all
corrective action activities cannot be completed prior to permit issuance,
then the permit must include a "schedule of compliance" establishing
deadlines and financial assurances for completing the required corrective
actions. Section 3004(v) authorizes EPA to  require corrective action
beyond  the facility boundary, if necessary. Finally, §3008(h) authorizes
EPA to  issue  administrative (i.e., enforcement) orders or bring court action
to require corrective action or other measures, as appropriate, when there
is, or has been, release of hazardous waste or hazardous constituents from a
RCRA facility operating under interim status.

Corrective action is typically carried out by the facility owner or operator
under the requirements or conditions stated in the RCRA permit or
administrative order. In some cases, the owner or operator is required,
through an order, to begin corrective action prior to permit issuance. If the
regulatory agency issues a permit to the facility prior to completion of all
activities specified in the order, then the agency may require the owner or
Chapter 1:  Introduction
                                                              Page 1-5

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Public Participation
in  the RCRA
Program
operator to continue all or some of the activities under the order, or may
incorporate the requirements of the order into the RCRA permit schedule of
compliance.


Section 7004(b) of RCRA gives EPA broad authority to provide for,
encourage, and assist public participation in the development, revision,
implementation, and enforcement of any regulation, guideline, or program
under RCRA. In addition, the statute specifies certain public notices (radio,
newspaper, and a letter to relevant agencies) that EPA must provide before
issuing any RCRA permit. The statute also establishes a process by which
the public can dispute a permit and request a public hearing to discuss  it.

In fulfilling its statutory mandate, EPA has written regulations to
implement the RCRA program. To carry out its public participation
responsibilities under the Act, EPA has used its authority to develop
specific public participation activities in the RCRA permitting program. As
we explain in more detail in the following chapters, EPA's RCRA
regulations provide for public participation at all hazardous waste
management facilities - from before permit application, through the
permitting process, and during the permit life.
Chapter 1: Introduction
                                                            Page 1-6

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Chapter  2
Guidelines  for a Successful Public
Participation  Program
What is Public
Participation?
    Public participation
   increases the public's
  ability to understand and
   influence the process.
The RCRA permitting process brings government, private industry, public
interest groups, and citizens together to make important decisions about
hazardous waste management facilities.  These groups and individuals have
a stake in the facility under consideration, its operations, corrective action,
or changes in its design or administration. As "stakeholders" they will
communicate and interact throughout the permitting process and possibly
throughout the life of the facility.

Public participation plays an integral role in the RCRA permitting process.
Officially speaking, EPA uses the term "public participation" to denote the
activities where permitting agencies and permittees encourage public input
and feedback, conduct a dialogue with the public, provide access to
decision-makers, assimilate public viewpoints and preferences, and
demonstrate that those viewpoints and preferences have been considered by
the decision-makers (see 40 CFR 25.3 (b)). "The public" in this case refers
not only to private citizens, but also representatives of consumer,
environmental, and minority associations; trade, industrial, agricultural, and
labor organizations; public health, scientific, and professional societies;
civic associations; public officials; and governmental and educational
associations (see 40 CFR
25.3(a)).  When one
considers "the public" in
this broad sense, public
participation can mean any
stakeholder activity carried
out to increase public's
ability to understand and
influence the RCRA
permitting process.
                                                                  the public
                                                         the facility
the agency
                                                     Figure 1 — The Public Participation Triangle
                            We can represent the
                            relations between these
                            stakeholders as a triangle with the regulators, the facility owner/operator,
                            and the interested public each forming a corner. Out of each corner runs a
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                                                     Page 2-1

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       Public
   participation is a
      dialogue.
Why Bother With
Public
Participation?
    Public input can
  help the agency and
  the permittee make
    better technical
      decisions.
line that represents each group's communication with the other participants
in the process.

In the best case, the stakeholders interact well, the lines of communication
are strong between all the parties, and information flows in both directions
around the triangle. This last point is important: public participation is a
dialogue. You will read more about this dialogue later in this chapter.
There are a number of reasons why agencies, facilities, and interest groups
should provide for RCRA public participation and why citizens should
make an effort to participate in RCRA decision-making.  The first, and
most obvious reason, is that facilities and permitting agencies are required
to conduct public participation activities under the Act and its
implementing regulations.  Additional activities provided by facilities,
agencies, and other organizations in the community can complement the
required activities.

The second reason to bother with public participation is "good
government." Permitting agencies are charged with making many
controversial decisions, which should not be made by technical expertise
alone.  Public participation in controversial decision-making is an essential
element of the good government philosophy.  Community members  have a
right to be heard and to expect government agencies to be open and
responsive.

In addition to providing good government, the third reason for encouraging
public input is that it can help agencies reach better technical solutions and,
thus, make better policy decisions.  Public input can also help permittees or
prospective applicants make better business and technical decisions.  A
community is most qualified to tell you about its own needs, and people
who live with a facility every day will have the familiarity to provide useful
insights. Experience has shown that RCRA actions often benefit from
public participation. With public input, permitting decisions can gain a
breadth and  an appreciation of local circumstances that technical staff alone
could not provide.

The fourth reason to bother with public participation is that RCRA actions
are more likely to be accepted and supported by community members who
can see that they have had an active role in shaping the decision.  Showing
community members that the regulatory agency or the facility is willing to
address community concerns will establish the foundation for improved
understanding and community involvement in the process, even if members
of the community do not always agree with the outcome  of that process.
By promoting public participation, permitting agencies can reduce the
potential for concern over less consequential risks and dedicate more
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                                                              Page 2-2

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What Makes A
Successful Public
Participation
Program?
Dialogue and Feedback
   The address and phone
    number of a contact
  person should appear on
   fact sheets, notices and
  other outreach materials.
  Public participation
   should encourage
   "feedback loops."
                                 resources to addressing serious risks and issues.  Many companies have
                                 also found that promoting early and meaningful public participation can
                                 save resources in the long run by avoiding delays and lawsuits based on
                                 public opposition.
A successful public participation program is inclusive. It allows members
of the community to have an active voice in the RCRA decision-making
process.  Agency staff, facility personnel, and citizens will be able to talk
openly and frankly with one another about RCRA-related issues, and search
for mutually-agreeable solutions to differences.

In addition to the paragraph above, a successful public participation
program will meet the targets set out in the  subsections that make up the
remainder of this chapter. The principles in these following subsections are
applicable to all public participation activities.


A vital and successful public participation program requires a dialogue, not
a monologue.  In other words, information must flow in loops between any
two stakeholder groups.  For example, the regulators should not just release
information to the facility owner/operator, who passes it to the community,
who then contacts the regulators. The regulator should make the
information available to everyone and ask for feedback.  Each corner of
the triangle must keep the two-way conversation going with the two
remaining corners.

Open communication lines require participants to be accessible to the other
stakeholders.  An effective way to make your group accessible is to
designate a contact person for every permitting  activity. The contact
person should make his or her address and phone number available to the
other  stakeholders by printing it on any fact sheets or other informational
materials produced by the organization.  The contact person will field all
inquiries on the permitting activity at hand.  Other people involved in the
process will appreciate this single and accessible point of contact.

Without an active two-way communications process, no party will benefit
from the "feedback loop" that public participation should provide. For
example, if the regulatory agency sends out a fact sheet about an upcoming
permit action, that fact sheet alone does not constitute public participation.
Missing is the  "feedback loop," or a way for the agency to hear from those
who read the fact sheet.  To get feedback, the agency might name a contact
person in the fact sheet and encourage telephone  or written comments,
place  calls to civic or neighborhood associations, visit a community group,
or hold a meeting or workshop to discuss material in the fact sheet.
Feedback loops enable the agency to monitor public interest or concern,
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    Members of the public
    have valid concerns and
    can often improve the
    quality of permits and
      agency decisions.
Honesty and Openness
adjust public participation activities, and respond quickly and effectively to
changing needs.  The feedback loop is a useful tool for all stakeholders in
the process.

Even if a feedback loop operates successfully, public participation cannot
be successful if the permitting agency or the facility is reluctant or unable
to consider changes to a proposed activity or permit action based on public
comment or other input. While the decision-makers at the agency or the
facility need not incorporate every change recommended by the public,
they should give serious consideration to these suggestions and respond by
explaining why they agree or disagree.  Members of the public, like other
stakeholders in the process, have valid concerns and can often contribute
information and  ideas that improve the quality of permits and agency
decisions. Regulators and facility owner/operators should take special
notice of this point and make available more opportunities for public
participation.


As we emphasized in the  section above, participants in the RCRA
permitting process should make all efforts to establish open paths of
communication.  Being honest and open is the best way to earn trust and
credibility with the other stakeholders in the process.  Making information
available to the community and providing for community input can
improve public perception of the permitting agency or the facility and lead
to greater trust and credibility. Trust and credibility, in turn, can lead to
better communication and cooperation and can focus the public debate on
issues of environmental and economic impacts.

Establishing trust should be the cornerstone of your public participation
activities.  The following is a list of things to remember when establishing
your credibility:

1.    Remember the factors that are necessary for establishing trust ~
     consistency, competence, care, and honor.
2.    Encourage  meaningful involvement by other stakeholders.
3.    Pay attention to process.
4.    Explain the process and eliminate any mystery.
5.    Be forthcoming with information and involve the public from the
     outset.
6.    Focus on building trust as well as generating good data.
7.    Follow up.  Get back to people. Fulfill your obligations.
8.    Make only promises that you can keep.
9.    Provide information that meets people's needs.
10.  Get the facts straight.
11.  Coordinate within your organization.
12.  Don't give mixed messages.
13.  Listen to what other stakeholders are telling you.
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A Commitment to the
Public
An Informed and Active
Citizenry
14.  Enlist the help of organizations that have credibility with
     communities.
15.  Avoid secret meetings.

This list was adapted from the manual Improving Dialogue With
Communities (New Jersey Department of Environmental Protection, 1988).
This manual and a number of other sources produced by states, EPA, trade
groups, and public interest groups are available for more information on
trust and credibility factors.


Public officials have ethical obligations to the public that have a practical
value in building the foundation necessary for successful communication:

*    informing the public of the consequences of taking, or not taking, a
     proposed action;

*    showing people how to participate so that interested people can;

*    keeping the public informed about significant issues and proposed
     project changes;

*    providing  all segments of the public with equal access to information
     and to decision-makers;

*    assuring that the public has the opportunity to understand official
     programs and proposed actions, and that the government fully
     considers the public's concerns; and

*    seeking the full spectrum of opinion within the community, not only
     from the business community and other agencies, but also from
     neighborhood and community groups, environmental organizations,
     and interests with other points of view.

(Adapted from Sites for our Solid Waste, Environmental Protection
Agency, EPA/530-SW-90-019, March 1990 and 40 CFR 25.3(c)).


If you are a citizen who is interested in a permitting issue, the regulations
provide a number of opportunities to  access information and get involved.
The following activities are some things citizens can do to be influential
and well-informed participants.

•    Contact the permitting agency early.  Identify the designated contact
     person for the project (the name should be on fact sheets and notices,
     or available by calling the agency).

•    Do background research  by talking to local officials, contacting
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                                      research or industrial organizations, reading permitting agency
                                      material, and interacting with interested groups in the community.

                                      Perform an assessment.  Request background information from the
                                      permitting agency, local officials, and the facility ownership.  Ask
                                      about day-to-day activities, the decision-making structure, and current
                                      policies and procedures; inquire about how the proposed project fits
                                      into larger political issues, local planning, and the facility's business
                                      plans.  Request special information that may open up additional
                                      solutions, including pollution prevention approaches that may reduce
                                      or recycle the amount of waste that is managed in the facility.

                                      Ask to have your name put on the facility mailing list for notices, fact
                                      sheets, and other documents distributed by the agency.  Add your
                                      name to mailing lists maintained by involved environmental groups,
                                      public interest and civic organizations.

                                      Tell the permitting agency, the facility owner/operator, and other
                                      involved groups what types of public participation  activities will  be
                                      most useful for you and your community. Inform them about the
                                      communication pathways in your area (e.g., what newspapers people
                                      read most, what radio stations are popular), the best locations for
                                      information repositories and meetings, and other information needs in
                                      the community (e.g., multilingual publications).

                                      Submit written comments that are clear, concise, and well-
                                      documented. Remember that, by law, permitting agencies must
                                      consider all significant written comments submitted during a formal
                                      comment period.

                                      Participate in public hearings and other meetings; provide oral
                                      testimony that supports your position.  Remember that a public
                                      hearing is not required unless someone specifically requests one in
                                      writing.

                                      If any material  needs further explanation, if you need to clear up  some
                                      details about the facility or the permitting process,  or you would  like
                                      to express specific concerns, then request an informational meeting
                                      with the permitting agency or the appropriate organization, such  as
                                      the State's pollution prevention technical assistance office.

                                      Follow the process closely. Watch for permitting agency decisions
                                      and review its responses to public comments. Be aware that you have
                                      an opportunity to appeal agency decisions.

                                      Remember that your interest and input are important to the agency
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                                      and other concerned stakeholders.

                                 •    To get tips about community organizing, information about how to
                                      participate in the regulatory process, or possible referrals to other
                                      involved groups in your area, you can contact the local League of
                                      Women Voters chapter. If you cannot contact a local chapter, or one
                                      does not exist, you can contact the state chapter. Phone numbers and
                                      addresses are provided in Appendix C.

                                 EPA encourages citizens to consider these recommendations and follow
                                 them where applicable.  At the same time, EPA recognizes that the best
                                 way to participate will be different in every situation.  Citizens should
                                 contact other concerned persons, community organizations, and
                                 environmental groups to determine how citizens can best influence the
                                 permitting process.
Starting Early
A good public participation effort involves the public early in the process,
encourages feedback, and addresses public concerns before initial
decisions. The permitting agency, the facility owner/operator, and public
interest organizations involved in the  RCRA permitting process should
make all reasonable efforts to provide for early stakeholder participation
and open access to information. These efforts should include informing and
seeking feedback from impacted communities before any significant
actions. You should avoid the appearance of making decisions before
public input.  Even in cases where the facility and the agency meet
privately in the early stages of the process,  they should keep up the lines of
communication with the public. One  State agency has found success by
making a meeting summary available to the public in an information
repository whenever the regulators meet with facility staff. Such gestures
can increase public faith while reassuring people that the agency will seek
public input before making major permitting decisions.

 EPA encourages public participation activities throughout the RCRA
permitting process, especially when the activities foster an early, open
dialogue with potentially affected parties. This can be particularly effective
in exploring alternatives to treatment  or that go beyond compliance,
including for example, pollution prevention.

Early outreach and straightforward information can establish trust among
the other stakeholders while reducing misinformation and  rumors. Key
contacts in the community should always know about planned activities that
will be visible to members of the community, such as construction work or
excavation related to facility expansions or corrective action.  Interested
people or groups in the community can use early participation activities to
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     Start early and plan
  ahead:  public interest in a
   facility can grow rapidly
     and unexpectedly.
make their concerns and suggestions known before major decisions take
place.  Since early participation activities may be the first word that people
hear about a permitting activity, EPA is requiring expanded notice efforts
before the facility  submits a permit application (see "Notice of the Pre-
Application Meeting" in Chapter 3).  All stakeholders should use their
knowledge of individual communities and local communication channels
(e.g., contacts in the community, the media, civic and religious
organizations) to foster effective information-sharing.

RCRA regulations require facilities and agencies to start public
participation activities prior to application submittal,  and continue them
through the entire life of the permit.  In essence, the facility owner or
operator cannot put off public participation. EPA encourages permit
applicants and permit holders to take early public participation activities
seriously — early activities can set the tone for the permitting process and
even the entire life of the facility.

Setting up an effective public participation program is a valuable use of
time and resources. External pressure to start public  participation work
may not be present at the outset of a project, because members of the public
may be unaware of the facility's operations and the regulatory agency's
activities.  However, public  interest in a facility can grow rapidly and
unexpectedly. Participants can best prepare for such  situations by assessing
their communities, taking proactive steps, and preparing for contingencies.

Getting the news out early gives people time to react. Other stakeholders
can offer better information and suggestions when they have some time to
think about it. For example, a facility can better incorporate community
concerns into its permit application if it hears public concerns well before
application submittal.  Agencies and facilities owe the public the  same
courtesy, allowing citizens adequate time to review, evaluate, and comment
on important information. By the same token, citizen participants should
do their best to make their interests known early. If a citizen is invited to
participate early, but decides not to and raises issues at the end of a process,
then that citizen risks losing credibility with other stakeholders in the
process.

Finally, extensive early outreach (as we point out in the following section)
will  make the permitting process or the corrective action smoother over the
long run.  Early outreach brings issues  to the surface  before stakeholders
have invested great amounts of time and resources in a project; these issues
are easier to address at an early stage.  Moreover, early outreach minimizes
the possibility that the public will feel like the agency or the  facility is
surprising them with an undesirable project. By providing early notice,
agencies and facilities can avoid the public reactions  that have "blind-
sided" some projects in the past.
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Assessing the Situation
    Every community is
   different. What works
   in one community may
    not work in another.
   Public participation
    activities should
   change over time to
     suit the level of
   interest in a facility.
Community assessments are an important step to take before preparing or
revising a public participation strategy.  Assessments are essential tools for
facility owners who are applying for a RCRA permit (including interim
status facilities), seeking a major permit modification, or undertaking
significant corrective action.  Permitting agencies should focus their
assessments on communities where a major new facility is seeking a
permit, or in other cases where permitting activity or corrective action has
the potential to evoke public interest. Additionally, assessments may be
appropriate at any stage during the life of a facility, especially in situations
where the level of public interest seems to be changing.

Community assessments allow agencies, facility owners, and public interest
groups to tailor regulatory requirements  and additional activities to fit the
needs of particular communities.  Each community is different and has its
own way of spreading information and getting people interested. Important
institutions and groups will also vary from place to place, as will
socioeconomic status, culture and traditions, political and religious activity,
and values.  The facility owner, public interest groups, and the  agency
should make all reasonable efforts to learn the facts about the affected
community. These data are essential to choosing public participation
activities that will be useful and meaningful for the community.

Determining the Level of Public Interest

Some permitting activities do not generate much interest or concern among
community members.  Other activities will  evoke strong interest and will
require a much greater public participation  effort. Although there are no
hard and fast rules that make a facility a low- or high-profile facility,  the
level of interest will depend on a number of factors, such as  (1) the type of
RCRA action  and its implications for public health and welfare; (2) the
current relationships among the community, the facility, the regulatory
agency or agencies, and other groups; and (3) the larger context in which
the RCRA action is taking place, including  the political situation,
economics, and important community issues.  Exhibit 2-1 (at the end of
this Chapter) provides a guide for determining a facility's potential to be
low-, medium-, or high-interest to the public.

While these guidelines can be useful as an early planning tool to predict
public interest, agencies and facility owners should be flexible  and prepared
for rapid changes in the level of public interest in a permitting activity. The
apparent level of public interest does not always reflect the potential for
public interest. In some cases, the regulatory minimum will be sufficient.
In other cases, the agency or facility should be prepared to provide
additional input and information, as needed. Public participation activities
should correspond to the level of community interest as it changes over
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                                 time.

                                 Public interest, environmental, and civic organizations also assess their
                                 communities to determine the amount of interest in a permitting activity.
                                 These organizations can take steps to encourage public participation in the
                                 permitting process.  Door-to-door canvassing, public information sessions,
                                 flyers, fact sheets, neighborhood bulletins, and mailings  are all methods of
                                 sharing information with the public and encouraging citizen involvement.
                                 Organizations that are attempting to  encourage public participation may
                                 find the rest of this section useful. In addition, more information for such
                                 groups is available by contacting the League of Women  Voters (see
                                 Appendix C for contacts).

                                 Community Assessment Methods

                                 Facility owners should gather background information about the
                                 community before seeking a permit or a permit modification. Regulators
                                 should find out about community concerns at the outset of a major project
                                 or any project that seems likely to raise  significant public interest. Public
                                 interest groups may want to perform similar background work. As
                                 emphasized  in the previous section, understanding a community is essential
                                 to creating a successful public participation effort.

                                 The facility  owner is responsible for collecting his or her own information
                                 about a community before initiating  any permitting activity (e.g., before
                                 requesting a permit modification or applying  for a permit).  Permitting
                                 agencies, on the other hand, should dedicate their resources, using their
                                 own judgment, to learning about concerns in the community and assessing
                                 communities where there is a  high level of interest in a permitting activity.
                                 In some cases, permitting agencies and  facility owners have cooperated to
                                 do joint outreach activities, and believe  that the agency presence has made
                                 members of the community more comfortable during interviews or other
                                 activities.  EPA does not recommend such cooperation as a rule (because,
                                 for example, other stakeholders could perceive this as "taking sides").
                                 Permitting agencies should use their discretion and maintain the agency's
                                 proper role during any such activities.

                                 EPA recommends the following steps for gathering information about the
                                 community.  Although facility owners may want to follow these steps
                                 before every major permitting activity (e.g., applying for a permit or a
                                 major modification), permitting agencies should focus on major activities at
                                 facilities that have the potential to raise  significant public interest:

                                 •    Reviewing news clippings and other information that indicates how
                                      the community is reacting to the facility or the permitting activity.
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   EPA recommends                                     .                       .
         ....    .                   action. These interviews should represent a fair cross-section of
 community interviews                                                r
when there is a high level
   of public interest.
                               •     Talking to colleagues or anyone who has experience working with
                                    members of the particular community.

                               •     Contacting companies, universities, local governments, civic groups,
                                    or public interest organizations that already have experience in the
                                    community.  These groups may be able to provide useful information
                                    about community concerns, demographics, or reactions to other
                                    industry in the area. They may be able to point you towards other
                                    existing sources of community information.

                               If it seems like there is a low level of interest in the facility at this point,
                               and things are not likely to change, the agency and the facility owner can
                               begin planning the required public participation activities.

                               If, however, the facility shows indications of being a moderate- to high-
                               interest level facility, a more detailed analysis of the community might be
                               necessary, and additional public participation activities planned.

                               •     To get a fuller picture, staff from the agency or the facility should
                                    consider contacting community leaders and representatives of major
                                    community groups  to talk about the facility and the planned RCRA
                                      viewpoints in the community.   The community representatives may
                                      have a feel for how much community interest there is in a permitting
                                      activity. They also may be able to provide advice on how to handle
                                      the situation.

                                 •    If there are indications of likely high interest from the outset (e.g., a
                                      facility that is likely to be controversial is seeking a permit), the
                                      agency or the facility owner should consider conducting a broad range
                                      of community interviews with as many individuals as possible,
                                      including the facility's  immediate neighbors, representatives from
                                      agencies that will participate in the RCRA action, community
                                      organizations, and individuals who have expressed interest in the
                                      facility (e.g., people on the agency's mailing list, newspaper
                                      reporters, local officials). A detailed discussion of how to conduct
                                      community interviews is provided in Chapter 5.
                                 •    After collecting the necessary information, the agency or the facility
                                      may wish to prepare a  brief summary of major community concerns
                                      and issues (no more than five pages). The summary can be integrated
                                      into the public participation plan document or used as the basis for
                                      developing a "Question and Answer"-type fact sheet to distribute
                                      back to the community. See Chapter 5 for additional information on
                                      these activities.

                                 Exhibit 2-2 at the end of this Chapter summarizes the steps to take in

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     The scope of the
    affected community
   will vary from facility
        to facility.
determining the level of public interest in facilities and gathering
background information.

Targeting Public Participation in Communities

This initial assessment should provide a good idea about the scope and
makeup of the "affected community." Pinpointing the affected community
can be a difficult process; everyone has a different definition. EPA will not
try to define the affected community here because its composition will vary
with the particular characteristics of each facility and its surrounding
community. In some cases, however, it may be appropriate to target a
segment of the population that is broader than the "affected community."
For instance, the appropriate target for early public notices and some other
activities may go beyond people who are directly  affected, to include
citizens who are potentially interested or concerned about the facility.  EPA
recognizes that the distinction between "affected" and "concerned" or
"interested" will not be completely clear in all cases. Permitting agencies
should use their best judgment.

EPA realizes that resources will limit the breadth  of any public
participation program and that focus  is necessary.  It is clear that some
people will have a more direct interest than others in a particular permitting
activity.  Given practical resource limitations, public participation activities
should focus first on people with a more direct interest in a RCRA facility,
while also realizing that "direct interest" is not always determined by
physical proximity to a facility alone. It is impossible to point out all
people who have a direct interest, but, as a general guideline, people with
the most direct interests will live in the general vicinity of the facility, or
have the potential to be affected by releases to groundwater,  air, surface
water or the local environment (e.g.,  through game, livestock, or agriculture
or damage to natural areas). Direct interests may  also include people who
live on or near roads that will accept increased traffic of hazardous waste-
carrying vehicles.  EPA acknowledges that people residing a significant
distance from the facility may have legitimate and important concerns, but
EPA thinks it is reasonable to focus limited public participation resources
on communities with direct interests.  See the section on "The Mailing
List" in Chapter 3 for a list of organizations that you should consider when
thinking about the interested or affected community.

The Citizen's Role

Citizens in the community may want to assess the permitting situation, the
agency (or agencies) involved, and the facility owner/operator. As we
pointed out in the section above, citizens can get background on a
permitting  issue by talking  to local officials, contacting research or
industrial organizations, reading permitting agency material, and interacting
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      Valuable public
  interaction can take place
    outside of the formal
     permitting process.
with interested groups in the community.  Citizens may also want to find
out about day-to-day activities at the facility or the agency, the decision-
making structures they use, and their current policies and procedures.
Citizens may want to get more information on the owner's/operator's
involvement with other facilities  or other activities. The contact persons
for the facility and the agency are also good to know.  Citizens can also talk
to local officials, the agency, or the facility to find out how the proposed
project fits into  larger political issues, what local planning issues are
involved, and what the facility's business plans are.

Individual community members can take part in the assessment process by
providing input to other  stakeholders through interviews, focus groups, or
other methods used in community assessments (also see the section on "An
Informed and Active Citizenry" earlier in this Chapter). This guidance
manual gives an overview of the  RCRA permitting process which
individual community members may find helpful.  The Appendices at the
end of this manual provides other resources and contacts (the  RCRA
Hotline, agency phone numbers,  and League of Women Voters' contacts)
that citizens can access.  EPA is also compiling a reference list of public
participation  and risk communication literature.  The list is available
through either the RCRA Information Center, in Docket Number F-95-
PPCF-FFFFF, or through the RCRA Hotline (see Appendix A for
appropriate telephone numbers).  Members of the public  can  find out about
permit activities in their area by contacting the permitting agency, talking
to environmental groups or public interest organizations, reading state,
federal, and private environmental publications in the library, looking for
zoning signs or  other announcements, attending public meetings and
hearings, watching the legal notice section of the newspaper or checking
display advertisements, listening  to local talk shows, or keeping up with
local events through town bulletins, associations, or council meetings.

In addition, members of the community can contact the permitting  agency
or the facility — outside  of any formal activity ~ to give early input and to
share their concerns.  Community members should suggest public
participation  activities, meeting locations, or means of communication that
will work well in their community. This sort of informal communication,
via letter or interview, can be very helpful, especially in terms of
establishing a public participation plan (see Chapter 5 for a description of
public  participation plans).  EPA  also recognizes that valuable public
interaction takes place outside of the formal permitting process. Citizens
may choose to contact other groups in the community that have an  interest
in the permitting activity.  Environmental, public interest, and civic
organizations often play a role in the RCRA permitting process. These
groups can provide interested citizens the opportunity to participate in
efforts to influence the permitting process through collective action.
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                                  Alternatively, citizens may see fit to create new organizations to discuss
                                  issues related to the permitting process or to provide input into the process.
Planning for
Participation
  The plan should create a
  structure for information
  to flow both to and from
        the public.
A good public participation program avoids misunderstandings by
anticipating the needs of the participants. It provides activities and
informational materials that meet the needs of, and communicate clearly to,
specific community members and groups. The public participation plan is
the agency's schedule and strategy for public participation during the initial
permitting process, significant corrective actions, and other permitting
activities at facilities receiving high levels of public interest.

After assessing the situation, the agency should have an approximate idea
of how interested the public is in the facility.  Based on the information
from the community assessment, the agency should draft a plan addressing
public participation activities throughout the prospective permitting process
and the life of the facility. For permitting activities and corrective actions
that do not raise a high level of public interest in the community, the public
participation plan will be a simple document, outlining the regulatory
requirements. Major permitting activities and other high-interest activities
will require a more detailed plan with participation opportunities that go
beyond the requirements.  Agency staff should keep in mind that
community interest in a particular facility can change at any time; good
plans will prepare  for contingencies.

EPA recognizes that permitting agencies do not always have the resources
they need to perform all the public participation activities they would like
to perform.  Agency staff must consider resources in all stages of the
process, but particularly when developing a public participation plan.  To
make fewer resources go further, agencies should consider working with
community groups, public interest organizations, and facility
owners/operators to plan public participation events. Some relatively
inexpensive activities can be very effective.  More information on making
use of additional resources is available in Appendix M. Information on the
resources  needed to perform specific public participation activities is
available in Chapter 5.

The goal of the public participation activities in the plan is to meet the
specific needs of members of the community by creating a structure for
information to flow both to and from the public.  Anyone who plans public
participation activities should strive for useful and timely exchange of
information with the public. Again, EPA strongly encourages anyone
conducting public  participation activities to solicit public input on the types
of communication and  outreach activities that will work best in each
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                                 community.  The agency, facility, civic and public interest groups should
                                 coordinate their public participation efforts, emphasizing two-way
                                 information exchange and avoiding unnecessary duplication in their
                                 activities.

                                 To identify activities for the public participation program, the agency
                                 should go through the following steps:

                                       1.    list the major community issues and concerns;
                                       2.    list the community characteristics that will have a bearing on
                                            how you address these issues; and
                                       3.    list the activities that will address the community's concerns
                                            during the permitting process and, if applicable, corrective
                                            action.

                                 Once the agency has outlined activities for the facility at hand, it should put
                                 together a strategy for implementing the activities. In general, the
                                 following are the areas of responsibility for public participation that the
                                 agency should consider:

                                 •     Interacting with the media, especially on high-profile facilities.  If
                                       there is a high degree of interest in the facility, it will be important to
                                       have a media contact person who can get information out quickly,
                                       accurately, and consistently.  The assistance of a public affairs office
                                       is often necessary (where applicable).

                                 •     Interacting with elected officials.  For facilities receiving a
                                       moderate to  high level of interest, it is often beneficial to work with
                                       elected officials to provide them with information they need to answer
                                       their constituents' questions.  Put together a team of people who can
                                       fill the information needs of public officials.  This team should
                                       include senior people who can answer policy questions when
                                       necessary.

                                 •     Answering telephone and written inquiries.  It is important to
                                       follow up on all requests for information that you receive from
                                       stakeholders. Designate one person to be responsible for putting
                                       together the  answers to questions in a form that is understandable to
                                       the public.  This "contact person" should be named in all fact sheets
                                       and public notices. Remember the importance of two-way
                                       communication and the public participation triangle.

                                 •     Coordinating public participation with other  stakeholders.  It is
                                       crucial that all the people who are working on public participation be
                                       aware of what activities are being planned for the facility and any
                                       other facilities in the area, so that activities can complement each
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   Public participation
    activities should
   coincide with major
      steps in the
   permitting process.
     other whenever possible. At the least, try to avoid conflicts between
     competing activities.  Be sensitive to major events (e.g., celebrations,
     other meetings, religious revivals, fundraisers, elections) and
     important dates (e.g., local holidays, graduations) in the community.

•    Maintaining the mailing list and information repositories.  A
     mailing list is required under RCRA and the agency should update it
     to include new people or organizations who have expressed an interest
     in the facility.  The facility and other organizations should refer to the
     agency any requests to be on the official facility mailing list.  If public
     information repositories are  established for the facility, they  should be
     indexed and updated at least quarterly, or as required by the
     permitting agency.  The facility may want to obtain a copy of the
     mailing list to use for distributing information.

•    Planning and conducting public meetings.  Set-up and coordination
     are critical to the success of public meetings. Public participation
     staff will need to choose  a location for meetings based on public input
     and the need for comfort and accessibility.  The public participation
     coordinator will need to schedule speakers, plan the agenda,  and
     provide a mediator (if necessary) at the meeting. Chapter  5 provides
     more detail on public meetings, hearings, workshops, etc.

•    Handling production/distribution/placement of information,
     including fact sheets, public notices, news releases, meeting
     handouts and  overheads, etc. Much of your public participation
     time will be spent developing and producing information for
     interested stakeholders. Permitting agency staff may want to refer to
     Appendix M for a list of resources that can ease fact sheet and infor-
     mation production.  Sometimes you may need to refer stakeholders to
     other agencies that have information readily available, such as the
     State pollution prevention technical assistance office, which  often
     have fact sheets and technical experts available.  A list of pollution
     prevention contacts is included in Appendix S.

The next step is to figure out a schedule of public participation activities.
This schedule should include activities that are required by EPA
regulations. In general, the timing of additional public participation
activities should correspond to the completion of major steps in  the
technical process (e.g., application submittal, draft permit issuance,
completion of the RFI). These are the times when members of the public
may have new questions or concerns about the proposed action or  the
facility in light of new information, especially during corrective action.
The regulators and the facility  owner/operator should also be prepared to
notify the public when any major  activity will be taking place at the facility
(e.g., start of construction for corrective action) or has taken place (e.g.,
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     Communities can
  provide valuable advice
      on what public
  participation activities
      will work best.
emergency response to releases).

Permitting agencies should take the lead in writing and revising public
participation plans, while allowing for input from other stakeholders and
coordinating with activities held by the facility, public interest groups, and
community organizations. The  agency may want to involve other
stakeholders in a group process  to form a comprehensive plan. Depending
on the amount of public interest in a facility, the plan could be an informal
one- or two-page document or a formal public involvement plan that will
be available to members of the community for comment. At a minimum,
the plan should include a list of the specific public participation activities
for the facility and a schedule for when they will occur. We encourage
agencies to make these plans ~  formal and informal - available  to the
public.

Developing a written public participation plan will help staff account for all
the necessary steps in the permitting or corrective action process. A formal
plan will also let the public know what type of activities to expect during
the process. EPA recommends  that a formal plan contain the following
sections:

          executive summary;
          introduction/overview;
          facility history;
          the RCRA action taking place;
          summary of community interviews, outlining concerns;
          a description of any  early consultation (e.g., interviews with
          group leaders) that led to development of the plan;
          a list of the major issues likely to emerge during the process;
          an estimation of the  level of public interest likely to be
          generated by the decision under consideration;
          public participation activities and schedule;
          a list of the agencies, groups, and key individuals most likely to
          be interested in the process;
          a list of key contacts; and
          information on meeting and repository locations, where
          applicable.

EPA encourages permitting agencies to seek public input on the plans; final
plans should be available for public review. This sort of input is important
for getting the public involved early in the process.  In addition,
communities can provide useful advice on what channels of communication
will work  best in the area and what sort of activities will provide the most
effective participation.  Communities can provide practical solutions that
improve communication and may even save resources. For example, in
one community where rumors spread easily, citizens suggested that the
agency put status reports on voicemail so that people could call in for
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Understanding and
Interaction Between
Stakeholders
regular updates.

There are numerous ways that the community can contribute during the
planning stage.  Citizens can decide how interested they are in a particular
activity by discussing issues with other stakeholders, accessing relevant
documents, or calling hotlines or other experts.  Those who would like to
participate in the formal process can use this time to raise questions or
develop their ideas.  Some citizens may want to submit comments to the
agency on the public participation plan.   Moreover, EPA  encourages
interested citizens to meet together to discuss the potential impact of RCRA
actions on their communities.  Citizen groups may want to invite experts
from the facility, the permitting agency, engineers, environmental
contractors, scientists, health experts, and attorneys to  speak at their
meetings.


While each stakeholder shares the responsibility of providing open and two-
way communication, the roles and responsibilities of the different
stakeholders differ substantially. Participants in the RCRA permitting
process should acknowledge these differences and account for them as they
approach the process. We encourage participants to do their best to
understand the interests and concerns of the other participants by following
the principles below:

*    Strive to respect other stakeholders and their opinions. Avoid
     personal attacks.

*    Understand that people have different levels of understanding of
     RCRA.  Not everyone is an expert,  but everyone should have the
     chance to know all the facts.

*    Realize that decisions made during the permitting process can have
     profound economic and social impacts.  These decisions are very real
     and important; people will live and work with them  every day.

*    Acknowledge that statutory and regulatory requirements limit what
     can happen during the permitting process. Remember that everyone -
     - citizens, regulators, facility owners/operators, and  public interest
     workers - has resource and time constraints

*    Recognize that people have concerns that go beyond the scientific or
     technical details.  These concerns deserve respect.

*    Build your credibility by being fair, open, and respectful.

*    Try to understand the values and interests of other stakeholders before
     jumping to conclusions.
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Promoting
Environmental Justice
   New EPA rules will
       empower
     communities by
   giving them a greater
  voice in the permitting
        process.
Environmental justice refers to the fair distribution of environmental risks
across socioeconomic and racial groups. Some groups and individuals
associated with environmental justice issues have raised the concern that
EPA and some State environmental agencies do not provide equal
protection under the nation's environmental laws. With regard to the
RCRA permitting program, most of the concern surrounds the potential
additional risk that hazardous waste facilities may pose when located near
low-income or minority communities that already face an environmental
burden from multiple sources.

On February 11, 1994, the President issued Executive Order 12898,
directing federal agencies to identify and address the environmental
concerns and issues of minority and low-income communities. EPA is
committed to the principles in this Executive Order.  Furthermore, in an
effort to make environmental justice an integral part of the way we do
business, the Agency issued a policy directive, in September 1994
(OSWER 9200.3-17), that requires all future OSWER policy and guidance
documents to consider environmental justice issues.

EPA is committed to  equal protection in the implementation and
enforcement of the nation's environmental  laws. Moreover, providing
environmental justice for all U.S.  residents is a major priority for EPA.

In the area of public participation, the Agency has made changes that will
empower communities and potentially increase their voice in the permitting
process. In the "RCRA Expanded Public Participation" rule (60 FR 63417-
34, December 11, 1995), EPA created more opportunity for public
involvement in the permitting process  and  increased access to permitting
information. The rule gives all communities a greater voice in decision
making and a clear opportunity to participate in permit decisions early in
the process.

EPA strongly encourages facilities and permitting agencies to make all
reasonable efforts to ensure that all segments of the population have an
equal opportunity to participate in the permitting process and have equal
access to information in the process. These efforts may include, but are not
limited to:

•    Providing interpreters, if needed, for public meetings.
     Communicating with the community in its language is essential for
     the two-way information flow required to ensure the public an
     equitable voice  in RCRA public participation activities.

•    Providing multilingual fact sheets and other information.  Making
     sure that the materials presented  to the public are written clearly in
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                                     the community's primary language.

                                •    Tailoring your public participation program to the specific needs
                                     of the community. Developing a program that specifically addresses
                                     the community's needs will demonstrate to community members your
                                     interest in achieving environmental equity and fostering a sense of
                                     cooperation.

                                •    Identifying internal channels of communication that the
                                     community relies upon for its information, especially those
                                     channels that reach the community in its own language.  Examples
                                     of these "channels" are a particular radio show or station, a local
                                     television station, a non-English newspaper, or even influential
                                     religious leaders. By identifying and making use of these valuable
                                     communication channels, you can be sure that the information you
                                     want to publicize reaches its target audience.

                                •    Encouraging the formation of a citizens advisory group to serve
                                     as the voice of the community. Such groups can provide meaningful
                                     participation  and empowerment for the affected community (see
                                     Chapter 5 for more detail).

                                (Additional steps you can take to promote  environmental justice are
                                available in Appendix D).

                                Although EPA has taken steps on a national level to address environmental
                                justice issues, many of these issues can be  addressed more effectively at a
                                local level and on a site-specific basis.  Local agencies and leaders have an
                                important role to play  in addressing environmental justice concerns.

                                The RCRA permitting process is intended  to ensure that facilities are
                                operated in a manner that is protective of human health and the
                                environment. Environmental justice concerns are often broader in scope,
                                going beyond the technical design and operation of the facility to include
                                socio-economic, ethnic, and racial factors for the surrounding community.
                                Within the context of public participation in RCRA permitting, the best
                                way to address environmental justice concerns is through active
                                communication. Keeping open lines of communication among permitting
                                agencies, facility owners, and  community members is a good way to
                                promote awareness and understanding of the permitting process, the facility
                                operations, and the community's concerns. Providing frequent
                                opportunities for community participation  empowers the community to  play
                                an important role throughout the process.

                                Permitting agencies should be forthright in explaining the scope and
                                limitations of permitting regulations to the community.  Agencies should
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Supporting Community-
Based Environmental
Protection
    The best solutions to
    many environmental
   challenges are available
   at the community level.
also make sure that citizens understand their rights within the permitting
process (e.g., submitting comments, requesting a public hearing, appealing
permit decisions). Facility owners should strive to establish good relations
with the community and routinely interact with community members and
organizations, seeking input and feedback when making significant
decisions. Communities should gather information about other rights,
outside of the permitting process, such as those afforded under Title VI of
the Civil Rights Act.


In its May, 1995 Action Plan, EPA's Office of Solid Waste and Emergency
Response (OSWER) endorses community-based environmental protection
(CBEP).  CBEP is a method of solving environmental problems in the
context of the community  in which they occur. OSWER's plan points to
CBEP  as a method that "brings the government closer to the people it is
meant to serve."  It also heralds CBEP as "a new way of accomplishing
traditional tasks in a more effective, more responsive manner."

Stakeholder involvement is one of the keys to CBEP. OSWER's plan
points to CBEP efforts as ones that "must empower and equip the
community to participate in environmental decisions, taking into account
not only the human but also the ecological and socioeconomic health of a
place." Thus, the involvement and cooperation of the community, facility
owners and operators, and agency personnel in the permitting process will
fuel CBEP efforts.  Moreover, increased access to information and
opportunities for participation in the permitting process (like those in the
RCRA Expanded Public Participation Rule ) will empower communities
and enable them to practice CBEP.

We encourage permitting agencies, facility owners and operators, public
interest groups, and members of the community to carry out the spirit of
this manual. As we emphasized in the section on "Promoting
Environmental Justice" above, the best solutions to many  environmental
challenges are available at the local community level, and no problem can
be solved without input from local stakeholders.  Only by cooperating,
communicating, and providing feedback and equal opportunities  can
community-based programs reach their potential for solving environmental
problems.

Permitting agencies can take a lead role in promoting a CBEP approach by
discussing RCRA issues in coordination with other environmental concerns
in a given area.  Program distinctions between water, air, waste, and toxics
are less important to stakeholders outside of the agency. Agency staff
should be prepared to address RCRA concerns in the context of air and
water issues that may reach beyond a particular facility. Many companies
are particularly interested in finding opportunities to reduce  process wastes
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Re-evaluating and
Adjusting the Public
Participation Program
through pollution prevention and recycling that affect air, water, and waste
permit requirements. Several states are embarking on "whole facility"
approaches to permitting to take advantage of this approach. Permitting
agencies should consider using fact sheets and availability sessions to
explain RCRA's relationship to other programs.  Combining public
meetings across program lines could also make the entire environmental
picture more clear to stakeholders.


As RCRA activity increases at a facility and becomes more visible, public
interest in a site can increase dramatically. Interest can also fade away
without warning. Participants in the permitting process should anticipate
and plan for sudden changes in the level of interest in a facility. Periodic
communication with key community contacts can help to anticipate
changes in the attitude or interest of other stakeholders. All participants
should make sure to keep their key contacts informed of all planned
activities — especially activities that are highly visible and tend to raise  a lot
of interest, such as construction work or excavation related to cleanups.

In addition, at facilities that are receiving high levels of public interest, the
agency or the facility may want to conduct follow-up community
interviews at a key point (or points) in the decision-making process.  These
interviews will help predict major shifts in public interest or concern. The
agency should also encourage members of the community to submit
comments throughout the process and especially during formal comment
periods. Agency staff should make clear to the public (e.g., through fact
sheets) how the comment and response process works.

Permitting agencies, facility owners, and other involved organizations
should evaluate the effectiveness of public participation programs regularly
through the process.  The permitting process is complex and the best way to
measure the success of a public participation plan is not always clear. The
following are indicators that a public participation program is working:

          stakeholders are not asking the same questions over and over
          again;
          stakeholders are not raising concerns about a lack of
          information;
          the appropriate contact person is handling inquiries in a timely
          manner;
          most of the public participation time is not devoted to correcting
          breakdowns in the information-sharing triangle (see above)
          between the community, the agency, and the facility;
          the channels of communication are well-defined and open;
          interested parties are providing informed comments on the
          project; and
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   The best way to evaluate
    the success of a public
  participation program is to
  ask other stakeholders what
     is and isn't working.
          members of the public are bringing their concerns to
          stakeholders that are actively involved in the process, rather than
          taking them directly to the press or elected officials.
          Creative, more flexible, technical solutions, including pollution
          prevention solutions, are being explored.

If the program is not achieving these objectives, then the agency, facility,
and involved groups need to assess their techniques and determine what
changes will improve the program.  If members of the community are
dissatisfied,  then public participation activities may not be reaching the
right target audiences. The community may not have adequate access to
information  or may not be understanding it because it is too complex.  In
some cases,  the public may need more detailed information.  The
community may feel uncomfortable in relations with the facility or the
agency, or the agency  or the facility may be uncomfortable relating to the
community.  The facility  may not understand its role in the process in
relation to the  agency's role. All of these difficulties can reduce  the
effectiveness of the public participation program.  The  best way to find out
what is going wrong is to talk to the community and the other stakeholders.
Ask them what is working and where improvements are needed.  Modify
public participation activities based on their suggestions and your own time
and resource limitations.

Members of the community should have a chance to evaluate the public
participation activities that the agency, the facility, and public interest or
other groups are employing. EPA encourages participants to solicit
feedback from the public, going beyond the regulatory  requirements where
necessary. Surveys, interviews, or informal meetings are all effective
ways to gather feedback.  In addition, the agency, facility,  and  involved
groups should explain the permitting process to the community, update the
community on significant activities, and provide information that
community members can access and understand.  If these standards are not
being met, then the community should communicate its concerns to the
appropriate contact person.  Citizen input is the feedback that makes two-
way communication work.  All involved organizations  should create a
means for citizens to let them know if public participation activities are not
working (e.g.,  use of a contact person, suggestion boxes, hotlines, surveys,
etc.). Once these organizations know where the breakdown is  occurring,
they can adjust their programs to address community concerns.
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Chapter Summary
      Public participation, defined broadly, is any stakeholder activity carried out to increase public input or understanding of the
      RCRA permitting process.

      The public participation triangle represents the communication between the public, regulators, and the facility.

      Public participation is based on a dialogue.

      Public participation is required, it can lead to better technical decisions, and it can engender public support for a project.

      A successful public participation program allows members of the community to have an active voice in the process and to have
      free access to important information. Participants in a successful program will also pursue the following benchmarks:

                  Creating a dialogue that provides for feedback;
                  Establishing trust and credibility in the community through honesty and openness;
                  Fostering  an informed and active citizenry that follows the process, gives input to other stakeholders, and discusses
                  issues with other concerned groups and people;
                  Ensuring that public officials meet their obligations to the public;
                  Involving the public early in the process, receiving feedback, and addressing public concerns before making
                  decisions;
                  Assessing the community to find out from citizens what types of activities would best allow them to participate;
                  Planning your public participation activities ahead of time, allowing flexibility for changing  interest levels in the
                  community;
                  Understanding and respecting the values and limitations of other stakeholders;
                  Taking steps, such as issuing multilingual fact  sheets or encouraging the formation of citizen advisory groups, to
                  ensure that all segments of the interested community have an equal opportunity to receive information and
                  participate in the process;
                  Supporting efforts to respond to environmental challenges on a community level; and
                  Periodically evaluating the effectiveness of your program in the community and adjusting as community attitudes
                  and interest levels evolve.
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                                                                                       Exhibit  2-1
                                           Determining the Likely  Level of Public Interest in a RCRA Facility
             Level of Interest
                                                Type of RCRA Action
                                                  Community Members' Relationships With
                                                 	Facility/Regulatory Agency	
                                                                   Larger Context
       Low Level of Public Interest in
       a Facility
The RCRA activity is unlikely to be
controversial (e.g., a routine modification)
There is no contamination at the facility that
could come into direct contact with the public
People do not live near the facility
There is a history of good relations between the facility
and members of the community
Members of the community have expressed confidence
in the regulatory agency and/or the facility	
                                                                                                       The facility receives very little media
                                                                                                       attention and is not a political issue
                                                                                                       Community members have not shown any
                                                                                                       past interest in hazardous waste issues
       Moderate Level of Public
       Interest in a Facility
The RCRA action may involve activities, such
as §3008(h) corrective action activities, that
contribute to a public perception that the
facility is not operating safely

Examples may include permits for storage and
on-site activities and routine corrective
actions.
Highly toxic and/or carcinogenic wastes may
be involved (e.g., dioxins)
A relatively large number of people live near the facility
There is a history of mediocre relations between the
facility and members of the community
The facility is important to the community economically,
and the action may affect facility operations
Members of the community have had little or poor
contact with the regulatory agency
Local elected officials have expressed concern about the
facility	
                                                                                                       Community members have shown concern
                                                                                                       about hazardous waste issues in the past
                                                                                                       The facility receives some media attention
                                                                                                       and there are organized environmental
                                                                                                       groups interested in the action
                                                                                                       There are other RCRA facilities or CERCLA
                                                                                                       sites in the area that have raised interest or
                                                                                                       concern
       High Level of Public Interest in
       a Facility
• The RCRA action includes a controversial
  technology or is high-profile for other reasons
  (e.g., media attention)
• Highly toxic and/or highly carcinogenic
  wastes are involved (e.g., dioxins)
• There is potential for release of hazardous
  substances or constituents that poses potential
  harm to the community and the environment
• There is direct or potential community contact
  with contamination from the facility (e.g., con-
  taminated drinking water wells or recreation
  lake)
                                              The nearest residential population is within a one-mile
                                              radius
                                              A relatively large number of people live near the facility
                                              There is a history of poor relations between the facility
                                              and the community
                                              The facility has violated regulations and community
                                              members have little confidence in the regulatory agency
                                              to prevent future violations
                                              There is organized community opposition to the facility's
                                              hazardous waste management practices or to the action
                                              Outside groups, such as national environmental
                                              organizations, or state or federal elected officials have
                                              expressed concern about the facility or action
                                              The economy of the area is tied to the facility's operations
                                                       Community members have shown concern
                                                       about hazardous waste issues in the past
                                                       Facility activities are an issue covered widely
                                                       in the media
                                                       There is interest in the facility as a political
                                                       issue, at the local, state, or federal level (e.g.,
                                                       statewide and/or national environmental
                                                       groups are interested in the regulatory action)
                                                       There are other issues of importance to
                                                       members of the community that could affect
                                                       the RCRA action (e.g., concern over a cancer
                                                       cluster near an area where a facility is
                                                       applying for a permit to operate an inciner-
                                                       ator)
                                                       There are other RCRA facilities or CERCLA
                                                       sites nearby that have been controversial
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                                                Exhibit 2-2
      	Steps in Evaluating Facilities and Gathering Information	
       Step 1:  Review the RCRA Action	

       Is it:
       D        Likely to be a controversial action (e.g., permitting a commercial waste management facility)
       D        Unlikely to be a controversial action

       Step 2:  Talk to colleagues who have worked in this community about their
       	interactions with members of the public	

       •         Has there been a large degree of public interest or concern about other projects?
       •         Have members of the public shown confidence in the regulatory agency?

       Step 3:  Review regulatory agency (or any other) files on the facility	

       Are there:
       D        A lot of inquiries from members of the public
                 Major concern(s)	
                 Any organized groups?.
       D        Few inquiries from members of the public
       D        Clippings from newspapers or other media coverage

       Step 4:  Formulate your preliminary impression of the community based on the above information


       Step 5:  Talk with several key community leaders to confirm your impression	

       People to interview:
       1.
       2.
       3.
       Step 6:  Determine the anticipated level of community interest based on the above information	

       D        Low (go to Step 7)
       D        Moderate (next step: conduct additional community interviews with one member of each community
                 subgroup)
       D        High (next step: conduct a full set of community assessment interviews)

       Step 7:  Write a brief summary of any major community concerns/issues	
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Chapter  3
Public Participation  During  the
RCRA Permitting  Process
Introduction
   States may have their
  own public participation
  requirements in addition
      to the federal
The previous chapter examined the importance of public participation and
the information-sharing triangle, while reviewing the critical components
for building a successful public participation program.  Chapter 3 describes
the specific public participation activities that EPA requires or recommends
during each phase of the RCRA permitting process, beginning before
submission of the RCRA part B permit application, continuing through the
preparation of draft and final permit decision, and throughout the life of the
RCRA permit.

Section 7004(b) of RCRA and EPA's permitting regulations, found in 40
CFR Parts 124 and 270, form the foundation for mandatory public
participation activities during the permitting process for both operating and
post-closure permits. The reader should note that the corrective action
schedule of compliance and other corrective action provisions are typically
part of the RCRA permit under 40 CFR Part 270 (unless carried out under
an enforcement order). Changes to these sections of the permit must follow
the permit modifications procedures of 40 CFR Part 270.41 or 270.42.  We
review the corrective action public participation procedures in Chapter 4.

RCRA permitting regulations require an array of public participation
procedures during the permitting process and the life of the permit.
However, situations  often occur where the facility and  the agency will need
to go beyond the requirements in 40 CFR Parts 124 and 270.  Following the
assessment and planning guidance we provided in Chapter 2, participants in
the permitting process will discover whether a certain permitting activity
deserves greater public participation. Regulators, facility staff, or
community groups may want to consider expanded public participation
activities (described  in this chapter and in Chapter 5) ~ if resources allow -
at priority facilities,  controversial facilities, or at facilities where the
affected community  has a particular need for greater involvement or access
to information.  Participants in the process should seek input from other
stakeholders to  determine if the public participation activities are adequate.
The permitting  agency  may suggest that the facility or  public interest
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                                                      Page 3-1

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    Public participation
   activities should fit the
  diversity, character, and
   culture of the affected
       community.
groups conduct additional activities to supplement required activities and
strengthen communication and trust among stakeholders. In addition, EPA
encourages the community to suggest additional public participation
activities to the permitting agency, the facility, or community and public
interest groups.

In December 1995, EPA expanded the public participation requirements in
the RCRA program by promulgating new regulations.  The new
regulations, known as the "RCRA Expanded Public Participation" rule (60
FR 63417, December 11, 1995), require earlier public involvement in the
permitting process, expand public notice for significant events, and enhance
the exchange of permitting information.  The new requirements, which we
describe more fully in this chapter, include:  (1) a public meeting held by
the facility prior to submitting the part B RCRA permit application; (2)
expanded notice requirements, including use of a  posted sign, a broadcast
notice, and a newspaper display advertisement to  publicize the meeting; (3)
notification of the public when the agency receives a permit application and
makes it available for public review; (4) permitting agency discretion to
establish an information repository, which will be supplied and maintained
by the applicant or permit holder; and, (5) additional notices during the trial
burn period for combustion facilities.

In addition to the new regulatory requirements, EPA is taking steps to
ensure equitable public participation in the RCRA permitting process.  On
December 20, 1995 EPA  Office of Solid Waste and Emergency Response
(OSWER) Assistant Administrator Elliot Laws issued a memorandum to
the EPA Regional Administrators stating the Agency's policy to ensure
equal access to permitting information and provide an equal opportunity for
all citizens to be involved in the RCRA permitting process (see Appendix
N). In this manual, we are strongly encouraging facilities to meet the same
standard of equitable public participation. EPA is committed to equal
protection of our citizens  under the nation's environmental laws and urges
all participants in the RCRA permitting process to strive for environmental
justice, equal opportunity to participate in permitting, and equal access to
information.

To meet this standard, EPA (when it is the permitting agency) will  issue
multilingual notices and fact sheets and use translators, where necessary, in
areas where the affected community contains significant numbers of people
who do not speak English as a first language. In addition, the Agency
recommends that facilities make  efforts to tailor public participation
activities to fit the diversity, character, and culture of the affected
community. When communicating with a community, participants in the
permitting process  should take into account the particular pathways and
methods of information transfer that are used by that community.   These
principles are applicable to all public participation activities, and EPA
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Public Participation
During the Permit
Decision  Process
Step One: The Pre-
Application Stage
                                encourages their adoption by all participants in the RCRA permitting
                                process. See the section entitled "Promoting Environmental Justice" in
                                Chapter 2 for more information.
The permit decision process is composed of a number of steps. Each step
is accompanied by public participation requirements. As we have
mentioned, the regulatory minimum for public participation may not be
sufficient in all cases. Permitting agencies and facilities should consider
going beyond the regulatory requirements, where necessary, to provide for
meaningful and equitable public participation.

For the sake of simplicity, in this manual we will divide the permit decision
process into four steps:

     •    the pre-application stage;
     •    application submittal, agency notice and review;
     •    preparation of the draft permit, public comment period, and the
          public hearing; and
     •    response to public comments and the final permit decision.

Stakeholders should keep in mind that the permit decision process is
lengthy and can be complex and confusing. Keeping the lines of
communication open during the process takes effort on the part of all
participants.  This effort is especially critical during the long periods of
time  while the agency is reviewing the permit or the facility  may be
responding to a Notice of Deficiency (which we describe later in this
Chapter). The agency, the applicant, and other interested groups should
take  steps to keep the community involved and informed during these
"down" times.

We also encourage stakeholders to learn about the process, ask questions,
and discuss it with the other participants.  Permitting agencies in particular,
should make efforts to disseminate  fact sheets and information packages
about the permitting process.  Agencies, public interest groups, or facilities
may  want to perform other public information tasks (see chapter 5 for
descriptions)  to ensure that all stakeholders understand, and are
comfortable with, the permitting process.
Required Activities

The RCRA Expanded Public Participation rule requires a new permit
applicant (or a facility that is applying to renew a permit while making
significant changes) to hold a public meeting prior to submitting the part B
RCRA permit application. This meeting is the earliest formal step in the
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The Pre-Application
Meeting
    The pre-application
  meeting will allow the
    facility to hear and
     respond to public
        concerns.
RCRA permitting process.

Early public input can improve the quality of any permitting activity; the
public can contribute information and recommendations that will be helpful
to agencies as they make permitting decisions and to facilities as they
develop their applications and proposals.

The most important goal EPA hopes to achieve from the pre-application
meeting requirement is the opening of a dialogue between the permit
applicant and the community. We believe that the applicant should open
this dialogue at the beginning of the process. The meeting will give the
public direct input to facility personnel; at the same time, facility personnel
can gain an understanding of public expectations and attempt to address
public concerns before submitting a permit application. We hope that this
requirement will help address the public concern that public participation
occurs too late in the RCRA permitting process.

Conducting the Meeting

The pre-application meeting should provide an open, flexible, and informal
occasion for the applicant and the public to discuss the various aspects of a
hazardous waste management facility's operations. Discussion at the pre-
application meeting need not concern the  technical aspects of the permit
application in extensive detail; such technical examination is more suited to
the draft permit stage (which we describe later in this Chapter).  We
anticipate that the applicant and the public will use this meeting to share
information, learn about each other's concerns, and start building the
framework for a solid working relationship.  The pre-application stage is
also an excellent time to explore the facility's level of expertise in waste
minimization and pollution prevention, and the potential for involving the
facility's waste minimization experts in the public participation process.

While a formal meeting style (i.e., like  a public hearing) may suit some
permitting situations,  EPA realizes that it will not fit in all cases. With this
idea in mind, EPA has written the regulations to allow flexibility in the type
of "meeting" held by the permit applicant. For instance, an applicant may
decide to hold an availability session or open house (see Chapter 5) in place
of a traditional meeting. As  long as this approach meets the requirements
and the spirit of § 124.31 (as presented in this section), EPA will not
preclude applicants  from tailoring meeting styles to fit particular situations.

Regardless of the type of meeting that the applicant decides to hold, the
applicant (as well as the other participants in the process) should strive for
equitable participation and access to information during the pre-application
meeting and the notice of the meeting (see "Promoting Environmental
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     Addressing community
    concerns at the start of a
      project can prevent
     misunderstanding and
   opposition in the long run.
Justice" in Chapter 2 and the Introduction to this Chapter).

At the meeting, permit applicants should address, at the level of detail that
is practical (based on available information), the following topics:  what
type of facility the company will operate; the location of the facility; the
general processes involved and the types of wastes to be generated and
managed at the facility; and the extent to which waste minimization and
pollution prevention may supplement or replace waste treatment needs. The
discussions should also include the transportation routes to be used by
waste transporters and planned procedures and equipment for preventing or
responding to accidents or releases.

These are examples of the types of issues that might be of particular
concern to a community and about which the community might be able to
provide useful suggestions to the applicant. The applicant might then be
able to incorporate that information into the proposed facility design or
operations, either as part of the initial application, if time allows, or at
subsequent stages in the process (e.g., in submitting revisions to its
application, or in responding to a Notice of Deficiency issued by the
permitting agency).  By learning  about and addressing public concerns up
front, the applicant may be able to prevent misunderstanding from
escalating into community opposition. Moreover, the public will have a
clear and open opportunity to interact and communicate with the potential
applicant.

The applicant should make a good faith effort to provide the public with
sufficient information about the proposed facility operations. While we do
not expect applicants to go into extensive detail at the pre-application stage,
they should provide the public with enough information to understand the
facility operations and the potential impacts on human health and the
environment. We encourage applicants to provide fact sheets, information
packets, or other materials (see Chapter 5) that explain the proposed
operations, company policies, waste minimization proposals, or other
information that is relevant to the proposed facility.

The permitting agency may choose to make permitting and pollution
prevention fact sheets available at the meeting. One such fact sheet is
included as Appendix J of this manual.  EPA recommends that permit
applicants distribute this fact sheet (or a similar one produced by the state
agency) at the pre-application meeting, especially in cases where a
representative of the permitting agency does not attend.  EPA does not
expect permit applicants to answer questions about the RCRA permitting
process at the pre-application meeting - particularly where the applicant is
not sure of the answer. We advise  the applicant to let a representative of
the permitting agency answer such questions.  If an agency representative is
not available at the meeting, then the applicant should provide the name of
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    The facility must
    conduct the pre-
   application meeting.
an agency contact person and the number of the RCRA Hotline (available
in Appendix A) or an applicable State information line.

Some applicants may want to consider inviting or hiring a moderator to
conduct the pre-application meeting. The moderator should be a neutral
third party (e.g., a civic organization, non-profit community group, or a
consultant) that is not a stakeholder in the permitting decision process. A
moderator can lend objectivity to the proceedings and help to keep the
discussions fair, under control, and on track. Regardless of whether a third
party conducts the meeting, facility representatives should be present to
answer questions and interact with the community.

EPA regulations are flexible with regard to conducting the pre-application
meeting. One of the few requirements is for the applicant to post a sign-in
sheet, or a similar mechanism, to allow participants to volunteer their
names and addresses for inclusion on the facility mailing list (see §
124.3 l(b)).  The applicant should understand that attendees may not want
to put their names on a mailing list; the sign-in sheet always should be
voluntary. The applicant should make clear at the meeting that people can
contact the permitting agency directly to add their names to the facility
mailing list at any time.

The applicant must submit the list of attendees, along with a "summary" of
the pre-application meeting, as a component of the part B permit
application.  We do not intend for the meeting summary to be a verbatim
account of the meeting.  EPA recognizes how difficult it is to keep a word-
for-word record of a public meeting. Applicants should make a good faith
effort to provide an accurate summary of the meeting. While the
regulations do not indicate a particular format for the meeting summary, we
recommend a type-written document that identifies major issues, points
made in support of those issues, and any response made by the applicant or
other attendees.

As mentioned above, the applicant must submit the summary as a
component of the  part B application. This component should be a
typewritten hard-copy. Since the part B application is available for review
by the public, attaching the summary as part of the application assures that
people who are unable to attend the meeting will have an opportunity  to
find out what happened. We encourage applicants to make the summary
available in other  formats where a community has special needs (e.g., on
audio tape for visually impaired residents).

The RCRA Expanded Public Participation rule requires the facility to
conduct the pre-application meeting. We believe  that the applicant should
conduct the meeting in an effort to establish a dialogue with the
community.  EPA encourages permitting agencies to attend pre-application
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                                 meetings, in appropriate circumstances, but the facility must conduct the
                                 pre-application meeting.  Agency attendance may, at times, be useful in
                                 gaining a better understanding of public perceptions and issues for a
                                 particular facility, and for clarifying issues related to the permitting
                                 process.  However, agency staff should ensure that their attendance does
                                 not detract from the main purposes of the meeting, such as opening a
                                 dialogue between the facility and the community, and clarifying for the
                                 public the role of the applicant in the permitting process.

                                 The regulations do not preclude State agencies and permit applicants from
                                 working together to combine State siting meetings with pre-application
                                 meetings. EPA encourages them to do so, provided that the combined
                                 meetings fulfill the requirements in § 124.31. If meetings are combined,
                                 the portion of the meeting that is dedicated to the RCRA facility permit
                                 must be run by the applicant; the regulatory agency must give the applicant
                                 the floor for a sufficient time period.  In notifying the public of the meeting,
                                 under § 124.3 l(d), the applicant must make clear that the RCRA portion of
                                 the meeting is separate from the general siting discussion.

                                 The pre-application meeting will provide the community with a clear entry
                                 point for participation at an early stage in the permitting process.  We
                                 encourage members of the community to become involved at the pre-
                                 application stage. Public comments and suggestions are easier for the
                                 facility to address at this early stage than later on in the process.  For this
                                 reason, public input can have a greater impact at this stage. Interested
                                 citizens should attend the meeting and participate in the informal dialogue.

                                 The public can learn more about the facility and the company seeking a
                                 permit before attending the meeting by contacting the facility, or by
                                 contacting other stakeholders in the community.  Some community
                                 members may want to research to learn more about the planned (or already
                                 existing) facility.  If you are interested in obtaining more information on the
                                 facility or the permitting process, you may want to contact the permitting
                                 agency or the corporation that owns the facility. Additional information
                                 about past and present owners, past waste spills and releases, complaints,
                                 and the  status of other state, local, and federal permits may be available
                                 from the following: the planning board,  City Hall or the town council, the
                                 county health department, local newspapers, the library, and local fire and
                                 rescue departments. These sources will give you access to information
                                 such as deeds and environmental testing results.

                                 Meeting attendees can become part of the facility mailing list by adding
                                 their names and addresses to the sign-up sheet at the meeting or by sending
                                 their names directly to the permitting agency. People on this list will
                                 receive any significant information sent out by the agency or the facility
                                 regarding the facility.

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   The applicant should avoid
   scheduling the meeting at a
    time that conflicts with
   other important community
          activities.
Citizens should note that not all aspects of the permit application will be
clear at the pre-application stage, in part, because EPA is encouraging
facilities to meet with the public before making all final decisions on their
permit applications. This way, the facility owner/operator will be more
flexible and can react  more effectively to suggestions and concerns raised
in the meeting.  Participants at the meeting should note that the facility
owner/operator will not know the answer to all questions about the
permitting process.  The permitting agency and the RCRA/Superfund
Hotline will be  available to answer questions about the permitting process
and other RCRA requirements (remember that States may have different
procedures than EPA)..

     Date, Time, and Location of the Meeting

The timing of the meeting is flexible. EPA believes that flexibility is
necessary because the optimal timing for the meeting will vary depending
on a number of factors, including the nature of the facility and the public's
familiarity with the  proposed project and its owner/operator.  The applicant
should choose a time for the meeting while considering the following
factors: (1) the community must receive adequate notice before the facility
submits a permit application; (2) the facility's plans for construction or
operation need to be flexible enough to react to significant public concerns
and to make changes to the application, if necessary; (3) the meeting should
not take place so long before submittal of the application that the
community will forget the facility.  We encourage applicants to make a
good faith effort to choose the best date for the pre-application meeting.

While the final  rule  requires the facility to hold only one pre-application
meeting, cases may  arise where more than one meeting is preferable. For
instance, if a facility holds one public meeting  and takes several months to
a year to submit the application, then the facility owner/operator should
consider holding a second meeting.  In other cases, the facility may want to
hold a few meetings of different types (e.g., a public meeting as well as an
availability session).  Of course, permitting agencies or other stakeholder
groups may decide to  hold additional public meetings where appropriate.

The permit applicant should encourage full and equitable public
participation by holding the pre-application meeting at a time and place that
is convenient to the  public.  The applicant should schedule the meeting at a
time when the community is most likely to be available.  Many
communities, for instance, may prefer a meeting held after normal business
hours. Meeting schedulers should avoid holding the meeting at a time that
will conflict with important community activities (e.g., social, religious, or
political events, other  meetings, school activities, or local occasions).  The
applicant should also make sure that the meeting place has adequate space
and is conducive to  the type of meeting that the applicant will conduct.
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Notice of the Pre-
Application Meeting
Finally, the meeting location should have suitable access for all persons; if
such a location cannot be procured, then the applicant should make all
reasonable efforts to provide for equitable participation in the meeting (e.g.,
by responding to written comments).

Some members of the affected community may not feel comfortable with
meetings held on facility property.  Applicants should address community
concerns in this area. EPA encourages applicants to hold the pre-
application meeting on neutral public ground, such as a local library, a
community center, a fire station, town hall, or school.

EPA developed the pre-application meeting notice requirements with the
goal of encouraging facilities to reach as many members of the public as
possible, within reasonable means.  The expanded notice requirements are
intended to reach a broad audience  and to encourage as many people as
possible to attend the meeting. Attendance at the meeting may also provide
an indication of the level of public interest in the facility, although low
attendance does not necessarily equal low interest. Using the list of
attendees from the meeting will allow agencies to develop larger mailing
lists; these lists, in turn, will help the facility and the agency to update more
people more often about the permitting process.

The new rule requires the applicant to provide notice of the pre-application
meeting to the public in three ways:

•    A newspaper display advertisement.  The applicant must print a
display advertisement in a newspaper of general circulation in the
community. The display ad should be located at a spot in the paper
calculated to give effective notice to the general public (see the example in
Appendix H).  The ad should be large enough to be  seen easily by the
reader. In addition to the display ad, we also encourage facilities to place
advertisements in free newspapers, community bulletins, newsletters, and
other low-cost or free publications. In some cases, potential interest in the
facility may extend beyond the host community. Under these
circumstances, we encourage the applicant either to publish the display ad
so that it reaches neighboring communities or to place additional ads in the
newspapers of those communities.

•    A visible and accessible sign. The applicant must provide notice on a
clearly-marked sign at or near the facility (or the proposed facility site).  If
the applicant places the sign on the facility property, then the sign must be
large enough to be readable from the nearest point where the public would
pass ~ on foot or by vehicle ~ by the site.  EPA anticipates  that the signs
will be similar in size to zoning notice signs required by local zoning
boards (of course, this size will vary according to the prerogative of the
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                                                              Page 3-9

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  Choose notice methods
    that will spread the
  word over all segments
      of the affected
       community.
zoning board).  If a sign on the facility grounds is not practical or useful -
for instance, if the facility is in a remote area - then the applicant should
choose a suitable alternative, such as placing the sign at a nearby point of
significant vehicular or pedestrian traffic (e.g., the closest major
intersection). In the case that local zoning restrictions prohibit the use of
such a sign in the immediate vicinity of the facility, the facility should
pursue other available options, such as placing notices on a community
bulletin board or a sign at the town hall or community center. EPA intends
the requirement that the sign be posted  "at or near" the facility to be
interpreted flexibly, in view  of local circumstances and our intent to inform
the public about the meeting. In addition to the requirements of § 124.31,
we encourage the applicant to place additional signs or flyers in nearby
commercial, residential, or downtown areas. Supermarkets, hardware or
department stores, malls, libraries, or local gathering places may have
bulletin boards  for posting notices and flyers.  EPA encourages  facilities to
keep track of posted signs and remove them after the meeting.

•    A broadcast media announcement. The applicant must broadcast the
notice at least once on at least one local radio or television station.  EPA
expects that the applicant will broadcast the notice at a time and on a
station that will effectively disseminate the notice. The applicant may
employ another medium, aside from television or radio, with prior approval
of the permitting agency. Many communities run their own cable channels
for local news and activities; this medium may be used to target a local
audience, often at no charge.  Television spots may be advantageous for
delivering pertinent information about a hazardous waste management
facility directly to the people at home.

Sample notices are provided in Appendix H and more may be available by
contacting the permitting agency.

EPA encourages facilities to pick a mixture of public notice tools that
meets the regulations and will allow the affected community to  receive
equitable, timely, and effective notice of the pre-application meeting.  Such
a mixture may include a number of different and specialized notices that
target specific groups within each community.  One example of such a
targeted notice would be the use of a translated advertisement on Chinese-
speaking local access television station  to reach a Chinese-American
enclave in an area where the community members are affected by the
permitting activity. Specific segments of the affected community can be
targeted by strategic placement of the newspaper display ad, the timing and
station of a radio spot, the geographic location of signs, use of free
newspapers, and multi-lingual notices.  EPA does not require that the
applicant try to reach the largest audience with each method of public
notice (e.g., the radio spot need not be placed on the most popular station).
Instead, the applicant should use a combination of methods (including
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                                                              Page 3-10

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                                 translations) to spread the word over all segments of the affected
                                 community, taking into account the channels of information that are most
                                 useful in reaching diverse groups.

                                 EPA encourages applicants to go beyond the minimum requirements in the
                                 regulations when providing notice of the pre-application meeting.  The
                                 following suggestions will help in providing an effective broadcast notice.
                                 In some rural areas, community members may listen to or watch
                                 predominantly one radio  or television station; in this case, the applicant
                                 should use this station as the vehicle for the notice.  Some areas are part of
                                 a radio market (i.e., defined by services such as Arbitron's Radio Market
                                 Definitions) or television market and have competing radio and television
                                 stations.  Where there is more than one station, the facility owner or
                                 operator should consider carefully the likely audience of the station in order
                                 to ensure that a substantial number of people will see or hear the ad. Areas
                                 with many competing stations are more likely to  have audiences that may
                                 be delineated, for instance, by age, ethnicity, or income. In these situations,
                                 broadcasting the notice on several stations, or in more than one language,
                                 may be beneficial. In all cases, EPA suggests that the announcement occur
                                 at listening or viewing hours with a substantial audience - hours that will
                                 vary for each community as well as for specific groups. The facility may
                                 consult with broadcast stations and community members to determine the
                                 best times to broadcast the notice.

                                 The regulations also require the applicant to send a copy of the notice to the
                                 permitting agency.  Applicants must follow this provision, but we
                                 encourage facilities to contact the appropriate agencies before this stage.
                                 Applicants should consider informing the agency of their intent to seek a
                                 permit before planning the pre-application meeting. Like other
                                 stakeholders in the permitting process,  the permitting agency can benefit
                                 from receiving information as early as possible in the process.  In addition,
                                 the permitting agency may be able to provide guidance  about how to run
                                 the pre-application meeting or what types of public notice work best in a
                                 particular community.

                                 EPA also encourages the applicant to send a copy of the notice to all
                                 members of the facility mailing list, if one exists. This  suggestion applies
                                 especially to facility owners who are applying for a permit renewal and
                                 must comply with § 124.31 because they are seeking to make a change on
                                 the level of a class 3 permit modification.  At these facilities, the mailing
                                 list will already exist and people on the list will be interested in learning
                                 about the most recent activity at the facility. A mailing list will most likely
                                 not exist for new applicants.

                                 Getting the word out at this early stage  is essential to assuring adequate
                                 community participation  during the entire permitting process.  For this

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     Free papers, existing
  newsletters, press releases,
    and word-of-mouth are
  inexpensive ways to notify
         the public.
reason, we encourage the applicant to take additional steps, within
reasonable means, to announce the meeting.  We do not intend for
applicants to spend large amounts of additional time and resources; on the
contrary, there are many simple and inexpensive mechanisms for
distributing information. Free announcements on television or radio,
advertisements in free papers, town newsletters, flyers, small signs, and
press releases are all ways to disseminate information at little or no cost.
We also encourage facilities to pass information through local community
groups and Local Emergency Planning Committees (established under
section 301 of the Superfund Amendments and Re-Authorization Act
(SARA)), professional and trade associations, planning commissions, civic
leaders, school organizations, religious organizations, and special interest
groups.  Other stakeholders involved in the process are  also good conduits
for spreading news about the pre-application meeting.

The regulations require that the notice contain several pieces of
information: (1) the date, time, and location of the meeting; (2)  a brief
description of the purpose of the meeting; (3) a brief description of the
facility and proposed operations, including the address or a map (i.e., a
sketched or copied street map) of the facility location; (4) a statement
encouraging people to contact the  facility at least 72 hours before the
meeting if they need special access to participate in the meeting; and (5) the
name, address, and telephone number of a contact person for the applicant.

The format of the notice is flexible as long as it communicates this
information. The description of the purpose of the meeting should explain
the facility's intent to submit a permit application and set out other
objectives for the meeting.  When describing the facility, the
owner/operator should briefly cover what sort of facility it is or will be
(e.g., a hazardous waste incinerator), what types of wastes it may handle,
and what sort of operations will take place at the facility (e.g., types of
manufacturing, commercial treatment of waste, etc.).  For the facility map,
the owner/operator should provide a photocopy of a street map or a
sketched map,  the purpose of which is to let the public know just where the
facility is or will be.  Finally, persons needing "special access" would
include anyone who may have difficulty with stairs or some entrances,
persons who are visually or hearing impaired, or any person who foresees
some difficulty in attending the meeting without some help.  EPA does not
expect facilities to provide transportation to persons who cannot find other
means of reaching the meeting.

The telephone  contact provided by the applicant in the pre-application
notice  is an important addition to  the public participation resources during
this phase. EPA encourages members of the community to contact the
facility, the permitting agency (see Appendices A  and B for State and
Federal contacts) or other interested groups in the  community, as necessary,
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                                 to become acquainted with the permitting process and the facility plans.
The Facility Mailing
List
   The permitting agency
     should develop the
     mailing list early.
EPA is not requiring the facility to submit proof of the public notice;
however, we are requiring the facility to keep proof of the notice. The
Agency is concerned that proof of the notices may be needed in the case of
a lawsuit.  The applicant should establish a simple file containing proofs for
the notice. Acceptable forms of proof would include a receipt for the radio
or TV broadcast, a photograph of the sign, and a photocopy of the
newspaper advertisement or tear sheets.

The permitting agency is responsible for developing a representative
mailing list for public notices under  § 124.10. EPA is emphasizing the
early development of a thorough mailing list as a critical step in the public
participation process.  If the mailing list allows the agency to keep
important groups and individuals in the community up-to-date on activities
at a facility,  then the permitting agency and the facility will be better able
to gauge community sentiment throughout the permitting process. See the
section on "Mailing Lists" in Chapter 5 for additional information.

EPA anticipates that the meeting attendee list required under § 124.31(c)
will help the agency generate the mailing list by identifying people or
organizations who demonstrate an interest in the facility and the permit
process.

In the past, mailing lists have not been fully developed, oftentimes, until the
agency issued the draft permit or intent to deny the permit. EPA believes
that the mailing list is an integral public participation tool which permitting
agencies should create as early as possible in the process.  Our intent in
having the permit applicant submit the list of meeting attendees under §
124.3 l(c) was to allow the agency to formulate the mailing list at an earlier
stage in the permitting process.  Aside from the names identified by the
permit applicant, we encourage permitting agencies to enhance the mailing
list by contacting a wide variety of groups and individuals, such as:  civic
organizations, religious groups, public interest organizations, recreational
groups, professional/trade associations, Local Emergency Planning
Committees (LEPCs), emergency response and local health care personnel,
environmental justice  networks, educational and academic organizations,
city hall and elected officials, planning and zoning boards, local
development councils, involved State and Federal agencies, newspapers
and reporters, immediate neighbors and property holders, other nearby
companies or business groups, facility employees, and plant tour attendees.
In addition, we encourage the agency to maintain and update the lists
regularly.  All commenters on permitting documents, attendees at any
public meetings or persons using information repositories should be placed
on the mailing list, or have the option of putting their names on the list.
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                                 Members of the community and other interested groups or individuals can
                                 contact the permitting agency to have their names put on the facility
                                 mailing list.  Community and public interest organizations may want to
                                 provide the permitting agency with names for the mailing list. Refer to
                                 Appendices A and B if you would like to find the addresses and phone
                                 numbers of EPA's Regional offices and the state environmental agencies.
    Public participation
    activities should be
   geared to the potential
    level of community
         interest.
Additional Activities

The level of public participation activities should correspond to the
potential level of community interest in the permitting process. To
determine the need for additional activities, participants should consider
conducting a community assessment (see Chapters 2 and 5). If the level
of interest is high, participants will want to do a more thorough needs
assessment and prepare a formal public participation plan (see Chapters 2
and 5).

EPA encourages applicants to provide fact sheets, information packets, or
other materials (see Chapter 5) at the pre-application meeting.  The
permitting agency may also choose to make permitting fact sheets available
at the meeting. One such fact sheet is included as Appendix J of this
manual. EPA recommends that permit applicants distribute this fact sheet
at the pre-application meeting, especially in cases where a representative of
the permitting agency does not attend.

To provide widespread notice of the pre-application meeting, the applicant
may want to use  notice methods that go beyond the requirements.  Some of
these methods, such as public service announcements, existing
newsletters and publications, and newspaper inserts are described in
Chapter 5.

In some cases, the agency, facility, or a community group may find it
appropriate to hold an additional meeting during the pre-application  stage.
Availability sessions  or open houses can provide the  public with an
opportunity to discuss issues face-to-face with officials or other interested
people.

The "RCRA Expanded Public Participation" rule gives the permitting
agency the authority to require the facility owner or operator to establish an
information repository at any point in the permitting process or during the
life of a facility.  The agency should assess the need for the repository by
considering a variety of factors, including:  the level of public interest; the
type of facility; the presence of an existing repository; and the proximity to
the nearest copy  of the administrative record.  The information repository
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      An information
     repository makes
  information accessible to
      the public in a
    convenient location.
can improve the permitting process by making important information
accessible to the public in a convenient location. (See Chapter 5 for more
detail on information repositories). Of course, EPA encourages facilities or
interested community groups to establish their own repositories for public
access to information.  Chapter 5 provides more guidance on how to
establish a repository.

Some permitting information is quite technical and detailed. Members of
the public  and other stakeholders may find this information difficult to
interpret. EPA encourages permitting agencies, facilities, and community
groups to provide fact sheets  and additional materials to make technical and
complicated information more accessible to people who are not RCRA
experts.  Workshops or availability  sessions may be useful for explaining
technical information.  Some citizens or community groups may want to
consult other sources for help in interpreting  scientific and technical data.
If you are looking for such help, you may want to contact the permitting
agency,  facility staff, or other sources such as local colleges, universities,
public interest groups, environmental and civic organizations. Additional
contacts may be available in the local community.  Interested citizens may
be able to find out about these contacts by talking to local newspapers and
other media who cover environmental issues. People who are interviewed
for or quoted in news articles can be an additional source for information.

Getting as much input as possible from the community during these initial
phases of the RCRA permitting process and before a draft permit is issued
will be very useful during the draft permit stage. The draft permit will be
more responsive to the needs and concerns of the community, and  the
community will be more likely to accept the permit conditions if it sees that
its concerns have been heard.

Though the early meeting may reduce public concern that the agency and
the facility are making important decisions before the public becomes
involved, some concern may  still remain. The agency and the facility are
likely to have meetings that cannot, for practical purposes, be open to
public participation. One State agency found that by making notes from
these meetings available through an information repository, public trust in
the agency increased.
Step Two: Application
Submittal and Review
Required Activities

After the permit applicant has met with the public and considered
recommendations and input from the community, he or she may choose to
pursue a RCRA permit and then submit a RCRA part B permit application
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    New EPA rules make
     permit applications
    available to the public
    during agency review.
to the permitting agency. Upon receiving the permit application, the
permitting agency must, under § 124.32, issue a public notice to the
facility mailing list and appropriate units of state and local government.
The notice will inform recipients that the facility has submitted a permit
application for agency review. In addition, the notice will inform the
recipients of the location where the application is available for public
review.

Both of the provisions mentioned in the previous paragraph are the result of
the RCRA Expanded Public Participation rule.  EPA composed these
regulations as a way to inform the public about the status of a facility's
permit application early  in the process .

Before issuing the notice at application submittal, the permitting agency
should solicit community suggestions and input on the best place to put the
application for public  review (agency personnel may have gathered this
information during an earlier stage in the process). We encourage the
agency to issue the notice as soon as is practically possible after receiving
the application. The notice must contain the following information: (1)
the name and telephone number of the applicant's contact person;  (2) the
name and telephone number of the permitting agency's contact office, and a
mailing address to which information, opinions, and inquiries may be
directed throughout the permit review process;  (3) an address to which
people can write in order to be put on the facility mailing list; (4) the
location where copies of the permit application and any supporting
documents can be viewed and copied; (5) a brief description of the facility
and proposed operations, including the address or a map (i.e., a sketched or
copied street map) of the facility location on the front page of the notice;
and (6) the date that the application was submitted.

Permitting agencies must place the application and any supporting
materials somewhere in the vicinity of the facility or at the permitting
agency's offices. The permitting agency should be sensitive to  the burden
on members of the affected community when determining where to place
the application. Many communities do not have the resources or the time
to travel several hours just to access permitting information. To make
information available  in these situations, the permitting agency  should
place the application in a place with public access in the general vicinity of
the facility (e.g., a public library or community center). If such placement
of the document is impractical, the agency should make sure that the public
has other access to permitting information. For instance, the agency could
require the facility to establish an information repository under  § 124.31.  If
the community's information  needs  are on a lower level, the agency may
want to make a short summary of the permit application available to the
affected community.   In some  cases, making information available in
electronic form (e.g., via diskette or Internet) may be useful.
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   The application should
   be available for review
    in the vicinity of the
         facility.
We recommend that, where feasible, the agency place the application in a
location where copying facilities are available and the public has adequate
access to the documents.  EPA also recommends that the application be in a
locale where the documents will be secure and readily available. The
application should go in the information repository, if one exists. If not, a
public library or other building in the vicinity of the facility may provide a
suitable choice.  The permitting agency's headquarters or satellite office
may be adequate if not too far from the facility.

Additional Activities

The permit application review process is often lengthy.  It may take
anywhere from one to five years to issue a permit, depending on the facility
type and level of facility owner or operator cooperation.  Permit applicants
and regulators should recognize that members of the public have pointed
out that they often feel "in the dark" during this phase.  We encourage
agencies and facilities to maintain a good flow of information during
application review.  If resources are  available, permitting agencies and
facilities should plan activities during this time period to keep citizens
informed about the status of the process. Holding workshops, conducting
informal meetings, and providing periodic fact sheets and press releases
about the facility, opportunities  for pollution  prevention, and the RCRA
permit process can spread information and keep the community involved.
Identifying a contact person  to accept comments and answer questions
will also enhance communication. A (toll-free)  telephone hotline with
recorded status reports can reduce the potential for rumors.

EPA encourages permitting agencies to respond (e.g., in writing, by phone,
by holding a meeting) to comments and requests from the public during the
application review process. Agencies should make good faith efforts to
address public concerns and issues.

In situations where a community wants more information about potential
operations at a facility and the health and environmental risks of those
operations, citizens or the agency can work with the facility to set up
facility tours and observation decks during the public comment period.
These activities will give the community a first-hand look at a facility and
the operations and activities happening on-site. (Note that safety and
liability issues need to be considered before a decision is made to include
these activities.) These activities may be particularly useful for a new
facility or when a facility proposes a new or different technology. Facility
tours also may be particularly effective for explaining pollution prevention
accomplishments and opportunities.  Similarly, facility owners or operators
may wish to coordinate with community leaders to tour the community.
This may be useful for understanding potential community concerns.
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Step Three: The Draft
Permit, Public
Comment Period, and
Public Hearing
Required Activities

After the permitting agency reviews the permit application, it must notify
the applicant in writing. If the application is incomplete, the permitting
agency may request that the applicant submit the missing information.  This
request is known as a Notice of Deficiency (NOD).  The permitting agency
may issue several NODs before the application is finally complete.

Once an application is complete, the permitting agency will make a
decision to issue  a draft permit or a notice of intent to deny the permit
application (which  is a type of draft permit).  In either case, the agency
must notify the public about the draft permit. In the notice, the permitting
agency must announce the opening of a minimum 45-day public comment
period on the draft permit.  The agency must print the notice in a local
paper, broadcast the notice over a local radio station, and send a  copy of the
notice to the mailing list, relevant agencies, and applicable state  and local
governments. We encourage agencies to attempt to reach all segments of
the affected community, within reasonable means, when issuing  the notice
of the draft permit (see "Step One:  The Pre-Application Stage"  above and
Chapter 5 for more information on how to notify the public).  Although the
agency is not required to retain documentation of the notice, we
recommend keeping a simple file with proof of the notices. Forms of proof
might include a receipt for the radio ad and a photocopy of the newspaper
add.

EPA regulations require the permitting agency to prepare a fact sheet or a
statement of basis to accompany every draft permit. This fact sheet (or
statement of basis)  is required by regulation and is different than commonly
used informational  fact  sheets. This fact sheet must explain the principal
facts and the significant factual, legal, methodological and  policy questions
considered in preparing the draft permit. The fact sheet must also include,
when applicable, the following (see § 124.8(b)):

     •     a brief description of the type of facility or activity which is the
          subject of the draft permit;
     •     the type and quantity  of wastes that are proposed to be handled
          at the facility;
     •     a brief summary of the basis for the draft permit conditions;
          reasons  why any requested  variances or alternatives to required
          standards do or do not appear justified;
          a description of the procedures for reaching a final decision on
          the draft permit, including (1) the beginning and ending dates of
          the comment period and an address to which comments can be
          sent, (2) procedures for requesting a hearing and the nature of
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   By law, the agency must
  consider and respond to all
     significant comments
      received during the
      comment period.
          the hearing, and (3) any other public participation procedures
          before the final permit decision; and
          the name and telephone number of a person to contact for
          additional information.

EPA recommends that the permitting agency include the fact sheet with the
notice of the draft permit and make the fact sheet available to all interested
parties.

Any person may request a public hearing during the public comment
period.  The agency must hold a public hearing if someone submits a
written notice of opposition to a draft permit and a request for a hearing, or
if the public demonstrates, by the number of requests for a public hearing, a
significant degree of public interest in the draft permit.  The Director also
may hold public hearings at his or her discretion.  The agency must notify
the public about the hearing at least 30 days prior to the hearing. The
agency may choose to combine the hearing notice with the draft permit
notice.  See Chapter 5 for information on holding a public hearing.
Citizens may want to request a public hearing as a forum for airing
community concerns.  The hearing  will be a standard meeting, attended by
the agency and other interested parties.

There is more required public participation during the draft permit stage
than at any other time during the permitting process.  We strongly
recommend that permitting agencies prepare public participation plans (see
Chapter 5), even for the least controversial facilities, just to keep track of
the activities during this stage.

The comment period on the draft permit allows anyone to submit their
concerns and suggestions to the agency in writing. The permitting agency
must, by law, consider all comments (see  § 124.11) in making the final
permit decision.  In addition, the agency must briefly describe and respond
to all significant comments raised during the comment period or during the
public hearing.  EPA encourages participants to submit comments during
this period.
    You can use public
  participation activities to
  explain technical issues
     or the permitting
         process.
Additional Activities

Permitting agencies can keep the process open by sharing all NOD
information with the public, whether through the administrative record, an
information repository, or another activity, such as a workshop. If the
details of the NOD are too arcane or technical, the agency can provide a
short fact sheet. The  fact sheet should not gloss over any major omissions,
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                                but, by the same token, it should point out when an omission is of a less
                                serious nature.

                                Interested community groups or the permit applicant may decide to provide
                                additional public participation activities during this stage.  Some
                                suggestions for useful activities would include explaining the NOD process
                                and discussing technical issues in the application by holding availability
                                sessions. Another option is for citizens or other stakeholders to request
                                one-on-one or small informal meetings with the permitting agency, the
                                permit applicant, or community groups. Stakeholder groups can improve
                                their communication and interaction by meeting together in an informal
                                forum. An informal meeting may also  be more appealing to some
                                participants, who may see activities like public hearings as overly
                                confrontational.

                                The permitting agency may want to provide a news release when issuing
                                the draft permit or intent to deny.

                                The agency, facility, or a public interest group may want to organize an
                                availability session, facility tours, or some other activity prior to the
                                comment period so that the public can be better informed about the facility.
                                Some permitting agencies have held public meetings prior to a public
                                hearing to provide a better forum to discuss issues. Telephone hotlines or
                                voicemail recordings can supplement public notices to inform the
                                community about the dates and locations of public participation events.
Step Four: Response
to Comments and
Final Permit Decision
   Remember that
  State procedures
  may be different.
Required Activities

After the public comment period closes, the regulatory agency reviews and
evaluates all written and oral comments and issues a final permit decision.
The agency must send a notice of decision (not to be confused with a
"notice of deficiency," see above) to the facility owner or operator and any
persons who submitted public comments or requested notice of the final
permit decision.  The  agency must also prepare a written response to
comments that includes a summary of all significant comments submitted
during the public comment period and an explanation of how, in making the
final permit decision,  the agency addressed or rejected the comments.  This
summary shows the community that the agency considered the
community's concerns when making the final permit decisions. The agency
must make the response to comments document available as part of the
administrative record.
                                Additional Activities
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                                 If there was high interest during the comment period, the agency or the
                                 facility may want to issue a news release and fact sheet when the decision
                                 is finalized to inform a wide audience. The permitting agency may choose
                                 to update and release the fact sheet required in § 124.8.
Public Participation
During the Life of a
Facility

Interim  Status Public
Participation
When writing RCRA, Congress granted special status to facilities that
existed when the statute went into effect and for facilities that would be
brought under RCRA by new regulations. EPA refers to these facilities as
having "interim status." According to RCRA, interim status facilities do
not need a permit to operate; instead, while they are seeking permits, they
follow a category of regulations created specifically for them by EPA.
When EPA or a State issues a RCRA operating permit to one of these
facilities, the facility loses its interim status.

Because interim status facilities can operate without a permit, many people
are concerned that some of these  facilities are not as safe as permitted
facilities. Interim status facilities are not required to follow - since they
are not permitted -- any standardized public participation procedures or
permit modification standards (that is, until the facility owner applies for a
permit). Given all these conditions, interim status facilities often pose
public participation challenges even though many such facilities have been
operating for years.

Regulatory agencies may need to use innovative techniques to
communicate with and  provide information to communities around interim
status facilities. EPA acknowledges that every situation will require a
different type and level of community involvement. If interest grows in a
certain facility, the agency should consider holding a workshop or an
availability session. Information repositories are another available tool
(see Chapter 5).  The agency should take steps to explain the special
situation of interim status facilities to citizens. Of course, if an interim
status facility begins to attract public interest, permitting agencies should
consider moving the  facility towards getting a permit and undergoing the
public participation steps in the permitting process.

Owners and operators of interim status facilities should involve the public
even before they formally start to pursue a RCRA permit.  One thing the
facility owners could do to improve access to information is to make a draft
part B application available to the public before submitting it to the
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Permit Modifications
    Modifications can be
    initiated by either the
    agency or the facility.
permitting agency. Facility owners who submitted part B applications in
the past might make their applications available as well.  (Note:  any
interim status facility that submits its part B application on or after June 11,
1996, will be subject to the standards of the RCRA Expanded Public
Participation Rule and, thus, its application will be available for public
review upon submission).  The facility may also want to set up an  on-site
information booth or provide other background materials to the public.
Establishing a contact person and making his or her name available to the
public can improve communication between the facility and the
community. Experience has shown that a good facility-community
relationship during interim status will make for a more cooperative
permitting process.

Members of the public will often have questions or concerns while a
facility is in interim status.  Citizens can contact the facility, the regulatory
agency, or the RCRA/Superfund Hotline to ask questions or  to inquire
about other sources of information. Citizens may also want to contact
public interest organizations, local government, or other involved citizens
for more information.  Interim status  facilities will eventually need to enter
the RCRA permitting process, which citizens can use as an opportunity to
air concerns and to encourage the facility to make important changes.


Over time, a permitted facility may need to modify its permit.  Just as
public participation is a component of the initial permit process, it is also a
part of the permit modification process.  This section discusses different
kinds of permit modifications and their corresponding public participation
requirements.  It is important to note that public participation
responsibilities and activities vary depending on, first, who initiated the
modification (i.e., the regulatory agency or the facility owner or operator)
and,  second, the  degree to which the modification would change  substantive
provisions of the permit. No matter who initiates the modification, when a
modification is proposed, only those permit conditions subject to
modification are reopened for public  comment.

State permitting  agencies may have modifications processes that differ from
the federal requirements.  Contact your State agency (see Appendix B) for
more details.
There are many reasons to modify a permit. In some cases, the regulatory
agency may initiate a permit modification under 40 CFR 270.41. This
section of the regulations identifies three causes for which the regulatory
agency may require a permit modification: (1)  alterations or additions to
the permitted facility or activity; (2) new information received by the
regulatory agency; or (3) new standards, regulations, or judicial decisions
affecting the human health or environmental basis of a facility permit.  In
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  When a facility initiates a
     modification, it is
    responsible for some
    public participation
         activities.
addition, the regulatory agency may modify a compliance schedule for
corrective action in the permit.  Modifications initiated by the regulatory
agency are subject to the full 40 CFR Part 124 permitting requirements, as
described earlier in this chapter.  Specifically, the permitting agency must
•    Issue public notice of the draft modification;
•    Prepare a fact sheet or statement of basis;
•    Announce a 45-day public comment period;
•    Hold a public hearing, if requested, with 30-day advance notice;
•    Issue notice of the final modification decision; and
•    Consider and respond to all significant comments.

More often, however, the facility owner or operator requests a permit
modification to improve facility operations or make changes in response to
new standards. Facility-initiated modifications are categorized under 40
CFR 270.42 as Class 1, 2, or 3 according to  how substantively they change
the original permit. Class 1 modifications require the least public
involvement; Class 3, the most. Like agency-initiated modifications, a
decision to grant or deny a Class 3 permit modification request is subject to
the public participation procedures of 40 CFR Part 124.
Since facility owners or operators initiate modifications more often than the
regulatory agency, the remainder of this chapter lays out the requirements
for facility-initiated modifications.  The permitting agency is also
encouraged to follow these public participation activities, even if not
required under an agency-initiated modification. Appendix L consists of an
EPA fact sheet entitled "Modifying RCRA Permits," which provides more
detail on permit modifications and associated public participation activities.
Exhibit 3-1 at the end of this Chapter presents an easy-to-read  synopsis of
modification requirements and timelines.

When the Facility Owner or Operator Initiates a
Modification

When a facility owner or operator wants to change a RCRA permit, he or
she informs the regulatory agency and interested members of the public,
either before making the change if it is substantive (Class 2 or 3), or soon
after (with a few exceptions), if the change is minor (Class  1). In any case,
this is relatively early notification for members of the public, who often
perceive that RCRA actions are "done deals" by the time  public comment is
solicited.
The facility owner or operator is responsible for conducting most of the
public participation for modifications he or she initiates.  In addition, the
facility, rather than the regulatory agency, bears the burden of explaining
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                                 and defending its actions to the public. To ensure that the facility's public
                                 participation efforts are successful, staff from the facility and the agency
                                 should discuss how to conduct the required activities; the agency should
                                 provide guidance and assistance where necessary.  Moreover, EPA
                                 encourages facilities to consult with communities to determine what
                                 activities will best promote public participation.

                                 Class 1 Modifications
   Class 2 modifications
    require a number of
   activities, including a
   public notice, comment
    period, and a public
         meeting.
Class 1 modifications address routine and administrative changes, including
updating, replacing, or relocating emergency equipment; updating certain
types of schedules identified in the permit; improving monitoring,
inspection, recordkeeping, or reporting procedures; and updating sampling
and analytical methods to conform with revised regulatory agency guidance
or regulations.  They do not substantively alter the conditions in the permit
or reduce the facility's ability to protect human health and the environment.
With a few exceptions, most Class 1 modifications do not require approval
from the regulatory agency before they are implemented. (The exceptions
are listed in Appendix I to 40 CFR 270.42.)

The only public involvement requirement for Class 1 modifications is that
within 90 days of implementing a change, a facility must send a public
notice to all parties on the mailing list compiled by the permitting agency.
The facility is responsible for obtaining a complete facility mailing list
from the agency.  (For more information on mailing lists see Chapter 5.)
Any member of the public may ask the agency to review a Class 1
modification.

Class 2 Modifications

Class 2 modifications address facility-initiated changes in the types and
quantities of wastes managed, technological advances, and new regulatory
requirements, where such changes can be implemented without
substantively altering the facility's design or the management practices
prescribed by the permit. Class 2 modifications do not reduce, and, in most
cases should enhance, the facility's ability to protect human health and the
environment.  During a Class 2 modification, there may be good
opportunities to explore "low tech" pollution prevention opportunities that
reduce waste generation but do not require major process changes (e.g.,
segregating waste streams, modifying maintenance procedures, or installing
closed loop recycling).

Class 2 modifications require the facility to submit a modification request
and supporting documentation  to the regulatory agency. In addition,  the
facility must notify the people on its mailing list about the modification
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                                 request and publish this notice in a major local newspaper of general
                                 circulation. The facility must publish the notice and mail the letter within
                                 seven days before or after it submits the request to the regulatory agency.
                                 The newspaper notice marks the beginning of a 60-day public comment
                                 period and announces the time and place of a public meeting. In addition,
                                 the notice must identify a  contact person for both the facility and the
                                 regulatory agency and must contain the statement, "The permittee's
                                 compliance history during the life of the permit being modified is available
                                 from the regulatory agency contact person."  The notice should state that
                                 public comments must be  submitted to the permitting agency's contact
                                 person.

                                 The public comment period provides an opportunity for the public to
                                 review the modification request at the same time  as the permitting agency.
                                 The facility must place the request for modification and supporting
                                 documentation in a location accessible to the public in the vicinity of the
                                 facility (see guidance on information repositories in Chapter 5 for suitable
                                 locations). The facility must conduct the public meeting no earlier than 15
                                 days after the start of the 60-day comment period and no later than 15 days
                                 before it ends. The meeting, which tends to be less formal than a public
                                 hearing held by the regulatory agency in the draft permit stage, provides for
                                 an exchange of views between the public and the owner or operator and a
                                 chance for them to resolve conflicts concerning the permit modification.
                                 The meeting must be held, to the extent practicable, in the vicinity of the
                                 permitted facility (the guidance on the pre-application meeting, earlier in
                                 this chapter, is applicable to this public meeting ).

                                 The requirements for this meeting, like the pre-application meeting, are
                                 flexible. The  facility is not required to provide an official transcript of the
                                 meeting, though we encourage owners/operators to consult the community
                                 and find out if this information would be  useful.  The permitting agency is
                                 not required to attend the meeting or respond to comments made there;
                                 however, EPA recommends that agency staff attend the meeting to clarify
                                 questions about the permitting process and to find out about any public
                                 concerns and how the owner or operator plans to  address them.

                                 The permitting agency is required to consider all written comments
                                 submitted during the public comment period and must respond in writing to
                                 all significant comments in its decision.  EPA expects that the meeting will
                                 provide information to the public and improve the written comments
                                 submitted to the permitting agency. EPA anticipates that community input
                                 at the meeting may also result in voluntary revisions in the facility's
                                 modification request.

                                 As the following paragraphs explain, the  Class 2 modification procedures
                                 were written to ensure quick action by the agency. However, when seen by

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                                 the public, these procedures can be very confusing. A simple solution that
                                 the permitting agency or the facility should consider is to provide a fact
                                 sheet or a time table to the public at the meeting.

                                 The procedures for Class 2 modifications include a default provision to
                                 ensure that the permitting agency responds promptly to the facility's
                                 request.  The agency must respond to Class 2 modification requests within
                                 90 days or, if the agency notifies the facility  of an extension, 120 days. At
                                 any time during this 120-day period, the agency can: (1)  approve the
                                 request, with or without changes, and modify the permit  accordingly; (2)
                                 approve the request, with or without changes, as a temporary authorization
                                 having a term of up to  180 days; or (3) deny  the request.  If the permitting
                                 agency does not reach a final decision on the request within this period, the
                                 facility is granted an automatic authorization that permits it to conduct the
                                 requested activities for 180 days.  Activities  performed under this authori-
                                 zation must comply with all applicable federal and state hazardous waste
                                 management regulations. If the agency still has not acted within 250 days
                                 of the receipt of the modification request, the facility must notify persons on
                                 the facility mailing list within seven days, and make a reasonable effort to
                                 notify other persons who submitted written comments, that the automatic
                                 authorization will become permanent unless  the regulatory agency approves
                                 or denies the request by day 300.  The public must always have a 50-day
                                 notice before an automatic authorization becomes permanent. The  agency
                                 must  notify  persons on the facility mailing list within 10  days of any
                                 decision to grant or deny a Class 2 modification request.  The agency must
                                 also notify persons on the facility mailing list within 10 days after an
                                 automatic authorization for a Class 2 modification goes into effect.

                                 At any time during the Class 2 procedures the agency may also reclassify
                                 the request as a Class 3 modification if there is significant public concern
                                 about the proposed modification or if the agency determines that the facil-
                                 ity's proposal is too complex for the Class 2 procedures.  This
                                 reclassification would remove  the possibility of a default decision.

                                 As previously indicated, the permitting agency may approve a temporary
                                 authorization under 40 CFR 270.42(b) for 180 days for a Class 2
                                 modification.  In addition, the  agency may grant a facility temporary
                                 authorization under 40 CFR 270.42(e), which would allow the facility,
                                 without prior public notice and comment, to  conduct certain activities
                                 necessary to respond promptly to changing conditions. The facility must
                                 notify all persons on the facility mailing list about the temporary
                                 authorization request within seven days of the request. Temporary
                                 authorizations are useful for allowing a facility owner or operator to
                                 perform  a one-time or short-term activity for which the full permit
                                 modification process is inappropriate,  or for  allowing a facility owner or
                                 operator to initiate a necessary activity while his or her permit modification

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  Class 3 modifications are
   more likely than other
   modifications to raise
         concern.
is undergoing the Class 2 review process. A temporary authorization is
valid for up to 180 days, and the permitting agency may extend the
authorization for an additional 180 days if the facility initiates the
appropriate Class 2 modification process for the covered activity. In
addition, any extension of the activity approved in the temporary
authorization must take place under Class 2 procedures.
                                 Class 3 Modifications

                                 Class 3 modifications address changes that substantially alter a facility or
                                 its operations. For example, a request to manage new wastes that require
                                 different management practices is a Class 3 modification.

                                 Class 3 modifications usually involve changes that are broader or more
                                 detailed than Class 1 or 2 modifications; they are also more likely to raise
                                 concern. Though the Class 3 modifications process allows significant
                                 opportunity for public participation, additional activities may be helpful in
                                 some situations. Permit holders, regulators, and community interest groups
                                 may want to consider taking steps to encourage earlier participation.
                                 Facilities, in particular, should recognize that some Class 3 modifications
                                 will significantly alter their operations. In such cases, and in all cases
                                 where public interest may be high, permittees should consider providing
                                 information and public participation activities prior to submitting the
                                 modification request.

                                 When concern is high, it is critical for the facility to consult with the
                                 agency to make sure that the facility knows how to conduct the required
                                 public participation activities.  In some cases, the permitting agency might
                                 encourage the facility to go beyond the requirements and hold workshops
                                 and publish fact sheets to explain the proposed change. Public
                                 participation activities held by the agency or public interest groups can
                                 supplement the regulatory requirements.

                                 As with Class 2 modifications, Class 3 modifications require the facility to
                                 submit a modification request and supporting documentation to the
                                 permitting agency, and notify persons on the facility mailing list about the
                                 modification request and publish notice in a major local newspaper of
                                 general circulation.  The facility must publish the notice and mail the letter
                                 within seven days before or after the submitting the modification request to
                                 the regulatory agency. The notice must contain the same information as the
                                 Class 2 notification (see above), including an announcement of a public
                                 meeting to be held by the facility at least 15 days after the notice and at
                                 least 15 days before the end of the  comment period.  The newspaper notice
                                 marks the beginning of a 60-day public comment period.
Chapter 3:  RCRA Permitting
                                                              Page 3-27

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  Class 3 modifications are
    subject to the same
    public participation
    procedures as permit
       applications.
In holding a public meeting during the comment period, the facility owner
or operator should follow the guidance for the pre-application meeting
above. The requirements for this meeting are flexible. The facility is not
required to provide an official transcript, though we encourage
owners/operators to consult the community and find out if this information
would be useful. As with Class 2 modifications, the agency is not required
to attend the meeting or to respond to comments made at the meeting.
However, it is important that the permitting agency attend the facility's
public meeting in order to gauge concern about the proposed change and
prepare appropriately for a public hearing, if one is requested. By attending
the public meeting, the agency may learn whether it needs to conduct
additional public participation activities (e.g., hold a workshop or informal
meetings) after preparing the draft modification.  The agency can also
clarify questions about the permitting process. The agency should consider
responding to issues raised at the meeting as part of the response to
comments for the 60-day comment period.  Of course, people who attend
the meeting have the opportunity to submit formal comments to the
permitting agency during the comment period.

At the conclusion of the 60-day comment period, the agency must consider
and respond to all significant written comments received during the
comment period.  The agency must then either grant or deny the Class 3
permit modification request according to the permit modification
procedures of 40 CFR Part 124.

Class 3 modifications are subject to the same review and public
participation procedures as permit applications,  as specified in 40 CFR
270.42(c).  The agency is required to perform the following tasks:

•    Preparation of draft permit modification conditions or notice of intent
     to deny the modification;
•    Publication of a notice of the agency's draft  permit decision, which
     establishes a 45-day public comment period on the draft permit
     modification;
•    Development of a fact sheet or statement of basis;
•    Holding a public hearing, if requested, with 30-day advance notice;
•    Issuance of the notice of decision to grant or deny the permit
     modification; and
•    Consideration and response to all significant written and oral
     comments received during the 45-day public comment period.

With Class 3 permit modifications, the public has  60 days to comment on
the facility's requested modification and another 45 days to comment on the
agency's draft permit modification or proposed notice of intent to deny the
modification. And, in addition to the public meeting held by the facility
owner or operator, the public may also request a public hearing  with the
Chapter 3:  RCRA Permitting
                                                             Page 3-28

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                                 agency.
Public Participation
in Closure  and Post-
Closure
Closure and Post-
Closure at Permitted
Facilities
The permitting agency must notify persons on the facility mailing list
within 10 days of any decision to grant or deny a Class 3 modification
request. As with Class 2 modifications, the regulatory agency may grant a
facility a temporary authorization to perform certain activities requested in
the Class 3 modification for up to 180 days without prior public notice and
comment. For example, the agency may grant temporary authorizations to
ensure that corrective action and closure activities can be undertaken
quickly and that sudden changes in operations not covered under a facility's
permit can be addressed promptly.  Activities performed under a temporary
authorization must comply with all applicable federal and state hazardous
waste management regulations.  The facility must issue a public notice to
all persons on the facility mailing list within seven days of submitting the
temporary authorization request.  The agency may  grant a temporary
authorization without notifying the public. The permitting agency may
reissue a temporary authorization for an additional 180 days provided that
the facility has initiated the appropriate Class 3 modification process for the
activity covered in the temporary authorization and the agency determines
that the extension is warranted to allow the facility to continue the activity
while Class 3 procedures are completed.  See Appendix L for an EPA fact
sheet on modifying RCRA permits.


Facilities may discontinue operations at one or more units for a number of
reasons. For example, units may have reached capacity, the facility owner
or operator may no longer wish to accept wastes, or the facility may have
lost interim status and be required to close by the permitting agency.
During closure, facility owners or operators complete treatment, storage,
and disposal operations; apply final covers or caps to landfills; and dispose
of or decontaminate equipment, structures, and soil. Post-closure, which
applies only to land disposal facilities that do not "clean close" (i.e., remove
all contaminants from the unit), is normally a 30-year period after closure
during which owners or operators of disposal facilities conduct monitoring
and maintenance activities to preserve the integrity  of the disposal system.


EPA regulations (40 CFR 264.112  and 264.118) require facilities seeking
operating permits to submit closure and post-closure plans (if appropriate)
with their Part B  applications in accordance with 40 CFR 270.14(b)(13).
Furthermore, land disposal facilities that leave wastes in place when they
close must obtain a post-closure permit, which specifies the requirements
for proper post-closure care. Consequently, the public has the opportunity
to comment on a facility's closure and post-closure plans and any
amendments made to the plans as part of the permitting process and permit
modification procedures, as described earlier in this chapter.
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                                                            Page 3-29

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   Public participation for the
     post-closure phase must
  address public concerns about
       corrective action.
Closure and Post-
Closure at Interim
Status Facilities
Facilities seeking permits for post-closure are exempt from the pre-
application meeting requirement (§ 124.31) in the RCRA Expanded Public
Participation rule.  The facility, permitting agency, or community group
may decide to hold some type of meeting prior to issuance of the post-
closure permit. Refer to Chapter 5 for information on public meetings,
availability sessions, and workshops.

The permitting agency or other involved organizations should be aware of
closure issues that may concern the public, and they  should plan public
participation activities accordingly.  For example, if the public has
reservations about how "clean" the facility will actually be after the facility
closes, public interest groups, the agency, or the facility may want to
provide fact sheets or conduct educational workshops and informational
meetings about the closure plan and the conditions at the facility.

If the facility owner or operator is leaving a facility,  and possibly even the
community, the public may be very concerned about whether the facility
owner or operator  will really be vigilant in monitoring the post-closure
operations at the facility or will have enough financial resources to do so.
Moreover, almost  all post-closure permits will contain schedules of
compliance for corrective action if a facility closes before all necessary
corrective action activities are completed.  As a result, public participation
events in the post-closure phase need to address community concerns about
corrective action.  (See Chapter 4 for additional information on corrective
action activities.)  Note, however, that unless corrective action is required
in the post-closure permit, public interest in closure plans is usually limited.


Facilities may also close under interim  status, often under enforcement
orders.  Facilities that are closing under interim status must submit closure
and post-closure plans (if appropriate) under 40 CFR 265.112 and 265.118.
Public participation activities for interim status facilities during the closure
and post-closure processes are specified in 40 CFR 265.112(d)(4) and
265.118(f).  The regulations require that the permitting agency provide the
public and the facility, through  a newspaper notice,  with the opportunity to
submit written comments on the closure and post-closure plans and request
modifications to the plans no  later than 30 days from the date of the notice.
EPA encourages permitting agencies to use other methods of notice, as
appropriate, to announce the meeting. In response to a request, or at its
own discretion, the agency may hold a  public hearing on the plan(s), if
such a hearing might clarify one or more of the issues concerning the
plan(s).  The agency must provide public notice at least 30 days before the
hearing.  The agency will approve, modify, or disapprove the plan(s) within
90 days of their receipt.

The public can petition the permitting agency to extend or reduce the post-
Chapter 3:  RCRA Permitting
                                                              Page 3-30

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                                  closure care period applicable to an interim status facility or land disposal
                                  unit.  Whenever the agency is considering a petition on a post-closure plan,
                                  it will provide the public and the facility, through a public notice in the
                                  newspaper, with the opportunity to submit written comments within 30 days
                                  of the date of the notice. Again, EPA encourages permitting agencies to go
                                  beyond the newspaper notice requirement, as appropriate,  to disseminate
                                  the notice. In response to a request or at its own discretion, the agency may
                                  hold a public hearing on the post-closure plan, if such a hearing might
                                  clarify one or more of the issues concerning the plan.  The agency must
                                  provide public notice of the hearing at least 30 days before it occurs.  If
                                  the agency tentatively decides to modify the post-closure plan, 40 CFR
                                  265.118(g)(2) requires that the agency provide the public  and the facility,
                                  through a public notice in the newspaper, with the opportunity to submit
                                  written comments within 30 days of the date of the notice,  as well as the
                                  opportunity for a public hearing. After considering the comments, the
                                  regulatory agency will issue a final decision.

                                  An interim status facility may amend its closure plan at any time prior to
                                  the notification of partial or final closure, and its post-closure plan any  time
                                  during the active life  of the facility or during the post-closure care period.
                                  An owner or operator with an approved closure or post-closure plan must
                                  submit a written request to the permitting agency to authorize a change. In
                                  addition, the agency may request modifications to the closure and post-
                                  closure plans. If the amendment to the closure plan would be a Class 2 or
                                  Class 3 modification, according to the criteria specified in  40 CFR 270.42,
                                  then the modification to the plan will be approved according to the
                                  procedures in 40 CFR 265.112(d)(4) detailed above.  Similarly, if the
                                  amendment to the post-closure plan would be a Class 2 or Class 3
                                  modification, according to the criteria specified in 40 CFR 270.42, the
                                  modification will be approved according to the procedures in 40 CFR
                                  265.118(1), also described  above.
Chapter Summary

     Some permitting situations will call for public participation that goes beyond the regulatory requirements

     The "RCRA Expanded Public Participation" rule (60 FR 63417, December 11, 1995), provides for earlier public participation in
     the permitting process, expands public notice for significant events, and enhances the exchange of permitting information

     EPA strongly encourages permitting agencies and facilities to ensure equal access to permitting information and provide an equal
     opportunity for all citizens to be involved in the RCRA permitting process

     The permit decision process and the required public participation activities can be divided into four key steps :

     1.     The Pre-Application Stage

           - Facility gives public notice and holds an informal public meeting


Chapter3: RCRA Permitting                                                                      Page 3-31

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            - Agency develops a mailing list
            - Additional activities that may apply include:  community assessments, public participation plans, information
            repositories, and fact sheets

      2.     Application Submittal, Notice, and Review

            - Agency issues a notice to the facility mailing list and state and local governments
            - Agency makes application available for public review
            - Additional activities that may apply include:  observation decks, facility tours, community tours, workshops, and news
            conferences.

      3.     Preparation of Draft Permit, Public Comment Period, and the Public Hearing

                  Agency issues public notice of draft permit (or intent to deny)
                  Agency prepares a fact sheet or statement of basis
                  Agency announces a 45-day public comment period
                  Hold a public hearing, if requested or at the agency's discretion, with 30-day advance notice
                  Additional activities that may apply include: information sessions, workshops, news releases, and fact sheets.

      4.     Response to Public Comments and the Final Permit Decision

                  Agency responds to all significant comments raised during the public comment period, or during any hearing
                  Agency issues notice of final permit decision

      The regulatory agency can initiate a permit modification under 40 CFR 270.41 following the full permitting procedures of 40 CFR
      Part 124. A facility may also initiate a Class 1, 2, or 3 permit modification under 40 CFR 270.42. For facility-initiated
      modifications, public participation activities are required of both the facility and the regulatory agency, as described below:

      1.     Class 1

            Facility Requirements:

                  Notify mailing list within 90 days

      2.     Class 2

            Facility Requirements:

                  Notify mailing list and public newspaper notice
                  Announce 60-day public comment period
                  Place modification request and supporting documentation in an accessible location in the vicinity of the facility
                  Hold public meeting
                  If the regulatory agency does not act within 250 days of the modification request, notify mailing list that automatic
                  authorization will become permanent in 50 days

            Regulatory Agency Requirements:


                  Allow 60 days for public comment on the modification request
                  Consider all written comments and respond in  writing  to all significant comments
                  Issue notice to the mailing list within 10 days of any decision to grant or deny a modification request
                  Issue notice to the mailing list within 10 days after an automatic authorization goes into effect

      3.     Class 3

            Facility Requirements:

                  Notify mailing list and publish newspaper notice
                  Announce 60-day public comment period
                  Place modification request and supporting documentation in an accessible location in the vicinity of the facility
                  Hold public meeting


Chapter3:  RCRA Permitting                                                                                Page 3-32

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            Regulatory Agency Requirements

                  Allow 60 days for public comment on the modification request
                  Issue public notice
                  Prepare a fact sheet or statement of basis
                  Announce a 45-day public comment period on draft permit decision
                  Hold a public hearing, if requested, with 30-day advance notice
                  Issue or deny the modification request
                  Respond to written and oral comments from the 45-day comment period
                  Consider and respond to all significant written comments received during the 60-day comment period

      For Class 2 or 3 modifications, the permitting agency may grant a facility temporary authorization to perform certain activities for
      up to 180 days.  The facility must notify the public within seven days of making the request.  The agency may grant a temporary
      authorization without prior public notice and comment.

      For facilities seeking permits, the public has the opportunity to comment on closure and post-closure plans and any amendments to
      the plans as part of the permitting process and permit modification procedures. The public can also comment and request hearings
      on closure and post-closure plans submitted by interim status facilities. The permitting agency can initiate, and the facility can
      request, modifications to interim status plans; these requests are also subject to public comment.

      Post-closure permits and plans often mandate corrective action.
Chapter3:  RCRA Permitting                                                                                Page 3-33

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                                                    Exhibit 3-1
       Public Participation Requirements for Class 1, 2, and 3 Permit Modifications

  Class 1
        Type of Changes — Routine and administrative changes

        Required Activities

              Within 90 days of implementing a change, facility must notify all parties on mailing list.

  Class 2

        Type of Changes — Improvements in technology and management techniques

        Required Activities	

        Day 1: Regulatory agency receives modification request.
        Day 7: Facility publishes newspaper notice, notifies mailing list, and places copy of permit modification request and
        supporting documents in accessible location.
        Days 15-45: Facility holds public meeting.
        Day 60: Written public comments due to regulatory agency.
        Day 90: Regulatory agency response to modification request due, including response to written comments.  Deadline may be
        extended 30 days.
        Day 120: If regulatory agency has not responded, requested activity may begin for 180 days under an automatic
        authorization.
        Day 250: If regulatory agency still has not responded, facility notifies public that authorization will become permanent
        unless regulatory agency responds within 50 days.
        Day 300: If regulatory agency has not responded, activity is permanently authorized.
        Regulatory agency must notify mailing list within 10 days of any decision to grant or deny modification request, or after an
        automatic authorization goes into effect.

  Class 3

        Type of Changes — Major changes to  a facility and its operations

        Required Activities	
        Day 1: Regulatory agency receives modification request.
        Day 7: Facility publishes newspaper notice, notifies mailing list, and places copy of the permit modification request and
        supporting documents in an accessible location.
        Days 15-45: Facility holds public meeting.
        Day 60: Written public comments due to regulatory agency.

        After the conclusion of the 60-day comment period, the regulatory agency must grant or deny the permit modification request
        according to the permit modification procedures of 40 CFR Part 124. These include:

        • Issuing public notice of the draft permit modification or intent to deny the modification;
        • Preparing a fact sheet or statement of basis;
        • Announcing a 45-day public comment period;
        • Holding a public hearing, if requested, with a 30-day advance notice;
        • Considering and responding to all significant written and oral comments received during the 45-day comment period; and
        • Issuing notice of the final permit modification.

        In addition, the regulatory agency must consider and respond to all significant written comments received during the 60-day
        comment period.	
Chapter3: RCRA Permitting                                                                              Page 3-34

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Chapter 4
Public  Participation in  RCRA
Corrective Action Under Permits  and
§3008(h)  Orders	
Introduction
   Corrective action
  may take place under
     a permit or an
   enforcement order.
RCRA requires owners and operators of hazardous waste management
facilities to clean up contamination resulting from current and past
practices. These cleanups, known as corrective actions, reduce risks to
human health and the environment.

As with the rest of the RCRA program, state environmental agencies can
receive authorization from EPA to implement the corrective action
program.  The corrective action requirements in authorized states must be
at least as stringent as the federal requirements and may be more stringent.
Where states implement the program, EPA plays an oversight role; the
Agency implements the program in non-authorized states.

This chapter lays out a framework for corrective action public participation
that follows the typical approach to facility cleanup (e.g., site investigation,
analysis of alternatives, remedy selection). However, alternative
approaches may be used provided they achieve the goals of full, fair, and
equitable public participation.  More than 5,000 facilities are subject to
RCRA corrective action. The degree of cleanup necessary to protect human
health and the environment varies significantly across these facilities. Few
cleanups will follow exactly the same course; therefore, program
implementors and facility owners/operators must be allowed significant
latitude to structure the corrective action process, develop cleanup
objectives, and select remedies appropriate to facility-specific
circumstances. Similar latitude must be allowed in determining the best
approach to public participation, in order to provide opportunities
appropriate for the level of interest and responsive to community concerns.

At the federal level, corrective actions may take place under a RCRA
permit or as an enforcement order under §3008 of RCRA. In authorized
states, corrective action may take place under a state-issued RCRA permit,
a state cleanup order, a state voluntary cleanup program, or another state
cleanup authority. Since authorized states may use a variety or
combination of state authorities to compel or oversee corrective actions,
EPA encourages interested individuals to check with their state agency to
gather information on the available public participation opportunities.
Chapter 4: Corrective Action and §3008(h) Orders
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                                  The RCRA corrective action program is the counterpart of EPA's other
                                  hazardous waste clean-up program, "Superfund," which is formally known
                                  as the Comprehensive Environmental Response, Compensation, and
                                  Liability Act (CERCLA). Unlike most Superfund clean-ups, RCRA
                                  corrective actions generally take place at facilities that continue to operate,
                                  and the current facility owner or operator is involved in the cleanup.
                                  Because cleanups under RCRA and Superfund often involve similar issues,
                                  EPA encourages equivalent public participation procedures in the two
                                  programs. Thus, parts of this chapter will refer you to the Community
                                  Relations in Superfund handbook (EPA/540/R-92/009, January 1992),
                                  which is available by calling the RCRA/Superfund Hotline at 1-800-424-
                                  9346.
Current Status of
the  Corrective
Action  Program
   The ANPR emphasizes
    areas of flexibility in
    corrective action and
     describes how the
   program is improving.
      Although Subpart S
    regulations are not final,
  much of the 1990 proposal is
  routinely used as guidance by
        permit writers.
On May 1, 1996, EPA published an Advance Notice of Proposed
Rulemaking (ANPR) in the Federal Register (61 FR 19432). The Notice:
(1) presents EPA's strategy for writing final corrective action regulations;
(2) describes the current corrective action program and requests
information to help EPA identify and implement improvements to the
program; and (3) emphasizes areas of flexibility in the current program and
describes program improvements already underway.

Public participation during corrective action derives from a combination of
regulations and EPA guidance. The regulations set out requirements that
facilities and agencies must meet when a permit is issued or modified,
under 40 CFR parts 124 and 270, to incorporate corrective action
provisions. EPA guidance, on the other hand, suggests  additional
provisions that the permitting agency may include in the permit.  One
example of such guidance for corrective action activities is the Proposed
Subpart S rule (55 FR 30798, July 27, 1990). The Subpart S regulations are
not final, but much of the 1990 proposal is routinely used as guidance by
permit writers.1

Since there are no regulations requiring public participation under §3008(h)
orders, any such activities are based on guidance.  EPA policy states that
the opportunities for public participation should be generally the same as
those
     Two provisions of the 1990 proposal were promulgated in 1993: the final corrective action management unit (CAMU) and
     temporary unit regulations on February 16, 1993 (58FR 8658). Under this final rule, CAMUs and temporary units may be
     designated by the regulatory agency in the permit prior to or during remedy selection according to the procedures in 40 CFR
     270.41; these units may also be implemented through the use of Section 3008(h) orders or order modifications. Conversely, the
     facility may request a permit modification to implement a CAMU following the Class 3 permit modification process defined in 40
     CFR 270.42. If approval of a temporary unit or time extension for a temporary unit is not requested under a Class 3 permit
     modification or obtained under a regulatory agency-initiated modification, the facility owner or operator may request approval for
     a temporary unit according to the procedures for a Class 2 permit modification. Chapter 3 (RCRA Permitting) discusses the public
     participation activities associated with each level of permit modification.
Chapter 4: Corrective Action and §3008(h) Orders
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  In the 1996 ANPR, the
    Agency reaffirmed
   using portions of the
     1990 proposal as
        guidance.
   Public participation
  should come early in
  the corrective action
        process.
opportunities that accompany corrective action under a permit (see the
section called "Special Considerations for Public Participation Activities
Under §3008(h) Orders" below).

The May 1,  1996 ANPR reaffirms the Agency's use of portions of the 1990
proposal as guidance, including many of the portions addressing public
participation in corrective action. While much of the 1990 proposal will
still be used as guidance, the ANPR emphasizes the need for flexibility in
developing site-specific corrective action schedules and requirements,
including public participation requirements tailored to meet the needs of the
local community.

As described in the ANPR, EPA is actively looking for opportunities to
identify and implement improvements to make the corrective action
program faster, more efficient, more protective, and more focused on
results.  In the ANPR, the Agency emphasizes that revisions to the
corrective action program should also enhance  opportunities for timely and
meaningful public participation.

This chapter outlines the public participation activities associated with the
corrective action process under both permits and §3008(h) orders. It
describes public participation activities currently required under federal
regulations and policies, as well as additional activities that EPA
recommends. If additional guidance is appropriate upon promulgation and
re-proposal of corrective action regulations, EPA will update this chapter
and make it available to the public.

The three paragraphs below provide a few guidelines for public
participation, in the form of overarching principles, which should be
considered throughout the  corrective action process.

Early Participation

As we emphasized in Chapter 2, public participation should begin early in
the permitting process. It should also begin early in the corrective action
process. Many of the important decisions in a corrective action are made
during the site investigation and characterization. Overseeing  agencies and
facilities should make all reasonable efforts to provide for early public
participation during these phases.

Consistency with Superfund

A significant portion of the RCRA corrective action process is analogous to
the Superfund process. Due to this similarity, EPA encourages permitting
agencies and facilities to make public participation activities under the
RCRA system consistent with those activities required under Superfund.
For example, RCRA  interim actions should provide opportunities  for
participation that are  similar to, or go beyond, Superfund public
Chapter 4:  Corrective Action and §3008(h) Orders
                                                               Page 4-3

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Special
Considerations for
Public Participation
Activities Under
§3008(h) Orders
    Under EPA policy,
    public participation
    requirements during
    corrective action are
    generally the same
     under orders and
         permits.
participation for removal actions, and similar opportunities for participation
should be available under both corrective measures implementation and a
Superfund remedial action.

Shared Responsibility for Public Participation
Activities

The corrective action process may  involve cleanup steps that are initiated
by an overseeing agency or a facility owner/operator.  Public participation
activities will often be more useful for the public if the party who
performed the latest cleanup step then conducts the public participation
activity.  For instance, if the facility owner/operator does a facility
investigation, then it would usually be more appropriate for the facility
owner/operator to run the public meeting or whatever activity follows the
investigation. In addition, EPA recognizes that important forms of public
participation take place outside of the formal corrective action process.
The Agency encourages public interest, environmental, civic, and other
organizations to provide such activities.  The Agency  also encourages
citizens to discuss cleanup and permitting issues with  knowledgeable
stakeholders in the community.


As we mentioned above, corrective action activities are conducted under an
order issued under RCRA Section 3008(h).  RCRA 3008(h) orders may be
used to get corrective action started in advance of facility permitting or
when a facility is closing under interim status. RCRA 3008(h) orders may
be issued either on consent or unilaterally. A consent order is issued when
the facility and the regulatory agency have come to an agreement about the
corrective action; a unilateral order is issued when the regulatory agency
and the facility have been unable to agree about  the need  for, or the scope
of, corrective action.

As a matter of EPA policy, the substantive corrective  action requirements
and public participation requirements imposed under an order are generally
the same as those that would occur if corrective  action were taking place
under a permit (61 FR 19432, May 1, 1996); however, because orders have
significant administrative differences from permits there  are some special
considerations. For example: under a §3008(h) order, there may be
limitations on the permitting agency's ability to release or discuss certain
information; no public participation activities are statutorily required under
§3008(h), though EPA policy is that public participation under corrective
action orders be generally the same as under permits;  and, while facility
owner/operators may agree to conduct public participation activities under
a consent order, under a unilateral order public participation responsibilities
will likely fall to the permitting agency.

In addition to ensuring that appropriate public participation activities occur
during implementation of a corrective action order, in some cases, it may
Chapter 4:  Corrective Action and §3008(h) Orders
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                                 be useful to begin public participation prior to the issuance of the order by
                                 assessing the community's concerns and identifying the most appropriate
                                 means of addressing those concerns. (Assessing a community's concerns
                                 and planning for public participation is discussed in greater detail in
                                 Chapter 2.) When corrective action will take place under a consent order,
                                 care should be taken to explain to the community that corrective action
                                 orders on consent are not traditional enforcement actions in that they are
                                 simply means to expedite initiation of corrective action activities; they are
                                 not typically issued in response to a violation at the facility.

                                 Limitations on  Releasing Information:  When the agency is negotiating
                                 an order with the facility, confidentiality of certain information must be
                                 maintained. The aim of these negotiations is to encourage frank discussion
                                 of all issues and to resolve differences, thereby allowing the agency to issue
                                 an order on consent rather than unilaterally.  Agency staff should take
                                 notice: public disclosure of some information may be in violation of state
                                 and federal statutes, and  could jeopardize the success of the negotiations, so
                                 be sure to coordinate  any public notices with enforcement staff before
                                 releasing information.

                                 Not being able to fully disclose information to the public can pose
                                 problems, particularly in a community where interest is high and citizens
                                 are requesting information.  If interest in the facility is high, the project
                                 manager, project staff, and the Public Involvement Coordinator  should
                                 discuss how to address citizens' concerns without breaching confidentiality.
                                 At the very least, the public  deserves to know why these limitations are
                                 necessary and when and  if they will be lifted.

                                 Further constraints may be placed upon public participation if discussions
                                 with the facility break down, and the case  is referred to the  Department of
                                 Justice (DOJ) to initiate litigation.  In this  situation, public participation
                                 planning should be coordinated with the lead DOJ attorney  as well.

                                 Strongly Suggested Versus Required Activities:  As discussed earlier in
                                 this Chapter, EPA's policy is that the substantive corrective action
                                 requirements and public  participation requirements imposed under  an order
                                 should be generally the same as those that would occur if corrective action
                                 were taking place under  a permit. U.S. EPA's Office of Solid Waste and
                                 Emergency Response has issued two directives addressing public
                                 participation in §3008(h) orders: Directive 9901.3,  Guidance for Public
                                 Involvement in RCRA Section 3008(h) Actions  (May 5, 1987) and
                                 Directive 9902.6, RCRA  Corrective Action Decision Documents:  The
                                 Statement of Basis and Response to Comments (April 29, 1991). These
                                 directives suggest public participation activities in orders, even though such
                                 activities are not required by statute. The  directives suggest the following
                                 activities after a proposed remedy has been  selected:

                                 •    Writing a statement of basis discussing the proposed remedy;
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Public Participation
In Corrective Action
                                 •    Providing public notice that a proposed remedy has been selected and
                                      the statement of basis is available;
                                 •    Providing a public comment period (30-45 days) on the proposed
                                      remedy;
                                 •    Holding a public hearing if requested; and
                                 •    Writing a final decision and response to comments.

                                 The remainder of this Chapter reflects EPA's support for having equivalent
                                 public participation steps under both permits and orders.  While there are
                                 no requirements for public participation under orders, EPA strongly
                                 suggests the activities reviewed in this Chapter.  In our review of the
                                 corrective action elements (initial site assessment, site characterization,
                                 etc.) in the following pages, we discuss public participation activities that
                                 are required or additional.  Because EPA strongly suggests public
                                 participation activities under orders, we present them under the  "Required
                                 Activities" headings for each corrective action element.

                                 Consent Versus Unilateral Orders:  If the agency is issuing a consent
                                 order, the agency should consider negotiating with the facility to have it
                                 write a public participation plan (if community interest in the facility is
                                 high), or at least conduct some activities as terms of the order. If the
                                 agency is issuing a unilateral order, however, circumstances may be such
                                 that it is necessary and/or appropriate for the agency to assume all or most
                                 public participation responsibilities.  Care must be used regarding the
                                 disclosure of information prior to the issuance of a unilateral order.
                                 Premature disclosure may place additional strain on the facility-agency
                                 relationship.
Because corrective action activities involve investigation of releases and
potential releases of hazardous waste, the community is likely to take an
active interest.  Corrective action investigations and remedial activities may
be very visible to the public. Experts visit the facility to conduct
investigations, trucks and equipment travel back and forth to the facility,
and government agencies oversee activities. Delays in the cleanup or long
"down times" between permitting activities are not uncommon. All of
these factors can heighten the anxiety and concern of the  community.
Accordingly, the community may require more information on issues
related to current or potential contamination, including levels of
contamination, the extent of health and environmental risks, and the
potential for future risks.  The public may also seek additional opportunities
to give input to the overseeing agency or the facility.

The regulatory requirements provide a baseline for adequate public
participation while leaving a great deal of flexibility in the program. Some
situations will call for public participation opportunities that go beyond the
regulatory baseline. Where regulations do not specify public participation
during corrective action, overseeing agencies and facility owners/operators
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    A successful corrective
    action program must be
   procedurally flexible; no
     one approach will be
  appropriate for all facilities.
should develop site-specific public participation strategies that are
consistent with existing requirements and provide for full, fair, and
equitable public participation.

The scope and complexity of corrective actions will vary significantly
across facilities. For this reason, EPA has created a flexible program that
allows regulatory agencies to tailor corrective action requirements to
facility-specific conditions and circumstances.  While EPA's public
participation regulations establish a baseline of requirements, some
situations will call for public participation opportunities that go beyond the
regulatory baseline. This is particularly true in the corrective action
program because many of the specific corrective action regulations,
including regulations for public participation, are not yet final and because
corrective action activities often occur outside the permitting process (e.g.,
under a federal or state order). In this chapter, we will discuss times during
the process when additional public participation can be critical. We
encourage stakeholders to follow the guidance in this chapter and Chapter 2
when planning for public participation in the corrective action process.

Corrective actions, like most site cleanup activities, usually involve several
key elements.  These elements are:

     •    Initial Site Assessment (RCRA Facility Assessment (RFA));
     •    Site Characterization (RCRA Facility Investigation (RFI);
     •    Interim Actions;
     •    Evaluation of Remedial Alternatives (Corrective Measures
          Study  (CMS);
     •    Remedy Selection;
     •    Remedy Implementation  (Corrective Measures Implementation
          (CMI)); and
     •    Completion of the Remedy.

The corrective action process is not linear.  The elements above should not
be viewed as prescribed steps on a path, but as evaluations that are
necessary to support good cleanup decisions.  Because these elements may
not occur in the same order (or at all) at every facility, we encourage
planners to use them as general guidelines, while leaving flexibility for
changes. A successful corrective action program must be procedurally
flexible; no one approach to implementing these cleanup elements will be
appropriate for all facilities. The seven elements, and the public
participation activities  associated with them, are described in the sections
below.

Refer to Chapter 3 for additional information on permitting, including
permit modifications, and Chapter 5  for specific details on public
participation activities  described in this chapter.
                                  The corrective action process usually begins with an initial site assessment,
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Initial Site
Assessment (RFA)
called a RCRA Facility Assessment or RFA.  The RFA is conducted either
by the overseeing agency or by the facility with subsequent agency
approval.  The purpose of an RFA is to gather data about a site, including
releases and potential releases of hazardous waste and hazardous
constituents, to determine whether a cleanup may be necessary. RFAs
usually include (1) a file review of available information on the facility; (2)
a visual site inspection to confirm available information on solid waste
management units (SWMUs) at the facility and to note any visual evidence
of releases; and (3) in  some cases, a sampling visit to confirm or disprove
suspected releases.

The results of an RFA are recorded in an RFA report.  The RFA report will
describe the facility and the waste management units present at the facility
and note any releases or potential releases.  It will also describe releases
and potential releases from other, non-waste-management-associated
sources (e.g., a spill from a product storage tank). Interested individuals
may request copies of RFA reports from the appropriate EPA regional
office or state agency.

In addition to the information recorded in RFA reports, if corrective action
is taking place in the context of a RCRA permit, the permit application will
also describe the physical condition of the facility including its subsurface
geology, the waste management units present at the facility, and any
releases and potential releases.

The RFA report usually serves  as the basis for future corrective actions at a
facility. If, after completion  of the RFA, it appears likely that a release
exists, then the overseeing agency will typically develop facility-specific
corrective action requirements in a schedule of compliance,  which will be
included in the facility's permit or in a RCRA Section 3008(h) corrective
action order.

In the case of corrective action implemented through a permit, the public
may comment on  the schedule of compliance for corrective  action during
permit issuance and subsequent permit modification (see Chapter 3 for
more information on the permitting process and permit modifications).

When corrective action is implemented though a 3008(h) order, the public
should be  given an opportunity to comment on the schedule  of compliance
when the order is  issued; however, it may take many months of discussions
between the facility owner/operator and the overseeing agency before  an
order is issued. In the meantime, the facility owner/operator may develop  a
mailing list, modeled  after the  mailing list developed under the permitting
process, and a public participation plan.

On the day the order is issued, the administrative record, containing all
information considered by the agency in developing the order, is made
available for inspection by the public. The agency may also want to place  a
copy of the administrative record at a local library close to the facility.
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                                 The overseeing agency or facility owner/operator should consider writing a
                                 fact sheet that gives details of the order and the corrective action process.
                                 If there is a high level of interest in the facility, an open house or
                                 workshop should be considered.
                                 A RCRA Facility Investigation or RFI is necessary when a release or
               .                  potential release is identified and additional information is necessary to
^  <* idLlc ilLdl 1OI1         determine the nature and scope of corrective action, if any, that is needed.
                                 The purpose of an RFI is to characterize the nature and extent of
                                 contamination at the facility and to support selection and implementation of
                                 a remedy or remedies or, if necessary, interim measures.

                                 Required Activities

                                 If corrective action is being conducted in the context of a RCRA permit, the
                                 public has the opportunity to review and comment on the scope of the RFI
                                 and RFI schedules and conditions during permit issuance.  The RFI is
                                 usually conducted by following an agency-approved RFI plan.  If the RFI
                                 plan is incorporated into a permit by a permit modification, then the public
                                 will have an opportunity to comment on the scope and schedule of the RFI
                                 during the modification process. See Chapter 3 for more information on
                                 public participation during permit modifications.

                                 If corrective action is being conducted under a 3008(h) order, the public
                                 should be given the opportunity to review and comment on the scope of the
                                 RFI and RFI conditions when the order is issued and/or when the RFI
                                 workplan is approved.

                                 RFIs can often involve numerous rounds of field investigation and can take
                                 months or even years to complete.  During the RFI process, it may be
                                 necessary to change the RFI requirements or modify the RFI schedule to
                                 react to new information.  When corrective action is being conducted in the
                                 context of a RCRA permit, the public has an opportunity to comment on
                                 changes to RFI conditions and schedules during the permit modification
                                 process. Significant changes to the scope of RFI requirements are typically
                                 Class 3 permit modifications, changes to RFI schedules or investigatory
                                 details (e.g., a change in the number of samples to be collected in a given
                                 sampling area) are typically considered either Class 1 or Class 2
                                 modifications, depending on their significance.  When corrective action is
                                 being conducted under an order, the public's opportunities to review
                                 changes to RFI conditions and schedules should be consistent with the
                                 opportunities that are available under a permit.  The  facility mailing list,
                                 developed during the initial stages of the permitting process, or a mailing
                                 list developed during preparation of the corrective action order, should be
                                 used and updated throughout the corrective action process in order to keep
                                 members of the community informed. (See Chapters 3 and 5 for more
                                 information on facility mailing lists.)
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                                 In some cases (e.g., where there is a high level of public interest in
                                 corrective action activities), the overseeing agency will determine that an
                                 information  repository is needed to ensure adequate public involvement.
                                 When corrective action is being conducted under a RCRA permit the
                                 agency can require the facility to establish a repository under § 270.30(m).
                                 A repository  at the RFI stage will provide access to information from an
                                 early stage in the process, though the agency has the discretion to use this
                                 provision at any stage in the permitting process or at any stage during the
                                 corrective action. If the agency decides to require a repository, it will
                                 direct the facility to notify the public of the existence of the repository,
                                 including the name and phone number of a contact person. See Chapter 5
                                 for more detail on information repositories.

                                 Additional Activities

                                 The start of the RFI usually marks the beginning of highly visible, on-going
                                 corrective action activities at a facility. Because RFI activities are highly
                                 visible and because many of the important decisions regarding the scope of
                                 potential corrective actions may be made during the RFI, it will generally
                                 be appropriate to reevaluate community concerns and the level of public
                                 participation  and to revise the public participation plan accordingly (see
                                 Chapter 5) when RFIs begin. Such efforts early in the process, before
                                 community concerns and issues become overwhelming, will be beneficial
                                 in the long run.

                                 Developing and distributing fact sheets throughout the RFI process is an
                                 excellent way to keep in touch with the community.  It is a good idea to
                                 issue a fact sheet before the RFI begins to explain the  investigation's
                                 purpose and scope. Another fact sheet should be issued after the RFI is
                                 completed to report the investigation results.

                                 EPA encourages all facilities to make the results of the RFI readily
                                 available to interested stakeholders. One means of providing access to the
                                 information is to send a summary of the RFI report to the facility
                                 mailing list, as proposed in the 1990 Subpart S proposal. The facility may
                                 choose other means of distributing the  information, such as through a fact
                                 sheet or project newsletter.  The full report should be made available for
                                 review in an information repository,  if one exists, or through some other
                                 method that is convenient for the interested public.

                                 The facility owner/operator should provide notice to all adjacent
                                 landowners and other persons who may have been affected by releases of
                                 contamination, via air or ground water, from the facility.  EPA
                                 recommends  that the owner/operator follow the provisions in the 1990
                                 proposal (proposed § 264.560(a) and (b)) for notifications for discoveries
                                 of contamination (see 55 FR 30882).
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                                 Informal meetings or workshops held by the facility, the permitting
                                 agency, or public interest groups can provide valuable forums for
                                 discussing community concerns.
                                 Interim actions are activities used to control or abate ongoing risks to
                                 human health or the environment in advance of final remedy selection. For
                                 example, interim actions may be required in situations where contamination
                                 poses an immediate threat to human health or the environment. They also
                                 may be required to prevent further environmental degradation or
                                 contaminant migration prior to implementing the final remedy. Interim
                                 actions may occur at any point in the corrective action process; however,
                                 they are often implemented during the RFI or CMS.

                                 Required Activities

                                 When corrective action is proceeding under a RCRA permit, the permit
                                 may identify specific interim measures and/or stabilization measures (if
                                 they are known at the time of permit issuance) or may have general
                                 conditions that govern when interim measures might be required during the
                                 course of the corrective action.  In either case, the public can comment on
                                 the interim measures strategy in the draft permit as part of the permitting
                                 process.

                                 When corrective action is proceeding under a 3008(h)  order, the public
                                 should have the opportunity to comment on specific interim measures or
                                 general interim measure conditions when the order is issued, or otherwise
                                 in a manner that is consistent with the opportunities available when
                                 corrective action takes  place under  a permit.

                                 Additional Activities

                                 In recent years EPA has increasingly emphasized the importance of interim
                                 measures and site stabilization in the corrective action program. In the
                                 ANPR, EPA notes that an overriding goal in our management of the
                                 corrective action program is to help reduce risks by emphasizing early use
                                 of interim actions (while staying consistent with the environmental
                                 objectives at the facility). If a facility owner/operator  or the permitting
                                 agency anticipates that an early interim action will  be the only cleanup step
                                 taken over a significant period of time, then the facility or the  agency
                                 should inform the public of such a plan and receive feedback, unless  the
                                 immediacy of the situation will not allow for feedback. The facility and the
                                 agency should both announce a contact person to  provide information and
                                 respond to inquiries about the action. Agencies and facilities may find
                                 Superfund guidance on removal actions useful in the RCRA context (see
                                 Community Relations in Superfund: A Handbook, Chapter 5).
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Evaluation of
Remedial
Alternatives (CMS)
                                It is a good idea to keep the public informed of such activities by issuing
                                fact sheets or holding informal meetings. Because interim measures can
                                be conducted at any stage in the corrective action process, you should
                                incorporate activities related to interim measures into the rest of your
                                public involvement program.
When the need for corrective measures is verified, the facility may be
required to perform a Corrective Measures Study (CMS) to identify and
evaluate potential remedial alternatives.  In cases where EPA or a state is
using performance standards or a similar approach and in cases where the
preferred remedial alternative is obvious (e.g., where EPA has issued a
presumptive remedy that is appropriate to site-specific conditions),
submission of a formal CMS may not be necessary.

Required Activities

When corrective action is proceeding under a permit, the permit schedule
of compliance may already include conditions that specify when a CMS is
warranted; the public can comment on these draft permit conditions at the
time of permit issuance.  However, because the RFI and CMS phases may
last several years, depending on the complexity of the facility, the
community may be frustrated by the length of time involved and the lack of
information on results or findings.  Significant changes to the scope of
CMS requirements, as specified in the  permit, may be considered Class 3
permit modifications requiring significant public involvement.  Changes to
the CMS schedule, or CMS details are typically considered class 1  or 2
permit modifications, as appropriate.

Public  participation during corrective action under a 3008(h) order should
be consistent with public participation  under a permit. The public should
have the opportunity to review and comment on the scope of the CMS and
CMS conditions when the order is issued and/or when the CMS
workplan is approved.

Additional Activities

In the  1996 ANPR, EPA emphasizes that it expects facility
owners/operators to recommend a preferred remedy as part of the CMS.
While there is no formal  requirement for public participation at this time,
EPA strongly encourages the facility to present its preferred remedy to the
community before formally submitting it to the agency. The facility should
seek community input through an informal meeting, availability session,
or another method that encourages dialogue.  This early input is likely to
improve many preferred remedies and make them more agreeable to
communities. Moreover, it will make the facility and the overseeing
agency aware of community concerns  and ways to address them.
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                                 Holding workshops and informal public meetings about the CMS
                                 process, the remedies being considered, and the activities being conducted
                                 at the facility will keep the community involved and informed.  Fact sheets
                                 distributed at significant milestones during the CMS can keep the
                                 community abreast of the progress that has been made.

                                 The agency and the facility should provide the name and number of a
                                 contact person. A contact person will accept comments and answer
                                 questions from the community, disseminate  information, demonstrate the
                                 agency's and facility's willingness to talk with the community, and give the
                                 facility or the agency an opportunity to respond to public concerns. The
                                 agency or the facility may even consider establishing a hotline if a large
                                 number of people call with questions. The mailing list and local
                                 newspapers are good ways to advertise availability of the hotline.
            Selection        Following receipt of a recommendation of a preferred remedy from the
                                 facility owner/operator, the overseeing agency will review the preferred
                                 remedy and other remedial alternatives and decide to tentatively approve
                                 the preferred remedy, tentatively select a different remedy or require
                                 additional analysis of remedial alternatives.  The tentatively selected
                                 remedy will then undergo public review and comment, usually in the form
                                 of a proposed modification to the facility's permit or corrective action
                                 order. Following public review, the agency will respond to public
                                 comments and then modify the facility permit or corrective action order to
                                 incorporate the remedy.

                                 Required Activities

                                 When corrective action is proceeding under a permit, public review and
                                 comment on the tentatively selected remedy is generally conducted using
                                 the procedures of 40 CFR 270.41 for agency-initiated permit modifications.
                                 For such a modification, 40 CFR 270.41 requires the same level of public
                                 participation as is required for a draft permit. The agency must release the
                                 proposed modification for public review and issue a public notice
                                 announcing that the proposed modification is available for review. The
                                 agency must publish this notice in a major local newspaper, broadcast it
                                 over local radio stations,  and send it to all persons on the mailing list.

                                 In addition,  agency staff must prepare a fact sheet or statement of basis to
                                 explain the proposed modification and the significant factual and legal
                                 reasons for proposing the remedy.  The statement of basis describes the
                                 proposed remedy, but does not select the final remedy for a facility. This
                                 approach allows for consideration of additional information during the
                                 public comment period. Following the comment period, public comment
                                 and/or additional data may result in changes to the remedy or in another
                                 choice of remedy. After  the agency has considered all comments from the
                                 public, the final decision — selecting the remedy or determining the need to
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                                develop another option - is documented in the response to comments. (For
                                more information on statements of basis, refer to OSWER Directive
                                9902.6, RCRA Corrective Action Decision Documents: The Statement of
                                Basis and Response to Comments (April 29, 1991)).

                                A 45-day public comment period on the draft permit modification follows
                                publication of the public notice. The comment period provides the public
                                with an opportunity to comment, in writing, on conditions contained in the
                                draft permit modification.  If information submitted during the initial
                                comment period appears to raise substantial new  questions concerning the
                                draft permit modification, the agency must re-open or extend the comment
                                period.

                                The members of the public may request a public hearing on the draft
                                permit modification. If a hearing is requested, the agency must give a 30-
                                day advance notice to the community that states the time and place of the
                                hearing.  The agency Director has the discretion to schedule a public
                                meeting or hearing even if the community does not request one. In some
                                cases, scheduling a public hearing before the public requests one may save
                                valuable  time in the modification process and demonstrate a willingness  to
                                meet with the community to hear its questions and concerns.

                                After the public comment period closes, the agency must review and
                                evaluate  all written and oral comments and issue a final decision on the
                                permit modification. Then the  agency must send a notice of decision to the
                                facility owner or operator and any persons who submitted public comments
                                or requested notice of the final  decision and prepare a written response to
                                comments.  This  document must include a summary of all significant
                                comments received during the public comment period and an explanation
                                of how they were addressed in the final permit modification or why they
                                were rejected. The response to comments must be made available through
                                the Administrative Record and  the information repository, if one was
                                established,  and must be sent to the facility and all persons who submitted
                                comments or requested a copy of your response.

                                When corrective action is proceeding under a 3008(h) order, the Agency's
                                longstanding policy is that the public's opportunity to review and comment
                                on tentatively-selected remedies should be commensurate with the
                                opportunity that would be available if the corrective action were conducted
                                under a permit.  At a minimum, this opportunity should include: publishing
                                a notice and a brief analysis of the tentatively-selected remedy (this is
                                typically referred  to as a statement of basis) and making supporting
                                information  available; providing a reasonable opportunity for submission of
                                written comments; holding a public hearing or public meeting, if requested
                                by the public or determined necessary by the overseeing agency; preparing
                                and publishing responses to comments; and, publishing the final remedy
                                decision  and making supporting information available. Additional guidance
                                is available in OSWER Directives 9901.3, Guidance for Public
Chapter 4:  Corrective Action and §3008(h) Orders                                               Page 4-14

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Remedy
Implementation
(CMI)
                                Involvement in RCRA Section 3008(h) Actions (May 5, 1987) and 9902.6
                                RCRA Corrective Action Decision Documents: The Statement of Basis and
                                response to Comments (April 29, 1991).

                                Additional Activities

                                The agency, public interest groups, or the facility should consider holding
                                workshops or informal meetings during the public comment period to
                                inform the public about the proposed remedy. These discussion sessions
                                can be especially useful  when information about corrective measures in a
                                draft permit modification is quite technical or the level of community
                                concern is high.
Once the overseeing agency modifies the permit or corrective action order
to include the selected remedy, the facility must begin to implement the
remedy.  Remedy implementation typically involves detailed remedy
design, remedy construction, and remedy operation and maintenance; it is
called Corrective Measures Implementation or CMI. Corrective measures
implementation is generally conducted in accordance with a CMI plan,
approved by the overseeing agency.

Required Activities

When corrective action is proceeding under a permit, the public will have
an opportunity to comment on CMI conditions and schedules during the
permit modification for remedy selection or when the permit is modified to
incorporate the CMI plan.  Significant changes to the scope of CMI may be
considered Class 3 permit modifications. Changes to the CMI schedule are
typically considered either Class  1 or Class 2 permit modifications, as
appropriate.

When corrective action is proceeding under a 3008(h) order, the public's
opportunity to comment on CMI conditions and schedules  should be
consistent with the opportunities that would be available if corrective action
were taking place under a permit.

Additional Activities

Remedy implementation will often involve highly visible activities, such as
construction of new on-site treatment and containment systems, and staging
and transportation of large volumes of materials. These activities may
result in increased levels of public interest, which may  already be high due
to the public's participation in remedy selection.

EPA recommends that the  facility notify all individuals on the facility
mailing list when the construction plans and specifications are available for
public review.  If the facility has established an information repository,
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Completion of
Remedy
                                 then the plans should go in the repository; otherwise, the facility should
                                 place the plans in a convenient location with public access.

                                 As mentioned earlier, the corrective action process can take years to
                                 complete.  Additional public participation activities may be appropriate
                                 during corrective measures implementation to inform the community of the
                                 progress of the remedial action, especially if the public shows concern over
                                 the pace and scope of the cleanup operations.  In particular, it may be
                                 useful to release periodic fact sheets to the community that report on
                                 progress of the cleanup operations. It may also be helpful to hold an
                                 availability session/open house near or on the site of the facility to
                                 demonstrate or explain the activities involved in the remedy.
Once corrective measures are complete the overseeing agency will either
terminate the corrective action order or modify the permit to remove the
corrective action schedule of compliance.  Decisions regarding completion
of corrective measures can be made for an entire facility, for a portion of a
facility, or for a specified unit or release.  EPA policy is for the public to be
given an opportunity to review and comment on all proposals to complete
corrective action.

Required Activities

When corrective action is proceeding under a permit, proposals to complete
corrective measures should follow the procedures for Class 3 permit
modifications.  See the section on Class 3 modifications in Chapter 3 for
details.

When corrective action is proceeding under a 3008(h) order and a proposal
to complete corrective measures is issued, the public should have notice
and comment opportunities that are consistent with the opportunities
available under the Class 3 permit modification procedures.

Additional Activities

In some cases, hazardous wastes or hazardous constituents will remain in or
on the land after completion of corrective measures.  When this occurs, the
overseeing agency may require the facility to record  a notation in the deed
to the facility property regarding the types, concentrations, and locations of
such waste or constituents.
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Chapter Summary
      At the federal level, corrective actions may take place under a RCRA permit or as an enforcement order under §3008 of RCRA.

      In authorized states, corrective action may take place under a state-issued RCRA permit, a state cleanup order, a state voluntary
      cleanup program, or another state cleanup authority. Authorized states may use a variety or combination of state authorities to
      compel or oversee corrective actions.

      EPA's recent Advance Notice of Proposed Rulemaking (ANPR) (61 FR 19432, May 1, 1996) for the corrective action program
      does three things: (1) it presents EPA's strategy for writing final corrective action regulations; (2) it includes a description of the
      current corrective action program and requests information to help EPA identify and implement improvements to the program;
      and (3) it emphasizes areas of flexibility in the current program and describes program improvements already underway.

      The ANPR also affirmed EPA's use of the 1990 proposal as guidance and emphasized the Agency's commitment to enhanced
      public participation.

      As a matter of EPA policy, the type and timing of public participation activities for §3008(h) orders are generally the same as
      those for corrective action in permitting.

      There are three important distinctions between conducting public participation in corrective action under a §3008(h) order and
      through permitting:

      1.    Under a §3008(h) order, there may be limitations on the release or discussion of certain information;

      2.    No public participation activities are required under §3008(h) but they are strongly encouraged in guidance. In addition,
            the agency may require the facility to conduct additional activities as a term in the order; and

      3.    Facilities may agree to conduct public participation activities under a consent order, however, under a unilateral order, the
            responsibility will likely fall to the agency.

      While being flexible, the corrective actions should provide for early public participation, seek consistency with Superfund
      community involvement standards, and allow facility owner/operators to perform public participation activities where appropriate.

      The corrective action process is composed of seven basic elements which are not prescribed steps, but evaluations that are
      necessary to make good cleanup decisions. Because these elements may not occur in the same order (or at all) in every situation,
      we encourage planners to use them as general guidelines, while leaving flexibility for changes. A successful corrective action
      program must be procedurally flexible

      The basic elements (with corresponding public participation activities that are currently required or suggested):

      1.    Initial Site Assessment (RCRA Facility Assessment)

                  Schedule of compliance will go into permit, where public can comment
                  For enforcement orders, the agency will release administrative record and make it available for public review. The
                  agency may provide a fact sheet and hold an open house or workshop.

      2.    Site Characterization (RCRA Facility Investigation)

                  Update mailing list, if necessary
                  Establish information repository, if required
                  Revise public participation plan
                  Modify permit, if necessary, to reflect changes to schedule of compliance
                  Under an order, provide notice and comment on the planned RFI
                  Develop fact sheets on the investigations
                  Mail summary of RFI Report to facility mailing list and make available to the public
                  Hold informal meetings or workshops
                  Issue notifications for discovery of contamination


Chapter 4:  Corrective Action and §3008(h) Orders                                                          Page 4-17

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      3.     Interim Actions — May occur at any time during the process

                  Provide for public input and feedback , as appropriate given time constraints, and announce a contact person
                  Use fact sheets and informal meetings, if appropriate

      4.     Evaluation of Remedial Alternatives (Corrective Measures Study)

                  Hold informal meetings or workshops when facility presents preferred remedy
                  Identify a contact person
                  Develop fact sheets on the study
                  Establish a hotline

      5.     Remedy Selection

                  Agency-initiated permit modifications follow 40 CFR 124 procedures, including public notice, public comment
                  period, and a hearing (if requested)
                  For corrective action under an order, the agency should: publish a notice and a statement of basis; take public
                  comment;  holding a public hearing or public meeting, if requested by the public or determined necessary by the
                  overseeing agency; prepare and publish responses to comments; and, publish the final remedy decision while making
                  supporting information available.
                  Hold workshop on proposed remedy
                  Once final remedy is selected, send out notice of decision
                  Issue response to comments
                  Hold informal meetings or workshops on the final remedy

      6.     Corrective Measures Implementation

                  Notify  public when plans and specifications are available for review
                  Develop fact sheets on remedy implementation
                  Coordinate availability session/open house

      7.     Completion of Remedy

                  Agency may remove schedule of compliance from the permit or terminate the order by following the Class 3
                  modifications procedures for a permit or a similar process for an order.
Chapter 4:  Corrective Action and §3008(h) Orders                                                         Page 4-18

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Chapter  5
Public Participation  Activities:
How to  Do  Them
Introduction              ^^s criaPter presents a "how-to" for a broad range of activities that
                             permititng agencies, public interest groups, and facility owners/operators
                             can use to promote public participation.  The variety of activities in this
                             chapter should fit any situation: from the formal regulatory process that
                             EPA follows, to community-based discussions of RCRA issues, to events
                             held by the facility owner or operator.

                             Some of the activities in this chapter (for instance, public hearings) will be
                             more appropriately led by a permitting agency; however, all stakeholders
                             can learn more about the different kinds  of activities by reviewing this
                             chapter. Moreover, EPA would like to emphasize that this list is not
                             exhaustive. You should consult with other stakeholders to determine if
                             these or any other public participation activities will best suit your
                             particular situation.  Several of the appendices provide contact lists for
                             various stakeholder groups.

                             As we emphasized in the preceding chapters, public participation is a
                             dialogue. It involves both getting information out to other stakeholders and
                             getting feedback in the form of ideas, issues, and concerns. We have
                             divided this chapter's activities to reflect the dual role of public
                             participation. The first group of activities involves techniques that
                             disseminate information. The second group involves techniques that are
                             useful  for gathering and exchanging information. Note that some of these
                             activities, such as informal meetings, are useful both for disseminating and
                             collecting information. On the other hand, some activities, such as public
                             notices, provide one-way communication. EPA encourages stakeholders to
                             combine public participation techniques  so that they provide two-way
                             communication.  For instance, if an agency issues a public notice, it should
                             create a feedback loop by including the name and number of a contact
                             person in the notice. Similarly, a facility or a public interest group could
                             provide for feedback in an information repository by asking users to
                             complete surveys or by assigning a staff person to answer questions at the
                             repository.
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                                  The following pages contain summaries of numerous public participation
                                  activities, information on how and when to conduct them, an estimate of
                                  how much effort they require, and their advantages and limitations. Each
                                  summary includes a checklist to help in conducting the activity.  Examples
                                  of public notices and fact sheets are also included.

                                  Use this directory to locate specific activities:

                                  Public Participation Plans	5-4


                                  l_ Disseminating Information

                                  Public Notices	5-8
                                       Newspaper Advertisements	5-9
                                       Newspaper Inserts	5-9
                                       Free Publications and Existing Newsletters	5-9
                                       Public Service Announcements	5-10
                                       Broadcast Announcements and Advertisements	5-10
                                       Signs and Bulletin Boards	5-10
                                       Telephone Networks or Phone Trees	5-11
                                  Translations  	5-16
                                  Mailing Lists	5-19
                                  Notices of Decision	5-24
                                  Introductory Notices	5-26
                                  Fact Sheets/Statements of Basis	5-29
                                  Project Newsletters  and Reports	5-34
                                  Response to Comments	5-37
                                  Information Repositories	5-40
                                  Exhibits	5-47
                                  Briefings	5-50
                                  Presentations	5-53
                                  Facility Tours	5-56
                                  Observation Decks	5-59
                                  News Releases and Press Kits	5-62
                                  News Conferences  	5-67


                                  l_ Gathering and Exchanging  Information

                                  Community Interviews	5-70
                                  Focus Groups 	5-77
                                  Door-to-Door Canvassing	5-80
                                  Public Comment Periods	5-84
                                  Unsolicited Information and Office Visits	5-87
                                  Surveys and Telephone Polls 	5-90
                                  Contact Persons 	5-94
                                  Telephone Contacts	5-97
                                  Telephone Hotlines	5-100
                                  On-Scene Information Offices 	5-103
                                  Question and Answer Sessions	5-106
                                  Information Tables	5-109
                                  Informal Meetings with Other Stakeholders	5-112
                                  Public Meetings 	5-117
                                  Public Hearings	5-123
                                  Availability Sessions/Open Houses	5-130


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                                  Workshops  	5-134
                                  Attending Other Stakeholder Meetings and Functions	5-139
                                  Citizen Advisory Groups	5-141
Chapter 5: Public Involvement Activities                                                             Page 5-3

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Public Participation
Plans

Regulatory
Requirements

Description of Activity
Level of Effort
How to Conduct the
Activity
None.
A public participation plan provides a community-specific plan for
interacting with a community regarding the permitting or corrective action
activities taking place at a RCRA facility.  The plan, typically prepared by
the permitting agency, assesses the level of community interest as well as
the types of concerns identified through a variety of sources (e.g.,
community interviews) and, based on this information, recommends
specific activities for involving the community in the RCRA process.  See
the section on "Planning for Participation" in Chapter 2 and the detailed
sample plan in Appendix I for more information. Chapter 3 of Community
Relations in Superfund also provides useful guidance.

The level of detail in the plan will vary according to the probable level of
public interest, the type of permitting activity, the location of the facility,
and other applicable factors. The steps described in this section are not all
necessary in every plan.  Depending on the situation, the public
participation plan may vary from a two-page schedule  of activities to a
comprehensive study of the population, an itinerary of permitting activities,
and an analysis of community concerns.
A Public Participation Plan may take several days to two weeks to
complete. Revision of a plan could take a few days to a week. The range
of effort depends on the priority of the site and the complexity of the
activities performed at that site.


A Public Participation Plan should be based on information collected during
community interviews (if conducted) and information obtained from other
sources, such file searches, reviews of past media coverage, and
community assessments done by third parties (see the section entitled
"Planning for Participation" in Chapter 2). This information is analyzed
and organized into a community-specific plan. Typical sections of a public
participation plan are:

•    Introduction ~ several paragraphs clearly explaining the purpose of
     the document.

•    Facility History ~ several paragraphs to several pages providing an
     overview of the facility, its technical and regulatory history, and a
     history of past community concerns and involvement in activities at
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                                       the facility. Short cut:  attach the facility fact sheet if one already
                                       exists.

                                 •     Community Concerns — several paragraphs to several pages
                                       summarizing the concerns identified during the community
                                       interviews.

                                 •     Objectives of the Plan ~ several paragraphs to several pages,
                                       depending on the objectives, providing a narrative of the major
                                       objectives of the plan. Objectives typically relate to the specific
                                       concerns outlined in the previous section.

                                 •     Public Participation Activities ~ several paragraphs to several pages,
                                       depending on the plan, describing the specific activities that will be
                                       conducted to meet the objectives outlined in the previous section (e.g.,
                                       meetings, fact sheets, briefings for local officials, etc.) and a schedule
                                       for conducting these activities.

                                 •     Appendices -- Appendices can be included to provide the mailing list,
                                       media contacts, and public meeting and information repository
                                       locations.

                                 The activities in a public participation plan should be tailored to address
                                 community concerns and needs. The plan should include the kinds of
                                 activities that are discussed in this manual.

                                 The plan should be presented in a public document that serves to
                                 demonstrate to the community that the agency (and public interest groups
                                 and the facility owner, if involved) listened to specific community concerns
                                 and developed a specific program  around those concerns.  EPA encourages
                                 permitting agencies to seek input from other stakeholders during
                                 development of the plan. The facility owner and public interest groups can
                                 provide information  about their planned activities and the community
                                 representatives can suggest the types of activities, information channels,
                                 and logistics that will work best in the area.

                                 Revisions of all or parts of the public participation plan for a facility may
                                 be done in order to incorporate new information, reflect changes in
                                 community concern, and adjust public participation activities to meet these
                                 changes. A revision ensures that the plan remains sensitive to citizens'
                                 concerns through the final phases of a permit determination or a corrective
                                 action.  It can also evaluate which public participation activities were
                                 effective and which were not.
When to Use                  Public participation plans may be prepared:
                                       At the beginning of the RCRA process (e.g., for facilities seeking a
                                       permit or facilities beginning corrective action) to schedule activities
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Accompanying
Activities
Advantages and
Limitations
     and assign responsibilities;

•    After community interviews (if conducted).

Public participation plans should be revised:

•    When a significant change in community concerns or activities at the
     facility occurs (e.g., after a remedy is selected or the facility proposes
     a significant permit modification); and

•    At least every two years for longer-term projects.


Although they are not necessary in every case, community interviews can
be very helpful when writing a plan. The plan typically includes the
mailing list and provides the locations of the information repositories and
public hearings.


Public participation plans establish a record of community concerns and
needs and a set of activities to meet those needs. Because the plans are
community-specific, they ensure that the community gets the information
they need in a fashion that is most useful and they assist the project staff in
making the most efficient use of their time when interacting with the
public.

The plan represents the agency's commitment to dedicate significant
resources to the activities specified; thus, agency staff should make certain
that resources are available to implement all activities identified in the plan.
The plan should not schedule activities that the agency will not be able to
conduct.

Community concerns can change significantly and may require that the
public participation plan be revised periodically.  The plans should be seen
as "evolving" documents.  The agency may need to revise the plan often,
conducting new community interviews each time.  At the least, the  agency
should be prepared to revise activities or expand activities as the project
proceeds.

Revising the plan will help to ensure that the agency continues to respond to
citizens' concerns during long-term projects.  Minor changes also can help a
public participation planner; for example, the contacts list can incorporate
changes in addresses, new telephone numbers, and the names of new
officials.
Chapter 5:  Public Involvement Activities
                                                              Page 5-6

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                          Checklist for Public Participation Plans

  As applicable:

       _   Review facility background file and other information sources

       	   Review comments gathered during the community interviews

       _   Coordinate with other key stakeholders to discuss the plan

       	   Write draft plan

            _   Introduction -- explains the purpose of the document

            	   Project History ~ provides an overview of the project, its technical and regulatory history,
                 and a history of past community concerns and involvement in the project (if available)

            	   Community Concerns ~ summary of the concerns identified during the community
                 interviews

            _   Objectives of the Plan -- explains the major objectives relating to specific concerns
                 outlined in the  previous section of the document

            	   Public Participation Activities — describes the specific activities to be conducted to meet
                 the objectives of the plan and schedule

            _   Appendices - provide information on key contacts, media, public meeting and information
                 repository locations.

       	   Coordinate internal review of plan

       _   Solicit community input on the plan

       	   Prepare final plan based on comments

       _   Distribute plan to information repositories if they exist, or make the plan available to the public
            in a convenient place
Chapter 5: Public Involvement Activities                                                         Page 5-7

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Public Notices

Regulatory
Requirements
The permitting agency must give official public notice when issuing the
draft permit (§ 124.10(c)), holding a public hearing under § 124.12, or
when an appeal is granted under § 124.19.  This notice must be sent by the
agency to all relevant units of federal and local government, the applicant,
and all parties on the facility mailing list. In addition, the notice must be
broadcast over local radio stations and published in a daily or weekly major
local newspaper of general circulation.

A prospective permit applicant must issue a similar, but broader, public
notice to announce the pre-application meeting (§ 124.31).  This notice
must be published  as a display advertisement in a paper of general
circulation and must be sent to the permitting agency and appropriate units
of local government. The applicant must also post the notice as a sign at or
near the facility, and as a broadcast media announcement.  The notice must
include the name, address, and telephone number of a contact person for
the applicant.

The facility owner/operator must provide public notice for permit
modfications  (including modifications to incorporate corrective action
provisions) under § 270.42. For a class 1 modification, the facility must
notify the facility mailing list. For a class 2 modification, the facility must
notify the mailing list and publish a newspaper notice when requesting the
modification.  The permitting agency must notify the mailing list within 10
days of granting or denying a modification request. For a class 3
modification, the facility must publish a newspaper notice  and notify the
mailing list when requesting a modfication. The permitting agency must
follow the procedures for modifications in  part 124 when granting or
denying the class 3 permit modification.  The permitting agency will also
notify people on the mailing list and State and local government within 10
days of any decision to grant or deny a Class 2 or 3 modification request.
The Director also must notify such people within  10 days of an automatic
Class 2 modification goes into effect under § 270.42(b)(6)(iii) or (v).

If the permitting agency initiates the permit modification, under § 270.41,
then the agency must follow the notice requirements for a draft permit in §
124.10(c) (see above in this section). Agency-initiated modifications may
include modifications during the corrective action process.

If the permitting agency requires a facility to establish an information
repository under §  124.33 or § 270.30(m), the agency Director will specify
notice requirements.  At the least, the facility will provide written notice to
the people on the mailing list.

Permitting agencies must also provide provide public notice during the trial
burn stage at permitted and interim status combustion facilities (§ 270.62(b)
Chapter 5:  Public Involvement Activities
                                                              Page 5-8

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                                 and (d); 270.66(d)(3) and (g)) and when an interim status facility undergoes
                                 closure or post-closure (see §§ 265.112(d)(4) and 265.118(f)).
Description of Activity      Public notices provide an official announcement of proposed agency
                                 decisions or facility activities. Notices often provide the public with the
                                 opportunity to comment on a proposed action.

                                 Most RCRA notices contain essentially the same types of information.
                                 Where they differ is in how they are distributed by the agency or the
                                 facility.  Some go to members of the mailing list, some as legal
                                 advertisements in the newspaper, and some others as signs or radio
                                 advertisements. In all cases,  EPA encourages facilities and permitting
                                 agencies to make a good faith effort to reach all segments of the affected
                                 community with these notices.  As we mention earlier in this manual, any
                                 organization that wants to provide public notice has a number of
                                 inexpensive and simple options available to it, including: free circulars;
                                 existing newsletters or organzation bulletins; flyers; bulletin boards; or
                                 storefront signs.

                                 There are many effective ways to spread information. However, the job of
                                 anyone giving notice  is to find out what  information pathways will be most
                                 effective in a particular community. Public interest groups, the facility, and
                                 the permitting agency should seek community input on this topic.  The
                                 citizens of that community are the most  qualified people to explain what
                                 methods will work best in their community.  Community interviews are
                                 one way to learn more about how the citizens communicate.

                                 The following are the most common ways to give public notice:

                                 •     Newspaper Advertisements.  Traditionally, public notices have often
                                      appeared as legal advertisements in the classified section of a
                                      newspaper.  While this method provides a standard location for the
                                      ads, display advertisements (located along with other commercial
                                      advertisements) are more likely to  reach a larger audience. Display
                                      advertisements offer an advantage  over legal classified ads since they
                                      are larger, easier to read, and are more likely to be seen by the casual
                                      reader.  A sample is  available in Appendix H of this manual.
                                 •     Newspaper Inserts. Inserts stand out from other newspaper
                                      advertisements since they come as a "loose" section of the newspaper
                                      (a format often used for glossy advertisements or other solicitations).
                                      They provide a way to reach beyond the most-involved citizens to
                                      inform  a broader segment of the community.
                                 •     Free Publications and Existing Newsletters. Placing a notice in a
                                      newsletter distributed by a local government, a civic or community
                                      organization, or in a free publication (e.g., a paper that highlights
                                      local or community activities) is a  generally inexpensive way to target
                                      a specific audience or segment of the community.  Some publications
                                      may not be  appropriate  for communicating information from your


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                                      organization.  By publishing information through a group that has a
                                      specific political interest or bias, your organization may be perceived
                                      as endorsing these views. Permitting agencies may want to avoid
                                      associations with groups that appear to represent the agency's
                                      interests.  In any case, the relationship between your organization and
                                      the newsletter or publication should be clear to the public.
                                           You may want to consider some of the following options.  Local
                                      governments sometimes send newsletters or bulletins to their entire
                                      population; such newsletters can reach an entire affected community.
                                      Planning  commissions, zoning boards, or utilities often distribute
                                      regular newsletters; they may be willing to include information about
                                      permitting activities.  Newsletters distributed by civic, trade,
                                      agricultural, religious, or community organizations can also
                                      disseminate information to interested readers at low cost. Some
                                      segments of the affected community may rely on a free local flyer,
                                      magazine, independent or commercial newspaper to share
                                      information.
                                      Public Service Announcements. Radio and television stations often
                                      broadcast, without charge, a certain number of announcements on
                                      behalf of charities, government agencies, and community groups.  In
                                      particular, they are likely to run announcements of public meetings,
                                      events, or other opportunities for the public to participate.  One
                                      drawback with a public service announcement is that you have no
                                      guarantee that it will go on the air. If it does go on the air, it may
                                      come at odd hours when relatively few people are listening.
                                      Broadcast Announcements and Advertisements. A number of RCRA
                                      notices must be broadcast over radio or another medium.  Beyond
                                      these requirements (which are further explained below and in the
                                      section on "Notice of the Pre-Application Meeting" in Chapter 3),  you
                                      may consider providing notice via a paid TV advertisement or over a
                                      local cable  TV station.  Paid advertisements can be expensive and
                                      may be seen by the public as taking a side.  You can avoid this
                                      drawback by limiting information to the facts (e.g., time, date,
                                      location of the meeting).  Some local access cable TV stations run a
                                      text-based community bulletin board, which may provide a useful
                                      way to distribute information.
                                      Signs and Bulletin Boards. The notice requirements for the pre-
                                      application meeting (§ 124.31) require posting of a visible and
                                      accessible sign. Signs can be a useful means of public notice,
                                      especially for residents and neighbors of the facility or planned
                                      facility. A  sign on the site should be large enough so that passers-by,
                                      whether by foot or by vehicle, can read it.  If few people are likely to
                                      pass by the site, consider posting the sign at the nearest major
                                      intersection. Another option is to place posters or bulletins on
                                      community bulletin boards (in community centers, town halls,
                                      grocery stores, on heavily-travelled streets) where people are likely to
                                      see them.  The signs should contain the same information as a written
                                      or broadcast notice.
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                                      Telephone Networks or Phone Trees.  This method provides an
                                      inexpensive, yet personal, manner of spreading information.  The lead
                                      agency, facility, or organization calls the first list of people, who, in
                                      turn, are responsible for calling an additional number of interested
                                      people. Phone trees are a good way to provide back up plans or
                                      reminders while reducing the number of calls made by individual staff
                                      members. As an alternative to calling the first tier, the lead agency,
                                      facility, or organization may want to distribute a short written notice.
Level of Effort                Preparing a public notice and arranging for its publication takes a day or
                                 two, depending on the need for review. Producing a television or radio ad,
                                 or building  a sign will take longer, depending on the situation.
HOW tO Conduct the          To prepare a public notice:

        ^                       1.    Identify the major media contacts. While there may be many daily
                                      newspapers serving a particular area, use only one or two for the
                                      public notice. In general, use the newspaper with the widest
                                      circulation and greatest visibility in order to reach the most people
                                      and elicit the greatest response. In some cases, you may want to
                                      choose specific newspapers to reach target audiences; find out what
                                      papers the affected community reads and place your notices there.
                                      Use a similar strategy for notices in the broadcast media.  If you are
                                      giving notice via more than one media, you have more flexibility for
                                      reaching specific audiences. See the section on "Notice of the Pre-
                                      Application Meeting" in Chapter 3 for more information.

                                 2.    Take into account publication schedules.  Many local or
                                      community newspapers are published on a weekly or bi-weekly basis.
                                      This may make it difficult to coordinate the publication of the notice
                                      with the event. In such a case, consider using a city-wide newspaper
                                      that is published more frequently. If the city-wide paper is not likely
                                      to reach all segments of the affected community, you should make
                                      efforts to supplement the newspaper notice  with other means of notice
                                      (e.g., signs or broadcast media).

                                 3.    Include the  following information in the public notice:

                                      •     Name and address of the facility owner/operator;
                                      •     A brief description of the business conducted at the facility and
                                           the activity that is the subject of the notice;
                                      •     Name,  address and telephone number of an individual who can
                                           be contacted for further information on the activity;
                                      •     A brief description of the comment procedures and the date,
                                           time, and place of any hearing;
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When to Use
Accompanying
Activities
Advantages and
Limitations
                                      •     If the permit is issued by EPA, the location of the administrative
                                           record and the times when it is open for public inspection; and
                                      •     Any additional information considered appropriate.

                                      Also, try to format the notice so that it is eye-catching.  A logo can
                                      help.

                                4.    Announce dates, times, and locations clearly in the public notice.
                                      When announcing an event such as a hearing, make sure that the date
                                      and time do not conflict with other public meetings, religious or non-
                                      religious holidays, or other  important community events.

                                5.    Provide ample notice. For RCRA permits, the public notice must
                                      allow at least 45 days for public comment. Public notice of a public
                                      hearing must be given at least 30 days  prior to the hearing. Be sure to
                                      state the opening and closing dates for comment periods.

                                6.    If possible, review a typeset version of the notice before it is
                                      published to ensure accuracy.

                                7.    Keep proof of the notice for your files.  Newspapers often can
                                      provide "tear sheets" as a record of the notice. Similar proofs are
                                      available from radio or television stations.  You should consider
                                      keeping photgraphs of posted signs.
The "Regulatory Requirements" section above reviews the mandatory
public notices. In addition, agency personnel can use informal public
notices to announce other major milestones or events in the permit review
or corrective action process.  Permitting agencies may also want to use
public notices when they are establishing mailing lists.  The facility must
issue notices when it requests a permit modification, holds a pre-application
meeting, or establishes an information repository.

Public notices can be useful for any organization involved in the RCRA
permitting process. Whenever a public interest organization is planning  an
activity, or would like to supplement notices given by the facility or the
agency, you may want to consider using one of the public notice methods in
this manual. Notices can also help build your mailing lists.


Public notices are used to announce public comment periods and public
hearings. They can also be used to announce other meetings and
milestones, opportunities to join the mailing list, as well as the availability
of an information repository, fact sheets, or other permitting information.
Public notices are an efficient, simple means of alerting the public to
important events.  However, public notices should never substitute for other
activities that involve direct communication with the public.
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                                 Public notices can be more effective, and provide more of a feedback loop,
                                 when they are combined with a means of gathering information from the
                                 public.  Every notice should contain a contact person so that the public can
                                 direct comments or questions to the agency, the facility, or other
                                 stakeholder groups.

                                 See "Description of Activity" above in this section for advantages and
                                 limitations of specific notice methods.
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                                  Checklist for Public Notices

      _   Compile information to be included in the public notice:

           	   Name of agency overseeing the permit or corrective action

           _   Name, address, and phone number of contact person

           	   Facility owner/operator and description of facility activities

           _   Purpose of public notice

           	   If applicable provide the date, time, and location of public hearing (or meeting)

           _   Description of the procedures governing the public's participation in the process

      	   Draft the public notice, announcement, or advertisement

      _   Coordinate review of the draft public notice

      	   Prepare final public notice

      _   Receive final approval of public notice

      	   Coordinate placement of the public notice in the local newspaper(s), coordinate distribution of the
           public notice to the facility mailing list, submission to radio/television stations or other
           publications (as applicable)

      For publication in local newspaper(s):

                Name of Newspaper    Publication Days      Advertising Deadline



      _   Prepare procurement request or advertising voucher for public notice publication

      	   Obtain price quotes (i.e., cost per column inch)

      	   Determine size of public notice  	

      	   Determine deadlines for publication of the public notice

      _   Submit for publication

      	   Request proof of publication; file proof in facility file
Chapter 5:  Public Involvement Activities                                                         Page 5-14

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                          Checklist for Public Notices (continued)





      For distribution to the mailing list:




      	   Verify that facility mailing list is up-to-date





      _   Produce mailing labels




      	   Distribute to the mailing list




      For broadcast on local radio/television stations:




      	 Verify media list




      	 Prepare procurement request or advertising voucher for public notice spots




      	 Obtain price quotes




      	 Distribute to stations




      	 Request proof of airing and file in facility file
Chapter 5: Public Involvement Activities                                                        Page 5-15

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Translations
Regulatory
Requirements
Description of Activity
Level of Effort
None.  EPA strongly recommends using multilingual fact sheets, notices,
and other information (as appropriate) to provide equal access to
information in the permitting process.


Translations provide written or oral information in a foreign language to a
community with a significant number of residents who do not speak
English as a first language. There are two types of translations:

     •    A written translation of materials originally written in English;

     •    A simultaneous verbal translation (i.e., word by word) of a
          public meeting or news conference, usually with small headsets
          and a radio transmitter.

Translations ensure that all community members are informed about
activities at a facility and have the opportunity to participate in the
decision-making process.


The amount of time  needed to translate a document depends on the length
of the document and the  complexity of the information in the document.
You should allow  at least several days for translation.
How to Conduct the
Activity
To develop a successful translation:

1.    Evaluate the need for a translation.  Evaluate the demographic
     characteristics of the community as well as the type of public
     participation activities being planned. Consider whether citizens'
     ability to take part in an activity is limited by their inability to speak
     or understand English.

2.    Identify and evaluate translation services.  A successful translation
     depends on the skill of the translator. More problems may be created
     than solved if inaccurate or imprecise information is given. Many
     translators will not be familiar with the technical  terms associated
     with hazardous materials and few, if any, will be  familiar with the
     RCRA permitting and corrective action processes. This problem may
     be further compounded in the case of oral translations (especially
     simultaneous translations) as there is no time for review or quality
     control. Thus, it is necessary to contract someone with experience in
     translating technical information and check the translator's work to
     ensure that the content and tone are in keeping with the intent.  You
     also need to ensure that the translator uses the same dialect as those in
     your intended audience.
Chapter 5:  Public Involvement Activities
                                                            Page 5-16

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                                     Avoid the use of jargon or highly technical terms .  As a matter of
                                     standard practice, a staff member should go over in advance all
                                     technical and RCRA terms that may cause problems with the
                                     translator.

                                     For verbal presentations, public meetings, and news conferences,
                                     plan what to say ahead of time.  If the translator has a prepared
                                     written speech to work with in advance, there is more time to work
                                     out any vocabulary "bugs" and thereby reduce the chances of faltering
                                     over unfamiliar material or making inaccurate word choices. If
                                     possible, practice with the translator before the actual meeting or
                                     presentation date.

                                     Anticipate questions from the audience and reporters, and have at
                                     least the  technical aspects (e.g., chemical names, statistics) of the
                                     answers translated in advance.
When to Use
Accompanying
Activities
Advantages and
Limitations
A translation can be used:
     •    When a signficant portion of the community does not speak
          English as a first language. A written translation should be
          provided for fact sheets or letters, unless a presentation or public
          meeting would be more appropriate (e.g., the literacy rate
          among the foreign-speaking community is low).
     •    Verbal translations are recommended where there is
          considerable concern over the facility, extreme hostility, or
          suspicion of the agency's efforts to communicate with
          community members.
The need for translations is often determined during the community
assessment and community interviews. Translations are generally used
for fact sheets, public notices, presentations, public meetings, public
hearings, and news conferences.


Written translations and use of translators ensure that a greater number of
community members can participate effectively in the process and,
therefore, provide input to decisions concerning the RCRA-regulated
process.  This effort assures the community of your organization's sincerity
in providing opportunity  for public participation.
Translations are very  costly, especially simultaneous translations of public
meetings. Sentence-by-sentence oral translations frequently double the
length of public meetings, and may make information more difficult to
present effectively and smoothly.  In addition, very few translators  are
familiar with the RCRA permitting and corrective action processes. For
facilities having highly volatile or sensitive problems, it may be difficult to
communicate your organization's position and involve community
Chapter 5:  Public Involvement Activities
                                                            Page 5-17

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                                 members in a constructive dialogue.
                                   Checklist for Translations

            Determine need for translations

            Identify translation service or identify staff to provide translating services

            Fact sheet translations

            	   Provide English text (including text for graphics, headlines, fact sheet flag)

            Meeting translations

            	   Determine if translation will be simultaneous or if translations will occur following
                 statements.

            _   If simultaneous, provide audio equipment for translator/participants

            	   Prepare list of technical and RCRA terms that will need to be translated

            _   Prepare, in advance with the translator, presentations, responses to questions
Chapter 5:  Public Involvement Activities                                                         Page 5-18

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Mailing Lists
Regulatory
Requirements
Description of Activity
Level of Effort
How to Conduct the
Activity
The permitting agency must establish and maintain the facility mailing list
in accordance with § 124.10(c)(l)(ix). The agency must develop the list
by:  (a) including people who request in writing to be on the list; (b)
soliciting persons for "area lists" from participants in past permit
proceedings in that area; and (c) notifying the public of the opportunity to
be put on the mailing list through periodic publication in the public press
and in such publications as Regional- and State-funded newsletters,
environmental bulletins, or State law journals.


Mailing lists are both important databases and essential communication
tools. Mailing lists ensure that concerned community members receive
relevant information. They allow messages to reach broad or targeted
audiences.  The better the mailing list, the better the public outreach and
delivery of information.  Mailing lists typically include concerned
residents, elected officials, appropriate federal, state,  and local government
contacts, local media, organized environmental groups, civic, religious and
community organizations, facility employees, and local businesses.

It is recommended that you develop an internal distribution list at the  same
time you prepare your external mailing list. The distribution list for
permitting agencies should include all technical project staff, public
involvement staff, legal staff, and staff from other affected programs  (Air,
Water, etc.), as appropriate.  This list will help ensure that all relevant
project staff receive the same information about all phases of the project.
Facilities and community organizations should follow similar procedures to
keep their staffs and members informed.


A mailing list can be developed in conjunction with other public
participation activities.  Depending on the size of the  list, inputting
information  into a data base can take several days.  Updating will require
approximately half a day per quarter.


To develop and update a mailing list,  consider the following:

1.   Solicit names, addresses, and phone numbers of individuals to be
     included on the list. This should include individuals who put their
     names and addresses on the sign-in sheet at the pre-application
     meeting, if applicable.  Telephone numbers are useful to have so that
     you can contact these individuals for community interviews and to aid
     you when you update your list.

     Individuals to include  in your mailing list:
Chapter 5:  Public Involvement Activities
                                                             Page 5-19

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                                      •     The people interviewed during community interviews, as well as
                                            other names these people recommend;

                                      •     All nearby residents and owners of land adjacent to the facility;

                                      •     Representatives of organizations with a potential interest in an
                                            agency program or action (e.g., outdoor recreation
                                            organizations, commerce and business groups,
                                            professional/trade associations, environmental and community
                                            organizations, environmental justice networks, health
                                            organizations, religious groups, civic and educational
                                            organizations, state organizations, universities, local
                                            development and planning boards, emergency planning
                                            committees and response personnel, facility employees);

                                      •     Any individual who attends a public meeting, workshop, or
                                            informal meeting related to the facility, or who contacts the
                                            agency regarding the facility;

                                      •     Media representatives;

                                      •     City and county officials;

                                      •     State and Federal agencies with jurisdiction over wildlife
                                            resources;

                                      •     Key agency officials; and

                                      •     The facility owner/operator.

                                 2.   Review background files to ensure all interested individuals are
                                      included on the mailing list.

                                 3.   Input information into a computer system so that it can be
                                      categorized and sorted and printed on mailing labels.

                                 4.   Send a letter or fact sheet to the preliminary mailing list
                                      developed using 1) and 2) above. Inform key Federal, State, and
                                      local officials, citizens, and other potentially interested parties of your
                                      activities and the status of upcoming permit applications or corrective
                                      actions. Ask whether they wish to receive information about this
                                      facility. Ask them for accurate addresses and phone numbers of other
                                      people who might be interested in the project.

                                 5.   Update your mailing list at least annually to ensure its correctness.
                                      Mailing lists can be updated by telephoning each individual on the
                                      list,  and by using local telephone and city directories as references.
                                      The  permitting agency can update the official mailing list from time
                                      to time by requesting written indication of continued interest from
                                      those listed.  The agency can then delete any people who do not

Chapter 5:  Public Involvement Activities                                                          Page 5-20

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When to Use
Accompanying
Activities
Advantages and
Limitations
                                      respond (see § 124.10(c)(l)(ix)(C)).

                                 See the section on "The Facility Mailing List" in Chapter 3 for more
                                 information.
A mailing list is a required public participation activity for permitting.
Additional people may want to join the list if corrective action will take
place at a facility. Public interest groups or other involved organizations
often have mailing lists.

•    Develop a mailing list as soon as possible during the permit
     application phase, or as soon as the need for a RCRA Facility
     Investigation is identified.

•    Update the mailing list regularly.

Develop a distribution at the same time you develop a mailing list.


Mailing lists are useful in identifying individuals to contact for community
interviews. They are also needed to distribute fact sheets and other
materials on the facility.  Public notices and sign-up sheets at public
meetings or information repositories can help you build mailing lists.


Mailing lists provide the names of individuals and groups interested in
activities at RCRA facilities. However, lists can be expensive and time-
consuming to develop, and they require  constant maintenance.
Chapter 5:  Public Involvement Activities
                                                            Page 5-21

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                                   Checklist for Mailing Lists

       Mailing List Development:

       _   Verify the list format (i.e., name, title, company, address, phone number)

       	   Consider issuing a public notice to solicit names for the mailing list

       _   Identify people to be included on the list:

            	   People who signed the attendance sheet at the pre-application meeting (if applicable)

            _   City elected officials (mayor and council)

            	   City staff and appointees (city manager, planning director, committees)

            _   County elected officials (supervisors)

            	   County staff and appointees (administrator, planning director, health director, committees)

            _   State elected officials (senators, representatives, governor)

            	   State officials (health and environment officials)

            _   Federal elected officials (U.S. Senators, U.S. Representatives)

            	   Federal agency officials (EPA)

            _   Residents living adjacent to facility

            	   Other interested residents

            _   Media

            	   Business groups of associations

            _   Businesses possibly affected by the facility (i.e., located down-wind of facility)

            	   The facility owner/operator

            _   Consultants working on the project or related projects

            	   Local environmental groups

            _   Other civic, religious, community, and educational groups (e.g., League of Women Voters,
                 government associations, churches, homeowners and renters associations)

      	   State and  Federal Fish and Wildlife Agencies	
Chapter 5:  Public Involvement Activities                                                         Page 5-22

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                          Checklist for Mailing Lists (continued)




       	    Have list typed




       _    Prepare mailing list




       	    Store on computer data base




       Mailing List Updates:




       	    Verify names/addresses by searching telephone directory




       _    Verify names/addresses by searching city directory




       	    Verify names/addresses by calling each individual




       _    Consider issuing a notice asking for written indication of continued interest (§
Chapter 5: Public Involvement Activities                                                       Page 5-23

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Notices of Decision
Regulatory
Requirements
Description of Activity
RCRA requires the permitting agency to issue a notice of decision to
accompany the final permit decision (under § 124.15 procedures).  The
agency must send the notice to the permit applicant and to any person who
submitted written comments or requested notice of the final permit decision
(§ 124.15). Note that Class 3 modifications and the corrective action final
remedy selection also follow § 124.15 procedures and require a Notice of
Decision.
A notice of decision presents the agency's decision regarding permit
issuance or denial or modification of the permit to incorporate changes such
as the corrective action remedy.
Level of Effort
How to Conduct the
Activity
When to Use
Accompanying
Activities
A notice of decision may take several days to write and review, depending
on the complexity.  Allow time for several rounds of revisions. If you need
to develop graphics, such as site maps, allow time to produce the graphics.


The notice should briefly specify the agency's final decision and the basis
for that decision.  The notice must also refer to the procedures for appealing
a decision. Notices of decision must be sent to the facility owner/operator
(permit applicant) and each person who submitted written comments or
requested notice of the final permit decision. You may want to send the
notice to other interested parties as well. Final permits generally become
effective 30 days after the notice of decision.
•    When a permit decision has been finalized following the 45-day
     public comment period;

•    When the permitting agency makes its final decision regarding a
     permit modification.


A response to comments document must be issued at the same time the
final permit decision is issued.
Advantages and
Limitations
The notice of decision provides a clear, concise public record of the
decision. However, the notice of decision should not be a substitute for
other activities that involve direct two-way communication with the public.
Chapter 5: Public Involvement Activities
                                                          Page 5-24

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                              Checklist for Notices of Decision

       	   Determine contents of the notice of decision

            _   Decision made and basis for that decision

            	  Information on appeal procedures

       _   Coordinate writing the notice with technical and legal staff

            	   Technically accurate

            _   Satisfies statutory requirements

            	   Provides the public with all necessary information in a clear and concise manner

       _   Coordinate internal review of notice of decision

       	   Prepare final notice of decision based on internal review comments

       	  Notify the facility owner/operator and anyone who submitted written comments or requested
            notice of the final decision

       	   Notify other interested parties of the decision

       _   Place copy of the notice of decision in the administrative record and the information repository
            (if one exists)
Chapter 5:  Public Involvement Activities                                                         Page 5-25

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Introductory Notices

Regulatory
Requirements
Description of Activity
Level of Effort
How to Conduct the
Activity
When to Use
While EPA regulations do not specifically require an introductory notice, §
124.32 provides for an agency notice at the time of application submittal.
Permitting agencies may want to consider the guidance in this section (in
addition to the § 124.32 requirements) when preparing the notice at
application submittal. Chapter 3 provides guidance specifically for the
notice at application submittal.


An introductory notice explains the agency's permit application review
process or the corrective action process  and the opportunities for public
participation in that process.


The amount of time needed to prepare an introductory notice is based on
whether the notice is prepared as a public notice or a fact sheet. If prepared
as a public notice, allow a day or two for writing, review, and placement in
newspapers and other media. If prepared as a fact sheet, allow several days
to a week to write and review, depending on the layout and graphics used,
and several days for printing.


To prepare an introductory notice:

1.   Determine the best method to explain the permit application
     review or corrective action process. An introductory notice can be
     presented as a public notice, a fact sheet, or a flier distributed to the
     facility mailing list.

2.   Prepare and distribute the notice.  Coordinate the writing and
     distribution of the  notice with technical project staff. Take care to
     write the notice avoiding technical terms and jargon.

3.   Include an information contact.  Provide the name, address, and
     phone number of a contact person who the public can call if they have
     questions or need additional information about the facility. You
     might add a return slip to the notice for people to complete and return
     to your organization if they would like additional information or to be
     placed on a mailing list.


An Introductory Notice  can be used:

     •    When you find the community knows little or nothing about the
          RCRA process; and

     •    When you need to notify the public of how they can become
          involved in the RCRA process.
Chapter 5: Public Involvement Activities
                                                           Page 5-26

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Accompanying              Informal meetings, availability sessions/open houses, or workshops may

A rtivitipQ                    ^e conducted following release of the notice.
A^  ™^rra^ ^^A             An introductory notice informs the public about the agency s permit
/vdvaniages ana                 ...      .             ,,    ,       ,-,,-,
                               application review process and how they can be involved in the process.

UlsaavaniagcS               However, the notice is a one-way communication tool. A contact person

                               should be identified in the notice so that interested members of the

                               community can call this person if they have questions.
Chapter 5: Public Involvement Activities                                                      Page 5-27

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                             Checklist for Introductory Notices




       	    Determine how you will distribute the notice.




            _    Public notice in newspaper




            	    Fact sheet or flier sent to the mailing list




       _    Prepare draft introductory notice




       	    Include name and phone number of a contact person




       _    Coordinate internal review of introductory notice




       	    Write final introductory notice based on comments received during the internal review




       _    Verify facility mailing list is up-to-date




       	    Request mailing labels




       _    Distribute introductory notice
Chapter 5: Public Involvement Activities                                                        Page 5-28

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Fact Sheets/
Statements of Basis

Regulatory
Requirements
Description of Activity
EPA's regulations require the agency to develop a fact sheet or a statement
of basis to accompany the draft permit.  The agency will develop a fact
sheet for any major hazardous waste management facility or facility that
raises significant public interest (§ 124.8). The agency must prepare a
statement of basis for every draft permit for which a fact sheet is not
prepared (§ 124.7). Note that these requirements also apply to Class 3
modifications and agency-initiated modifications (such as the agency may
use at remedy selection), which must follow the part 124 procedures.
Specific requirements for these activities are described below under "How
to Conduct the Activity."


RCRA-required fact sheets and statements of basis summarize the current
status of a permit application or corrective action. This required fact sheet
(or statement of basis) is probably different than the commonly-used
informational fact sheets that most people recognize.  The required fact
sheet must explain the principal facts and the significant factual, legal,
methodological and policy questions considered in preparing the draft
permit.  They can vary in length and complexity from simple two-page
documents to 12-page documents complete with graphic illustrations and
glossaries.

The agency and other stakeholder groups may find it useful to develop
other fact sheets to be used in public participation activities. These
informal/informational fact sheets can explain difficult aspects of the
permitting process or provide technical information in language that an
ordinary person can understand.  These fact sheets may come in many
different varieties and levels of detail.

Fact sheets are useful for informing all interested parties about the basis for
the permitting agency's decision regarding a facility permit or proposed
corrective action activities.  They ensure that information is distributed in a
consistent fashion and that citizens understand the issues associated with
RCRA programs.

Statements of basis are generally shorter than fact sheets and summarize
the basis for the Agency's decision.  Statements of basis are often used in
the corrective action program to summarize the information contained in
the RFI/CMS reports and the administrative record. They are designed to
facilitate public participation in the remedy selection process by:

•    Identifying the proposed remedy for a corrective action at a facility
     and explaining the reasons for the proposal.
Chapter 5:  Public Involvement Activities
                                                            Page 5-29

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Level of Effort
How to Conduct the
Activity
•    Describing other remedies that were considered in detail in the RFI
     and CMS reports.

•    Soliciting public review and comment on all possible remedies
     considered in the RFI and CMS reports, and on any other plausible
     remedies.

•    Providing information on how the public can be involved in the
     remedy selection process.

In emphasizing that the proposed remedy is only an initial
recommendation, the statement of basis should clearly state that changes to
the proposed remedy, or a change from the proposed remedy to another
alternative, may be made if public comments or additional data indicate
that such a change would result in a more appropriate solution. The final
decision regarding the selected remedy(ies) should be documented in the
final permit modification (if applicable) with the accompanying response to
comments after the permitting agency has taken into consideration all
comments from the public.


Fact sheets and statements of basis may take from two days to two weeks to
write, depending on their length and complexity.  Allow time for several
rounds of revisions.  Allow three days for printing.  (Short Cut:  Use
already developed RCRA templates with graphics that are on file at your
agency).


The first step in preparing a fact sheet is to determine the information to be
presented. EPA decisionmaking regulations require that RCRA permit fact
sheets contain the following types of information:

•    A brief description of the type of facility or  activity which is the
     subject of the draft permit;

•    The type and quantity of wastes covered by  the permit;

•    A brief summary of the basis for the draft permit conditions and the
     reasons why any variances or alternatives to the proposed standards
     do or do not appear justified;

•    A description of the procedures for reaching a final decision,
     including the beginning and  ending dates of the public comment
     period and the address where comments can be sent, and procedures
     for requesting a public hearing; and

•    Name and telephone number of a person to contact for additional
     information.

A statement of basis is prepared the same way as  a fact sheet. The
statement of basis summarizes essential information from the RFI and
Chapter 5: Public Involvement Activities
                                                           Page 5-30

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                                 CMS reports and the administrative record. The RFI and CMS reports
                                 should be referenced in the statement of basis.  The statement of basis
                                 should:

                                 •     Briefly summarize the environmental conditions at the facility as
                                       determined during the RFI.

                                 •     Identify the proposed remedy.

                                 •     Describe the remedial alternatives evaluated in sufficient detail to
                                       provide a reasonable explanation of each remedy.

                                 •     Provide a brief analysis that supports the proposed remedy, discussed
                                       in terms of the evaluation criteria.

                                 Select a simple format for presenting the information.  Avoid using
                                 bureaucratic jargon, acronyms, or technical language in the text, and be
                                 concise.

                                 Use formatting techniques to make the fact sheet or statement of basis more
                                 interesting and easy-to-read. People are less likely to read a fact sheet or
                                 statement of basis consisting of a solid sheet of typed text than one with
                                 clear, informative illustrations. Moreover, a well-designed document
                                 suggests that the permitting agency takes its public participation program
                                 seriously.

                                 Coordinate the production of these documents with technical project staff.
                                 Technical staff should review them to ensure that the information conveyed
                                 is accurate and complete.  Outreach staff should review them to ensure that
                                 the communication goals are being met.

                                 Arrange  for printing and distribute copies of the fact sheet or statements of
                                 basis to the mailing list, place extra copies at the information repository,
                                 and distribute additional copies at public meetings and hearings.
When to Use                  While fact sheets/statements of basis are required for draft permits, they
                                 can also be helpful at other times in the permitting and corrective action
                                 processes:

                                 •    During technical review of the permit application;

                                 •    At the beginning of a RCRA facility investigation;

                                 •    When findings of the RCRA facility investigation are available;

                                 •    When the corrective action is completed; and

                                 •    When the Notice of Decision is released.

                                 In addition,  fact sheets can be written to explain a facility inspection or


Chapter 5:  Public Involvement Activities                                                          Page 5-31

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Accompanying
Activities
Advantages and
Limitations
                                emergency action, a new technology, or a community-based activity.

                                Fact sheets and statements of basis can be particularly useful in providing
                                background information prior to a public meeting or public hearing.
Fact sheets and statements of basis are generally used in conjunction with
the mailing list, public notices, public comment periods, and public
meetings and hearings.  However, as stated above, they can be helpful at
almost any stage in the permitting or corrective action processes.


Fact sheets and statements of basis are effective in summarizing facts and
issues involved in permitting and corrective action processes. They
communicate a consistent message to the public and the media. Produced
throughout the permitting or corrective actions processes, they serve to
inform the public about the regulatory process as well as the technical
RCRA issues and can aid in creating a general community understanding of
the project. They are relatively inexpensive and can be distributed easily
and directly to the mailing list.  In addition, fact sheets and statements of
basis can be tailored to meet specific information needs identified during
community assessments.

However, a poorly written fact sheet or statement of basis can be
misleading or confusing.  Documents of this type that are not written in an
objective style can be perceived as being too "persuasive"  and considered
"propaganda" by mistrusting communities. Remember that fact sheets and
statements of basis are a one-way communication tool, and therefore should
always provide the name and telephone number of a contact person to
encourage comments and questions.
Chapter 5: Public Involvement Activities
                                                            Page 5-32

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                      Checklist for Fact Sheets/Statements of Basis

       	    Determine purpose and focus of fact sheet or statement of basis

       _    Develop outline

            	    Organize contents in a logical manner

            _    Determine appropriate graphics

       	    Verify mailing list is up-to-date

       _    Request mailing labels

       	    Coordinate preparation of fact sheet or statement of basis with technical staff as appropriate

            _    Draft text

            	    Draft graphics

            _    Draft layout

            	    Place mailing coupon on reverse side of mailing label

       _    Coordinate internal review of fact sheet or statement of basis

       	    Incorporate revisions into final fact sheet or statement of basis

       _    Proofread final fact sheet or statement of basis

       	    Arrange printing of fact sheet or statement of basis

            _    Select paper weight, ink color, and color paper

       	    Print fact sheet or statement of basis

       _    Distribute fact sheet or statement of basis to the mailing list and place additional copies in the
            repository
Chapter 5: Public Involvement Activities                                                        Page 5-33

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Project Newsletters
and Reports

Regulatory
Requirements

Description of Activity
Level of Effort
How to Conduct the
Activity
None.
Project newsletters and reports are means of direct communication that
keep interested people informed about corrective action and permitting
activities.  Both publications provide a level of project detail that is not
usually available from the news media. A project newsletter uses a reader-
friendly, news-based format to provide regular updates on activities in the
permitting process and actions taking place at the facility. Project reports
may include official technical reports or other environmental documents
and studies related to a particular facility.  Sending these  reports directly to
key stakeholders can spread information more effectively than simply
placing the documents in an information repository.


Newsletters can require significant amounts of staff time  and resources to
write, copy, and distribute. Direct transmission of reports will require less
staff time, but may cost more to copy and distribute.


To provide a project newsletter or project reports:

1.   Assign a staff person to produce the newsletter.  Instruct project
     staff to direct relevant information and reports to this person.

2.   Decide on a format and style for the newsletter.  Evaluate the
     resources you have available for the newsletter and  decide what type
     of newsletter you will produce. Keep in mind that a visually-
     attractive newsletter with plenty of graphics and simple language is
     more likely to be read. Avoid bureaucratic or technical jargon. The
     newsletter should contain real news that is  useful to people.  Since
     people who are not familiar with the project may pick up the
     newsletter, write it so that first-time readers can understand it.

3.   Provide for review.  Permitting agencies,  in particular, will want to
     ensure the credibility of their newsletters by making sure that they are
     objective.  In such cases, you may consider asking a citizen advisory
     group, a consultant, or a non-partisan civic group (e.g., the League of
     Women Voters), to review the document. If the public has concerns
     over the credibility of your organization, it may be beneficial for the
     citizens advisory group or a neutral body to produce the newsletter.
     An objective newsletter should candidly report all developments  at
     the facility.
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When to Use
Accompanying
Activities
Advantages and
Limitations
4.   Summarize detailed reports.  If you are distributing a technical
     report, you should consider including a summary. Another option is
     to include findings in the project newsletter and allow people to send
     in a clip-out request form or contact your staff for copies of the full
     report.

5.   Check your mailing list.  Make sure that your mailing list is up to
     date and includes all interested stakeholders and media contacts (see
     the section on Mailing Lists above).

6.   Update your mailing list.  Project newsletters may continue for a
     number of years.  You should consider updating your mailing list by
     including  an "address-currency" card in the newsletter on a regular
     basis (e.g., once a year). By sending in this card, people will continue
     to receive the newsletter.


Project newsletters and reports can provide detailed information about a
facility that is not usually available in the media. These methods may be
most useful when:

•    there is a high level of public interest in a facility;

•    when many citizens do not have access to an information repository,
     or a repository has not been established;

•    you would like  to maintain project visibility during extended technical
     studies; or

•    presenting the results of detailed studies through a newsletter will
     better inform the public.


A mailing list is essential for  distribution of reports and newsletters.  You
should consider availability sessions, open houses, or informal meetings
to explain the results  of detailed reports and studies. Always include a
contact person in the newsletter or report.


Newsletters and project reports are useful ways to disseminate important
information to stakeholders. Making reports widely available can enhance
their credibility.

Newsletters may require significant amounts of staff time and resources.
Direct distribution of technical reports may create confusion if they are not
accompanied by a summary.
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                      Checklist for Project Newsletters and Reports

      _   Assign a staff person to be in charge of producing the newsletter or reports

      	   Direct the project staff (e.g., through a memo) to forward all relevant project information to the
           newsletter director

      _   Decide on format, style, and frequency  of distribution

      	   Draft the newsletter

      _   Review the newsletter for content, style, simple language, and visual appeal

      	   (If applicable) Send the newsletter to an assigned neutral party for review

      _   If you produce detailed project studies or reports, write a summary in simple language and attach
           to the report or include the summary in the newsletter

      	   Distribute the newsletter to the mailing list

      	   Update the mailing list on a regular basis	
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Response to
Comments

Regulatory
Requirements
Description of Activity
Level of Effort
How to Conduct the
Activity
According to § 124.17, the permitting agency must prepare a response to
comments at the time that it issues a final permit decision.  The agency will
also issue a response to comments when making final decisions on
requested Class 2 and 3 permit modifications under § 270.42 and agency-
initiated modifications under § 270.41.


A response to comments identifies all provisions of the draft permit or
modification that were changed and the reasons for those changes. It also
briefly describes and responds to all significant comments on the draft
permit that were received during the public comment period.

The response to comments should be written in a clear and understandable
style so that it is easy for the community to understand the reasons for the
final decision and how public comments were considered.


A response to comments can be a time-intensive activity because of the
large amount of organization, coordination, and review needed. On
average, allow several hours per comment for completion, as some
questions may take only a few minutes to answer while others may involve
in-depth technical and legal responses. In general, preparing response to
comments documents can take from several days for low-interest facilities
to several weeks for high-interest facilities.


There is no required format for preparing response to comments
documents. However, several EPA Regions have adopted a two part
approach:

•    Part I is a summary of commenters' major issues and concerns and
     expressly acknowledges and responds to those issues raised by the
     local community. "Local community" means those individuals who
     have identified themselves as living in the immediate vicinity of a
     facility.  These may include local homeowners, businesses, the
     municipality, and facility employees.  Part I should be presented by
     subject and should be written in a clear, concise, easy to understand
     manner suitable for the public.

•    Part II provides detailed responses to all significant and other
     comments.  It includes the specific legal and technical questions and,
     if necessary, will elaborate with technical detail on answers covered
     in Part I.  It also should be organized by subject.

Think of Part I as a type of fact sheet for the detailed responses provided in
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When to Use
                                Part II.  Because both parts deal with similar or overlapping issues, the
                                response to comments should state clearly that any points of conflict or
                                ambiguity between the two parts shall be resolved in favor of the detailed
                                technical and legal presentation in the second part.

                                In order to effectively address all public comments, closely coordinate the
                                preparation of responses with appropriate legal and technical staff.  Also, it
                                is important to be  certain that all comments are addressed.  A system of
                                numbering all comments as they are received and referring to these
                                numbers in all internal drafts of the response document may help keep track
                                of them.  Computer databases  are a good way to keep track of and arrange
                                the comments.

                                In addition, the Response to Comments should include a summary that
                                discusses the  following:

                                •    The number of meetings, mailings, public notices, and hearings at
                                     which the public was informed or consulted about the project;

                                •    The extent to which citizen's views were taken into account in
                                     decision-making; and

                                •    The specific changes, if any, in the project design or scope that
                                     occurred as a result of citizen input.

                                Response to comments documents must be sent to the facility
                                owner/operator and each person who submitted written comments or
                                requested notice of the final permit decision.
A response to comments is required for all final permit decisions and
decisions on class 2 and 3 modifications..
Accompanying
Activities
A response to comments usually accompanies the notice of decision.
Advantages and
Limitations
A response to comments provides a clear record of community concerns. It
provides the public with evidence that their input was considered in the
decision process. The summary also is an aid in evaluating past public
participation efforts and planning for subsequent activities.

Comments may be  difficult to respond to at times, like when the public
raises new issues, questions, or technical evidence during the public
comment period. The permitting agency may need to develop new
materials to respond to these questions.
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                           Checklist for Response to Comments

       	   After reviewing comments, determine organization of document

           _    Determine groups, subgroups of comments

           	    Where applicable, paraphrase and summarize comments

       _   Write a response for each comment, group or subgroup of comments

       	   Prepare an introductory statement including:

           _    A summary of the number and effectiveness of meetings, mailing, public notices, and
                 hearings at which the public was informed or consulted about the project

           	    The numbers and kinds of diverse interests which were involved in the project

       _   Prepare a summary statement including:

           	    The extent to which citizen's views were taken into account in decision-making

           _    The specific changes, if any, in the project design or scope that occurred as a result of
                 citizen input.

       _   Coordinate internal review of the Response to Comments with all necessary departments (public
           affairs, technical, legal)

       	   Prepare final Response to Comments

       _   Distribute Response to Comments to:

           	    Information Repository

           _    Facility owner/operator

           	    Each individual who makes written or oral comments

           _    Individuals who asked to receive the Response to Comments

           	    Appropriate agency officials

                 Administrative Record
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Information
Repositories

Regulatory
Requirements
Description of Activity
EPA regulations authorize the permitting agency to require a facility to
establish an information repository during the permitting process (§ 124.33)
or during the active life of a facility (§ 270.30).


An information repository is a collection of documents related to a
permitting activity or corrective action. A repository can make information
readily available to people who are interested in learning about, or keeping
abreast of, RCRA activities in or near their community.

Information repositories are not mandatory activities in every situation. As
mentioned above, RCRA regulations  give the permitting agency the
authority to require a facility to set up and maintain an information
repository. The agency does not have to require a repository in every case;
it should use  its discretion.  Additionally, a facility or an environmental
group may voluntarily set up a repository to make it easier for people in the
community to access information.

The size and  location of the repository will depend on the type of
permitting activity. The regulations allow the permit applicant or permittee
to select the location for the repository, as long as it is in a location that is
convenient and accessible to the public.  If the place chosen by the facility
does not have suitable access, then the permitting agency can  choose a
more suitable location. EPA encourages the facility and the agency to
involve the public when suggesting a  location for the repository — the
potential users of the facility are  best qualified to tell you if it's suitable.
See #1 under "How to Conduct the Activity" below.

The information that actually goes in  the repository can differ from case to
case, depending on why the repository was established.  If the agency
requires a facility to establish the repository, then the agency will set out
the documents and other information  that the facility must include in the
repository. The agency will decide what information will be most useful
according to the  specifics of the case  at hand. For instance, multi-lingual
fact sheets and other documents will be most appropriate in situations
where there are many non-English-speakers in an affected community.
Similarly, if the community needs assistance in understanding a very
technical permitting situation, then the agency and the facility should
provide fact sheets and other forms of information that are more  accessible
to the non-technical reader. See #2 under "How to Conduct the Activity"
below.

The permitting agency should assess the need, on a case-by-case  basis, for
an information repository at a facility. When doing so, the agency has to
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                                                             Page 5-40

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Level of Effort
How to Conduct the
Activity
                                 consider a variety of factors, including:  the level of public interest; the type
                                 of facility; the presence of an existing repository; and the proximity to the
                                 nearest copy of the administrative record.  Since any of these other factors
                                 may indicate that the community already has adequate access to
                                 information, and since repositories can be resource-intensive, permitting
                                 agencies should use this authority only in cases where the community has a
                                 true need for additional access to information.

                                 For example, in determining levels of public interest the agency staff will
                                 want to consider: What kind of turnout has there been at public meetings?
                                 What kind of responses during community interviews?  What level of
                                 media attention? How many inquiries have been coming in? What levels
                                 of community involvement have there been in  previous facility and/or local
                                 environmental matters?  If another repository  already exists, can it be
                                 augmented with materials to meet the information needs of the permit or
                                 corrective action at hand? Is it located in a convenient and accessible
                                 place?  [Note: If a facility has an existing repository that does not
                                 completely satisfy the need that the agency identifies, then the agency may
                                 specify additional steps that the facility must take to make the repository
                                 meet the public need.]

                                 Is the nearest copy of the administrative record "close enough"? The
                                 answer to this question could depend on a few  things. Ask yourself some
                                 other questions first. For example:  Can people get there by public
                                 transportation or only by a personal vehicle (i.e, by car or taxi)? Do most
                                 people in the community rely on public transportation, or do most people
                                 have and use their own cars?  Apart from whether it is accessible by public
                                 transportation or personal vehicle, how long is the trip?  Is the
                                 administrative record available for review on weekends or after business
                                 hours?
Depending on the amount of available documentation, the information
repository may take a week to establish, including compiling and indexing
documents and arranging for placement in a library or other location.
Updating may take a day or two every quarter.  A public notice announcing
the availability of the information repository may take between a day to
write, review, and place in newspapers or send to the mailing list.


To establish an information repository:

1.    Determine a suitable location. For repositories established under §§
     124.33 or 270.30, the initial choice of location is made by the facility.
     If the agency decides that the facility-proposed location is not
     suitable, then the agency will suggest another location.

     Whether required or established voluntarily, the repository should be
     be convenient and accessible for people in the community.  Whoever
     establishes the repository should consider, in particular, locations
Chapter 5:  Public Involvement Activities
                                                             Page 5-41

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                                      suggested by community residents. Typical locations include local
                                      public libraries, town halls, or public health offices.

                                      A facility may choose to set up the repository at its own offices.
                                      Before doing so, the facility owner or operator should discuss his or
                                      her intent with community representatives and/or the agency.  It is
                                      important to confirm that people are comfortable about coming onto
                                      facility property and trust that you will properly maintain the
                                      information in the repository.

                                      Facility owners and operators  should be sensitive to the concern that
                                      some citizens have about repositories that are on facility property.
                                      Some people do not feel comfortable when they need to attend a
                                      meeting or a function on the facility grounds. If the members of your
                                      community may feel uncomfortable at the facility, then you should
                                      make all efforts to establish the repository at a suitable off-site
                                      location. All repositories should be in a location where its users will
                                      feel comfortable when accessing information.

                                      In evaluating potential sites for the repository, there are several
                                      factors to consider. The location should have adequate access for
                                      disabled users, should be accessible to users of public transportation
                                      (where applicable), and should be open after normal working hours at
                                      least one night a week or on one weekend day. Repositories should
                                      be well lit and secure.

                                      A facility should also ensure that someone in its company and
                                      someone at the repository location are identified as the information
                                      repository contacts ~ to make sure that the information is kept up-to-
                                      date, orderly and accessible.

                                      Depending on the  level of community concern, or the location of the
                                      facility relative to  the surrounding communities, more than one
                                      repository may be desirable.  For example, if a county seat is several
                                      miles from the RCRA-regulated facility, and county officials have
                                      expressed a strong interest in the facility, two repositories may be
                                      advisable:  one in the community closest to the facility, and the other
                                      in the county seat.

                                 2.   Select and deposit the materials to be included in the repository.
                                      For repositories established under EPA's regulations, the permitting
                                      agency will decide, on a case-by-case basis, what documents, reports,
                                      data, and information are necessary to help the repository fulfill its
                                      intended purposes, and to ensure that people in the community are
                                      provided with adequate information.  The agency will provide a list of
                                      the materials to the facility.  The agency has the discretion to limit the
                                      contents of repositories established under §§ 124.33 and 270.30.
                                      While there is no outright ban on materials, EPA encourages
                                      regulators to ensure that repository materials are relevant and
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                                      appropriate.

                                      Facilities, permitting agencies, and public interest groups may decide
                                      to establish repositories aside from those required by regulation.
                                      Whoever establishes a repository should consult the public regarding
                                      what materials would be most useful to members of the surrounding
                                      community.  EPA encourages parties to place substantive and
                                      appropriate materials in the repository.

                                      If you are establishing an information repository, you should consider
                                      including the following documents:

                                      •     Background information on the company or facility;
                                      •     Fact sheets on the permitting or corrective action process;
                                      •     Meeting summary from the pre-application meeting (if one was
                                           conducted);
                                      •     Public involvement plan (if developed);
                                      •     The draft permit;
                                      •     Reports prepared as part of the corrective action investigations,
                                           including the RCRA Facility Assessment (RFA), the RCRA
                                           Facility Investigation (RFI), and the Corrective Measures Study
                                           (CMS);
                                      •     Fact sheets prepared on the draft permit or corrective action
                                           plan;
                                      •     Notice  of decision;
                                      •     Response to comments;
                                      •     Copies of relevant RCRA guidance and regulations;
                                      •     A copy of the Cooperative Agreement, if the state is the lead
                                           agency for the project;
                                      •     Documentation of site sampling results;
                                      •     Brochures, fact sheets, and other information  about the specific
                                           facility (including past enforcement history);
                                      •     Copies of news releases and clippings referring to the site;
                                      •     Names and phone numbers of a contact person at the facility and
                                           at the permitting agency who would be available to answer
                                           questions people may have on the materials in the repository;
                                           and
                                      •     Any other relevant material (e.g., published studies on the
                                           potential risks associated with specific chemicals that have been
                                           found stored at the facility).

                                      You should organize the documents in binders that  are easy to use and
                                      convenient for the on-site repository host. For projects that involve a
                                      large number of documents, separate file boxes should be provided as
                                      a convenience to the repository  host to ensure that the documents
                                      remain organized.

                                 3.    Publicize the existence of the repository.  For repositories required
                                      under RCRA regulations, the permitting agency will direct the
                                      facility, at a minimum, to announce the repository to all members of
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When to Use
Accompanying
Activities
Advantages and
Limitations
     facility mailing list. If you establish a repository aside from EPA's
     regulations, you should be sure to notify local government officials,
     citizen groups, and the local media of the location of the project file
     and hours of availability. Newsletters of local community
     organizations and church groups are another means of notifying the
     public.

4.    Keep the repository up-to-date by sending new documents to it as
     they are generated.  If the permitting activity is controversial or
     raises a lot of community interest, you should consider providing
     several copies of key documents so that community members can
     check them out for circulation. For repositories required under
     RCRA regulations, the facility is responsible for updating the
     repository with new documents and maintaining the documents in the
     repository.


An information repository is recommended:

     •    When the agency requires the facility to establish an information
          repository. In making its determination, the agency will
          consider relevant factors, including: the level of public interest;
          the type of facility; the presence of an existing repository; and
          the proximity to the nearest copy of the administrative record;
          and

     •    When interest in the facility is high and the public needs
          convenient access to relevant facility  documents.


The contact person(s) should be responsible for making sure that all
relevant materials have been filed in the repository.

If you establish a repository, you may want to consider setting aside time at
the repository to periodically staff a "walk-up" information table. An
information table would entail having a representative from your
organization, the permitting agency, or both, available to answer questions
that repository visitors may have. You may decide to establish the
information table on a routine basis (for example, once a month) or at key
milestones in the permitting or corrective action  process (for example, after
a draft permit decision or completion of the RFI).


An information repository provides local officials, citizens, and the media
with easy access to accurate, detailed, and current data about the facility. It
demonstrates that your organization is responsive to citizens' needs for
comprehensive information on the facility.

An information repository is a one-way communication tool and does not
allow for interaction between  citizens and your organization (unless used in
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                                                            Page 5-44

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                                 conjunction with a "walk-up" information table). The information
                                 repository may also include technical documents, which may be difficult
                                 for citizens to understand.
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                          Checklist for Information Repositories

       [Note: this checklist contains all the steps for information repositories required under §§ 124.33 and
       270.30. Anyone who is establishing a repository apart from these requirements should check above in
       this section to find out which steps apply].

       	    Determine location of Information Repository; check with agency

       _    Establish contact with the director of the location determined above

       	    Mail a letter to the permitting agency confirming the location of the Information Repository

       _    Agency will mail a list of required documents to the facility

       	    Collect and compile the documents to include in the Information Repository

            _    Documents sequentially numbered

            	    Index prepared

            _    Documents placed in notebooks

       	    Deliver documents to location determined above

            _    Have location director sign a letter/memo acknowledging receipt of the documents

       	    Send a notice to the facility mailing list indicating the availability of the Information Repository;
            provide additional means of notice  (e.g., newspaper, broadcast media) as appropriate

       _    Update the Information Repository as key public documents are available and at key technical
            milestones
Chapter 5: Public Involvement Activities                                                       Page 5-46

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Exhibits
Regulatory
Requirements
                                None.
Description of Activity
Level of Effort
How to Conduct the
Activity
Exhibits are visual displays such as maps, charts, diagrams, photographs, or
computer displays.  These may be accompanied by a brief text explaining
the displays and the purpose of the exhibit. Exhibits provide a creative and
informative way to explain issues such as health risks or proposed
corrective actions. They make technical information more accessible and
understandable.


Exhibits may take from one day to one week to write, design and produce
depending on the complexity of the exhibit. Computer software production
will take longer.  Allow time for review of the exhibit's design and concept.


To develop and display an exhibit:

1.    Identify the target audience.  Possible audiences include:

     •    General public;
     •    Concerned citizens;
     •    Environmental/Public Interest groups;
     •    Media representatives; and
     •    Public officials.

2.    Clarify the subject. Possible subjects include:

     •    The RCRA program or the permit or corrective action process;
     •    Historical background on the facility;
     •    Public participation activities;
     •    Corrective action or waste management technologies; and
     •    Health and safety  issues associated with the facility.

3.    Determine where the exhibit will be set up.  If the general public is
     the target audience, for  example, assemble the exhibit in a highly
     visible location, such as a public library, convention hall, or a
     shopping center. If concerned citizens are the target audience, set up
     a temporary exhibit at a public meeting, availability session/open
     house, or an informal meeting. An  exhibit could even be as simple
     as a bulletin board at the site or staff trailer.

4.    Design the exhibit and its scale according to the message to be
     transmitted.  Include photos or illustrations. Use text sparingly.
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When to Use
Accompanying
Activities
Advantages and
Limitations
Exhibits can be used:

     •    When level of interest in the facility is moderate to high;

     •    When information to be conveyed can be explained graphically;

     •    When staff time is limited and the audience is large;

     •    When a display can enhance other information being distributed;
          and

     •    When displays will be useful over long periods of time and at
          different facilities (e.g., generic posterboards on RCRA
          process).


Exhibits are useful at public meetings, public hearings, and availability
sessions/open houses.  If an observation deck is installed at a site, a
nearby exhibit could explain corrective action or compliance activities
under way.


Exhibits tend to stimulate public  interest and understanding. While a news
clipping may be glanced at and easily forgotten, exhibits have a visual
impact and leave a lasting impression. Exhibits also can convey
information to a lot of people with a low level of effort.

Although exhibits inform the public, they are, for the most part, a one-way
communication tool. One solution to this drawback is to attach blank
postcards (surveys) to the exhibit, encouraging viewers to comment or
submit inquiries by mail to the agency. Another approach is to leave the
phone number of the contact person who can answer questions during
working hours. However, these requests must be answered or citizens may
perceive the agency as unresponsive to their concerns. Finally, computer
touch screens can provide some feedback by answering common questions
about an exhibit.
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                                     Checklist for Exhibits

          	   Determine purpose, use of exhibit

               _   Identify the audience

               	   Clarify the message

               _   Determine where and how the exhibit will be displayed

                    	   Free-standing
                    	   Table-top display
                    _   Will the exhibit need to be easily transported?

          	   Coordinate design and construction with public involvement coordinator (and
               contractors, if available)

               _   Write copy

               	   Determine graphics

               	   Design the exhibit

               	   Coordinate review of the design, text, and graphics

               _   Complete the exhibit based on review comments
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Briefings
Regulatory
Requirements
                                None.
Description of Activity
Level of Effort
How to Conduct the
Activity
When to Use
Briefings are useful for sharing information with key stakeholders, whether
they are involved regulators, elected officials, or members of involved
public interest or environmental groups.  You can use briefings to inform
other stakeholders about the status of a permit application or corrective
action; to provide them with materials such as technical studies; results of
the technical field and community assessments; and engineering designs.
These sessions are conducted in person, and the briefings usually precede
release of information to the media or occur before a public meeting.
Briefing key stakeholders is particularly important if an upcoming action
might result in political controversy.


Briefings will usually take a day to plan and conduct.
To schedule and hold briefings:

1.    Inform your audience far in advance of the date of the briefing. It is
     usually best to hold the initial briefing in a small public room, such as
     a hotel meeting room, conference room, or at the stakeholders'
     offices.  Where relationships might be antagonistic, it may be best to
     hold the briefing in a neutral location.

2.    Present a short, official statement explaining the information in the
     context of the RCRA process and announcing future steps in the
     process.

3.    Answer questions about the statement.  Anticipate questions and be
     prepared to answer them simply and directly.

     If the briefing has been requested, find out in advance the information
     that the stakeholders seek and prepare to answer these and related
     questions.


Briefings are appropriate:

•    When key stakeholders have expressed a moderate to high level of
     concern about the facility or the process;

•    Before the release of new information to the media and the public;
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Accompanying
Activities
                                      When unexpected events or delays occur; and

                                      At any point during the permit or corrective action processes. If local
                                      officials have expressed concern during the preliminary assessment of
                                      the facility, a briefing may be appropriate to explain the RCRA
                                      permitting or corrective action program and the technical actions that
                                      are scheduled for the facility.
Briefings usually precede news conferences, news releases, informal
meetings, or public meetings.
Advantages and
Limitations
Briefings allow key stakeholders to question you directly about any action
prior to public release of information regarding that action. By providing a
"heads up," you can prepare other key stakeholders to answer questions
from their constituents when the information becomes public.  Briefings
also allow for the exchange of information and concerns.

Because briefings are normally offered to a small select group, they are not
considered to be  general information dissemination to the public.  Care
must be taken to  provide the public with ample opportunity to receive
information. At briefing sessions, include the appropriate officials, taking
care not to exclude people key to the public participation process. Avoid
the perception that you are trying to bury facts or favor special interest
groups.

Although briefings can be an effective tool for updating key stakeholders
(e.g., state and local officials, community leaders, involved regulators) they
always should be complemented by activities to inform the general public,
such as informal meetings with small groups, public meetings, or news
conferences.
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                                    Checklist for Briefings




               Determine date, time, and location of briefing.




               Date: 	




               Time:	
               Location:
               Notify key state and local officials, citizens, and other interested parties of the briefing




               Prepare presentation




               Prepare any handout materials




               Conduct briefing




               Follow-up on any questions you are unable to answer during the briefing
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Presentations
Regulatory
Requirements
                                None.
Description of Activity
Level of Effort
How to Conduct the
Activity
Presentations are speeches, panel discussions, video tapes or slide shows
held for local clubs, civic or church organizations, school classes, or
concerned groups of citizens to provide a description of current RCRA
activities.  They help improve public understanding of the issues associated
with a permitting or corrective action.


One to two days may be needed to set up and schedule the presentation,
prepare for it, give the presentation, and follow up on any issues raised.
Add more time if you need to prepare visual equipment.


Develop procedures that can be changed easily to suit different audiences.
To conduct presentations:

1.    Contact groups that may be interested in learning about your
     work.  Announce the program through the media and in your
     publications. Adjust the tone and technical complexity of any
     presentation to suit the  audience's needs.

2.    Select a standard format such as the following:

     •    Introduce yourself, your organization, the RCRA permitting or
          corrective action process, and the facility;

     •    Describe the issues that affect your audience;

     •    Discuss what is being currently done; and

     •    Discuss how citizens can play a part in making decisions about
          the facility.

3.    Set a time limit of 20 minutes.  Consider having several staff
     members deliver short segments of the presentation. Allow time for a
     question-and-answer session.

4.    Schedule presentations at convenient times, possibly evenings or
     weekends, or during regularly-scheduled meetings of other groups.
     Consult with members  of your target audience to find out what time is
     best for them.

5.    Select supporting materials (slides, graphics, exhibits, etc.) that will
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When to Use
Accompanying
Activities
Advantages and
Limitations
                                      hold the audience's attention but not distract from the speaker's
                                      message. Conduct a trial run in front of colleagues and rehearse the
                                      presentation as much as possible.

                                      If substantive issues or technical details cannot be handled in the
                                      time allowed for the presentation, name a contact for further
                                      information.
Presentations may be held:

     •    When there is moderate to high interest in a facility;

     •    When it is practical to integrate short RCRA presentations into
          meetings on other subjects; and

     •    When a major milestone in the RCRA process is reached.


Fact sheets or handouts should be distributed so that participants have
something to refer to after the presentation. Incorporating exhibits into
your presentation will hold the audience's attention and aid in their
understanding of the material. Question and answer sessions will help
clear up any misunderstanding about the presentation and allow you to
address complex issues in more detail


Because the presentation is delivered in person, the audience has a chance
to ask questions, and the presenter can gauge citizens' concerns.  Also,
many people  can be reached at one time, reducing individual inquiries.
Making project staff available for community speeches and presentations
will signal your organization's interest in the community.

Presentations require substantial effort to be effective. A poorly planned
presentation can distort residents' views of the situation.

Because the presentation is rehearsed, accommodating different or
unanticipated concerns of the audience can be difficult. Handle these
concerns during a question-and-answer session after the presentation.
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                                                            Page 5-54

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                                  Checklist for Presentations




       	    Contact groups that may be interested in a presentation




       _    Determine message(s) to be presented based on stated community interests/concerns




       	    Prepare presentation(s) based on responses from groups contacted




            _   Prepare handout materials




            	   Prepare exhibits or other visual materials




       _    Determine what staff are available for presentations




       	    Schedule presentations




       _    Conduct rehearsals




       	    Conduct presentations




       _    Conduct follow-up question-and-answer session after presentations




            	   Respond to questions you were unable to answer




            _   Contact group regarding other presentation topics in which they may be interested
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Facility Tours

Reeulatorv                    None, though the tour will have to comply with facility safety plans.
Requirements
Description of Activity      Facility tours are scheduled trips to the facility for media representatives,
                                 local officials, and citizens during which technical and public outreach staff
                                 answer questions. Facility tours increase understanding of the issues and
                                 operations at a facility and the RCRA-regulated process underway.
Level of Effort                Facility tours generally take a day to plan and conduct.
HOW tO Conduct the          To conduct facility tours:
Activity                       1 _    plan the tour ahead of time>
                                      The facility owner/operator may decide to conduct a tour, or the
                                      agency may set up a tour of the facility. If agency staff plan to lead
                                      the tour, they should coordinate with the facility owner/operator.
                                      Citizens groups should arrange tours with the facility owner/operator.
                                      If there is a Citizens Advisory Panel, the members could lead or
                                      participate in tours.

                                      Before the tour, you should:

                                      •     Determine tour routes;

                                      •     Check on availability of facility personnel, if needed; and

                                      •     Ensure that the tour complies with the safety plan for the site.

                                      If it is not possible to arrange tours at the facility (e.g., the facility is
                                      under construction or not yet built), perhaps it would be possible to
                                      arrange a tour at one like it. Interested community members may
                                      benefit from touring a facility that has similar operations or where
                                      similar technologies have been applied. Touring a RCRA-regulated
                                      facility can give residents a clearer perception of what to expect at
                                      their own site.

                                 2.    Develop a list  of individuals that might be interested in
                                      participating in a tour, including:

                                      •     Individual citizens or nearby residents who have  expressed
                                           concern about the site;
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When to Use
Accompanying
Activities
Advantages and
Limitations
     •    Representatives of public interest or environmental groups that
          have expressed interest in the site;

     •    Interested local officials and regulators;

     •    Representatives of local citizen or service groups; and

     •    Representatives of local newspapers, TV, and radio stations.

3.    Determine the maximum number that can be taken through the
     facility safely.  Keep the group small so that all who wish to ask
     questions may do so. Schedule additional tours as needed.

4.    Think of ways to involve tour participants.  A "hands-on"
     demonstration of how to read monitoring devices is one example.

5.    Anticipate questions.  Have someone available to answer technical
     questions in non-technical terms.


Tours may be conducted:

     •    When there is moderate to high interest in the facility, especially
          among elected officials;

     •    When it is useful to show activities at the facility to increase
          public understanding or decrease public concern;

     •    When it is practical and safe to have people on facility grounds;
          and

     •    During the remedial phase of corrective action.


Fact sheets, exhibits, and presentations complement facility tours. An
observation deck near the facility would allow them to watch the progress
of activities on their own. An on-scene information office would allow
for an agency official to be around and for less formal tours of the facility.
An alternative to a facility tour would be a videotape presentation
showing activity and operations at the facility. This would be effective in
cases where tours cannot be conducted.
Facility tours familiarize the media, local officials, and citizens with the
operations and the individuals involved in the permitting or corrective
action. Unreasonable fears about the risks of the facility may be dispelled,
as might suspicion of corrective action crews working at the facility. The
result is often better understanding between stakeholders.

Facility tours require considerable staff time to arrange, prepare, and
coordinate. Staff may have difficulty gaining site access for non-agency
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                                                            Page 5-57

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                                 people. Insurance regulations for the facility and liability, safety and injury
                                 considerations may make tours impossible.
                                  Checklist for Facility Tours

            Determine need for facility tours

            Coordinate tours with the facility

            _   Tour routes

            	   Facility personnel

            _   Tour dates

            	   Compliance with health and safety

            Determine maximum number of people that can be taken on the tour

            Notify interested citizens on availability of facility tours

            _   Call interested citizens

            	   Distribute mailing to facility mailing list

            _   Have citizens respond and reserve space on the tour

            Determine plant staff or agency staff to conduct tour

            Prepare responses to anticipated questions

            Conduct tours

            Follow-up on any requested information from interested citizens
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Observation Decks

Regulatory
Requirements

Description of Activity
Level of Effort
When to Use
None.
How to Conduct the
Activity
An observation deck is an elevated deck on the facility property, near the
area where corrective or RCRA-regulated activities are in progress. The
deck allows interested citizens to observe facility activities or corrective
actions directly in order to remove some of the unfamiliarity, and hence
fear, that may encompass RCRA-regulated activities.


Maintaining an observation deck may be a time-intensive activity
depending on the deck's hours of operation.  Up to 40 hours a week may be
necessary to staff the deck. Short Cut:  Consider hiring a contractor to staff
the deck, or limit the hours when it is open to the public.


To use an observation deck, the agency and the facility should work
together to:

1.    Decide whether or not an observation deck is needed or desirable.
     Gauge community interest in the facility and whether or not there is a
     location for a deck that would facilitate observation.

2.    Coordinate deck construction.  Determine the best location for the
     observation deck keeping in mind safety and public access issues.

3.    Coordinate staffing of the observation deck.  Determine the hours
     of operation for the observation deck.  Identify staff to supervise the
     observation deck and prepare staff to answer questions from the
     public.

4.    Announce the availability of the observation deck. Notify the
     community that the deck is available through  public notices, fact
     sheets, and a mailing to the facility mailing list.


An observation deck may be used:

     •    When community interest or concern is  high;

     •    When the community's understanding of facility operations will
          be enhanced by direct observation;

     •    When there will be sufficient activity at the site to promote the
          community's interest;
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                                           When staff are available to supervise public use of the deck and
                                           answer questions;

                                           When it is physically possible to set up an observation deck in a
                                           place where there is no danger to the public;

                                           When a corrective action is being implemented; and

                                           When a new technology is being tested or implemented.
Accompanying               An observation deck could complement periodic facility tours or an on-
Activities                      scene information office. Citizens can initially be informed about
                                 operations or corrective actions during the tours, then can monitor the
                                 progress of these activities at their convenience from the observation deck.
                                 Fact sheets or an informative exhibit placed near the deck also could
                                 further aid in explaining facility activities.
Advantages and              An observation deck allows citizens and media representatives to observe
T imitations                   s^e activities without hindering the activities.

                                 Constructing and occupying an observation deck is expensive and needs to
                                 be supplemented with an informational/interpretive program, so that
                                 citizens understand what they see. Further, health and safety issues must
                                 thoroughly be considered so that any visitor to the observation deck is not
                                 endangered by activities at the facility.
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                              Checklist for Observation Decks

       	   Determine need for an observation deck

            _   Coordinate with facility

       	   Identify staff available to supervise the observation deck and answer questions from interested
            citizens

       _   Coordinate deck construction

       	   Set hours of operation for the observation deck

       _   Notify interested citizens of availability of observation deck

            	   Public  notice

            _   Fact sheet

            	   Mailing to facility mailing list

            Maintain observation deck
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News Releases and
Press Kits

Regulatory
Requirements

Description of Activity
Level of Effort
How to Conduct the
Activity
None.
News releases are statements that you or your organization send to the
news media.  You can use them to publicize progress or key milestones in
the RCRA process. News releases can effectively and quickly disseminate
information to large numbers of people. They also may be used to
announce public meetings, report the results of public meetings or studies,
and describe how citizen concerns were considered in the permit decision
or corrective action.

Press kits consist of a packet of relevant information that your organization
distributes to reporters.  The press kit should summarize key information
about the permitting process or corrective action activities. Typically a
press kit is a folder with pockets for short summaries of the permitting
process, technical studies, newsletters, press releases, and other background
materials.

If your organization has public affairs personnel, you should coordinate
with them to take on media contact responsibilities.
News releases generally take eight hours to write, review, and distribute to
the media.
To prepare news releases and press kits:

1.    Consult with external affairs personnel who regularly work with
     the local media. External affairs personnel will assure that you
     adhere to organization policy on media relations.  They will assist in
     drafting the news release and can provide other helpful suggestions
     about the release and the materials for the press kit.

2.    Identify the relevant regional and local newspapers and broadcast
     media, and learn their deadlines.  Get to know the editor and
     environmental reporter who might cover the issue. Determine what
     sorts of information will be useful to them.

3.    Contact related organizations to ensure coordination.  For
     instance, permitting agencies should contact other regulatory  agencies
     on the federal, state,  and local levels to ensure that all facts and
     procedures are coordinated and correct before releasing any statement
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                                                           Page 5-62

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                                      or other materials. If your organization is local, you should
                                      coordinate with national or state-wide chapters.  You may want to
                                      consider discussing the news release with other interested
                                      stakeholders (e.g., through a briefing). However, draft news releases
                                      should not be shared -- they are internal documents.

                                 4.    Select the information to be communicated.  For the press release,
                                      place the most important and newsworthy elements up front and
                                      present additional information in descending order of importance.
                                      Use supporting paragraphs to elaborate on other pertinent
                                      information. Mention opportunities for public participation (i.e.,
                                      public meetings, etc.) and contact persons and cite factors that might
                                      contribute to earlier implementation or delays in the corrective action
                                      or permit processing. Note the location of the information repository
                                      (if applicable) or other sources for relevant documents.  If you are
                                      presenting study findings or other technical information, present it in
                                      layman's terms along with any important qualifying information (e.g.,
                                      reliability of numbers or risk factors).

                                      The press kit should contain materials that elaborate on the
                                      information in the press release.  Basic summaries of the RCRA
                                      program, the permitting process, and public participation activities are
                                      helpful materials.  Background reports or studies may also be useful.
                                      Enclose the name and phone number of a contact person and invite
                                      the reporter to call him or her with any questions.

                                 5.    The news release should be brief.  Limit it to essential facts and
                                      issues.

                                 6.    Use simple language.  Avoid  the use of professional jargon, overly
                                      technical words, and acronyms.

                                 7.    Identify who is issuing the news release. The  top of the sheet
                                      should include:

                                      •     Name and address of your organization;

                                      •     Release time ("For Immediate Release" or "Please Observe
                                           Embargo Until") and date;

                                      •     Name and phone number of the contact person for further
                                           information; and

                                      •     Headline summarizing the activity of interest.

                                 8.    In some cases, send copies of the release and the press kit to other
                                      stakeholders at the same time you give them to the news media.
                                      Coordinate with the public affairs office to determine appropriateness.
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When to Use
Accompanying
Activities
Advantages and
Limitations
The press kit and the news release can be complementary activities, though
you may choose to use either one separately. Some of the occasions when
you may want to issue a news release or a press kit include:

     •    When significant findings are made at the site, during the
          process, or after a study;

     •    When program milestones are reached or when schedules are
          delayed;

     •    In response to growing public or media interest or after your
          organization takes a new policy stance;

     •    When you are trying to increase public interest in a facility;

     •    Before a public meeting to announce subject, time, place; and

     •    A news release should not be issued at times when it may be
          difficult to get in touch with responsible  officials (e.g., Friday
          afternoons, or the day before a holiday).


The press kit is useful as a complement to a news release.  News releases
and press kits can  accompany any formal public hearings or public
meetings. They commonly accompany news conferences.  They should
provide the name of the contact  person whom interested reporters can
contact if they want more information.


A news release to  the local media can reach a large  audience quickly and
inexpensively. Press kits allow reporters to put the issue in context.  If a
reporter is trying to meet a deadline and cannot contact you, he or she can
turn to the press kit as an authoritative source of information. If the name,
address, and phone number of a contact person are included, reporters and
possibly interested community members can raise questions about the
information in the release.

Because news releases must be brief, they often exclude details in which
the public may be interested. A news release should therefore be used in
conjunction with other methods of communication that permit more
attention to detail. A news release is not an appropriate vehicle for
transmitting sensitive information.  In some cases, a news release can call
unwarranted attention to a situation; a mailing to selected individuals
should be considered instead. Frequent use of news releases to announce
smaller actions may  reduce the impact of news releases concerning larger
activities.

One potential drawback of a press kit is that reporters  may ignore it or use
the information incorrectly when writing a story.
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                                  News releases and press kits cannot be used in lieu of a public notice.
                                  Certain activities, such as the preparation of a draft permit, are subject to
                                  public notice requirements. See the section on "Public Notices" earlier in
                                  this Chapter for more details.
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                        Checklist for News Releases and Press Kits

       	    Coordinate with public affairs staff

       _    Determine purpose of news release and/or press kit

       	    Coordinate writing and distribution of release or press kit with the public affairs staff

            _    Verify that media mailing list is up-to-date

            	    Request mailing labels

       _    Write draft news release

            	    Type and double space news release

            _    Indicate the source of the news release (i.e., in the upper-left-hand corner, put the name
                 and phone number of the person writing the release, along with the agency or department
                 name and address)

            _    Provide release instructions (i.e., "For Immediate Release")

            	    Date the news release

            _    Write concisely; avoid technical terms and jargon

            	    Number pages; if more than one page is needed, put" — more —" at the center bottom of
                 the page that is to be continued; succeeding pages should be numbered and "slugged" with
                 an identifying headline or reference (i.e., "EPA — 2"); when you come to the end of the
                 news release, indicate the end with one of the following:   — 30 —, ####, or — END —.

       _    Prepare materials for the press kit

            	    Collect short descriptions of the RCRA program, permitting, and public participation
                 processes

            	    Include other pertinent information, such as reports, studies, and fact sheets

       _    Coordinate internal review

       	    Prepare final matierals based on review comments

       _    Distribute news release and press kit to local media
Chapter 5: Public Involvement Activities                                                        Page 5-66

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News Conferences
Regulatory
Requirements
                               None.
Description of Activity
Level of Effort
How to Conduct the
Activity
News conferences are information sessions or briefings held for
representatives of the news media and may be open to the general public.
News conferences provide all interested local media and members of the
public with accurate information concerning important developments
during a RCRA-regulated process. If your organization has public outreach
personnel, you will probably want to coordinate news conferences with
them.
Allow one to two days to prepare for, rehearse, and conduct a news
conference.
To conduct news conferences:

1.    Coordinate all media activity through your outreach staff.  Public
     outreach personnel will assure that you adhere to organization policy
     on news conferences.  They will help arrange location and equipment,
     etc.

2.    Evaluate the need for a news conference.  Use this technique
     carefully because statements made during a news conference may be
     misinterpreted by the media. For reporting the results of site
     inspections, sampling, or other preliminary information other public
     involvement techniques (e.g., fact sheets, news releases, or public
     meetings) may be more appropriate. A news conference announcing
     preliminary results of technical studies may add unnecessarily to
     public concerns about the facility.

3.    Notify members of the local and regional media of the time,
     location, and topic of the news conference. Local officials also
     may be invited to attend, either as observers or participants,
     depending upon their interest.  Including local officials at a news
     conference will underscore your organization's commitment to a
     community's interests and concerns.
4.    Anticipate reporters' questions and have your answers ready.
5.    Present a  short, official statement, both written and spoken,
     about developments and findings. Explain your organization's
     decisions by reviewing the situation and identifying the next steps.
     Use visual aids, if appropriate.  Live conferences  leave no room for
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                                                          Page 5-67

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When to Use
Accompanying
Activities
Advantages and
Limitations
     mistakes, so preparation and rehearsal is very important.
     Open the conference to questions, to be answered by your staff, local
     officials, and any other experts present. Have technical staff on hand
     to answer any technical questions.  Decide ahead of time who will
     answer certain types of questions.


News conferences can be used:

     •    When time-sensitive information needs to reach the public, and
          a news release may not be able to address key issues for the
          community;

     •    When staff are well-prepared to answer questions; and

     •    During any phase of the permit application or corrective action.


News conferences can be held before or after formal public hearings or
public meetings.  They are usually accompanied by news releases.
Exhibits, telephone contacts, briefings, and mailing lists would
contribute to the planning and effectiveness of a news conference.
News conferences provide a large public forum for announcing plans,
findings, policies, and other developments.  They also are an efficient way
to reach a large audience. A written news release can help ensure that the
facts are presented accurately to the media.  During the question and
answer period, your spokesperson(s) can demonstrate knowledge of the
facility and may be able to improve media relations by providing thorough,
informative answers to all questions.

A news conference can focus considerable attention on the situation,
potentially causing unnecessary local concern. Residents may not welcome
the increased attention that such media coverage is apt to bring.  News
releases or lower-profile means of disseminating information should be
considered as alternatives.

A risk inherent in news conferences is that the media can take comments
out of context and create false impressions.  This risk is heightened when
staff are unprepared or when the conference is not properly structured or
unanticipated questions are asked.
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                              Checklist for News Conferences




       	    Coordinate news conference with public affairs staff




       _    Determine purpose of news conference




       	    Identify staff to make presentations/answer questions at news conference




       _    Prepare visual materials (i.e., exhibits) and handout materials (i.e., fact sheets)




       	    Prepare responses to "anticipated" questions from the media




       _    Coordinate a rehearsal of all presenters




       	    Determine date, time, location, and equipment needs of news conference




            _   Is the location large enough to accommodate the media?




       	    Notify local media of news conference in advance of news conference




       _    Call the local media the day before the news conference as a reminder




       	    Conduct the news conference




            _   Set up room with a speakers table, chairs for the  audience




                Have handout materials available when media arrive
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Community
Interviews
Regulatory
Requirements
                                None.
Description of Activity
Level of Effort
How to Conduct the
Activity
Community interviews are informal, face-to-face or telephone interviews
held with local residents, elected officials, community groups, and other
individuals to acquire information on citizen concerns and attitudes about a
facility. The interviews may be conducted by facility staff, the permitting
agency, or public interest groups as part of the community assessment.
Chapter 2 provides more information on community assessments in the
section titled "Assessing the Situation."

Community interviews can play an important role in the community
assessment, which usually takes place at the beginning of the permitting
process, or before major modifications and significant corrective actions.
Community interviews will not be necessary in every community.  For
instance, in routine or non-controversial situations, there may be no need
for community interviews.  However, if a facility is controversial or has the
potential to receive high levels of public interest, then EPA recommends a
broad range of community interviews. Permitting situations that fall
between the preceding cases may require some  interviews, beginning with a
survey of community representatives and group leaders (see "Assessing  the
Situation" in Chapter 2).

Community interviews allow agencies, facility  owners, and public  interest
groups to tailor regulatory requirements and additional activities to fit the
needs of particular communities. Information obtained through these
interviews is typically used to assess the community's concerns and
information needs and to prepare a public participation plan,  which
outlines a community-specific strategy for responding to the concerns
identified in the interview process.


Community interviews are a time-intensive activity because of the large
amount of organization required and time needed for interviews. While
level of effort will vary, interviewers should schedule at least one hour per
interview for research and preparation, the  interview itself, and follow-up
activities.  If time and/or resources are limited,  interviewers may want to
conduct interviews by phone and focus on community leaders.


Permitting agencies, facility owners, and public interest groups who plan to
conduct community interviews should follow the steps below, adjusting
them as necessary to suit the situation at hand:
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                                 1.    Identify potential people to interview.  If a mailing list is not
                                      available, begin by reviewing available files and other documents
                                      (e.g., newspaper articles) to identify local residents, key state and
                                      local officials, and citizen organizations that have been involved with
                                      or expressed concern about the facility. Agency staffer other groups
                                      in the community (e.g., existing facility owners and operators, public
                                      interest organizations, civic groups, local government agencies) may
                                      also be able to suggest individuals or groups to interview. Develop a
                                      list of individuals and groups that provides the greatest variety of
                                      perspectives.  Make sure to include individuals who tend to be less
                                      vocal to balance the views of those who are more outspoken. Your
                                      contact list may include:

                                      •    state agency staff, such as officials from health, environmental,
                                           or natural resources departments;

                                      •    local agency staff and elected officials,  such as county health
                                           department officials, county commissioners, mayor or township
                                           administrator,  and  officials on environmental commissions,
                                           advisory committees, and planning boards;

                                      •    representatives of citizens' groups organized to address issues  at
                                           the facility or in the area;

                                      •    non-affiliated area residents and individuals;

                                      •    local business  representatives (e.g., from the Chamber of
                                           Commerce or Council of Governments);

                                      •    local civic groups,  neighborhood associations, educational and
                                           religious organizations;

                                      •    local chapters of public interest groups  (e.g., environmental
                                           organizations); and

                                      •    nearby landowners and businesses.

                                 2.    Determine how many interviews to conduct. Conduct interviews
                                      with the goal of obtaining a broad range of perspectives and gathering
                                      sufficient information to develop an effective public participation
                                      plan.  However, the  actual number of interviews is likely to depend on
                                      available time and resources as well as the community's level of
                                      interest and concern about the facility.  It is generally desirable to
                                      conduct more extensive  interviews in communities where the level of
                                      concern is high.  Alternatively, where the  level of interest is low or
                                      there has already been significant interaction with community, fewer
                                      interviews may be appropriate.

                                 3.    Prepare for the interviews.  Before conducting the interviews, learn
                                      as much as possible about the community and community concerns

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                                      regarding the facility. Review any available news clippings,
                                      documents, letters, and other sources of information relevant to the
                                      facility.  Determine whether the community has any particular
                                      language, geographic, or economic characteristics that should be
                                      addressed.  Prepare a list of questions that can serve as a general
                                      guide when speaking with residents and local officials.  Questions
                                      should be asked in a way that stimulates discussion on a variety of
                                      topics, including:

                                      •     General knowledge of the facility. Find out what sort of
                                           information the community has received about the facility and if
                                           what level of involvement the community has had with the
                                           facility.

                                      •     Specific concerns about the technical and regulatory aspects of
                                           activities at the facility. Determine what the community's
                                           concerns are and what types of information would be most
                                           appropriate to address these concerns.

                                      •     Recommended methods of communicating with the community
                                           and receiving community input.  Determine which
                                           communications tools are likely to be most effective — e.g.,
                                           mailings, meetings, broadcast media — and what public
                                           participation events could best serve the community.  Learn
                                           about special information needs that the community may have
                                           (e.g., the  level  of literacy, the percentage of non-English
                                           speakers).

                                      •     The best public meeting facilities, most relied-upon media
                                           outlets, and the best times to schedule activities.

                                      •     Other groups or individuals to contact for more information.

                                 4.    Arrange the interviews.  Telephone prospective interviewees and
                                      arrange a convenient time and place to  meet. Ideally, the meeting
                                      place should promote candid discussions. While government and
                                      media representatives are likely to prefer meeting in their offices
                                      during business hours, local residents and community groups may be
                                      available only in non-business hours. Meetings  at their homes may be
                                      most convenient.

                                 During the interviews:

                                 1.    Provide background information. Briefly describe the permitting
                                      activity or corrective action at hand.

                                 2.    Assure interviewees that their specific comments will remain
                                      confidential. At the beginning of each interview, explain the purpose
                                      of the interviews ~ to gather information to assess community
                                      concerns and develop an appropriate public participation strategy.

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                                      Explain that while the public participation plan will be part of the
                                      administrative record, the plan will not attribute specific statements or
                                      information to any individual. Ask interviewees if they would like
                                      their names, addresses, and phone numbers on the mailing list.

                                 3.    If community members do not feel comfortable with interviewers
                                      from your organization, consider using a third-party.  Some
                                      citizens may not be entirely forthcoming with their concerns or issues
                                      if they are uncomfortable with the interview. If sufficient resources
                                      are available, inciter hiring a contractor to perform interviews. Some
                                      civic or community organizations may be willing to help in the
                                      interview process. If these options are not available, then consider
                                      distributing anonymous surveys or convening focus groups, where a
                                      number of citizens can give their input together.

                                 4.    Identify other potential contacts. During the discussions, ask for
                                      names and telephone numbers of other persons who are interested in
                                      activities at the facility.

                                 5.    Gather information on past citizen participation activities .
                                      Determine the interviewee's perceptions of past outreach activities by
                                      your organization.

                                 6.    Identify citizens' concerns about the facility. When identifying
                                      concerns, consider the following factors:

                                      •    Threat to health ~ Do community residents  believe their health
                                           is or has been affected by activities at the facility?

                                      •    Economic concerns - How does the facility affect the local
                                           economy and the economic well-being of community residents?

                                      •    Agency/Facility/Interest Group credibility ~ Does the public
                                           have confidence in the capabilities of the agency? What are the
                                           public's opinions of the facility owner/operator and involved
                                           environmental/public interest organizations

                                      •    Involvement ~ What groups or organizations in the community
                                           have shown an interest in the facility?  Is there a leader who has
                                           gained substantial local following? How have interested groups
                                           worked with the agency or facility in the past?  Have
                                           community concerns been considered in the past?

                                      •    Media ~ Have events at the facility received substantial
                                           coverage by local, state, or national media?  Do local residents
                                           believe that media coverage accurately reflects the nature and
                                           intensity of their concerns?

                                      •    Number affected — How many households or businesses
                                           perceive themselves as affected by the facility (adversely or

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When to Use
Accompanying
Activities
Advantages and
Limitations
                                          positively)?

                                     Assess how citizens would like to be involved in the RCRA
                                     permitting or corrective action process.  Briefly explain the RCRA
                                     public participation process and ask the interviewees how they would
                                     like to be involved and informed of progress made and future
                                     developments at the facility.  Ask what is the best way to stay in
                                     contact with the interviewee. Ask the interviewee to recommend
                                     convenient locations for setting up the information repository or
                                     holding public meetings.  Keep a list of those who wish to be kept
                                     informed.
Community interviews should be conducted:

•    As part of a community assessment by facility owners who are
     applying for a permit, seeking a major permit modification, or
     beginning significant corrective action.

•    By the permitting agency to find out about community concerns at the
     outset of a major permitting or corrective action process.

•    Before revising a public participation strategy, because months, or
     perhaps years, may have elapsed since the first round of interviews,
     and community concerns may have changed.

As the level of community concern increases, so does the need to conduct
more extensive assessments.  If there has been a lot of interaction with the
community and interested parties, information on citizen concerns may be
current and active.  In such situations, it may be acceptable to conduct only
a few informal discussions in person or by telephone with selected,
informed individuals who clearly represent the community to verify,
update, or round out the information already available.


As stated above, community interviews are  conducted to gather information
to develop an appropriate public participation plan  for the facility. A
mailing list may or may not be in place at the time interviews are
conducted.  If there is one, it can be used to  identify individuals to
interview. If one has not yet been established, the interviews themselves
can provide the basis for the list.

Community interviews can be a valuable source of opinions, expectations,
and concerns regarding RCRA facilities and often provide insights and
views that are not presented in the media. In addition, these interviews
may lead to additional information sources.  The one-on-one dialogue that
takes place during community interviews provides the basis for building a
good working relationship, based on mutual trust, between the community
and other stakeholders.  Therefore, although its primary purpose is to gather
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                                                            Page 5-74

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                                information, the community interview also serves as an important public
                                outreach technique.

                                The major disadvantages of community interviews are that they may be
                                time-consuming and resource-intensive for your staff; they could cause
                                unnecessary fear of the situation among the public; and, they are not very
                                useful if you do not talk with the right people - the people who have not
                                identified themselves as well as the more vocal ones who have.
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                           Checklist for Community Interviews




           Determine number of interviews to be conducted:     	




           Determine dates for interviews:    	




           Identify team to conduct interviews:










           Identify individuals to interview




           	   Review facility background files for names of people who have expressed interest




           _   Identify community leaders to contact




           	   Identify city/state/county officials to contact




           Prepare interview questions




           Review background information available about the facility and community




           Set up interviews




           	   Confirm interviews by mail or phone




           Conduct interviews




           	   Ask for additional people to contact




           _   Gather information using prepared interview questions




           Follow-Up




           	   Follow-up interview with a thank you letter




           	   Notify the interviewee when the public participation strategy is available in the repository
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Focus Groups

Regulatory
Requirements

Description of Activity
Level of Effort
How to Conduct the
Activity
When to Use
None.
Some organizations use focus groups as a way of gathering information on
community opinion.  The advertizing industry developed focus groups as an
alternative to expensive market research (which relies heavily on polling).
Focus groups are small discussion groups selected either to be random or to
approximate the demographics of the community. The group is usually led
by a trained moderator who draws out people's reactions to an issue.

Facility owners may want to consider focus groups as a complement to
interviews during the community assessment or at important activities
during the life of a facility. The permitting agency may want to consider
focus groups to gauge public opinion before controversial permitting
activities or corrective actions.


Focus groups can be resource-intensive, depending on the number of groups
you convene.  This method will be more expensive if you need to provide
for a moderator, meeting space, or transportation.


To prepare for focus groups:

1.    Determine whether or not a focus group can help the process.
     Community interviews serve much the same purpose as focus groups.
     Will gathering members of the community together provide more
     comfort? Will it be a more effective means of gauging public
     opinion?

2.    Select your focus groups. Contact other stakeholders and
     community leaders to get input on who to include in your focus
     groups.

3.    Use community interview techniques to get input from the focus
     group.  You can follow the guidance in "Community Interviews"
     above in this Chapter to learn about the types of questions to ask your
     focus groups.

4.    Use the information in forming a public participation plan.


Facility owners may want to use focus groups as a complement to
community interviews; permitting agencies may want to consider focus
groups in situations where there is a high degree of public interest in a
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                                                          Page 5-77

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                                permitting activity. Focus groups provide a quick means of feedback from
                                a representative group and can be a good supplementary activity, especially
                                if such group discussions will make some members of the public feel more
                                comfortable.
Accompanying               ^se f°cus §rouPs as a complement to community interviews.  You may
 .   .   . .                        want to hold a presentation or provide the groups with information such as
                                fact sheets.
Advantages and              Focus groups allow you to get an in-depth reaction to permitting issues.
T .   .    .                       They can help to outline a public participation plan and give an indication
                                of how the public will react to certain issues.

                                The reactions of a focus group cannot, in all cases, be counted on to
                                represent the greater community.  Some people may perceive focus groups
                                as an effort to manipulate the public.
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                                 Checklist for Focus Groups




           Determine number of focus groups to be conducted:   	




           Determine dates for focus groups: 	
      	   Identify moderator to conduct focus groups:
           Identify individuals for focus groups




           	   Review facility background files for names of people who have expressed interest




           	   Identify community leaders to contact




           	   Identify city/state/county officials to contact




           Prepare discussion questions




           Review background information available about the facility and community




           Set up focus groups




           	   Confirm participation by mail or phone




           Conduct focus groups




           	   Ask for additional people to contact




           _   Gather information using prepared interview questions




           Follow-Up




           	   Follow-up interview with a thank you letter




           	   Notify the interviewee when the public participation plan is available	
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Door-to-Door
Canvassing
Regulatory
Requirements
                                None.
Description of Activity
Level of Effort
How to Conduct the
Activity
Door-to-door canvassing is a way to collect and distribute information by
calling on community members individually and directly. Public interest
groups have long used such techniques, and they may also be useful for
facility owners as a way to gauge public interest during the community
assessment stage.  The permitting agency may consider using this technique
to interact with the community in situations where public interest is very
high, such as emergency cleanups, or in other situations where direct
contact with citizens is essential. See the section on "When to Use" below
for more details.

During these interactions, canvassers can field questions  about the
permitting activity, discuss concerns, and provide fact sheets or other
materials.  Some  citizens may want to find out more about the activity by
signing up for mailing lists or by attending an upcoming  event.


Door-to-door canvassing is a very time-intensive activity because of the
number of staff needed to conduct the canvassing and the amount of time
you will need to plan for the canvassing. Canvassers should travel  in pairs
in areas where there may be a lot of contention or in high crime areas.
Planning for the door-to-door canvassing will require at least a day. This
includes identifying the  area to be canvassed, determining the amount of
staff needed, and notifying area residents.  The amount of time spent
canvassing  will depend on the size of the area to be canvassed.


A door-to-door canvass  involves training staff to gather information,
answer questions, and to communicate with a possibly irate or suspicious
public.

Procedures to follow in preparing a door-to-door canvass include:

1.   Identify the area where canvassing is necessary or desirable.
     Determine the area where  special information must be given or
     collected. This area may range from just a few streets to several
     neighborhoods. Determine if there is a need for a translator or
     materials in languages other than English. Also determine when it is
     likely that people will be at home; the canvassing may have to be
     conducted in the evening.
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                                 2.   If time permits, notify residents (e.g., by distributing a flyer) that
                                      canvassers will be calling door-to-door in the area. Tell residents
                                      what time the canvassers will be in the neighborhood and explain the
                                      purpose of the canvassing program. Advance notice will reduce the
                                      suspicions of residents and encourage their cooperation.  Also, notify
                                      local officials so they are aware of the door-to-door canvassing.

                                 3.   Provide canvassers with the information they will need to respond
                                      to questions. Residents will want to know what is happening at the
                                      facility and may have questions about possible health effects
                                      associated with various activities. If appropriate, you should
                                      distinguish between the types of questions that a canvasser may
                                      answer (i.e., questions concerning the schedule of activity) and the
                                      types of questions that should be referred to technical staff (e.g.,
                                      highly technical questions concerning hazardous waste or agency
                                      policies).  Provide canvassers with fact sheets or other written
                                      materials for distribution.

                                 4.   Canvass the designated area.  Note the name, address, and
                                      telephone number of residents requesting more information. Note
                                      also the names of those who were especially helpful in giving
                                      information.  Be prepared to tell residents when they will next be
                                      contacted and how (i.e., by telephone, by letter, or in person).  All
                                      canvassers should have an official badge to identify themselves to
                                      residents.

                                 5.   Send a thank-you letter after the canvass to all residents in the
                                      canvassed area.  If possible,  provide information concerning recent
                                      developments and any results or pertinent information gathered by the
                                      canvass. Respond to special requests for information either in the
                                      thank-you letter or by telephone.
When to Use                  Door-to-door canvassing may be used:
                                           When there is a high level of concern about the site, but
                                           meetings cannot be scheduled;

                                           When there is a need to notify citizens about a certain event or
                                           an upcoming permitting issue;

                                           When you need to reach a specific group of people for a specific
                                           purpose, such as getting signatures to allow access to properties
                                           adjacent to the facility;

                                           When the community has a low literacy rate and written
                                           materials aren't useful;
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Accompanying
Activities
Advantages and
Limitations
                                          When the area consists of a population whose primary language
                                          is not English, but it is important to pass information to the area;
                                          and

                                          When there is an emergency situation that the community needs
                                          to know about.
Telephone contacts and community interviews may help to identify
appropriate areas for canvassing efforts. Canvassers should add to the
mailing list names of individuals who either requested additional
information or provided particularly useful information.


This activity involves face-to-face contact, thereby ensuring that citizens'
questions can be directly and individually answered. Canvassing
demonstrates a commitment to public participation, and is a very effective
means of gathering accurate, detailed information, while determining the
level of public concern.

This technique is very time-consuming and costly, even in a small area.
Furthermore, trained people that can answer questions at the necessary
level of detail are often not available for this activity. This activity is not
recommended for the dissemination of information except in an emergency.
This high level of direct contact can raise more concerns rather than allay
them.

The safety and security of the canvassers also should be taken into account
when planning this activity. Additional staff may be need so that people
can work in teams to two or three; in extreme situations, security staff may
be necessary .
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                                                            Page 5-82

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                          Checklist for Door-to-Door Canvassing

       	   Identify area where canvassing will be conducted

            _   Prepare maps for each team of canvassers

            	   Send a letter to residents announcing canvassing
                 	   Prepare mailing list using the city directory (section listing residences by street
                      address)
                 _   Prepare letter; coordinate  internal review

            	   Determine security needs of canvassing team

       _   Prepare any information (i.e., fact sheets) that canvassing team may provide to interested
            residents

       _   Identify staff to conduct canvassing and have official badges made to identify them

       	   Brief staff on canvassing effort

            _   Provide staff with a copy of letter sent to residents

            	   Tell staff what kinds of questions they may answer and provide them with information
                 (i.e., questions concerning the schedule of activity)

            _   Tell staff what kinds of questions they should refer to a specialist (i.e., technical questions)

            	   Provide staff with prepared maps

       _   Canvass designated areas

            	   Note the name, address, and telephone number of residents requesting more information

       _   Send thank you letter to all residents  in the canvassed area
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Public  Comment
Periods

Regulatory
Requirements
Description of Activity
Level of Effort
How to Conduct the
Activity
When to Use
Accompanying
Activities
Public comment periods are required whenever the permitting agency
issues a draft permit or an intent to deny a permit (§ 124.10). Comment
periods are also mandatory on requests for Class 2 and 3 permit
modifications under § 270.42, for agency-initiated modifications under §
270.41, and during closure and post-closure for interim status facilities
under §§ 265.112(d)(4) and 265.118(f).


A public comment period is a designated time period in which citizens can
formally review and comment on the agency's or facility's proposed course
of action or decision.  Comment periods for RCRA permits must be at least
45 days.
There is no specific level of effort for a public comment period.  Estimates
of the time required to conduct activities associated with the public
comment period (public notice, public hearing, etc.) are found elsewhere in
this chapter.  The time required to receive, organize, and determine how to
respond to comments will vary depending on the number of comments
received and the complexity of the proposed action (see the section on
"Response to Comments" earlier in this chapter).


Announce the public comment period in a local newspaper of general
circulation and on local radio stations. Public notices must provide the
beginning and ending dates of the public comment period and specify
where interested parties  should send their comments and/or requests for a
public hearing. Refer to the section about "Public Notices" earlier in this
chapter for further information.


A minimum 45-day public comment period is required for RCRA permits,
including modifications  to permits initiated by the agency as well as Class 2
and 3 modifications requested by the  facility.


Public comment periods cannot begin until notice of the permitting activity
is given.  RCRA requires that the agency conduct a public hearing if
requested by a member of the public during the public comment period.
Announce the hearing through a public notice and through a fact sheet, if
one is prepared in advance. Public comment periods cannot begin until
notice is given.

Comments received during the public comment period must be discussed in
a written response to comments.
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                                                          Page 5-84

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Advantages and              Public comment periods allow citizens to comment on agency and facility
T imitations                   proposals and to have their comments incorporated into the formal public
                                record.

                                However, public comment periods provide only indirect communication
                                between citizens and agency officials because, in some cases, the formal
                                responses to the comments may not be prepared for some time.  Also, in
                                some cases, the agency may not individually respond to every comment.  A
                                public participation program should provide other activities that allow
                                dialogue between agency officials and the community.
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                         Checklist for Public Comment Periods

           Determine dates of public comment period (minimum of 45 days)

           Dates:  	
           Determine contact person within the agency who will answer citizens' questions regarding the
           public comment period

           Announce public comment period through a public notice

           If requested by a member of the public during the comment period, schedule a public hearing

           Document with a memo to the file any comments that were not received in written form
Chapter 5: Public Involvement Activities                                                    Page 5-86

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Unsolicited
Information and
Office Visits

Regulatory
Requirements

Description of Activity
Level of Effort
How to Conduct the
Activity
None.
EPA encourages permitting agencies, public interest groups, and facility
owners/operators to seek input from interested citizens and other
stakeholders.  At times, this information may arrive in the form of phone
calls, letters, and meetings. While this type of information is not always
asked for, it can be helpful.

Citizens or  stakeholders from other groups may want to visit the agency's
office or the facility. In this situation, the visiting stakeholders will want to
meet with the person who works most directly with their concerns.


Depends entirely on the type of unsolicited information provided by the
public. Office visits will also command varying amounts of time.


Members of the public will come to the agency, the facility, or another
organization with information and requests. Public outreach staff should be
available for discussion and information when visitors come.

Unsolicited information can be very helpful.  First, it can provide  an idea of
the level of public concern over a facility.  Second, members of the public
often provide information that is essential to making good technical,
economic, and policy decisions.  Local citizens often have the most
knowledge  and insight about the conditions of the land and the people
surrounding a facility.

If interested people come to the office, they should be received by a staff
member who  can relate well with the public and knows the overall mission
of your organization.  If feasible, he or she should introduce the visitors to
members of the  staff who can discuss specific issues. Staff people should
listen to the citizens' concerns and provide feedback where possible.  They
should be candid when they do not know the answer to a question. They
should also be cordial, avoid jargon  and overly technical language, and try
to solve the visitor's problem.  (See  the section on "Informal Meetings
With Other Stakeholders" in this Chapter for more information).

If citizens send a letter or call by phone, the receiving organization should
respond as soon as possible.  If the response will be delayed, a
representative of the organization should write a letter or call to explain.
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                                                           Page 5-87

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When to Use
Accompanying
Activities
Advantages and
Limitations
                                The receiving organization should consider all relevant comments as
                                informal input into the permitting process and let citizens know how they
                                can submit formal comments.
Unsolicited information is a constant in community participation.  You can
improve (or maintain) the credibility of your organization by giving due
weight to citizens' concerns and by replying promptly to citizen input.


Fact sheets, project reports, and other mailings can answer questions or
reply to citizen inquiries. Offer to put concerned citizens on the mailing
list. Consider holding an availability session, open house, or informal
meetings if you detect a high level of public interest.


A good outreach program can increase your organization's credibility.
Unsolicited information can alert you to issues of high public concern and
allow you to identify involved groups in the community. Visitors to your
organization can get to know the staff, while the staff gains a better
understanding of the visitors' concerns.

Unsolicited information is, at best, a supplement to more formal
information-gathering. It may be misleading since it does not always
reflect the overall level of public concern.  Good handling of unsolicited
information takes good communication and cooperation within your
organization.
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                                                            Page 5-88

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                Checklist for Unsolicited Information and Office Visits

      For office visits:

      	   Appoint a member of your staff to act as a liaison for public visits

      _   The liaison should answer questions and introduce stakeholders to members of your organization
           who are involved in the issue

      	   Invite visitors to put their names on your mailing list

      _   Follow up quickly on any questions that you could not answer during the visit


      For phone calls and written requests:

      _   Keep a log of calls and letters from other stakeholders

      	   Respond quickly to questions; inform the questioner if your response will not be timely
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Surveys and
Telephone Polls

Regulatory
Requirements

Description of Activity
Level of Effort
How to Conduct the
Activity
None.
If public participation is to be a dialogue, citizens need ways to provide
feedback to facilities, public interest organizations, and permitting
agencies. Surveys and polls are designed to solicit specific types of
feedback from a targeted audience, such as public opinion about a
permitting activity, the effectiveness of public participation activities, or
what could be done to improve distributed materials. Surveys may be
either oral or written; used in person or by mail; and distributed either to
specific segments of the community or to representative samples.  We
discuss telephone polls in this section, but you may want to consider door-
to-door polling or other methods.

Facility owners may want to consider using surveys and polls during the
community assessment to gauge public sentiment about constructing or
expanding a facility, or as a complement to direct community interviews.
The permitting agency can use surveys and polls in a similar fashion,
especially during major projects and at facilities that raise controversy.  The
agency, public interest groups, and the facility owner may also want to use
surveys and polls to find  out if citizens are receiving enough information
about the RCRA  activity and are being reached by public notices or other
outreach methods.
On-paper surveys distributed at meetings or by mail are relatively easy and
inexpensive, aside from postage.  Surveys done in person or by telephone
can be very time-consuming.


To prepare for surveys or telephone polls:

1.    Specify the information that you need to gather. Construct
     specific questions to include in the survey or poll. For written
     surveys, consider which questions should be multiple choice or
     "check one box" ~ formats that people are more likely to answer.
     Ensure that oral questions are not too long or confusing and be wary
     of the factors that  can bias your surveying method (e.g., the wording
     of the question).

     Survey questions do not have to be highly detailed in  every case. You
     may use surveys to allow people to submit general impressions after a
     meeting or a hearing.
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                                                           Page 5-90

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                                     Design the survey or poll. For written surveys, you should leave
                                     plenty of room for people to write. Give clear instructions and
                                     explain how you will be using the information.  Always include the
                                     name and number of a contact person. Provide multi-lingual surveys
                                     where appropriate. Follow these same guidelines for oral surveys and
                                     polls. For oral surveys, you may want to provide a business card to
                                     the interviewee when your discussion is over

                                     Distribute the surveys and questionnaires. As we mentioned
                                     earlier, you may distribute written surveys in person or via mail. You
                                     may also leave them for people to pick up after a meeting; or you may
                                     decide to distribute them by hand to peoples' homes. If people will
                                     need to mail the survey, consider including pre-stamped, pre-
                                     addressed  envelopes.

                                     If you are  seeking out specific information, you may want to
                                     distribute the surveys to a representative sample of the community.  In
                                     some cases, you may want to do  a "blanket" distribution to all homes
                                     and businesses within a certain distance of the facility.

                                     If you choose to do an oral survey, follow the information in the
                                     section on "Community Interviews" earlier in this Chapter.

                                     For telephone polls, you will have to decide whom to call and whether
                                     you will address the poll to a random sample, a representative sample,
                                     or a targeted segment of the community. If you are attempting one of
                                     the latter two options, you may want to contact community leaders
                                     and local officials to determine the demographics of the area.
When to Use                 ^se surveYs and telephone polls when:
                                     you are seeking specific information from a targeted community or
                                     audience; or

                                     you are trying to provide people with a means of giving anonymous
                                     feedback during the permitting process.
AcconiDanvins               Always include the name and number of a contact person on a survey or a
 .   .   . .                        questionnaire.  Surveys and questionnaires can be useful for gathering
                                general impressions about specific permitting activities or public
                                participation events, such as availability sessions or public hearings.
                                They may also complement community interviews by allowing people,
                                who may have been uncomfortable or pressured during the interview, to
                                submit anonymous thoughts and comments.
Advantages and              Written surveys and questionnaires are relatively inexpensive and simple
T .   .,  ,.                       ways to solicit information.  They can provide feedback loops for many
Limitations                        ....     .. ...      ,           ,      ,            c _. U1   ... :,
                                permitting activities and some people may be more comfortable with the

Chapter 5: Public Involvement Activities                                                       Page 5-91

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                                 anonymity that written surveys can ensure.  Oral surveys and polls allow
                                 you to interact directly with members of the public and to solicit their
                                 immediate feedback on permitting issues.

                                 Surveys conducted in-person can be very time-consuming and expensive.
                                 Written surveys may not present viewpoints that are representative of the
                                 community because people who fill out the surveys tend to have stronger
                                 feelings in favor, or against, the proposed activity. Surveys conducted by
                                 mail have the additional weaknesses of undependable response rates and
                                 questionable response quality.
Chapter 5:  Public Involvement Activities                                                         Page 5-92

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                        Checklist for Surveys and Telephone Polls

      _   Determine what type of information is needed

      	   Determine what format will work best for gathering the information


      Written surveys:

      	   Determine if you will need to provide the survey in a multilingual format or you will need to
           provide for other special communication needs in the community (e.g., persons who are illiterate)

      _   Prepare interview questions

      	   Design the survey sheet; leave adequate writing room and make sure the instructions are clear and
           easy to understand

      _   Provide the name of a contact person on the survey

      	   Decide how you will distribute the survey, based on the public participation plan, community
           interviews,  and background information on the facility and the community


      Telephone polls or an oral surveys:

      	   Identify a team to conduct the survey or the telephone poll
      _   Identify how you will target the polling group

      	   Consult a polling firm or a consultant if you are conducting your survey with a representative
           sample

      	   Determine if you need to conduct a multilingual poll or survey and whether there are other special
           communication needs in the community (e.g., persons who are hearing impaired)

      _   Prepare the questions for the poll or survey

      	   Write a script you can use to give background information to people before the questions

      _   When you conduct the survey, provide the name of a contact person, either over the phone, or by
           handing out business cards in person
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Contact
Persons/Offices

Regulatory
Requirements
Description of Activity
Level of Effort
How to Conduct the
Activity
EPA regulations require the permitting agency to designate a contact office
in most public notices.  This requirement applies to draft permits, notices of
intent to deny a permit, and modifications initiated by the permitting
agency (§§ 124.10(d) and 270.41), as well as to the notice of application
submittal (§ 124.32(b)). In these cases, the permitting agency will also
provide a contact for the permit applicant. When a permit applicant holds a
pre-application meeting under § 124.31, the applicant must provide public
notice that includes a contact person for the facility. Similarly, the facility
must provide public notice, including a contact at the agency and the
facility, when requesting a Class 2 or 3 permit modification (§ 270.42 (b)
and (c)).  Permitting agencies must also provide contacts and telephone
numbers (for the facility and the agency) during the trial burn stage at
permitted and interim status combustion facilities (§ 270.62(b) and (d);
270.66(d)(3) and (g)).


The contact person is a designated staff member who is responsible for
responding to questions and inquiries from the public  and the media. Some
organizations may want to consider distributing lists of contact persons who
are responsible for answering questions in certain topic  areas.


The amount of time that the contact person spends responding to citizen
concerns and questions will depend on the level of community interest in a
facility's permit or corrective action activities. A contact person may spend
a few hours a day responding to citizen inquiries if there is high to
moderate interest in the facility's RCRA activities.
For each permit or corrective action, designate a contact who will respond
to citizens' requests for information, answer their questions, and address
their concerns on any aspect of the permit or cleanup process.  Although
permitting agencies are only required to designate a contact office,
specifying a person and keeping the same person as the contact throughout
the process may engender more public trust and confidence.

When a contact person is assigned:

1.   Send  out a news release announcing the contact person to all local
     newspapers, radio stations, and television stations. Include the
     contact person's telephone number and mailing address in all news
     releases, fact sheets, and mailings. Include  in publications a self-
     mailer, which can be a separate flyer or a designated cut-a-way
     section of the fact sheet that is addressed to the contact person and
     leaves room for interested people to request more information or
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When to Use
Accompanying
Activities
Advantages and
Limitations
     write their comments.

2.    Give the name, address, and phone number of the contact person
     to all involved staff in your organization and other stakeholders.
     Let staff members know that the contact person may be approached
     for information and that your staff should coordinate the release of
     information with the contact person.  Inform other stakeholders that
     the contact person will be available for questions and information-
     sharing.

3.    Keep a log book of all citizen requests and comments received by the
     contact person, and how each one was handled.  This will help to
     assure that incoming requests are not filed and forgotten.  This log
     book also provides another record of issues and concerns.


A contact person should be designated for every facility at the outset of the
RCRA process.


Designation  of the contact person should be announced in news releases
and fact sheets, and public notices.  The contact person also should be
responsible for making sure that the facility's information repository, if
required, is kept up-to-date.


A contact person can assure citizens that your organization is actively
listening to their concerns and can provide the community with consistent
information from a reliable source.

The contact person may not have the  authority to resolve all of the concerns
raised by citizens and other stakeholders; his or her role may be limited to
providing information and facilitating communication between your staff,
citizens, and other stakeholders.  If, for any reason, the identity of the
contact person changes, it is important to inform the  community, media
contacts,  and other stakeholders about this change quickly. You should
designate a replacement as soon as possible.
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                                                            Page 5-95

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                               Checklist for Contact Persons




           Designate a contact person for the facility:
           Notify media of the name, mailing address, and phone number of the contact person




           Inform your staff and other stakeholders who are involved with the facility




           Have contact person maintain a log book of all stakeholder requests and comments received
Chapter 5: Public Involvement Activities                                                      Page 5-96

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Telephone Contacts

Regulatory
Requirements

Description of Activity
Level of Effort
How to Conduct the
Activity
When to Use
Accompanying
Activities
None.
Advantages and
Telephone contacts can be used to gather information about the community
and to update State and local officials and other interested parties on the
status of permitting or corrective action activities. See the section on
"Surveys and Telephone Polls" earlier in this Chapter for related activities.


Telephone contacts can be a time-intensive activity, depending on the
nature of the call.  Allow several hours per call when gathering
information.
In making telephone contacts:

1.   Know exactly what information to request or give out.  Plan
     carefully what you want to say or what information you would like to
     obtain from these individuals. Refer to the section on "Community
     Interviews" earlier in this chapter for information on how to conduct
     these interviews.

2.   Conduct telephone calls and take notes for your files.
Telephone contacts may be used:

     •    In the early stages of the RCRA actions to identify key officials,
          citizens, and other stakeholders who have a high interest in the
          facility;

     •    To gather information when face-to-face community interviews
          are not  possible;

     •    When new and time-sensitive material becomes available; and

     •    When there is a high level of community interest in the facility,
          and it is important to keep key players informed.
Telephone contacts are usually made to arrange or conduct community
interviews, develop mailing lists and arrange for other public participation
activities such as news briefings, informal meetings, and presentations.


Telephone calls can be an inexpensive and expedient method of acquiring
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Limitations                    initial information about the facility. Once the initial information has been
                                 gathered, telephone contacts are a quick means of informing key people
                                 about facility activities and for monitoring any shifts in community
                                 concerns.

                                 Residents initially may feel uncomfortable discussing their concerns and
                                 perceptions over the telephone with a stranger.  Once residents have met
                                 your staff in person, however, they may be  more open and willing to
                                 discuss their concerns during follow-up telephone calls.
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                             Checklist for Telephone Contacts




       Initial telephone contacts:




       _    Identify individuals to contact:




            	    State officials




            _    Local officials




            	    Regulatory agency officials




            _    Concerned citizens




            _    Media




            _    Environmental  groups, civic organizations, public interest groups




       	    Prepare information to discuss on telephone




            _    Prepare questions for individuals to answer




            	    Prepare information that you can give them




       _    Keep a log book of information received/given






       On-going contacts:




       _    Maintain up-to-date telephone contact list




       	    Prepare information to discuss on telephone before each set of calls
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Telephone Hotlines

Regulatory
Requirements

Description of Activity
Level of Effort
How to Conduct the
Activity
When to Use
None.
A hotline is a toll-free (or local) telephone number people can call to ask
questions and obtain information promptly about RCRA activities.  Some
hotlines allow people to order documents.


The amount of time spent on the telephone hotline responding to citizen
concerns and questions will depend on the level of concern the community
has regarding the facility's permit or corrective action activities. You may
spend several hours a day responding to inquiries if there is high to
moderate interest in the facility's RCRA activities.
To install a telephone hotline, either as a semi-permanent fixture (available
throughout the permit review or corrective action process) or as a
temporary measure (installed at the time of major community feedback,
such as the public comment period):

1.    Assign one or more staff members to handle the hotline calls.
     Consider installing more than one line to minimize busy signals. If
     staff are not available throughout the day, install an answering
     machine directing people to leave their name, number, and brief
     statement of concern, and informing them that someone  in your
     organization will return their call promptly. If a voice mail system is
     available, provide information on commonly requested information
     such as meeting dates and locations and the permit status.  Check the
     answering machine for messages at least once a day.  If the level of
     concern is high, check for messages more frequently.

2.    Announce the telephone hotline in news releases to local
     newspapers, radio stations, and television stations, and in fact sheets,
     publications, and public notices.

3.    Keep a record of each question, when it was received, from whom,
     and how and when it was answered. All questions and inquiries
     should be responded to promptly (within 24 hours) if an  answer
     cannot be given immediately. Be diligent in following up requests for
     information and tracking down accurate, direct responses.


A telephone hotline may be used:

     •    When community interest or concern is moderate to high;
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                                                         Page 5-100

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                                           When emergencies or unexpected events occur, or when a
                                           situation is changing rapidly;

                                           When there is a high potential for complaints (e.g., about dust or
                                           noise);

                                           Where literacy rates are low and written information must be
                                           supplemented; and

                                           Where the community is isolated and has little opportunity for
                                           face-to-face contact with project staff (e.g., rural areas, areas far
                                           from Regional offices).
Accompanying               The hotline can supplement all other public participation activities.
Activities
Advantages and              A hotline can provide interested people with a relatively quick means of
T imitations                   expressing their concerns directly to your organization and getting their
                                 questions answered. This quick response can help reassure callers that their
                                 concerns are heard.  A telephone hotline also can help monitor community
                                 concerns. A sudden increase in calls could indicate that additional public
                                 participation efforts may be warranted.

                                 You must respond quickly to questions or concerns; otherwise callers may
                                 become frustrated.  If the number of calls is large, responding quickly to
                                 each inquiry could prove burdensome to your staff.  Furthermore, dialing a
                                 hotline number and receiving a recorded message could irritate or alienate
                                 some members of the public.
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                              Checklist for Telephone Hotlines




       	    Determine need for telephone hotline




       _    Identify staff responsible for answering calls




            	    Have staff maintain a log of all calls and responses




       	    Install telephone hotlines/answering machines




       	    Notify interested people about the hotline




            _    Public notice




            	    Fact sheet




            	    Mailing to facility mailing list




       	    Coordinate staffing of hotline




       _    Follow-up on calls to hotline
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On-Scene
Information  Offices
Regulatory
Requirements
Description of Activity
Level of Effort
How to Conduct the
Activity
When to Use
                               None.
An on-scene information office is a trailer, small building, or office space
on or near the facility site, depending on what is more convenient and
accessible for the affected community. The office is staffed by a full-time
or part-time person(s) who responds to inquiries and prepares information
releases.
An on-scene information office is a time-intensive activity.  You may have
staff in the office up to 40 hours a week.  Short Cut:  Hire a contractor to
staff the office; however, always ensure that a representative is there for
some specified period during the week.


To provide an on-scene information office:

1.    Establish the office. You may have to rent a trailer, arrange with the
     owner of the facility to designate space in the facility, or rent office
     space in a town to be used as an office and launching area. If you will
     be establishing the office off-site, then you should find an area in  the
     vicinity of the facility or in the nearest town or village.

2.    Install a telephone and an answering machine to respond to inquiries
     and publicize the number in local newspapers and your public
     participation publications.

3.    Assign someone to staff the office. Establish regular hours,
     including some during the weekend and weekday evenings.  Publicize
     the trailer's hours and the services it offers.

4.    Equip the office with the same materials normally contained in an
     information repository, if possible. At a minimum, include key
     documents and summaries of other documents that are not available.
     Provide a copy machine  so that the public can make copies of
     documents in the information repository.


An on-scene information office may be used:

     •     When community interest or concern is high;
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Accompanying
Activities
Advantages and
Limitations
     •    During corrective actions;

     •    When cleanup involves complex technologies or processes;

     •    When the community perceives a high level of risk to health;

     •    When activities may disrupt the area surrounding the facility
          (e.g., traffic patterns); and

     •    When the area near the facility is densely populated.


The on-scene staff person can conduct meetings and question and answer
sessions to inform citizens about the status of the corrective actions or other
facility operations. Staff may also prepare and distribute fact sheets and
newsletters  to local residents, conduct facility tours, and support the
telephone hotline. With the telephone contacts they make, they can add
to and update mailing lists and revise public participation plans.  An on-
scene information office may also be a good location for the  information
repository.

Individuals staffing an on-scene information office for an extended period
of time will necessarily have a special role in the community. Involvement
in other public participation activities may represent a large part of their
function. In addition to distributing information to local residents, on-site
staff may be responsible for maintaining data bases of residents' addresses,
the status of access to property, and a daily log of inquiries. It is important
that on-site staff monitor public perceptions and concerns daily.  On-scene
staff often can make useful recommendations regarding stakeholder
concerns.  Finally and perhaps most importantly, on-site staff members  will
frequently serve as a liaison with the public.


An on-scene information office can be an effective activity for ensuring
that other stakeholders are adequately informed about permitting activities
and that their concerns are addressed immediately.

An information office can be very expensive since it requires, at  a
minimum, a part-time staff person and a telephone. Hence, it should be
used only when community concerns are currently high or may be high  in
the future.
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                       Checklist for On-Scene Information Offices

       	    Determine need for an on-scene information office

       	    Identify staff to work in information office

       	    Rent a trailer or office space for the information office

       _    Equip the office with a telephone, office equipment (i.e., copier), and all materials contained in
            an information repository.

       	    Notify interested people of availability of on-scene information office

            _   Public Notice

            	   Fact sheet

            	   Mailing to facility mailing list

       	    Maintain on-scene information office

            _   Have staff conduct the following:

                      	  Maintain the mailing list
                      	  Review media coverage
                      _  Respond to calls from citizens and stakeholder groups
Chapter 5: Public Involvement Activities                                                       Page 5-105

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Question and
Answer Sessions

Regulatory
Requirements

Description of Activity
Level of Effort
How to Conduct the
Activity
When to Use
Accompanying
Activities
None.
A question and answer session makes knowledgeable staff available to
stakeholders to discuss permitting and corrective action issues. Question
and answer sessions typically accompany a presentation, briefing, or
meeting.  Anyone at the event who needs more information will have the
opportunity to speak with officials after the event. These sessions can be
informal or formal.
Answering questions will add a small amount of staff time to other public
participation activities.


To conduct a question and answer session:

1.   Announce that someone will be available for questions after the
     event.  Pick an area where people can meet a knowledgeable staff
     person for questions and answers.

2.   Be responsive, candid, and clear. Ensure that all questions are
     answered.  If staff cannot answer the question on the spot, they should
     not be afraid to say "I don't know" and  offer to answer the question
     after getting more information.  The staffer should write down the
     question, discuss it with other staff, and respond -- as soon as possible
     - by phone or letter. Try to avoid using jargon that people will not
     understand.

3.   Consider brainstorming ahead of time to develop potential
     questions and to prepare responses.


Question and answer sessions are appropriate whenever people at an event
need more information or the presenting organization needs more feedback.
Question and answer sessions are also appropriate when people may feel
more comfortable asking questions in a one-on-one situation. If a
particular issue, raised by one person at a meeting,  is preventing other
issues from making the floor at a meeting, you may want to offer to discuss
the issue one-on-one after the meeting.


Hold question and answer sessions after exhibits, presentations, meetings,
facility tours, or on observation decks. Some events, such as open
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                                                         Page 5-106

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                                houses, have built-in question and answer sessions.  In responding to
                                inquiries, you may want to provide written information, such as fact sheets,
                                or refer the questioner to a contact person.
Advantages and             Question and answer sessions provide direct communication between your
T .   .    .                       organization and citizens.  They are a useful, easy, and inexpensive way of
Limitations                        ...                 ,    /   •     •  c    ,   ^ •    ^
                                providing one-on-one explanations in an informal  setting. One-on-one
                                discussions may attract people who are intimidated from raising issues
                                during a meeting. Such interactions may also increase public comfort and
                                trust in your organization.

                                Citizens may not be pleased if you cannot answer  a question on the spot;
                                they will certainly not be pleased if your response  is slow.  Be sure to
                                respond to all unanswered questions as soon as you can.
Chapter 5:  Public Involvement Activities                                                       Page 5-107

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                      Checklist for Question and Answer Sessions

           Brainstorm potential questions and prepare responses

           If you are planning a Q&A session after a meeting or other event, let people know where it will
           be held by mentioning it during the meeting

           Be candid and avoid jargon in your answers.  If you cannot answer a question, take the
           questioner's phone number or address and respond to the question as soon as you can.	
Chapter 5: Public Involvement Activities                                                     Page 5-108

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Information Tables

Regulatory
Requirements

Description of Activity
Level of Effort
How to Conduct the
Activity
When to Use
None.
Information tables are simple public participation tools that you can use to
interact with interested stakeholders.  An information table consists of a
table or booth set up at a meeting, hearing, or other event (e.g., a
community fair or civic gathering). It is staffed by at least one member of
your organization who is available to answer questions. Pamphlets, fact
sheets, and brochures are available on the table, along with a sign-up sheet
for interested people to add their names to the facility mailing list.


This activity is time-intensive, with at least one staff person staying at the
table during the entire event. The information table is less of a drain on
other resources since the materials should already be available.


To prepare for an information table:

1.    Learn from  community interviews which local events are most
     frequented by citizens during the year.

2.    Decide whether the table will be sufficient to address community
     concerns. The information table may not be effective in highly-
     charged environments.

3.    Set up the table.  Include important fact sheets, answers to common
     questions, general descriptions of the RCRA program, contact names,
     and hotline numbers. Allow people to sign up for the facility mailing
     list.  Use exhibits if appropriate.


Use information tables when:

•    You need to provide a feedback loop after a public event;

•    The RCRA activity has raised significant public interest or technical
     issues may raise many questions among the public;

•    You are gathering names for the facility mailing list;

•    A local event, where tables are available, will attract a significant
     portion of the community.


Information tables may be useful in connection with a public hearing or
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                                                          Page 5-109

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Accompanying
Activities
Advantages and
Limitations
meeting. EPA recommends using information tables as part of availability
sessions and open houses.  Fact sheets, newsletters, project reports and
other information should be available at the table. People who come to the
table should have the opportunity to sign up for the mailing list. Exhibits
and diagrams can be helpful for explaining the process or technical issues.
Provide the name of a contact person (or a list of contact people) for
interested people to take with them.  Information tables provide a good
opportunity to distribute questionnaires and surveys.


An information table can provide a feedback loop that complements other
events in the permitting process. Information tables at availability sessions
and open houses  can provide a comfortable way for people to approach
project staff and ask questions.  At county fairs or other events, they allow
project staff to interact with the community and spread information about
important permitting activities.

People who approach the information table may ask questions that staff
cannot answer. To avoid any negative reactions, staff should record the
question and contact the person with an answer by a certain date.
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                              Checklist for Information Tables




      (As appropriate):




      	   Determine a location for the information table




           _   Facility name, location  	
           	   Contact person at location
      _   Confirm availability of location for information tables




      	   Discuss guidelines for information tables with the event planner




      _   Assign staff to cover the information table




      	   Collect materials for the information table




           _   Table and chairs




           	   Table skirt




           _   A  sign that identifies your organization




           	   Exhibits, time-lines, surveys




           _   Mailing list sign-up sheet




           	   Name tags for your staff




           _   Pens and notepads




           	   Fact sheets, reports, pamphlets, and other documents that people can take




           _   Business cards with the name of a contact person at your organization




           	   Reference documents for your use




      _   Keep a record of comments and questions for your files
ChapterS: Public Involvement Activities                                                       Page 5-111

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Informal Meetings
with Other
Stakeholders

Regulatory
Requirements
Description of Activity
Level of Effort
How to Conduct the
Activity
None.  (This type of informal meeting is distinct from the pre-application
meeting required under § 124.31 (and discussed under "Public Meetings" in
this Chapter) which EPA has stated should be an informal discussion open
to the public).


Informal meetings are meetings your organization holds with individual
stakeholder groups that have particular interest in a permitting activity.
These meetings are held in an informal setting, such as a resident's home or
a local meeting place. Informal meetings allow interested citizens and
local officials to discuss issues and concerns. Staff responsible for the
facility receive first-hand information from interested community
members, special interest groups, and elected officials, while citizens have
the opportunity to ask questions and explore topics of interest regarding the
facility in question.

Public meetings, which are distinct from public hearings, are a special
form of informal meetings where the entire community can participate.
Public meetings allow all interested parties to discuss issues regarding the
facility with each other as well as the regulatory agency. Public meetings
can be especially useful for allowing discussion before a public hearing and
can be scheduled immediately before the hearing.  Comments made  during
a public meeting do not become part of the official administrative record as
they do during a hearing. (See the sections on "Public Meetings" and
"Public Hearings" in this Chapter for more details.)


An informal meeting will take two to three days to plan and conduct. This
includes about three hours to set up and schedule the meeting, five hours
for preparation, four hours to conduct the meeting, and four hours to follow
up on any issues raised during the meeting.


To conduct informal meetings:

1.   Identify interested citizens and officials. Contact each group and
     local agency that is directly  affected by the facility, or contact
     individuals who have expressed concern regarding the facility.
     Interested citizen/public interest groups may also want to contact the
     agency or the facility to set up a meeting. Offer to discuss the  permit
     or corrective action plans at a convenient time, taking into
     consideration the following elements that will affect levels of
     community interest and concern: for facilities at which emergency
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                                                           Page 5-112

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                                      actions are required, schedule the meeting after the agency has
                                      accurate information to share with the participants; for a corrective
                                      action, determine first when community concerns may be  highest and
                                      schedule meetings accordingly. For instance, it may be appropriate to
                                      hold an informal meeting when the risk assessment report is released.
                                      Holding informal meetings early in the permit process can help
                                      prevent potentially volatile situations from developing by providing
                                      citizens with one-on-one attention.

                                 2.    Limit attendance.  To increase effectiveness, restrict attendance to
                                      between five and 20 individuals or specify attendance by invitation
                                      only.  The larger the group, the less likely it is that some people will
                                      candidly express their concerns.  It is difficult to establish rapport
                                      with individuals in a large group.  If a greater number of stakeholders
                                      are interested, you should schedule additional small meetings. If a
                                      greater number of participants appears than are expected at an
                                      informal meeting, divide the group into smaller groups to  allow more
                                      one-on-one discussion to take place.

                                 3.    Select a meeting date, time, and place convenient to attendants.
                                      The meeting place should have chairs that can be arranged into a
                                      circle, or some other informal setting conducive to two-way
                                      communication. A private home, public library meeting room,
                                      community center, or church hall may be more likely to promote an
                                      exchange of ideas than a large or formal public hall. When
                                      scheduling the meeting, make sure that the date and time do not
                                      conflict with other public meetings that citizens may want to attend,
                                      such as town council meetings, or with holidays or other special
                                      occasions. Permitting agencies should be sure that the meeting
                                      location does not conflict with state "sunshine laws."  In selecting a
                                      public meeting place, be attentive to the special needs of handicapped
                                      individuals  (e.g., access ramps or elevators).  Be  aware that meetings
                                      will frequently have to be scheduled during evening hours to
                                      accommodate work schedules.

                                 4.    Begin the meeting with a brief overview.  This short presentation
                                      should include a summary of the permit review schedule and how
                                      stakeholders can be involved in the decision.  These opening remarks
                                      should be kept brief and informal (no more than a few minutes) to
                                      allow maximum opportunity for open discussion  with meeting
                                      attenders. Cover whatever topics the public is interested in
                                      discussing, these may include:

                                      •     Extent of the activity;

                                      •     Safety and health implications;

                                      •     Factors that might speed up or delay the regulatory and technical
                                           process; and
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When to Use
                                     •    How community concerns are considered in making decisions
                                          on permits and corrective actions.

                                5.   Identify the regulatory decision-makers (major agencies and
                                     individuals responsible for enacting and enforcing RCRA
                                     regulations.) Citizens and other stakeholders will then know where to
                                     direct further questions or voice new ideas or suggestions.

                                6.   Gear the discussion to the audience. Be sensitive to the level of
                                     familiarity that the citizens have with the more technical aspects of
                                     the activities discussed.

                                7.   Listen and take notes. Find out what the meeting attendees want
                                     done. Some concerns may be addressed by making minor changes in
                                     a proposed action. Discuss the possibility for accommodating these
                                     concerns or explain the reasons why citizen requests appear to be
                                     unworkable or conflict with program or legal requirements.

                                8.   Promptly follow-up on any major concerns.  Stay in touch with the
                                     groups and contact any new groups that have formed,  so that new or
                                     increasing concerns can be dealt with before problems develop.

                                9.   Write up brief minutes for your files.
Informal meetings can be used:

     •    When there is widely varying level of knowledge among
          community members;

     •    When the level of tension is high and large meetings may not be
          appropriate;

     •    When the community needs more personal contact to have trust
          in your organization or the process;

     •    When groups want to discuss specific issues in which the
          community as a whole isn't interested.
Accompanying
Activities
Advantages and
Community interviews or calls to telephone contacts usually precede
these meetings, since it is during these interviews that concerned citizens
groups are identified and contacted. Possible meeting locations also can be
identified during the community interviews.

Distributing fact sheets at these meetings also may be appropriate,
depending on when they are held.


The primary benefit of informal meetings is that they allow two-way
interaction between citizens, local officials, the permitting agency, and the
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                                                          Page 5-114

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Limitations                   facility. Not only will citizens be informed about the developments, but the
                                 facility owner/operator and officials responsible for the site can learn how
                                 citizens view the site.

                                 Informal meetings also add a personal dimension to what might otherwise
                                 be treated as a purely technical problem.  Informal meetings offer citizens,
                                 facility staff, and officials a chance to increase their familiarity with how
                                 the process works, increase awareness of each other's point of view, and
                                 actively promote public participation. Informal meetings also may diffuse
                                 any tension between stakeholders.

                                 Some groups may perceive your efforts to restrict the number of attenders
                                 as a "divide  and conquer" tactic to prevent large groups from exerting
                                 influence on potential actions and to exclude certain individuals or groups.
                                 One way to prevent this perception is to hold informal meetings with those
                                 organizations who express concern about being left out of the process.

                                 Irate groups or individuals also may accuse your staff of telling different
                                 stories to different groups at these small meetings. You can avoid this
                                 criticism by inviting a cross-section of interests to each small meeting or by
                                 having a large public meeting. Alternatively, you can keep a written record
                                 of the informal discussions and make it available upon request or include it
                                 in the information repository.  A record of discussions is required for any
                                 legally-required meetings held during the public comment period.
ChapterS: Public Involvement Activities                                                        Page 5-115

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              Checklist for Informal Meetings with Other Stakeholders

      _   Determine purpose of meeting

           	   Determine number of attenders: 	

      	   Determine location(s) for meeting (complete for each available facility)

           	   Facility name, location	

           _   Contact person at facility	

                Phone number	
           _   Occupancy size
           	   Handicap accessibility
           _   Features:
                     _Restrooms
                     	Public telephones
                     	Adequate parking

      	   Determine date, time of meeting:

                Date:	

                Time:	
      	   Identify interested citizens and officials

           	   Contact citizen groups, invite a representative to the meeting

      	   Prepare meeting agenda

           _   Overview of project

           	   Identify decision-makers

           	   Allow time for discussion, question/answers

      	   Follow-up
ChapterS: Public Involvement Activities                                                     Page 5-116

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Public Meetings

Regulatory
Requirements
Description of Activity
Level of Effort
The pre-application meeting that a permit applicant is required to conduct
under § 124.31 is a type of public meeting, though it need not be restricted
to the type of meetings described in this section.  In some cases, different
meeting formats will fulfill the requirements (see "The Pre-Application
Meeting" in Chapter 3).  Permit holders are also required to hold public
meetings when requesting a class 2 or 3 permit modification under §
270.42(b) or (c).


Public meetings are not public hearings. Public hearings are regulatory
requirements that provide a formal opportunity for the public to present
comments and oral testimony on a proposed agency action. Public
meetings, on the other hand, are less formal: anyone can attend, there are
no formal time limits on  statements, and the permitting agency and/or the
facility usually answers questions. The purpose of the meeting is to share
information and discuss issues, not to make decisions. Due to their
openness and flexibility,  public meetings are preferable to hearings as a
forum for discussing complex or detailed issues.

Public meetings sometimes complement public hearings. Public meetings
can be especially useful for allowing discussion before a public hearing and
can be scheduled immediately before the hearing (workshops, see below,
can also fulfill this need). Comments made during a public meeting do  not
become part of the official administrative record as they do during a
hearing. Public meetings provide two-way communication, with
community members asking questions and the permitting agency providing
responses.  Unlike the  activity in the section above ("Informal Meetings
with Other  Stakeholders"), public meetings are open to everyone.

While public meetings are usually called and conducted by the permitting
agency (e.g., before public hearings) or the facility (e.g., during permit
modification procedures), it is common for civic, environmental, and
community organizations to hold public meetings where ideas can be
discussed freely.

EPA's regulations require several specific public meetings. Section  124.31
calls on prospective permit applicants to announce and hold an informal
public meeting prior to submitting a permit application.  The permitting
agency is not required to attend the meeting. See Chapter 3 for more
information about the pre-application meeting. Permittees are required to
hold public meetings when requesting a class 2 or 3 modification under §
270.42.


While a public meeting should require less planning than a public hearing,
it may take several days to a week to arrange the location and logistics.  See
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                                                           Page 5-117

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                                 the "Public Notice" section above in this chapter to determine the resources
                                 you will need to announce the meeting. Other activities include preparing
                                 and copying materials for distribution. You may be able to distribute some
                                 of the same materials at the meeting and the public hearing (if applicable).
How to  Conduct the          ^° ^°^ a Pu^^c meeting, you will follow many of the same steps as for a
 .    .  .                          public hearing (see Chapter 3 for specific guidance regarding pre-
        ^                       application meetings under §  124.31):

                                 1.    Anticipate the audience and the issues of concern.  Identify the
                                      audience's objectives, expectations, and desired results.  With this
                                      information you will know what topics to spend time on and what
                                      materials and exhibits to provide.  If a part of your audience does not
                                      speak English,  arrange for a translator.

                                 2.    Schedule the meeting location and time so that citizens (particularly
                                      handicapped individuals) have easy access. Ensure the availability of
                                      sufficient seating, microphones, lighting, and recorders. Hold the
                                      meeting at a time and place that will accommodate the majority of
                                      concerned citizens.

                                 3.    Announce the  meeting at least 30 days before the meeting date.
                                      Provide notice  of the hearing in local newspapers, broadcast media,
                                      signs, and mailings to interested citizens (you can find requirements
                                      for pre-application meetings in  § 124.31(d)). Choose communication
                                      methods that will give all  segments of the community an equal
                                      opportunity to participate. Use multilingual notices where
                                      appropriate.  Make follow-up phone calls to interested parties to
                                      ensure that the  notice has been received. Provide the name of a
                                      contact person.

                                 4.    Make relevant documents available for public review.  If you are a
                                      permittee requesting a class 2 or 3 permit modification, you must
                                      place a copy of the modification request and supporting documents in
                                      a location that is publicly accessible and in the vicinity of the facility
                                      (see § 270.42(b)(3) and (c)(3)). Announce the location in the public
                                      notice for the meeting.  For other public meetings, you should
                                      consider making important documents available prior to the meeting.

                                 5.    Provide an opportunity for people to submit written  questions
                                      and comments. Not all individuals will want, or be able, to attend
                                      the meeting. Announce in public notices and mailings that written
                                      comments and  questions can be submitted to the contact person.  You
                                      may want to raise some of these written comments and questions at
                                      the public meeting.

                                 6.    Post a sign-up sheet so that attendees can voluntarily provide their
                                      names and addresses. If you are a permit applicant holding a pre-
                                      application meeting under §  124.31, you can use this sheet to produce

ChapterS: Public Involvement Activities                                                        Page 5-118

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When to Use
Accompanying
Activities
Advantages and
Limitations
     and submit an attendee list as part of your part B application (as
     required under § 124.31© and § 270.14(b)(22)). The permitting
     agency will use the attendee list to help generate the facility mailing
     list.

7.   Take notes about the major issues of concern and prepare a
     summary of all oral and written comments.  If you are a permit
     applicant holding a pre-application meeting under § 124.31, you must
     submit a summary of the meeting as part of your part B permit
     application (as required under § 124.31© and § 270.14(b)(22)).  For
     other public meetings, you should make a summary available for
     public review and announce where it is available.


Some permitting agencies have had success in holding public meetings
prior to a public hearing. Public hearings are often "staged" events with
little opportunity for new input or discussion.  Some participants have
criticized them as opportunities for grandstanding.  Public meetings, on the
other hand, allow interested parties to ask questions and raise issues in an
informal setting. A public meeting can provide a useful means of two-way
communication at any significant stage during the permitting or corrective
action process.

If you are a permit applicant required to hold a pre-application meeting
under § 124.31, the public meeting format is one option you can use.  Refer
to the discussion in Chapter 3 for more information.


Provide public notice of the meeting and designate a contact person.
Fact sheets and exhibits can inform people about permitting issues at
public meetings. You may also consider establishing an information table
where people who may feel uneasy speaking during the meeting can ask
questions and pick up materials.  Another option is to make your staff
available after in the meeting, in the same manner  as an availability
session or an open house. Information repositories can complement the
meeting by making important documents available for public review.


A public meeting provides a forum where interested people can ask
questions and discuss issues outside of the formality of a public hearing.
They are  flexible tools that are open to everyone.

Some citizens may be reluctant to speak up  at public meetings.  You can
address this concern by providing one-on-one access to your staff via an
information table or an open house, or by  scheduling informal meetings.
Public meetings, like public hearings, could become adversarial.
Chapter 5:  Public Involvement Activities
                                                           Page 5-119

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                                Checklist for Public Meetings

      (As applicable):

      	   Determine location for public meeting

           _   Facility name, location     	

           	   Contact person at location      	

           	   Phone number   	

           	   Occupancy size     	
           _   Handicap accessibility

           	   Features:
                     	 Restrooms
                     _ Public telephones

                     	 Adequate parking
                        Security
      _   Determine date, time of public meeting:

           Date:     	

           Time:     	
      _   Confirm availability at location (if location is not available, determine new location or new date)

      	   Announce the public meeting. (Pre-application meetings under § 124.31 must be announced
           through a display advertizement in a newspaper of general circulation, over a broadcast medium,
           and through a sign posted on or near the site of the facility or proposed facility).

           	   Contact local officials

           _   Notify key agencies and other stakeholder groups

      	   Provide an opportunity, in the notice, for people to submit written comments

      _   Determine whether a translator is needed

      	   Determine presentation requirements (depending upon the specific requirements of your
           presentation, some  of these items may be optional)

           _   Electrical outlets

                Extension cords
Chapter 5: Public Involvement Activities                                                       Page 5-120

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                        Checklist for Public Meetings (continued)

           	   Accessible lighting control panel

           	   Podium

           _   Stage

           	   Table(s) and chairs for panel

           _   Table skirt

           	   Sign-up sheet for the mailing list. (If you are conducting a pre-application meeting under §
                124.31, you are required to provide a sign-up sheet or another means for people to add their
                names to the facility mailing list.  You must provide the sheet to the permitting agency as a
                component of your part B permit application).

           	   Water pitcher and glasses

           _   Sound system

           	   Microphones (stand, tabletop)

           _   Cables

           	   Speakers

           	   Technician/engineers available for hearing

           	   Visual aids

           _   Slides

           	   Slide projector

           _   Extra projector bulbs

           	   Flip chart

           _   Flip chart markers

           	   Overhead transparencies

           _   Overhead machine

           	   VCR and monitor

           _   Screen

           	   Table for projection equipment
Chapter 5: Public Involvement Activities                                                       Page 5-121

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                        Checklist for Public Meetings (continued)

           	   Security personnel (if necessary)

           	   Table for meeting recorder (who will produce a meeting transcript or summary)

           	   Registration table

           _   Registration cards

           	   Writing pens

           _   Signs

           	   Miscellaneous supplies:

           _   Scissors

           	   Tape (masking, transparent)

           _   Thumbtacks

           _   Public information materials (fact sheets, etc.)

           Prepare meeting agenda.  (Facility owners/operators conducting a pre-application meeting under
           § 124.31 should refer to chapter 3 of this manual for information on the subjects they should
           cover during the meeting).

           Arrange contingency planning.  Decide what to do if:
            •   more people show up than capacity
            •   equipment malfunctions

           Prepare the meeting summary/transcript and make it available to the public. (Facility
           owners/operators conducting a pre-application meeting under §  124.31 must provide the summary
           to the permitting agency as a component of the part B application).	
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Public Hearings

Regulatory
Requirements
Description of Activity
Level of Effort
How to Conduct the
Activity
Public hearings are required if requested (§ 124.11) by the public during the
draft permit stage, during an agency-initiated modification under § 270.41,
or a Class 3 permit modification under § 270.42(c)(6). The agency will
also hold a public hearing at the draft permit stage when there is a high
level of public interest (based on requests), or when the agency thinks that
the hearing might clarify relevant issues (§ 124.12).  The agency will also
hold a hearing if these conditions apply during closure or post-closure at
interim status facilities (§§ 265.112(d)(4) and 265.118(f)).


Public hearings provide an opportunity for the public to provide formal
comments and oral testimony on proposed agency actions.  Occasionally
the agency will present introductory information prior to receiving
comments. All testimony received becomes part of the public record.

In contrast to a public hearing, a public meeting (see above in this
Chapter) is intended to provide two-way discussion and is not always
recorded for the public record.

Permittees and facility staff have no official role during a hearing.  The
hearing is a regulatory requirement of the permitting agency.


Several days to a week may be required to arrange for a public hearing,
including the location, hearing logistics, and agenda preparation. Other
activities include preparing the notice for the hearing, conducting a dry-run
of the hearing, and preparing and copying materials.


To conduct public hearings:

1.   Anticipate the audience and the issues of concern.  Identify the
     audience's objectives, expectations, and desired results.  With this
     information you can determine whether the hearing is likely to be
     confrontational, or if the audience will need more detailed
     information about a permit or corrective action. If a part of your
     audience does not speak English, arrange for a translator.

2.   Schedule the hearing location and time so that citizens (particularly
     handicapped individuals) have easy access. Identify and follow any
     procedures established by the local and state governments for public
     hearings.  Ensure the availability  of sufficient seating, microphones,
     lighting, and recorders. Hold the hearing at a time and place that will
     accommodate the majority of concerned citizens.

3.   Arrange for a court reporter  to record and prepare a transcript of
Chapter 5:  Public Involvement Activities
                                                           Page 5-123

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                                     the hearing.

                                4.   Announce the public hearing at least 30 days before the hearing
                                     date.  Provide notice of the hearing in local newspapers and mailings
                                     to interested citizens.  Under § 124.10(b), you may combine the
                                     hearing notice with the draft permit notice. Make follow-up phone
                                     calls to interested parties to ensure that the notice has been received.

                                5.   Provide an opportunity for people to submit written comments.
                                     Not all individuals will want to provide oral testimony. Publicize
                                     where written comments can be submitted and how they will be
                                     reviewed.

                                6.   Prepare a transcript of all oral and written comments.  Announce
                                     where the transcript will be available for public review.

                                The following are general tips on conducting public hearings:

                                Be clear and up front with meeting format and logistics.  Public
                                hearings are very limited in the amount of information that is exchanged
                                and the extent to which responses are given. Participants should not expect
                                the question and answer format found in public meetings.

                                Establish meeting format. Public hearings should be managed by a
                                hearings officer or moderator, whose responsibility it is to ensure that all
                                comments are taken for the public record.

                                •   Establish a speakers list. A moderator should develop a list of
                                     speakers from the list of respondents to public notices (e.g., those
                                     responding to a notice saying, "those wishing to be placed on the list
                                     of commenters should contact...") and/or by asking those wishing to
                                     speak to identify themselves on a sign-up list on the way into the
                                     hearing. While limiting commenters to a pre-developed list may be
                                     inappropriate, such lists serve as valuable management tools in
                                     bringing forward commenters in an orderly and expeditious manner.

                                •   Establish time limits for commenters. A moderator should establish a
                                     set time limit for an individual to make comments. Typically the
                                     limit is five minutes or less.  Those wishing to make more detailed
                                     comments should be encouraged to submit their comments in writing.

                                •   Establish time limits (if any) for the hearing.  Based on your speakers
                                     list, and assuming a limited speaking time for individual commenters,
                                     the moderator may establish time limits (if any) on the hearing.  Most
                                     hearings last between two  and five hours. However, for very
                                     controversial topics, public hearings have been known to extend over
                                     a period of days.

                                •   Interacting with commenters. Because comments become part of the
                                     public record, the moderator should ask all commenters to give their

Chapter 5: Public Involvement Activities                                                        Page 5-124

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When to Use
     names and addresses. If there is doubt about spelling, the moderator
     should ask the commenters to spell names or street names.  In cases
     where there may be litigation, it is common practice to further request
     that anyone legally representing any party as part of the permit
     process or decision identify that fact.

     When giving the floor to a commenter, the moderator should also note
     the person's name, so that he/she can thank the commenters by name
     at the conclusion of the comment (e.g., "Thank you for those
     comments, Ms.  Smith.").

     Speakers from the permitting agency. There are no set rules for who
     should participate or speak at a  public hearing. In the spirit of the
     law, the participants from the agency should be those who will be
     most involved with making the  actual decision — that is, the permit
     writer, and senior staff who will weigh all information, including
     these  public  comments, prior to reaching a final decision.  Speakers
     from the agency should be limited to explaining briefly the decision
     being made (e.g., "We are here  to discuss a proposed modification to
     the facilities permit to conduct the following activities...").


     When requested by a member of the public during a public comment
     period on a permit, closure, or corrective action.  Once requested,
     hearings require a minimum 30-day advance notice.
     Public hearings  are usually conducted during the public comment
     period following the issuance of a draft permit, major permit
     modification, or at the selection of a proposed corrective measure.
     Public hearings  may be appropriate at other times during the process,
     especially if the level of community concern warrants a formal record
     of communication.
Accompanying
Activities
Public notices distributed to the mailing list and published in local
newspapers are used to announce hearings to the public. If a hearing is
held to solicit comments on either a draft permit decision or proposed
corrective measure, the agency must prepare a response to comments.
The response to comments documents all submitted public comments and
includes the agency's responses.  An educational workshop or public
meeting may be useful shortly before the public hearing to explain key
issues of the proposed decision or corrective measure and respond to citizen
concerns.
Advantages and
Limitations
A hearing provides a record of communication so citizens can be sure that
their concerns and ideas reach the permitting agency.  Public hearings gen-
erally should not serve as the only forum for citizen input. They occur at
the end of a process that should have provided earlier public access to
information and opportunities for involvement. Earlier opportunities
Chapter 5:  Public Involvement Activities
                                                           Page 5-125

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                                 should answer most questions and arguments that are based on curiosity,
                                 emotion, sensationalism, or a lack of knowledge about the situation, thereby
                                 freeing the hearing for factually-based questions. Meet citizens' needs for
                                 information before a formal hearing with techniques such as fact sheets,
                                 small-group meetings, and one-on-one briefings.
                                 The formality of a public hearing often creates an atmosphere of "us versus
                                 them." There may be little opportunity to interact with citizens.  This may
                                 be frustrating to some; however, informal gatherings and question and
                                 answer sessions are often effective ways to interact with the public on an
                                 interpersonal level.  A variety of informal techniques, ranging from talking
                                 to citizens groups to holding workshops, are discussed throughout this
                                 chapter.
                                 Public hearings can easily become adversarial.  One way to avoid hostility
                                 or confrontation is to make sure the community has had an opportunity to
                                 express concerns in a less formal setting prior to the hearing.  More
                                 frequent contact with concerned citizens before a formal public hearing will
                                 reduce the likelihood of a confrontation.
Chapter 5:  Public Involvement Activities                                                        Page 5-126

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                                Checklist for Public Hearings

      (As appropriate):

      	   Determine location(s) for public hearing

           _   Facility name, location     	

           	   Contact person at facility      	

           	   Phone number      	

           	   Occupancy size     	
           _   Handicap accessibility

           	   Features:
                     	 Restrooms
                     _ Public telephones
                     _ Adequate parking
                        Security
           Determine date, time of public hearing:

           Date:     	

           Time:     	
      	   Confirm hearing facility availability (if facility not available, determine new facility or new
           hearing date)

      _   Announce the public hearing through a public notice in at least one newspaper 30 days prior to
           the hearing

           	   Contact local officials

           _   Notify key agencies

      	   Determine presentation requirements (depending upon the specific requirements of your
           presentation, some of these items may be optional)

           _   Electrical outlets

           	   Extension cords

           	   Accessible lighting control panel
Chapter 5: Public Involvement Activities                                                       Page 5-127

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                        Checklist for Public Hearings (continued)




           _   Podium




           	   Stage




           _   Table(s) and chairs for panel




           	   Table skirt




           _   Water pitcher and glasses




           	   Sound system




           _   Microphones (stand, tabletop)




           	   Cables




           _   Speakers




           	   Technician/engineers available for hearing




           _   Visual aids




           	   Slides




           _   Slide projector




           	   Extra projector bulbs




           _   Flip chart




           	   Flip chart markers




           _   Overhead transparencies




           	   Overhead machine




           	   VCR and monitor




           	   Screen




           _   Table for projection equipment




           	   Security personnel
Chapter 5: Public Involvement Activities                                                      Page 5-128

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                        Checklist for Public Hearings (continued)

           	   Table for court reporter

           _   Registration table

           	   Registration cards

           	   Writing pens

           	   Signs

           _   Miscellaneous supplies:

           	   Scissors

           _   Tape (masking, transparent)

           	   Thumbtacks

           	   Public information materials (fact sheets, etc.)

           Prepare meeting agenda

           Determine hearing participants/speakers
      	   Prepare opening comments for hearing officer

      	   Arrange contingency planning, decide what to do if:
            •   more people show up than capacity
            •   the crowd becomes disruptive

      _   Coordinate with public involvement coordinator on notification of the media

      	   Set date and time for debriefing following the hearing
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Availability
Sessions/Open
Houses
Regulatory
Requirements
Description of Activity
Level of Effort
How to Conduct the
Activity
None.  (In some cases, an availability session or an open house may fulfill
the pre-application meeting requirement under § 124.31, as long as the
meeting achieves the standards of that section.  See "The Pre-Application
Meeting" in Chapter 3 for more detail.)


Availability sessions/open houses are informal meetings in a public location
where people can talk to involved officials on a one-to-one basis. The
meetings allow citizens to ask questions and express their concerns directly
to project staff.  This type of gathering is helpful in accommodating
individual schedules.

Availability sessions and open houses can be set up to allow citizens to talk
with representatives from all interested organizations. Citizens can find out
more about all sides of a permitting issue through conversations with
agency officials, facility staff, and representatives of involved interest
groups and civic organizations.


An availability session/open house may take two to three days to plan and
conduct.  Allow sufficient time to select a date, time, and location for the
meeting, plan for the session, prepare supporting materials, and meet with
and brief your staff who will attend the meeting. You should plan for about
five hours for the actual session.
To conduct an availability session/open house:

1.    Select a date, time, and location for the availability session/open
     house that encourages attendance.  Evening hours usually are
     preferable.  The location should be in an easily accessible building
     familiar to residents (such as a public library, school, or local meeting
     room).

2.    Anticipate the number of attenders and plan accordingly.  If a
     large number of people is expected, consider the possibility of holding
     two availability session/open houses to enable staff to meet and talk
     with each attender. Alternatively, you can increase the number of
     staffer the length of the availability session/open house. As a general
     rule, planning for one staff member per 15-20 attenders should foster
     an informal atmosphere for conversation, and thereby avoid the
     situation where a staff member has to speak to a "crowd."
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                                                          Page 5-130

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                                 3.    Develop or gather together appropriate explanatory materials.
                                      These materials may include poster boards, handouts, or fact sheets.

                                 4.    Publicize the availability session/open house at least two weeks
                                      ahead of time, if possible. Send announcements to newspapers,
                                      television and radio stations, citizens on the mailing list, and any
                                      interested community organizations that publish newsletters.

                                 5.    Ensure that appropriate staff attend, so that citizens can meet
                                      those who will be responsible for facility activities. The staff present
                                      should be able to answer both technical and policy questions.

                                 6.    Meet with and brief staff and rehearse for the session.  Anticipate
                                      questions that may be asked during the session and prepare answers.
When to Use                  An availability session/open house is most appropriate:

                                      •     When scheduling of meetings is difficult because of community
                                           members' schedules;

                                      •     When new information is available on several different
                                           technical or regulatory issues that would make explaining it in
                                           its entirety would be too long for a more formal meeting;

                                      •     When community members have widely varying interests or
                                           levels of knowledge;

                                      •     When an informal setting is appropriate to enhance your
                                           credibility with the community;

                                      •     When staff is available;

                                      •     When larger crowds will make it difficult for certain members
                                           of the public to raise questions; and

                                      •     In some cases, to fulfill the pre-application meeting
                                           requirements in § 124.31 (see "Regulatory Requirements" above
                                           in this section).
Accompanying               Exhibits and fact sheets can provide background information that enables
A ^+i'in'+iao                      citizens to ask more informed questions about the facility during the
/\cn vines                                    .
                                 availability session/open house.
Advantages and              ^he one-to-one conversations during an availability session/open house can
T imitations                   ^elp ^u^ ^rust and establish a rapport between citizens and project staff.
                                 An informal, neutral setting will keep officials and the public relaxed and
                                 make communications smoother.  Citizens can find out more about all
                                 viewpoints concerning a permitting action if public interest groups, civic


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                                  organizations, agency officials, and facility staff are present at the session.

                                  Planning and conducting an availability session/open house can require a
                                  significant amount of staff time. A low turnout may not justify the effort.
                                  Hence, community interest in the site should be significant before an
                                  availability session/open house is planned.
Chapter 5: Public Involvement Activities                                                         Page 5-132

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                     Checklist for Availability Sessions/Open Houses

  (* If you are conducting this activity to fulfill the requirements of § 124.31, the activity must meet the
  standards of that section.  See Chapter 3 for more information).

  (As appropriate):

       	   Determine location(s) for meeting (complete for each available facility)

            _   Facility name, location	

            	   Contact person at facility	

                 Phone number	
            	   Occupancy size_
            _   Handicap accessibility.
            	   Features:
                      	Restrooms
                      _ Public telephones
                      _ Adequate parking

       	   Determine date, time of meeting:

            Date:     	

            Time:     	
       _   Prepare draft notice (public notice, flier)

       	   Coordinate internal review of notice

       _   Prepare final notice

       	   Determine what officials will attend availability session/open house

       _   If applicable, coordinate with other organizations that will be available at the session

       	   Notify citizens of availability session/open house

            	   Direct mailing to citizens on facility mailing list

            	   Verify that mailing list is up-to-date

            _   Request mailing labels

            	   Public notice in local newspaper(s)

       _   Prepare handouts, other informational material for availability session/open house
Chapter 5:  Public Involvement Activities                                                        Page 5-133

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Workshops
Regulatory
Requirements
                                None.
Description of Activity
Level of Effort
How to Conduct the
Activity
Workshops are seminars or gatherings of small groups of people (usually
between 10 and 30), led by a small number of specialists with technical
expertise in a specific area. In workshops, participants typically discuss
hazardous waste issues where citizens comment on proposed response
actions and receive information on the technical issues associated with the
permitting process and the RCRA program in general. Experts may be
invited to explain the problems associated with releases of hazardous
substances and possible remedies for these problems.  Workshops may help
to improve public understanding of permit conditions or hazardous waste
problems at a facility and to prevent or correct misconceptions. Workshops
also may identify citizen concerns and encourage public input.


A one-day workshop may take about three days to a week to plan and
execute. Another day will probably be required to follow up on any issues
that arise during the workshop.


To conduct a workshop:

1.   Determine the focus of the workshop. Decide what topic or topics
     will be covered in either one or more workshops. Suggested topics
     include: purpose of RCRA; description of the permit process  or
     corrective action program; proposed remedies; risk assessment;
     identified health or environmental problems; and/or method and
     format for receiving citizen comments on the proposed or ongoing
     actions. Determine what staff will be needed at each workshop and
     whether any outside experts will be needed.

2.   Plan the workshop. Decide ahead of time on a minimum and
     maximum number of participants. If there are too few, consider
     holding an informal meeting and postpone the workshop until
     additional interest develops. Identify a convenient location and time
     for the workshop, and set a date that does not conflict with other
     important meetings  or interests (for example, town council meetings,
     high school sporting events).

3.   Announce the workshop by publishing a notice well in advance (at
     least 3  weeks) in the local newspapers.  Send a notice of workshops
     with mailings to all  citizens on the facility mailing list and distribute
     posters around town. Send out invitations and registration forms to
Chapter 5: Public Involvement Activities
                                                         Page 5-134

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When to Use
Accompanying
Activities
Advantages and
Limitations
     concerned citizens. Provide for multiple registrations on each form to
     accommodate friends who also might be interested in the workshop.
     Emphasize that the number of participants is limited, and provide a
     deadline for registration.


Workshops are appropriate:

     •    When the RCRA process needs to be explained to community
          members interested in participating in the process;

     •    When specific topics needs to be discussed in detail, especially
          health or risk assessment issues; and

     •    When technical material needs to be explained and feedback
          from the community is important to make sure that citizens
          understand the material.
Workshops can be conducted before formal public hearings or during
public comment periods to give citizens some ideas on developing and
presenting testimony. Fact sheets and exhibits can complement the
workshop.


Workshops provide more information to the public than is possible through
fact sheets or other written materials. Workshops have proven successful
in familiarizing citizens with key technical terms and concepts before a
formal public meeting.  Workshops also allow two-way communication,
making them particularly good for reaching opinion leaders, interest group
leaders, and the affected public.

If only a limited number are held, workshops can reach only  a small
segment of the affected population.

When planning a workshop, you should make sure that it is announced in
local newspapers, to help ensure that it will be well-attended.  In addition, it
may be helpful to specifically invite all residents who have expressed an
interest in the site.
Chapter 5: Public Involvement Activities
                                                          Page 5-135

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                                   Checklist for Workshops

  (As appropriate):

       	    Determine purpose of workshop   	
            	    Determine number of attenders   	

       	    Plan the workshop

            _    Identify topics to be presented

            _    Identify agency officials to present topics, handle registration

            	    Prepare handouts, other informational materials

       _    Determine location(s) for workshop (complete for each available facility)

            _    Facility name, location 	
            	    Contact person at facility

            	    Phone number 	

            	    Occupancy size 	
            _    Handicap accessibility .

            	    Features:
                 	    Restrooms
                 _    Public telephones
                 _    Adequate parking
       	    Determine date, time of workshop:

            Date:  	

            Time:	
       	    Prepare draft notice announcing workshop (public notice, flier)

       	    Coordinate internal review of notice

       _    Prepare final notice
Chapter 5: Public Involvement Activities                                                       Page 5-136

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                           Checklist for Workshops (continued)




       	    Notify citizens of workshop




            	    Direct mailing to citizens on facility mailing list




            	    Verify that mailing list is up-to-date




            _    Request mailing labels




            	    Public notice in local newspaper(s)




       _    Determine presentation requirements




            	    Electrical outlets




            _    Extension cords




            	    Accessible lighting control panel




            	    Window covers




            	    Podium




            _    Stage




            	    Table(s) and chairs for panel




            _    Water pitcher and glasses




            	    Sound system




            _    Microphones (stand, tabletop, lavaliere)




            	    Cables




            _    Speakers




            	    Technician/engineers available for hearing




            _    Visual aids




            	    Slides




            _    Slide projector
Chapter 5: Public Involvement Activities                                                       Page 5-137

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                           Checklist for Workshops (continued)




           _   Extra projector bulbs




           	   Flip chart




           _   Flip chart markers




           	   Overhead transparencies




           _   Overhead machine




           	   VCR and monitor




           _   Screen




           	   Table for projection equipment




           _   Registration table




           	   Registration cards




           _   Writing pens




           	   Signs




           _   Miscellaneous supplies:




           	   Scissors




           _   Tape  (masking, transparent)




           	   Thumbtacks




           	   Public information  materials (fact sheets, etc.)




      	   Arrange and conduct at least one rehearsal
Chapter 5: Public Involvement Activities                                                      Page 5-138

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Attending Other
Stakeholder
Meetings and
Functions

Regulatory
Requirements
Description of Activity
Level of Effort
How to Conduct the
Activity
When to Use
None. (The permitting agency may need to attend public meetings held by
the permittee under § 270.42 in order to respond to public comments on the
modification request.  Agencies may also want to attend the applicant's
pre-application meeting held under § 124.31. See the section on the "Pre-
Application meeting" in Chapter 3 for more detail.)


Permitting agencies, facilities, local governments, environmental
organizations, religious and civic groups may all hold meetings or other
gatherings during the permitting process. Some may be required by
regulation and others may be informational meetings or discussions of
important issues.  As an involved stakeholder, you can learn more about the
views of other stakeholders by attending their meetings. You can join in
important discussions and provide information. Some groups may invite
you to give a presentation or a briefing.


The time you commit to attending other stakeholder meetings or functions
will depend on the level of your participation.  Meetings can vary in length;
your resource commitment will be more substantial if you agree to give a
briefing or a presentation (see those sections of this chapter for more
information).  You will need a few hours to prepare notes for your file after
the meeting.


If you decide to attend a meeting, you may want to inform the host
organization that you plan to attend the meeting. If you choose to identify
yourself at the meeting, be prepared to answer questions.  You may want to
bring fact sheets or other information you can provide upon request. In any
case, be prepared to listen to the discussion and prepare notes for your files.

The host organization may ask you to provide a briefing or a presentation.
See those sections of this chapter for more information.


You may want to attend other stakeholders' meetings when the meetings
are open and you  want to learn more about the views held by other
stakeholders. In some cases, a group may invite your organization to attend
a meeting to provide input or answer questions. In such cases, you should
be prepared to answer questions or present the views of your organization.


If appropriate, you may want to make fact sheets available upon request at
Chapter 5: Public Involvement Activities
                                                         Page 5-139

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                                the meeting. Provide the name of a contact person. If you are
/\CCOmpanying               representing the permitting agency, let participants know about how to put
Activities                     their names on the facility mailing list.
Advantages and              Attending meetings or functions held by other stakeholders can provide
T .   .    .                       useful insight to other opinions and concerns.  This information can help
Limitations                        ,    .,      U1.    ,-  •   ,-           A      i      ^ *       ^
                                you plan other public participation events and  complement data you gather
                                from community interviews.

                                This activity should not be used in place of informal meetings or other
                                activities that may be more appropriate.  If your attendance has the
                                potential to cause problems, make sure to contact the host before the
                                meeting.
Chapter 5: Public Involvement Activities                                                      Page 5-140

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Citizen Advisory
Groups
Regulatory
Requirements
                                None.
Description of Activity
A Citizen Advisory Group (CAG) provides a public forum for
representatives of diverse community interests to present and discuss their
needs and concerns with government and/or the facility. Although CAGs
may come in many different forms and have different responsibilities and
roles, they are generally composed of a board of stakeholders that meets
routinely to discuss issues involving a particular facility.  The purpose of a
CAG is usually to advise a facility owner/operator or the permitting  agency
on permitting or corrective action activities.

CAGs can be a good way to  increase active community participation in
environmental decision-making and provide a voice for affected
community members and groups. They promote direct, two-way
communication among the community, the permitting agency, and the
facility.

The make-up and mission of a CAG may vary ~ there is no set formula
governing the make-up or responsibilities of the group. The best type of
CAG to use will depend on the situation. For instance, a citizen
organization may create a CAG of affected community members to provide
an official voice from the community.  Facility owner/operators may create
a CAG of affected community members to provide informal or formal
advice. A permitting agency may form a CAG that includes stakeholders
from the facility, the community, and the agency.

In establishing  a CAG, it is important to bear in mind that the size of a
group can often have an impact on its effectiveness — for example, too
large of a group can inhibit how efficiently it can work and come to
consensus on issues, and too small of a group may not be adequate to
represent diverse community concerns.

Forming a CAG does not necessarily mean that there will  be universal
agreement about permitting or corrective action issues. Nor does having a
CAG mean there will be no controversy during the process.  However,
when decisions made by the  facility or the permitting agency differ from
the stated preferences of a CAG, the facility or the agency should accept
the responsibility of explaining its decision to CAG members.

RCRA regulations do not require the use of advisory groups; however, EPA
regulations do contain standards for  advisory groups if EPA decides  to
require them under 40 CFR.  These standards are located in 40 CFR 25.7.
Chapter 5: Public Involvement Activities
                                                          Page 5-141

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                               Although these standards may not apply to all types of advisory groups used
                               in conjunction with RCRA permitting, they provide useful guidance for
                               agencies, facilities, and public interest groups who may want to use
                               advisory groups. A copy of the part 25 regulations is available Appendix F.
Level of Effort
How to Conduct the
Activity
When to Use
EPA's Office of Emergency and Remedial Response has issued guidance
on the use of CAGs at Superfund sites (see Appendix E). Although there
are many differences between the Superfund and RCRA programs (most
notably that Superfund often deals with abandoned sites while RCRA
typically deals with existing or potential facilities), a large part of the
Superfund CAG guidance discusses CAG development, membership, and
training that may be applicable to some RCRA CAGs.  Superfund
terminology  and process aside, the guidance contains some very useful,
concise advice on various aspects of CAGs.

Although CAGs are a useful tool in many situations, they may not always
be appropriate. See the section "When to Use" below for a list of factors
you should consider before  forming a CAG.


CAGs can be a time-consuming and expensive endeavor. Membership
selection, meeting preparation and follow-up, information dissemination,
and training all take a lot of resources.  Unlike the Superfund program,
agencies that implement RCRA cannot provide Technical Assistance
Grants (TAGs) to help  defray the costs of CAGs.


See EPA's Guidance for Community Advisory Groups at Superfund Sites
and 40 CFR  § 25.7 (in Appendices E and F) for information on how to set
up CAGs. Keep in mind  that CAGs under the RCRA program will differ
from CAGs under Superfund.  You may want to obtain a copy of the
reference list of public  participation and risk communication literature
(available through the RCRA Hotline or the RCRA Information Center in
Docket Number F-95-PPCF-FFFFF) to look for additional information
sources on this topic.


A CAG can be formed  at any point in the permitting or corrective action
process, and may be most effective in the early stages.  Generally, the
earlier a CAG is formed,  the more members can participate in and impact
decision-making.

CAGs may not be appropriate in every situation. If you are considering use
of a CAG, you should consider the following factors:

•    the level of community interest and concern;

•    community interest in forming a CAG;

•    the existence of groups with competing agendas in the community;
Chapter 5: Public Involvement Activities
                                                         Page 5-142

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                                     environmental justice issues or concerns regarding the facility;

                                     the history of community involvement with the facility, or with
                                     environmental issues in general; and

                                     the working relationship between the facility, the community, and the
                                     permitting agency.
Accompanying
Activities
Depending on the make-up and the purpose of the CAG, you may want to
provide public notice, hold a public meeting, and issue a news release
before forming the CAG.  The CAG may choose to provide public
participation activities (such as meetings, newsletters, or availability
sessions) as part of its mission.
Advantages and
Limitations
CAGs can increase active community participation in environmental
decision-making and provide a voice for affected community members and
groups.  They promote direct, two-way communication among the
community, the permitting agency, and the facility and can highlight your
organization's commitment to inclusive stakeholder input.

CAGs can be time- and resource-intensive. CAGs that do not accurately
reflect or account for public concerns may lose support in the community.
In addition, uncertainty about the group's charter may cause conflict and
hard feelings. If you plan to use a CAG, the mission and responsibilities of
the CAG must be made clear from the start. Finally, CAGs can spend so
much time agreeing on procedures that they drive away people who are
concerned with substance. The need for elaborate procedures can be
sharply reduced if an advisory group agrees to work on a consensus basis
rather than by majority vote.

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APPENDICES

-------
APPENDIX A - LIST OF EPA CONTACTS
EPA Headquarters
401 M Street, SW
Washington, DC  20460
       Directory Assistance                          (202) 260-2090 (TDD 260-3658)
       Office of Solid Waste and Emergency Response    (202) 260-4610
       Office of Solid Waste                         (202) 260-4627
       Office of Enforcement and Compliance Assurance  (202) 260-4134
       RCRA Hotline
              (Washington, DC Metro Area)
       Hazardous Waste Ombudsman
              (Washington, DC Metro Area)
       Office of Environmental Justice
              (Washington, DC Metro Area)
       Pollution Prevention Information Clearinghouse
       Public Information Center
       RCRA Information Center

EPA Regional Offices
                      (800) 424-9346 (TDD 553-7672)
                      (703) 412-9810 (TDD 412-3323)
                      (800) 262-7937
                      (202) 260-9361
                      (800) 962-6215
                      (202) 260-6359
                      (202) 260-1023
                      (202) 260-2080
                      (703) 603-9230 (see brochure)
       Region 1
       (CT, ME, MA, NH, RI, VT)
       Region 2
       (NJ, NY, PR, VI)
       Region 3
       (DE, DC, MD, PA, VA, WV)
       Region 4
       (AL, FL, GA, KY, MS, NC, SC, TN)
       Region 5
       (IL, IN, MI, MN, OH, WI)
       Region 6
       (AR, LA, NM, OK, TX)
       Region 7
       (IA, KS, MO, NE)
                      JFK Federal Building
                      Boston, MA 02203-0001
                      (617) 565-3420

                      290 Broadway
                      New York, NY  10007-1866
                      (212) 637-3000

                      841 Chestnut Building
                      Philadelphia, PA 19107
                      (215) 597-9800

                      345CourtlandSt., NE
                      Atlanta, GA 30365
                      (404) 347-4727

                      77 West Jackson Blvd.
                      Chicago, IL 60604-3507
                      (312) 353-2000

                      Fountain Place 12th FL, Suite 1200
                      1445 Ross Avenue
                      Dallas, TX 75702-2733
                      (214) 665-6444

                      726 Minnesota Avenue
                      Kansas City, KS  66101
                      (913) 551-7000

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Region 8                                     999 18th Street, Suite 500
(CO, MT, ND, SD, UT, WY)                   Denver, CO 80202-2466
                                            (303) 293-1603

Region 9                                     75 Hawthorne St.
(AZ, CA, HI, NV, AS, GU)                    San Francisco, CA 94105
                                            (415) 744-1305

Region 10                                   1200 Sixth Avenue
(AK, ID,  OR, WA)                  :         Seattle, WA 98101
                                            (206) 553-1200

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organisation, telephone number, and an explana-
tion of what they need. Questions are usually an-
swered within one business day.

Underground Storage Tank Docket
Telephone Number: 703 603-9231
Hours: Monday to Friday, 9:00 a.m. to 4:00 p.m. EST
  Provides documents and regulatory information
pertinent to RCRA's Subtitle 1 (the Underground Stor-
age Tank program).

Superfund  Docket
Telephone Number: 703 603-9232
Hours; Monday to Friday, 9:00 a.m. to 4:00 p.m. EST
  Provides rulemaking material pertinent to the Su-
perfund Program and the  Comprehensive Environ-
mental Response, Compensation, and Liability Act
(CEROA).

Hazardous Waste Ombudsman
Program
Telephone Numbers: 800262-7937,202260-9361
Contact: Robert Martin
  Assists private citizens and organizations that
have been unable to voice a complaint or resolve
problems through normal channels in coping with
the complexities of hazardous waste and Superfund
legislation. Each region has an ombudsman repre-
sentative. For  more information, call the  RCRA/
Superfund/EPCRA Hotline  or the contact cited
above.

Small Business Ombudsman Hotline
Telephone Numbers: 800368-5888,703305-5938
Hours: Monday to Friday, 8:30 a.m. to 5:00 p.m. EST
  Helps small  businesses comply with environ-
mental laws and EPA regulations.
Pollution Prevention Information
Clearinghouse (PPIC)

Telephone Number: 202260-1023

  A center for dissemination  of pollution prevention
information. PPIC's services include document distribu-
tion, access to a circulating and periodicals collection,
and outreach.


Public Information Center (PIC)
Telephone Number: 202 260-2080
Hours: Monday to Friday, 8:00 a.m. to 5:30 p.m. EST
for  phone calls, 10:00 a.m.  to  4:00 p.m. EST for
walk-in visitors

  Provides general, nontechnical environmental infor-
mation through its brochures, booklets, and pamphlets.


EPA Headquarters Library
Reference Desk: 202 260-5921
Interlibraiy Loan Desk: 202 260-5933
Hours: Monday to Friday, 9:00 a.m. to 5:00 p.m. EST
for  phone calls, 10:00 a.m.  to  2:00 p.m. EST for
walk-in visitors

  The Headquarters Library is the reference library for
the  Agency. It  offers a broad range of sources of
environmental information including reports from vari-
ous EPA offices and trade and  environmental journals.
The collection also features departments such as the
"Water Collection," the "Hazardous Waste Collection,"
and "Infoterra," which accommodates foreign patrons'
requests.
           United States
           Environmental Protecton
           Agency
                                                                                                                            EPA530-F-9W301
                                                                                                                            January 1996
           Solid Wasta and Etneiigency Response (5305W)
&EPA How To Access
           the RCRA
           Information
           Center
                                                          Recycled/Recyclable
                                                          Photocopied on paper lhat contains
                                                          at least 20% postconsumer recycled fiber.

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    Congress passed the Resource Conservation and
    Recovery Act (RCRA) in 1976 to create a frame-
work for the proper management of hazardous and
nonhazardous solid waste. The Act is continuously
evolving as Congress amends it to reflect the nation's
changing solid waste needs.
  For each modification to the Act, EPA develops
regulations that spell out how the statute's broad
policies are to be carried out. The RCRA Information
Center (RIC) was formed to house both documents
used in writing these regulations as well as EPA
publications produced for public guidance on solid
waste issues.
  The documents stored in the RIC are divided into
two  basic  categories:  (1) documents involved in
various stages of rutemaking; and (2) general docu-
ments discussing^ the various  aspects of recycling,
treatment,  and disposal of hazardous and solid
waste.
Rulemaking Dockets

•  Docket files generated from RCRA-related rulings. •
   Each file is composed of two sections; (1) techni-
   cal support documents that were used by EPA in
   the  development of the particular rule; and
   (2) comments from companies, individuals, envi-
   ronmental organizations, and various levels  of
   government.
•  Reprints of Federal Registers containing RCRA-
   relafed issues.
•  Administrative  Records, which  are rulemaking
   dockets that have undergone litigation.
General
Documents/Collections

•  Catalog of Hazardous and Solid Waste Publica-
   tions, which  lists the RIC's mosf popular docu-
   ments. The catalog is updaled periodically,
•  Guidance documents, which provide directions
   for implementing the regulations for disposal and
   Irealment of hazardous and solid wastes.
• Brochures, booklets, and executive summaries of
  reports concerning  waste reduction and disposal
-  issues surrounding solid and hazardous wastes.
• A historical collection of Office of Solid Waste docu-
  ments.
• Selected Office of Solid Waste correspondence writ-
  ten by EPA officials in response to questions from
  organizations and individuals concerning hazardous
  and solid waste regulations.
• Health and- Environmental Effects Profiles (HEEPs)
  and Health and Environmental Effects Documents
  (HEEDs).
Hours and Location

• The RIC is open to the public from 9:00 a.m. to 4:00
   p.m., Monday through Friday.
• The RIC is located at:
   Crystal Gateway 1, First Floor
   1235 Jefferson Davis Highway
   Arlington, VA
• It is recommended that visitors make an appointment
   so that the material they wish to view is ready when
   they arrive.
• Patrons may call for assistance at 703 603-9230,
   send a fax to 703 603-9234, or send an e-mail to
   rcra-docket@epamail.epa.gov,
• Patrons may write to the following address;
   RCRA Information Center (5305W)
   U.S. Environmental Protection Agency
   401 M Street, SW
   Washington, DC 20460
   (Please note that this address is for mailing purposes
   only.)


Photocopying and Microfilming

Many documents are avaibble only in the original and,
therefore, must be photocopied.  Patrons are allowed
TOO free photocopies. Thereafter they are charged 15
cents per page. When necessary, an invoke staling how
many copies were made, the cost of the order, and
where to send a check will be issued to the patron. .
  Documents also are available on microfilm. The RIC
staff help patrons locate needed documents and op-
erate the microfilm machines.  The  billing fee for
printing  microfilm documents  is the Same  as for
photocopying documents.
  Patrons who are outside of the metropolitan
Washington,  DC, area can request documents by
telephone. The photocopying and microfilming fee
is the same as for walk-in patrons. If an invoice is
necessary, RIC staff can mail one with the order.


Additional EPA Sources of
Hazardous and Solid Waste
Information

The RCRA/Superfund/EPCRA  Hotline
Telephone Numbers: 800 424-9346
  TDD: 800 553-7672 (hearing impaired)
  For Washington, DC, and outside
  the United States: 703 412-9810
  TDD: 703 412-3323 (hearing impaired)
Hours: Monday to Friday, 9:00 a.m. to 6:00 p.m. EST
  The Hotline answers questions concerning tech-
nical aspects of RCRA. It also provides clarifications
of sections of the Code of Federal Regulations that
pertain to RCRA. The Hotline also takes requests and
makes referrals for obtaining OSW publications.

OSW Methods Information
Communication Exchange (MICE)
Telephone Number.- 703  821-4690
  A telephone service  implemented by the EPA
Office of Solid Waste to answer technical questions
on test methods used on  organic and inorganic
chemicals. These tesfs are discussed in ihe EPA
document Tesf Methods for Evaluating Solid Waste:
Physical/Chemical Methods (Document  Number;
SW-846).
  Patrons can call MICE 24 hours a day and are
requested to leave a message staling their name,

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APPENDIX B --  LIST OF STATE RCRA CONTACTS
Alabama Department of Environmental Management
1751 Cong. Wm. L, Dickinson Drive
Montgomery, AL 36130
(205) 271-7730

Alaska Department of Environmental Conservation
410 Willoughby Avenue, Suite 105
Juneau, AK 99801-1795
(907) 465-5150

For American Samoa, contact;
U.S. EPA Region 9
Hazardous Waste Management Division
75 Hawthorne Street
San Francisco, CA 98101
(415) 744-2098

Arizona Department of Environmental Quality
3303 N. Central Avenue
Phoenix, AZ 85012
(602) 207-4146

Arkansas Department of Pollution Control and
Ecology
8001 National Drive
PO Box 8913
Little Rock, AR 72219-8913
(501) 562-7444

California Department of Toxic Substances Control
10151 Croydon Way, Suite 3
Sacramento, CA 95827
(916) 255-3618

Colorado Department of Health
4300 Cherry Creek Drive So.
HMWMD
Denver, CO  80222-1530
(303) 692-3300

Connecticut Department of Environmental Protection
State Office Building
165 Capitol Avenue
Hartford,  CT  06106
(203) 566-4869

Delaware Department of Natural Resources and
Environmental Control
PO Box 1401, 89 Kings Highway
Dover, DE 19903
(302) 739-3689
District of Columbia Department of Consumer and
Regulatory Affairs
Environmental Regulation Administration
2100 Martin Luther King Jr. Ave., SE
Washington, DC 20020
(202)404-1167

Florida Department of Environmental Regulation
Twin Towers Office Building
2600 Blair Stone Road
Tallahassee, FL  32399-2400
(904) 488-0300

Georgia Department of Natural Resources
1154 East Tower
205 Butler Street, SE
Atlanta, GA  30334
(404) 656-7802

Guam Environmental Protection Agency
Harmon Plaza, Complex Unit B-107
103 Orjas Street
Harmon, Guam  96911

Hawaii Department of Health
Five Waterfront Plaza, Suite 250
500 Ala Moana Boulevard
Honolulu, HI  96813

Idaho Department of Environmental Quality
1410 N. Hilton, Third Floor
Boise, ID 83706
(208) 334-5879

Illinois Environmental Protection Agency
2200 Churchill Road
Springfield, IL 62706
(217)785-8452

Indiana Department of Environmental Management
105 S. Meridian  Street
PO Box 6015
Indianapolis,  IN  46225

For Iowa, contact:
U.S. EPA Region 7
RCRA Branch
726 Minnesota Ave.
Kansas City, KS  66101
(913) 551-7646

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Kansas Department of Health and Environment
Forbes Field, Building 740
Topeka.KS 66620
(913) 296-1600

Kentucky Department of Environmental Protection
Fort Boone Plaza, Building No. 2
14 Reilly Road
Frankfort, KY 40601
(502) 564-6716

Louisiana Department of Environmental Quality
PO Box 82178
Baton Rouge, LA 70884-2178
(504) 765-0332

Maine Department of Environmental Protection
State House Station #17
Augusta, ME 04333
(207) 289-2651

Maryland Department of the Environment
2500 Broening Highway
Baltimore, MD 21224
(410) 631-3343

Massachusetts Department of Environmental
Protection
One Winter Street, 5th Floor
Boston, MA 02108
(617) 292-5851

Michigan Department of Natural Resources
Box 30241
Lansing, MI 48909
(517) 373-2730

Minnesota Pollution Control Agency
520 Lafayette Road, North
St.  Paul, MN 55155
(612) 297-8330

Mississippi Department of Environmental Quality
PO Box 10385
Jackson, MI 39289-0385
(601) 961-5171

Missouri Department of Natural Resources
Jefferson Building
205 Jefferson Street (13/14 Floor)
PO Box 176
Jefferson City, MO 65102
(314) 751-3176
Montana Department of Health and Environmental
Sciences
Cogswell Building
Helena, MT 59620
(406) 444-1430

Nebraska Department of Environmental Quality
State House Station
PO Box 98922
Lincoln, NE 68509-8922
(402) 471-2186

Nevada Division of Environmental Protection
333 West Lye Lane
Carson City, NV 89710
(702) 687-5872

New Hampshire Department of Health and Welfare
Health and Welfare Building
6 Hazen Drive
Concord, NH 03301
(603)271-2900

New Jersey Department of Environmental Protection
120 South Stockton St.,CN-414
Trenton, NJ  08625
(609) 292-9880

New Mexico Environment Department
Harold Runnels Building
1190 St. Francis Drive
PO Box 26110
Santa Fe, NM 87502
(505) 827-2911

New York Department of Environmental
Conservation
PO Box 7252
Albany, NY  12233-7251
(518)457-9257

North Carolina Department of Environment, Health,
and Natural Resources
PO Box 27687
Raleigh, NC 27611-7687
(919) 733-4996

North Dakota Department of Health and Consolidated
Laboratories
1200 Missouri Ave.
PO Box 5520
Bismarck, ND 58502-5520
(701) 221-5166

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For Northern Mariana Islands, contact:
U.S. EPA Region 9
Hazardous Waste Management Division
75 Hawthorne Street
San Francisco, CA  94105
(415) 744-2098

Ohio Environmental Protection Agency
1800 Watermark Drive
Columbus, OH 43215
(614) 644-2977

Oklahoma Department of Environmental Quality
1000 Northeast 10th Street
Oklahoma City, OK 73117-1212
(405) 271-5338

Oregon Department of Environmental Quality
811 Southwest 6th Avenue
Portland, OR  97204
(503) 229-5356

Pennsylvania Department of Environmental Resources
400 Market Street, 14th Floor
Harrisburg, PA  17105-8471
(717) 787-6239

For Puerto Rico, contact:
U.S. EPA Region 2
Ah- and Waste Management Division
26 Federal Plaza, Room 1037
New York,  NY  10278
(212) 264-0504

Rhode Island Department of Environmental
Management
204 Canon Building, 75 Davis Street
Providence, RI 02908
(401) 277-2797

South Carolina Department of Health and
Environmental Control
2600 Bull Street
Columbia, SC 29201
(803)734-4711

South Dakota Department of Environment and Natural
Resources
319 Coteau
c/o 500 E. Capital Avenue           ,
Pierre, SD  57501-5070
(605) 773-3153
Tennessee Department of Public Health
401 Church St.
LNC Tower, 5th Floor
Nashville, TN 37243-1535
(615) 532-0780

Texas Natural Resources Conservation Commission
P.O. Box 13087, Capitol Station
Austin, TX 78711-3087
(512) 908-1000

Utah Department of Environmental Quality
PO Box 144880
Salt Lake City, UT 84114-4880
(801) 538-6170

Vermont Agency of Environmental Conservation
103 South Main Street
Waterbury, VT 05676
(802) 241-3888

For Virgin Islands, contact:
U.S. EPA Region 2
Air and Waste Management Division
26 Federal Plaza, Room 1037
New York,  NY 10278
(212) 264-0504

Virginia Department of Waste Management
Monroe Building, 11th Floor
101 North 14th Street
Richmond, VA 23219
(804) 225-2863

Washington Department of Ecology
PO Box 47658
Olympia, WA 98504-7658
(206)459-6316

West Virginia Department of Commerce, Labor, and
Environmental Protection
1356 Hansford Street
Charleston, WV 25301
(304)558-5393

Wisconsin Department of Natural Resources
PO Box 7921
Madison, WI 53707
(608) 266-1327

For Wyoming, contact:
U.S. EPA Region 8
Hazardous Waste Management Division
999 18th Street, Suite 500
Denver, CO 80202-2405
(303) 294-1361

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APPENDIX C - LEAGUE OF WOMEN VOTERS STATE CONTACTS

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                      THE LEAGUE OF WOMEN VOTERS OF THE U.S.
                                  1730 M STREET, NW
                              WASHINGTON, DC 20036-4587
                             202-429-1965 - FAX 202-429-0854
DATE: 04/30/96
                   DIRECTORY OF STATE LEAGUES
PAGE:  1
STATE
                                       STATE
      PRESIDENT'S NAME
      OFFICE ADDRESS
                                             PRESIDENT'S NAME
                                             OFFICE ADDRESS
ALABAMA
                                       CONNECTICUT
      MS. SARAH M. MCDONALD
      LWV OF ALABAMA
      3357 CHEROKEE ROAD
      BIRMINGHAM, AL  35223-1313
      OFFICE PHONE:  (205) 970-2389
                                             MRS. ANITA L. SILBERBERG
                                             LWV OF CONNECTICUT
                                             1890 DIXWELL AVE., #113
                                             HAMDEN, CT  06514-3183
                                                    OFFICE PHONE: (203) 288-7996
ALASKA
                                       DELAWARE
      MS. KAREN CRANE
      LWV OF ALASKA
      853 BASIN RD.
      JUNEAU, AK 99801-1036
                                             CATHY DEBOVIS
                                             LWV OF DELAWARE
                                             1800 N. BROOM ST, RM 207
                                             WILMINGTON, DE 19802-3809
                                             OFFICE PHONE:  (302) 571-8948
ARIZONA
                                       DIST. OF COLUMBIA
       JOYCE FORNEY
       LWV OF ARIZONA
       7239 EAST VISTA DRIVE
       SCOTTSDALE, AZ  85250
       OFFICE PHONE: (602) 423-5440
                                             JULIA C. GRAVES
                                             LWV OF DISTRICT OF COLUMBIA
                                             2025EYESTNW#917
                                             WASHINGTON, DC 20006
                                                    OFFICE PHONE: (202) 331-4122
ARKANSAS
                                       FLORIDA
2506
MS. BARBARA MARTIN
LWV OF ARKANSAS
THE EXECUTIVE BUILDING
2020 WEST THIRD #501

LITTLE ROCK, AR 72205
OFFICE PHONE: (501) 376-7760
                                                    FAY P. LAW
                                                    LWV OF FLORIDA
                                                    540 BEVERLY CT.
                                                           TALLAHASSEE, FL
     32301-
                                                    OFFICE PHONE: (904) 224-2545
CALIFORNIA
                                       GEORGIA
      FRAN PACKARD
      LWV OF CALIFORNIA
      926 J STREET, #1000
      SACRAMENTO,  CA  95814
      OFFICE PHONE:  (916) 442-7215
                                             DR. MARTHA ANN SAUNDERS
                                             LWV OF GEORGIA
                                             1776 PEACHTREE ST NW, #233N
                                             ATLANTA,  GA  30309-2350
                                                    OFFICE PHONE: (404) 874-7352
COLORADO
                                       HAWAII
      MARILYN SHUEY
      LWV OF COLORADO
      1410 GRANT ST. #204-B
      DENVER,  CO  80203
      OFFICE PHONE: (303) 863-0437
                                             MS. JACQUELINE KIDO
                                             LWV OF HAWAII
                                             49 SOUTH HOTEL ST. #314
                                             HONOLULU, HI 96813
                                                    OFFICE PHONE: (808) 531-7448

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                      THE LEAGUE OF WOMEN VOTERS OF THE U.S.
                                  1730 M STREET, NW
                             WASHINGTON, DC 20036-4587
                             202-429-1965 - FAX 202-429-0854
DATE: 04/30/96
DIRECTORY OF STATE LEAGUES
PAGE: 2
STATE
                   STATE
      PRESIDENT'S NAME
      OFFICE ADDRESS
                          PRESIDENT'S NAME
                          OFFICE ADDRESS
IDAHO
                   LOUISIANA
      MARY MCGOWN
      LWV OF IDAHO
      1824N. 19THST.
      BOISE, ID  83712
                          ELIZABETH B. FRANKS
                          LWV OF LOUISIANA
                          850 NORTH 5TH ST. APT 103
                          BATON ROUGE, LA 70802-9980
                          OFFICE PHONE: (504) 344-3326
ILLINOIS
                   MAINE
      MS. SUZANNE B. CALDER
      LWV OF ILLINOIS
      332 SOUTH MICHIGAN AVE. #1142
      CHICAGO, IL 60604-4301
      OFFICE PHONE:  (312) 939-5935
                          SALLY W. BRYANT
                          LWV OF MAINE
                          335 WATER ST.
                          AUGUSTA, ME  04330
                                OFFICE PHONE:
 (207) 622-0256
INDIANA
                   MARYLAND
IOWA
      PAULETTE VANDEGRIFF
      LWV OF INDIANA
      2346 S. LYNHURST DR., SUITE 303
      INDIANAPOLIS, IN 46241
      OFFICE PHONE: (317)241-8683
                          JOAN PAIK
                          LWV OF MARYLAND
                          200 DUKE OF GLOUCESTER ST
                          ANNAPOLIS, MD  21401
                                 OFFICE PHONE: (410)269-0232
                   MASSACHUSETTS
      DR. JANICE A. BERAN
      LWV OF IOWA
      4815 UNIVERSITY AVE., SUITE 3
      DESMOINES, IA 50311-3303
      OFFICE PHONE:  (515)277-0814
                                NANCY CARAPEZZA
                                LWV OF MASSACHUSETTS
                          133 PORTLAND ST. - LOWER LEVEL
                          BOSTON,  MA  02114
                                OFFICE PHONE:  (617) 523-2999
KANSAS
                   MICHIGAN
      LINDA N. JOHNSON
      LWV OF KANSAS
      919-1/2 S. KANSAS AVE.
      TOPEKA, KS  66612
      OFFICE PHONE: (913)234-5152
                          CONSTANCE H. FERGUSON
                          LWV OF MICHIGAN
                          200 MUSEUM DRIVE, SUITE 104
                          LANSING, MI  48933-1997
                                 OFFICE PHONE:  (517)484-5383
KENTUCKY
                   MINNESOTA
      JEANNE M. GAGE
      LWV OF KENTUCKY
      CPO 825 BEREA COLLEGE
      BEREA, KY 40404
      OFFICE PHONE: (606) 986-7515
                          MS. ANNE C. BORGEN
                          LWV OF MINNESOTA
                          550 RICE STREET, SUITE 201
                          STPAUL, MN  55104-2144
                                 OFFICE PHONE: (612)224-5445
STATE
                   STATE

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                      THE LEAGUE OF WOMEN VOTERS OF THE U.S.
                                  1730 M STREET, NW
                             WASHINGTON, DC 20036-4587
                             202-429-1965 - FAX 202-429-0854
DATE: 04/30/96
                   DIRECTORY OF STATE LEAGUES
                         PAGE:  3
      PRESIDENT'S NAME
      OFFICE ADDRESS
                                             PRESIDENT'S NAME
                                             OFFICE ADDRESS
MISSISSIPPI
                                      NEW JERSEY
      JOAN JEBSON
      LWV OF MISSISSIPPI
      PO BOX 55505
      JACKSON, MS  39296-5505
      OFFICE PHONE: (601) 352-4616
                                             MS. KATHERINE BECKER
                                             LWV OF NEW JERSEY
                                             204 W. STATE STREET
                                             TRENTON, NJ  08608
                                                   OFFICE PHONE: (609) 394-3303
MISSOURI
                                      NEW MEXICO
      LINDA C. MCDANIEL
      LWV OF MISSOURI
      8706 MANCHESTER RD., SUITE 104
      BRENT WOOD, MO 63144-2724
      OFFICE PHONE:  (314) 961 -6869
                                             KATHLEEN TOLMAN
                                             LWV OF NEW MEXICO
                                             621 OLD SANTA FE TRAIL, #10
                                                   SANTA FE, NM 87501
                                                   OFFICE PHONE: (505) 982-9766
MONTANA
                                      NEW YORK
      BARBARA SEEKINS
      LWV OF MONTANA
      401BENHOGANDR.
      MISSOULA, MT  59803-2416
                                             EVELYN STOCK
                                             LWV OF NEW YORK
                                             35 MAIDEN LA
                                             ALBANY, NY 12207-2712
                                             OFFICE PHONE: (518)465-4162
NEBRASKA
                                      NORTH CAROLINA
      ANDREA M. NELSON
      LWV OF NEBRASKA
      THE APOTHECARY
      140 NORTH 8TH ST, #418
      LINCOLN, NE 68508
      OFFICE PHONE: (402)475-1411
                                             BERNADETTE PARKER
                                             LWV OF NORTH CAROLINA
                                             505 OBERLINRD, SUITE 100
                                             RALEIGH, NC  27605
                                             OFFICE PHONE: (919) 839-5532
NEVADA
                                      NORTH DAKOTA
      MS. MARGARET QUINN
      LWV OF NEVADA
      6 SAVAGE CIRCLE
      CARSON CITY, NV 89703
NEW HAMPSHIRE
                                      OHIO
                                             MOLLY SPAIN
                                             LWV OF NORTH DAKOTA
                                             714 COTTONWOOD ST.
                                             GRAND FORKS, ND 58201-4824
                                             OFFICE PHONE: (701)772-7940
STATE
LILLIAN N. NELLIGAN
LWV OF NEW HAMPSHIRE
207 NORTH MAIN STREET #2
CONCORD, NH  03301-5048
OFFICE PHONE: (603) 225-5344

PRESIDENT'S NAME
STATE
      MARY LOU JONES
LWV OF OHIO
17 SOUTH HIGH ST, SUITE 650
COLUMBUS, OH  43215-3413
      OFFICE PHONE:  (614)469-1505

PRESIDENT'S NAME

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                      THE LEAGUE OF WOMEN VOTERS OF THE U.S.
                                  1730 M STREET, NW
                              WASHINGTON, DC 20036-4587
                             202-429-1965 - FAX 202-429-0854
DATE: 04/30/96
DIRECTORY OF STATE LEAGUES
PAGE:  4
       OFFICE ADDRESS
                          OFFICE ADDRESS
OKLAHOMA
                    TENNESSEE
       CAROL WOODWARD
       LWV OF OKLAHOMA
       525 NW 13TH STREET
       OKLAHOMA CITY, OK  73103
       OFFICE PHONE: (405)236-5338
                          MS. JUDYPOULSON
                          LWV OF TENNESSEE
                          1701 21ST AVE., SOUTH #425
                          NASHVILLE, TN 37212-3797
                                 OFFICE PHONE: (615) 297-7134
OREGON
                    TEXAS
      MARY KRAHN
      LWV OF OREGON
      2659 COMMERCIAL ST. SE #220
      SALEM, OR  97302-4450
      OFFICE PHONE: (503) 581-5722
                                RUTHANN J. GEER
                          LWV OF TEXAS
                          1212 GUADALUPE, #107
                          AUSTIN, TX 78701-1800
                                OFFICE PHONE: (512)472-1100
PENNSYLVANIA
                   UTAH
      MS. ELLEN GRILL
      LWV OF PENNSYLVANIA
      226 FORSTER ST.
      HARRISBURG, PA 17102-3220
      OFFICE PHONE: (717)234-1576
                          MS. NANCY L. COOPER
                          LWV OF UTAH
                          3804 HIGHLAND DR., SUITE 8D
                          SALT LAKE CITY, UT  84106-4209
                                 OFFICE PHONE: (801)272-8683
RHODE ISLAND
                    VERMONT
       JOYCE MORGENTHALER
       LWV OF RHODE ISLAND
       PO BOX 28678
       PROVIDENCE, RI 02908-0678
       OFFICE PHONE: (401)453-1111
                          MARY MACEWAN
                          LWV OF VERMONT
                          PO BOX 8314
                          ESSEX, VT  05451
SOUTH CAROLINA
                    VIRGIN ISLANDS
      MS. MARY ANN BURTT
      LWV OF SOUTH CAROLINA
      1314 LINCOLN ST. #212
      COLUMBIA, SC  29201-3108
      OFFICE PHONE: (803)771-0063
                          CLOVIS E. EMANUEL
                          LWV OF VIRGIN ISLANDS
                          PO BOX 638
                          ST THOMAS, VI 00804
SOUTH DAKOTA
                    VIRGINIA
      MINA E. HALL
      LWV OF SOUTH DAKOTA
      601 S. LINCOLN AVE.
      SIOUX FALLS, SD  57104-3830
      OFFICE PHONE: (605) 334-7966
                          LULU K. MEESE
                          LWV OF VIRGINIA
                          27 STONERIDGE DRIVE
                          WAYNESBORO, VA  22980-9548
                                 OFFICE PHONE: (540) 943-2766
STATE
                    STATE
      PRESIDENT'S NAME
      OFFICE ADDRESS
                          PRESIDENT'S NAME
                          OFFICE ADDRESS

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                      THE LEAGUE OF WOMEN VOTERS OF THE U.S.
                                  1730 M STREET, NW
                              WASHINGTON, DC 20036-4587
                             202-429-1965 - FAX 202-429-0854
DATE: 04/30/96              DIRECTORY OF STATE LEAGUES                 PAGE: 5

WASHINGTON

       KAREN E. VERRILL
       LWV OF WASHINGTON
       1411 4TH AVENUE #803
       SEATTLE, WA  98101-2216
       OFFICE PHONE: (206)622-8961

WEST VIRGINIA

       MS. HELEN GIBBONS
       LWV OF WEST VIRGINIA
       6128 GIDEON RD.
       HUNTINGTON, WV 25705-2241


WISCONSIN

       MS. MARY JO TIETGE
       LWV OF WISCONSIN
       122 STATE ST. SUITE 405
       MADISON, WI  53703-2500
       OFFICE PHONE: (608) 256-0827

WYOMING

       ROSEMARY SHOCKLEY
       LWV OF WYOMING
       P.O. BOX 687
       POWELL, WY  82435-0687

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APPENDIX D --         ENVIRONMENTAL JUSTICE PUBLIC
                          PARTICIPATION CHECKLIST
Introduction:

The environmental justice movement has sparked a lot of discussion on ways to improve
communications and working relations among agencies, industries, and communities. The
InterAgency Working Group on Environmental Justice, led by EPA, developed a Public
Participation Checklist that lays out ways to identify, inform, and involve stakeholders (e.g.,
environmental organizations, business and trade associations,  civic/public interest groups,
grassroots/community-based organizations, tribal governments, and industry).  It reflects a
combination of: guiding principles for setting up and conducting activities, such as public
meetings; specific activities for ensuring widespread and meaningful involvement; and
recommendations on how to effectively carry out those activities.

Although the checklist was initially developed in the context of environmental justice, to help
federal agencies prepare for the first public meeting to discuss their EJ strategies, it embodies
sound principles that apply to public participation for all communities.

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                                                                               Revised 1/13/95
                           ENVIRONMENTAL JUSTICE
                    PUBLIC PARTICIPATION CHECKLIST
1.  Ensure that Agency's public participation policies are consistent with the requirements of the
Freedom of Information Act, the Emergency Planning and Community Right to Know Act and the
National Environmental Policy Act.

2.  Obtain Senior Management Support to ensure that the Agency's policies and activities are
modified to ensure early, effective and meaningful public participation, especially with regard to
Environmental Justice stakeholders. Identify internal stakeholders and establish partnering
relationships.

3.  Use following Guiding Principles in setting up all public meetings:
         - Maintain honesty and integrity throughout the process.
         - Recognize community\indigenous knowledge.
         - Encourage active community participation.
         - Utilize cross-cultural formats and exchanges.

4.  Identify external Environmental Justice stakeholders and provide opportunities to offer input
into decisions that may impact their health, property values and lifestyles.  Consider at a minimum
individuals from the following organization as appropriate:

Environmental Organizations
Business and Trade Organizations
Civic / Public Interest Groups
Grassroots \  Community-based Organizations
Congress
Federal Agencies
Homeowner and Resident Organizations
International Organizations
Labor Unions
Local and State Government
Media \ Press
Indigenous People
Tribal Governments
Industry
White House
Religious Groups
Universities  and Schools

5.  Identify key individuals who can represent various stakeholder interests. Learn as much as

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                                                                                 Revised 1/13/95
possible about stakeholders and their concerns through personal consultation, phone, or written
contacts. Ensure that information gathering techniques include modifications for minority and low
-income communities, for example, consider language \ cultural barriers, technical background,
literacy, access to respondent, privacy issues and preferred types of communications.

6.  Solicit stakeholder involvement early in the policymaking process, beginning in the planning
and development stages and continuing through implementation and oversight.

7.  Develop co-sponsoring/co-planning relationships with community organizations, providing
resources for their needs.

8.  Establish a central point of contact within the Federal agency to assist in information dissemination,
resolve problems and to serve as a visible and accessible advocate of the
public's right to know about issues that affect health or environment.

9.  Regionalize materials to insure cultural sensitivity  and relevance. Make information readily
accessible (handicap access, Braille, etc.) and understandable. Unabridged documents should be
placed in repositories. Executive summaries/fact sheets should be prepared in layman's  language.
Whenever practicable and appropriate, translate targeted documents for limited English-speaking
populations.

10. Make information available in a timely manner. Environmental Justice stakeholders should
be viewed as full partners and Agency customers. They should be provided with information
at the same time it is submitted for formal review to state, tribal and/or Federal regulatory
agencies.

11. Ensure that personnel at all levels in the Agency clearly understand policies for transmitting
information to Environmental Justice stakeholders in a timely, accessible and understandable
fashion.

12. Establish site-specific community advisory boards where there is sufficient and sustained
interest.  To determine whether there is sufficient and  sustained interest, at a minimum,
review correspondence files, review media coverage, conduct interviews with local
community members and advertise in local newspapers. Ensure that the community
representation includes all aspects and diversity of the population. Organize a member
selection panel. Solicit nominations from the community. Consider providing administrative
and technical support to the community advisory board.

13. Schedule meetings and/or public hearings to make them accessible and user-friendly for
Environmental Justice stakeholders.  Consider time frames that don't conflict with work
schedules, rush hours, dinner hours and other community commitments that may decrease
attendance.  Consider locations and facilities that are local, convenient and which represent

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                                                                                 Revised 1/13/95
neutral turf. Ensure that facility meets American with Disabilities Act Statements for equal
access.  Provide assistance for hearing impaired individuals. Whenever practical and
appropriate provide translators for limited-English speaking communities.  Advertise the
meeting and its proposed agenda in a timely manner in the print and electronic media.
Provide a phone number and/or address for communities to find out about pending meetings,
issues, enter concerns or to seek participation or alter meeting agenda.

Create an atmosphere of equal participation (avoid a "panel of experts" or "head table").  A
two day meeting is suggested with the  first day reserved for community planning and education.
Organize meetings to provide an open  exchange of ideas and enough time to consider issues of
community concern.  Consider the use of a neutral facilitator who is sensitive  and trained in
environmental justice issues.  Ensure that minutes of the meetings are publically available.  Develop a
mechanism to provide communities with feedback after meetings occur on actions being
considered.

14. Consider other vehicles to increase participation of Environmental Justice stakeholders
including:

Posters and Exhibits
Participation in Civic and Community  Activities
Public Database and  Bulletin Boards
Surveys
Telephone Hotlines
Training and Education Programs, Workshops and Materials

15. Be sure that trainers have a good understanding of the subject matter both technical and
administrative. The trainers are the Ambassadors of this program.  If they don't understand
- no one will.

16. Diversity in the workplace: whenever practical be sure that those individuals that are the
decision makers reflect the intent of the Executive Order and come from diverse backgrounds,
especially those of a  community the agency will have  extensive interaction with.

17. After holding a public forum in a community establish a procedure to follow up with concrete
actions to address the communities' concerns.  This will help to establish credibility for your
agency as having an  active role in the federal government.

18. Promote interagency coordination to ensure that the most far reaching aspects of
environmental justice are sufficiently addressed in a timely manner. Environmental problems do
not occur along departmental  lines. Therefore, solutions require  many agencies and other stakeholders
to  work together efficiently and effectively.

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                                                                                 Revised 1/13/95
19. Educate stakeholders about all aspects of environmental justice (functions, roles, jurisdiction,
structure and enforcement).

20. Ensure that research projects identify environmental justice issues and needs in communities,
and how to meet those needs through the responsible agencies.

21. Establish interagency working groups (at all levels) to address and coordinate issues of
environmental justice.

22. Provide information to communities about the government's role as it pertains to short term
and long term economic and environmental needs and health effects.

23. Train staff to support inter and intra agency coordination, and make them aware of the resources
needed for such coordination.

25. Provide agency staff who are trained in cultural, linguistic and community outreach
techniques.

26. Provide effective outreach, education and communications. Findings should be shared with
community members with an emphasis on being sensitive and respectful to race, ethnicity, gender,
language, and culture.

27. Design and implement education efforts tailored to specific communities and problems.
Increase the involvement of ethnic caucuses,  religious groups, the press, and legislative staff in
resolution of Environmental Justice issues.

28. Assure active participation of affected communities in the decisionmaking process for
outreach, education, training and communities programs ~ including representation on advisory
councils and review committees.

29. Encourage federal and state governments to "reinvent government" ~ overhaul the
bureaucratic in favor of community responsive.

30. Link environmental issues to local economic issues to increase level of interest.

31. Use local businesses for environmental cleanup or other related activities.

32. Utilize, as appropriate, historically Black Colleges and Universities (HBCU) and Minority

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                                                                               Revised 1/13/95
Institutes (MI), Hispanic Serving Colleges and Universities (HSCU) and Indian Centers to
network and form community links that they can provide.

33. Utilize, as appropriate, local expertise for technical and science reviews.

34. Previous to conducting the first agency meeting, form an agenda with the assistance of community
and agency representatives.

35. Provide  "open microphone"  format during meetings to allow community members to ask
questions and identify issues from the community.

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Bibliography:

"Interim report of the Federal Facilities Environmental Restoration Dialogue Committee,"
  February 1993, Environmental Protection Agency and the Keystone Center

"Community Relations in Superfund: A Handbook," January 1992, Environmental Protection
  Agency, Document # EPA-540-R-92-009 and # PB92-963341

DRAFT "Partnering Guide for DoD Environmental Missions," July 1994, Institute for Water
  Resources, U.S.A.C.E

"Improving Dialogue with Communities: A Short Guide for Government Risk
  Communications," September  1991, Environmental Communications Research Program,
  New Jersey Agriculture Experiment Station, Cook College, Rutgers University
OSD/DUSD/ES/OR/Ann Davlin/703/695-3329/28 September 94

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APPENDIX E - GUIDANCE FOR COMMUNITY ADVISORY GROUPS
            AT SUPERFUND

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             United States          Emergency and      OSWER Directive 9230.0-28
             Environmental Protection      Remedial Response    PB94-963293
             Agency            (5201G)        EPA540-K-96-001
                                       December 1995
&EPA      Guidance for Community
             Advisory Groups at
             Superfund Sites
                                     (JJX) Printed on Recycled Paper

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                                    Acknowledgments
The Community Advisory Group guidance is the product of the efforts of many people; individuals
from the following groups have participated in its review and development: EPA Regional Offices, EPA
OSWER Offices, OERR Environmental Justice Task Force, National Environmental Justice Advisory
Committee, Association of State and Territorial Solid Waste Management Officias and EPA's Office of
General Counsel. In particular, the Community Involvement Team (OERR), Linda Garczynski (OSWER),
Hale Hawbecker (OGC), Jane Lemke (Wl), Verne McFarland (R6), Marilu Martin (R5), Marcia Murphy
(CA), Murray Newton (OERR), Charles Openchowski (OGC), Sonya Pennock (R8), and Suzanne Wells
(OERR) each have made  valuable contributions to the development and quality of this guidance.

                                                    — Diana Hammer (OERR), Project Manager
                                          Notice
The policies set out in this memorandum are intended solely as guidance. They are not intended, nor
can they be relied upon, to create any rights enforceable by any party in litigation with the United
States. EPA officials may decide to follow the guidance provided in this memorandum, or to act at vari-
ance with the guidance, based on an analysis of specific site circumstances. The Agency also reserves
the right to change this guidance at any time without public notice.
                              For More Information on CAGs
Contact your Regional Community Involvement Manager or a staff member of the Community Involve-
ment and Outreach Center at EPA Headquarters. (See the list of contacts in Appendix E.)

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                                    Contents
                                                                               Page
I.  Background	I
2.  Community Advisory Group (CAG) Development	2
3.  CAG Startup	7
4.  CAG Membership	7
5.  CAG Member Training	 10
6.  Administrative Support for the CAG	 I I
7.  CAG Operations	 12
8.  CAG Response to Requests for Comments	 14
9.  EPA Response to CAG Comments	 15
10. Roles and Responsibilities	 15
I I. Appendices	19

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1.  Background
    >  Environmental Justice Task Force
    >  Purpose of this Guidance
    >  Selecting Sites
The United States Environmental Protection
Agency (EPA) is committed to involving the
public in the Superfund cleanup process.  In
fact, there are many examples throughout the
Superfund program where community involve-
ment has enhanced, rather than impeded the
Superfund cleanup decision-making process.
While recognizing that providing additional op-
portunities for community involvement may re-
quire additional time and slow the cleanup pro-
cess down initially, EPA believes this is time well
spent, and that early and effective community in-
volvement will actually save time in the long run.
EPA is committed to early, direct, and  meaning-
ful public involvement and provides numerous
opportunities for the public to participate in
site cleanup decisions. One  of these opportuni-
ties for community involvement, is the EPA's
Technical Assistance Grants (TAGs) program.
EPA awards TAGs to eligible community groups
so they can hire their own, independent Tech-
nica Advisor, enabling community members to
participate more effectively  in the decision-
making process at Superfund sites. For more
information on the TAG program, see the "Super-
fund Technical Assistance  Grants" quick reference
fact sheet (EPA 540-K-93-001; PB93-963301).
Community Advisory Groups  (CAGs) are an-
other mechanism designed to enhance com-
munity involvement in the Superfund process.
CAGs respond to a growing awareness within
EPA and throughout the Federal government
that particular populations who are at special
risk from environmenta threats—such as
minority and low-income populations—may
have been overlooked in  past efforts to en-
courage public participation.  CAGs are an ef-
fective mechanism to facilitate the participation
of community members, particularly those from
low-income and minority groups, in the deci-
sion-making process at Superfund sites.

1.1  Environmental Justice Task Force
The Office of Solid Waste and Emergency Re-
sponse (OSWER) Environmenta Justice (EJ)
Task Force was established in 1993 to analyze
environmental justice issues specific to waste
programs and develop recommendations to
address these issues. The EJ Task Force advised
that the creation of Community Advisory
Groups would enhance public involvement in
the Superfund cleanup process. Specifically in
its April 1994 report, titled OSWER Environ-
mental Justice Task Force Draft Final Report
(EPA 540-R-94-004), the Task Force recom-
mended implementing a program involving
CAGs at a minimum often  sites nationwide by
the end of FY94 and providing guidance to
support the CAG activities.

1.2  Purpose of this Guidance


As lead Agency at a Superfund  site, EPA has an
important role to play in encouraging the use
of Community Advisory Groups (see Section
10.3, under "Roles and Responsibilities"). This
guidance document is designed to assist EPA
staff [primarily Community Involvement Coor-
dinators (CICs) and Site Managers, such as Re-
medial  Project Managers, On-Scene Coordina-
tors, and Site Assessment Managers]  in working
with CAGs at Superfund sites (this includes re-
medial  and appropriate removal sites).

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This guidance addresses the objectives, func-
tions, membership, and scope of authority for
CAGs.  It emphasizes practical approaches and
activities, and is designed to be flexible enough
to meet the unique needs of individual local
communities. The guidance is based on the
Agency's experience in carrying out community
involvement activities pursuant to the National
Oil and Hazardous Substances Pollution Con-
tingency Plan (NCP), the Superfund Amend-
ments and Reauthorization Act of 1986
(SARA), and  policy documents issued by EPA
and other Federal agencies. It also draws on
concepts articulated in the President's Execu-
tive Order on Environmental Justice 12898,
EPA/OSWER's Environmental Justice Task
Force report, the "Restoration Advisory
Board Implementation Guidelines" developed
by the EPA and the Department of Defense
(9/94), and the "Interim Guidance for Imple-
menting Restoration Advisory Boards" draft-
ed by the California Environmental Protec-
tion Agency  (I 1/93).
This guidance provides a number of consider-
ations to assist Community Involvement Coor-
dinators (CICs) and Site Managers in working
with a successful CAG. CAGs need not con-
form to all aspects of this guidance. Conse-
quently, this guidance is intended to provide a
starting point or frame of reference to help
groups organize and begin meeting.  A CAG's
structure and operation, however, should re-
flect the unique needs of its community.

EPA will not establish or control CAGs; howev-
er, the Agency will assist interested communi-
ties in CAG activities.  Further, EPA anticipates
that the CAGs will serve primarily as a means
to foster interaction among interested mem-
bers of an affected community, to exchange
facts and information, and to express individual
views of CAG participants while attempting to
provide, if possible, consensus recommenda-
tions from the CAG to EPA.

1.3  Selecting Sites


While EPA is initially focusing the CAG concept
and guidance on Superfund sites with environ-
mental justice concerns, the methods and prin-
ciples are intended to be applied broadly and
to include other Superfund sites as well.  In
some cases, the sites selected for a CAG may
already have some form of community advisory
group and EPA could help formalize the group,
recognizing  it as being representative of the
community.  In other cases, sites may be select-
ed where a  community advisory group doesn't
yet exist, but where a CAG would be useful to
encourage full community participation in site
cleanup  activities.  See Section  2.2, "Determin-
ing the Need for a CAG" for more information
on appropriate sites for a CAG.
2.  Community Advisory Group
    (CAG)  Development
    >  CAG Scope of Authority
    >  Determining the Need for a CAG
    >  Preparation for the CAG
       Information Meeting
    >  CAG Information Meeting
Community Advisory Groups are important
tools for enhancing community involvement
in the Superfund process. Through CAGs,
EPA seeks to achieve direct, regular, and
meaningful consultation with all interested
parties throughout all stages of a response
action.

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2.1  CAG Scope of Authority
A CAG should serve as a public forum for rep-
resentatives of diverse community interests to
present and discuss their needs and concerns
related to the Superfund decision-making pro-
cess with appropriate Federal and State/Tribal/
local governments.  The CAG is designed as a
mechanism for all affected and interested par-
ties in a community to have a voice and actively
participate in the Superfund process.  However,
it is important to remember that the CAG is
not the only mechanism for community involve-
ment at a site; as the lead Agency, EPA continues
to have the obligation to inform and involve the
entire community through regular as well as inno-
vative community involvement activities.

EPA cannot, by law, abrogate  its responsibility
to make the final decisions at a site; however,
by providing the perspective of the local  com-
munity, the CAG can assist EPA in making bet-
ter decisions.  A CAG that is broadly represen-
tative of the affected community offers EPA a
unique opportunity to hear—and seriously
consider —community preferences for site
cleanup and remediation.  It is particularly im-
portant that in instances where an EPA decision
and/or response differs from a stated CAG
preference regarding site cleanup, EPA accepts
the responsibility of explaining its decision and/
or response to CAG members.
A CAG allows the Agency to exchange infor-
mation with members of the affected com-
munity and encourages CAG members to
discuss site issues and activities  among  them-
selves.  The CAG also can provide a public
service to the rest of the affected community
by representing the community in discussions
regarding the site and by relaying information
from these discussions back to the rest of the
community.  CAGs thus can be a valuable tool
for both the Agency and communities through-
out the cleanup process.

2.2  Determining the Need for a CAG


The CIC should consult with other site team
members (for example, the Site Manager and
Attorney) in selecting an appropriate site for a
CAG. The team may consider a number of
factors during the selection process, including:
Generally, what is the level of community inter-
est and concern about the site?
• Might that level of community interest and
  concern warrant a CAG?

• Has the community expressed an interest in
  forming a CAG?

• Does a group similar to a CAG exist?

• Do groups with competing agendas exist at
  the site?

• Are there any environmental justice issues or
  concerns regarding the site?

• What  is the history of community
  involvement at the site?

• What  is the likelihood of long-term cleanup
  activity at the site?

Depending on the status of the cleanup pro-
cess at the site, substantial information may ex-
ist about the community.  For example, if the
site is in  the  RI/FS phase, the Community Rela-
tions Plan, developed based on interviews with
community members, is a good information
source.
A community with a high level of interest and
concern about site activities should be a strong
candidate for a CAG. In addition, a site in the

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early stages of a long-term cleanup without an
existing community group may be a strong can-
didate site for an effective CAG. Communities
at removal sites, particularly non-time critical
removal sites, also may benefit from a CAG
(keeping in mind, however, the time necessary
to begin CAG operations when considering a
CAG for removal sites).
If a group exists which is representative of the
local community (for example, a local environ-
mental group that has been active at the site  or
a TAG  recipient group), a CAG may not be ap-
propriate—if the existing group can fulfill the
role of a CAG.  If competing groups exist at a
site, however, their disparate interests and
agendas can  undermine even the best efforts of
agencies, elected officials, and concerned citi-
zens to forge a CAG. This situation should be
given serious consideration in making the deci-
sion to promote CAGs  at such sites.

A CAG can  be formed at any point in the
cleanup process but may be most effective ear-
ly in the cleanup  process. Generally, the earlier
a CAG is formed, the more CAG members
can participate in and impact site activities and
cleanup decisions.

2.3 Preparation for the CAG Information
    Meeting


The CAG  Information Meeting is the setting for
introducing the CAG concept to the communi-
ty. Before the CAG Information Meeting, the
CIC may begin the process of informing and
educating the community about the purposes
of the CAG  and  opportunities for membership
and participation. This is especially important at
Superfund sites where the community may have
had relatively limited participation in the Super-
fund process. This section offers suggestions,
concerns, and methods that EPA (in conjunc-
tion with others such as State/Tribal/local gov-
ernments) may use to notify a community
about the formation of a CAG. These are not
the only options—techniques will necessarily
vary from site to  site and from community to
community.  In many instances, it may be useful
to target multiple newspapers as well as alter-
native media (for example, public service an-
nouncements on the radio, public access chan-
nels on cable television, free circulation news-
papers) to more  effectively reach out to com-
munities.  Other  outreach options include fly-
ers, announcements in local churches, etc. Re-
member also, that another important and effec-
tive method to "spread the word" about the
CAG  is through the personal relationships that
Agency representatives have established in the
community.  No matter what method or me-
dia is used, EPA (in  conjunction with others
such as State/Tribal/local governments) must
provide the information in a manner readily
understandable to community members.

2.3.1  Fact Sheet	
EPA (in conjunction with  others such as State/
Tribal/local governments) may prepare and dis-
tribute a  brief fact sheet describing the CAG
prior to the CAG Information Meeting.  A sam-
ple CAG fact sheet is included as Appendix A.
In preparing the fact sheet, EPA may consult
with the State/Tribal/local government. EPA
may wish to expand existing networks used in
distributing information about public involve-
ment  activities for the distribution of CAG-re-
lated fact sheets and other materials.

Community interviews conducted prior to de-
velopment of the Community Relations Plan
for the site, as well  as the plan  itself, are poten-
tial sources of information to identify effective
methods for distributing the CAG fact sheet.
                                             4

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Depending on the status of the response ac-
tion, the interviews and plan may not have
been completed for all sites. If this is the case,
EPA staff may conduct limited community inter-
views with local officials and community lead-
ers, making special effort to contact those lead-
ers with ties to the environmental justice and
other site-related concerns of the community.
For example, these sources could include
churches and  community organizations in mi-
nority and low-income neighborhoods.  This
will ensure that credible information sources
identified by members of the community are
used to supplement and reinforce direct mail-
ing of the fact sheet.  In addition,  copies of the
fact sheet should  be available in the information
repositories and at the CAG Information
Meeting.
The fact sheet is designed to describe the pur-
pose of the CAG and membership opportuni-
ties and delineate the role of CAG members.
If a significant  segment of the community is
non-English speaking or visually impaired,  EPA
(in conjunction with others such as State/Tribal/
local governments) should translate the fact
sheet for distribution to these members of the
community.

2.3.2  Public Notice	
EPA (in conjunction with others such as State/
Tribal/local governments) may prepare a public
notice or display ad to advertise the CAG In-
formation Meeting in general circulation news-
papers serving the affected communities
around the site. To ensure that all segments of
the affected population are notified, notices in
newspapers that serve low-income, minority,
and non-English speaking audiences in the com-
munity also should be considered.

The notice should be published approximately
two weeks in  advance of the CAG Information
Meeting and should include the following
information:
• Time and location of the meeting;

• CAG purpose and membership
  opportunities;

• The roles and responsibilities of CAG
  members;

• A statement that the meeting is open for
  public attendance and participation;

• Topics for consideration at the CAG
  Information Meeting; and

• Name and phone number of contact
  person(s) to obtain more information.

The public notice should appear in  a prominent
section of the newspapers, where it is likely to
be read by the majority  of community mem-
bers. A sample CAG public notice is included
as Appendix B.

2.3.3  News Release	
EPA personnel  (in conjunction with others
such as State/Tribal/local governments) may
prepare and distribute to the local media a
news release to explain  the purpose of the
CAG and announce the time and location of
the initial information meeting.  Depending on
local media coverage of Superfund  and other
environmental issues related to the site, it may
be appropriate to prepare a more extensive
media packet of information to update the
local media on  public involvement activities and
overall response plans and progress.

2.3.4  Agenda	
EPA, in consultation with the State/Tribal/lfl-
ea governments and residents, may develop
an initial agenda for the CAG Information
Meeting. The agenda should reflect  important

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community concerns raised in relation to the
Superfund response.  Again, the results of
community interviews conducted in the pro-
cess of developing Community Relations Plans
and other community involvement activities
may provide a source of information and back-
ground on community concerns. Demonstrat-
ing an awareness of and sensitivity to concerns
expressed by the community is an important
element in maximizing the potentia benefits of
CAGs.

2.4  CAG Information Meeting


EPA may sponsor the CAG Information Meet-
ing and may consult with the State/Tribal/local
government in its preparation.  EPA (in  conjunc-
tion with others such as State/Tribal/local gov-
ernments) should attempt to hold the  CAG In-
formation Meeting as early as possible  in the
cleanup process.

EPA personnel (and/or others such as State/
Tribal/local governments) may facilitate the
CAG  Information Meeting; however, for this
and subsequent meetings,  it may be preferable
to have someone from the community with fa-
cilitation experience or a professional meeting
facilitator serve as facilitator.  A neutral facilita-
tor is  particularly effective at sites where some
controversy is anticipated.  Facilitation may pro-
duce a better sense of fairness  and indepen-
dence, helping to ensure more productive
discussions.
The Information Meeting should serve  to intro-
duce the CAG concept to the  community. The
following topics may be appropriate to discuss
at the meeting:
• Purpose and overview of the CAG;

• Goal of representing diverse  community
  interests;
• Interface between the CAG and other
  community involvement activities;

• Membership opportunities;

• Suggested  member selection process and
  timetable;

• Examples of a CAG Mission Statement and
  operating procedures (including community
  leadership);

• Suggested  member responsibilities;

• Overview of site cleanup plans and  progress;
  and

• Open discussion/question and answer period.

The Information Meeting and subsequent CAG
meetings should be held in a centra location
and at a convenient time for community mem-
bers. In addition, EPA (and/or others  such as
State/Tribal/local governments) should consider
requirements of the Americans with Disabilities
Act (ADA) and the Rehabilitation Act of 1994
in choosing a location (for example, accessibility
by wheelchairs and  availability of signers and
readers, as necessary, to assist hearing and visu-
ally impaired participants).
Resources permitting, EPA (and/or others such
as the State/Tribal/local governments) may pro-
vide appropriate administrative and logistical
support for arranging the meeting and docu-
menting its proceedings.  Preparation  of a con-
cise and easy-to-read summary of the meeting
also should be considered. Such a summary will
help facilitate effective communication with lo-
cal community members. The summary should
be translated for interested members of the
community who are non-English speaking or
visually impaired. The summary should  be
made available for public review in the infor-
mation repositories and through other dis-
semination methods no later than one  month

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after the Information Meeting. Copies of the
summary also may be mailed to all communi-
ty members who attend the initial meeting
and to those who are on mailing lists used
for other community involvement activities
related to the site.
3.   CAG  Startup
The time period between the CAG Informa-
tion Meeting and the implementation of a fully
functional CAG may vary from site to site.  EPA
should encourage CAGs to be in full operation
within six months after the information meet-
ing, in order to maximize their effectiveness in
the Superfund cleanup decision-making pro-
cess.  There are several key activities that
should be completed during this time period to
ensure successful CAG operation.  These activ-
ities are described in the following sections.
4.   CAG  Membership
    >  Size of the CAG
    >  Membership Composition
    >  Roles and Responsibilities of CAG
       Members
    >  Membership Solicitation
    >  Membership Selection Models
4.1  Size of the CAG
The number of members in the CAG may vary
from site to site depending on the composition
and needs of the affected community. The
CAG should determine the size of its member-
ship; when doing so, the CAG should consider
the following factors:

• Diversity of the community;

• CAG workload; and

• Effective group discussion and decision-
  making (i.e., pros/cons of larger vs. smaller
  groups).

Federal Facility Environmenta Restoration Ad-
visory Boards, groups similar to CAGs, general-
ly average around 20 members. While it often
is difficult to ensure that everyone has an op-
portunity to participate and to achieve closure
on discussions in larger groups, the CAG
should be large enough to adequately reflect
the diversity of community interests  regarding
site cleanup and reuse.

4.2  Membership Composition


To the extent possible, membership  in the
CAG should reflect the composition of the
community near the site and the diversity of lo-
ca interests, including the racial, ethnic, and
economic diversity present in the community—
the CAG should be as inclusive as possible. At
least half of the members of the CAG should
be local  community members (sometimes
referred to as "near neighbors").

CAG membership should be drawn  from the
following groups:

• Residents or owners of residential  property
  near the site and those who may be affected
  directly by site re eases;

• Those who potentially may be affected by
  releases from the site, even if they do not live
  or own property near the site;

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• Local medical professionals practicing in the
  community;

• Native American tribes and communities;

• Representatives of minority and low-income
  groups;

• Citizens, environmental, or public interest
  group members living in the community;

• TAG recipients, if a TAG has been awarded at
  the site;

• Local government, including pertinent city or
  county governments, and governmental units
  that regulate land use in the vicinity of the site;

• Representatives of the local labor community;

• Faci ity owners  and other significant PRPs;

• The local business community; and

• Other local, interested individuals.

Clearly, persons with an obvious conflict of in-
terest at the site should not be members of the
CAG, e.g., remedy vendors,  lawyers  involved in
pending site litigation, non-local  representatives
of national groups, and others without a direct,
personal interest  in the site.
In order to prevent the PRP (or another inter-
est group) from dominating CAG discussions,
the community shall have the authority to limit
the number of these representatives or desig-
nate them as ex-officio members.

4.3  Roles and  Responsibilities of CAG
     Members
Generally, CAG members will be expected to
participate in CAG meetings, provide data and
information to EPA on site issues, and share
information with their fellow community mem-
bers.  EPA (along with State/Tribal/local govern-
ments, as appropriate) should help the CAG
clearly define and maintain these roles and re-
sponsibilities (see Section 10.2, under "Roles
and Responsibilities").

4.4  Membership Solicitation


For the CAG concept to be successful,  the mem-
bership of each CAG should reflect the diverse in-
terests of the community in which the  Superfund
site is located. It is also important that each
community have the lead role in determining
the membership appropriate for its CAG. This
will help encourage participation in and support
for the CAG. EPA should not select or ap-
prove/disapprove individual CAG  members  but
must certify that the CAG is representative of
the diverse interests of the community.
EPA, in coordination with the State/Tribal/lo-
cal governments, should inform the commu-
nity about the purposes of the CAG and
opportunities for membership and participa-
tion. This public outreach effort needs to be
tailored to the individual community in which
the CAG is to be formed. This is especially im-
portant at sites which are in the early stages
of the Superfund cleanup process, sites at
which opportunities for community participa-
tion have been limited, and/or sites where
there has been relatively little community or
media interest.

EPA (in coordination with others such as the
State/Tribal/local governments) should make
every effort to ensure that all individuals and
groups representing community interests are
informed about the CAG and the potential for
membership so that each has the opportunity
to participate in the CAG. For example, EPA

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may begin the public outreach effort regarding
CAG membership before the CAG Informa-
tion Meeting by distributing the CAG fact
sheet and  publishing public notices and news
releases.
Depending on the results of community-wide
efforts to solicit nominations for CAG mem-
bership, it  may be necessary to refine and fur-
ther focus efforts for specific groups. These ef-
forts may be reinforced with a letter to individ-
uas and groups representing diverse communi-
ty interests. A sample  letter regarding CAG
membership is included as Appendix C. CAG
information also can be mailed to those ex-
pressing interest generally in the site and/or
specifically in the CAG. CAG information a so
should  be  made available through the local in-
formation  repositories. The information also
may be reformatted and posted in other visible
locations such as information kiosks and com-
munity centers.
If there is not enough community interest to
form a  CAG after all solicitation efforts have
been exhausted, EPA (in conjunction with
others such as State/Tribal/local governments)
may issue a public notice  through all available
outlets  to announce that  efforts to form a
CAG have been unsuccessful. A sample of
such a public notice is included as Appendix D.

4.5  Membership Selection Models


The selection of CAG  members should be ac-
complished in a fair and open manner in order
to maintain the  level of trust needed for suc-
cessful  CAG operation. The members of the
CAG should reflect the composition of the
community and represent the diversity of local
interests. In designing the method for develop-
ing a CAG that is most appropriate for the
affected community, it may be useful for EPA
(in conjunction with others such as State/Tribal/
local governments) to offer some type of
facilitation.
The following Membership Selection models
are examples that may be used and adapted to
best meet the particular needs of a community.
Of course, each community is unique and no
one model will work in all instances;  in fact, it
may be appropriate to develop an entirely dif-
ferent model for selecting CAG  members.
Similarly, formal membership selection models,
such as those described in this section, may not
always  be necessary. For example, selecting a
group may be as simple as widely advertising
the opportunity to join the CAG and then rec-
ognizing the CAG as consisting of the respon-
dents.  The key is that the CAG represent the
interests of the community and that the CAG
be able to function as a group.  The exact se-
lection  process is secondary, as long as the pro-
cess is fair and open.

4.5.1 Screening Panel Model
Under this model, EPA, consulting with and in-
volving the State/Tribal/local government,
could assist the community in organizing a
short-term Screening Panel to review nomina-
tions for membership on the CAG prior to final
member selection.  After the opportunity to
form a  CAG has been  announced, the local
community should identify (using a fair and
open manner) CAG members who represent
the diverse interests of the community. The
panel should, to the extent practical, reflect the
diversity of interests in the community since the
panel would  be expected to choose CAG
members who are equally representative. The
panel may select a chairperson from among its
members.

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The Screening  panel should consider establish-
ing and publicizing the following:

• Procedures for nominating members for the
  CAG, including the way members of the
  community can nominate themselves to be
  CAG members (panel members also may
  nominate themselves to be CAG members.);

• The process for screening nominations and
  making recommendations for membership;

• The criteria to be used in screening
  nominations and determining membership
  recommendations; and

• A ist of any recommended nominees for
  membership on the CAG.

The Screening Panel Chairperson may forward
the panel's recommended  list of nominees to
the appropriate EPA Regional Administrator for
review and comment (not for approval/disap-
proval of individuals) with regard to its ability to
represent the interests of the community.

4.5.2  Existing Group Model	
Under this model, an existing group in the
community—such as a group with a history of
involvement at the Superfund site—may be se-
lected as the CAG for that community, if, in
fact, it does represent the diverse interests in
the community.  If the group does not appear
representative of the community, EPA may ask
the group to expand its membership to include
any community interests not represented.

4.5.3  Core Group Model	

Under this model, EPA, consulting with and in-
volving the State/Tribal/local governments,
could  select a Core Group that represents the
diverse interests of the community. EPA (in
conjunction with others such as State/Tribal/lo-
cal governments) may remind the community
that a person may nominate himself or herself
through the application process. For example,
members of the Core Group could include
seven members representing the following in-
terests: two local residents, local government,
environmental, civic, labor, and  business. The
members of this Core Group then would se-
lect the remaining members of the CAG in a
fair and open manner.

4.5.4  Self-Selecting Group Model	
Under this model, after EPA  (in conjunction
with others such as State/Tribal/local govern-
ments) announces the opportunity to form a
CAG, the local community identifies (in a fair
and open manner) CAG members who they
believe represent the diverse interests of their
community. Realistically, it may take some
communities a significant amount of time to ful-
ly select the CAG members.

4.5.5  Local Government Group Model	
Under this model, the local government would
select, in a fair and open manner, members of
the community to serve on the CAG. This
model may be  appropriate at sites where a
positive working relationship and established
communication channels exist between the
local government and the community.
5.   CAG Member Training
Many of those selected as members of the
CAG may require some initial training to en-
able them to perform their duties.  EPA may
work with the State/Tribal agencies, the local
government(s), local universities, the PRP(s),
and others, to provide training and prepare

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briefing materials for CAG members. EPA also
may work with these organizations and appro-
priate local groups to develop a method for
quickly informing and educating new CAG
members about cleanup issues, plans, and
progress. Every effort should be made to tailor
the training to the specific needs of the CAG
members. For example, some CAG members
may require more extensive training than oth-
ers; similarly, some may need training materials
in alternative formats, such as in a  language oth-
er than English.  It is extremely important for
the success of the CAG process that all mem-
bers have an adequate opportunity to under-
stand the Superfund  process and the cleanup
issues related to their respective sites.  It also is
important that the CAG function as  a group,
meaning some  CAGs may need training on
how to function effectively as a group.
Training may be accomplished at regular CAG
meetings and/or through activities  such as the
following:

• Formal training sessions;

• Briefing books, fact sheets, and maps; and

• Site tours.

Every effort should be made to  provide CAG
members with appropriate and necessary train-
ing, subject to available resources.

Technica  staff from local, State/Tribal, and Fed-
era agencies involved in site cleanup may at-
tend CAG meetings. They may serve as tech-
nical resources  and provide information about
their respective areas of expertise  to CAG
members.
6. Administrative Support for
    the CAG
EPA, together with State/Tribal governments,
the local government(s), local universities, the
PRP(s), and others may assist the CAG with
administrative support on issues relevant to the
Superfund site cleanup and decision-making
process.

Resources permitting, EPA also may expand ex-
isting site contractor support work assignments,
for example, to provide administrative support
and translate documents with EPA staff
oversight.
Administrative support for the CAG may in-
clude the following:

• Arranging for meeting space in a central
  location;

• Preparing and distributing meeting notices
  and agenda;

• Taking notes during meetings and preparing
  meeting summaries;

• Duplicating site-related documents for CAG
  review;

• Duplicating and distributing CAG review
  comments, fact sheets, and other materia s;

• Providing mailing services and  postage;

• Preparing and placing public notices in local
  newspapers;

• Maintaining CAG mailing lists;

• Translating or interpreting outreach materials
  and CAG meetings in cases where there is a

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  significant non-Engish speaking portion of the
  community; and

• Faci itating CAG meetings and special-focus
  sessions, if requested by the CAG.

After CAG members have been selected, EPA,
in coordination with the State/Tribal agencies
and the local government, may assist the CAG
in developing a news release or fact sheet an-
nouncing the startup of the  CAG and providing
the names of CAG members. The news re-
lease or fact sheet also can be used as a vehicle
for publicly thanking all members of the com-
munity who expressed an interest in CAG  par-
ticipation, encouraging their continued involve-
ment through attendance at CAG meetings,
and announcing the first CAG meeting.
7.  CAG Operations
    >  Chairperson
    >  Mission Statement and Operating
       Procedures
    >  Meetings
7.1  Chairperson


CAG members may select a Chairperson from
within their ranks and determine an appropri-
ate term of office. It may be useful to advise
that the Chairperson be committed to the
CAG and willing to serve for an extended
period of time (e.g., two years) to ensure conti-
nuity. Members have the right  and responsibility
to replace the Chairperson as  they believe nec-
essary.  The processes for selecting and dismiss-
ing a Chairperson should be detailed in the
CAG's operating procedures.
7.2  Mission Statement and Operating
     Procedures


Each CAG should develop a Mission Statement
describing the CAG's specific purpose, scope,
goals, and objectives. The mission statement
and subsequent CAG activities should focus
on actions related to Superfund site issues con-
sistent with the purpose of a CAG.

Each CAG should develop its own letterhead.
Each CAG also should develop a set of proce-
dures to guide day-to-day operations.  Topics
to be addressed in these operating procedures
include the following:
• How to fill membership vacancies;

• How often to hold meetings;

• The process for reviewing and commenting
  on documents and other materias;

• How to notify the community of CAG
  meetings;

• How the public can participate in and pose
  questions during CAG meetings; and

• How to determine when the CAG has
  fulfilled  its role and how it will disband.

7.3  Meetings
All CAG meetings should be open to the
public.  The meetings should be announced
publicly (via display ads in newspapers, flyers,
etc.) well enough in advance (e.g., two weeks)
to encourage maximum participation of  CAG
and community members.

EPA personnel (and/or others such as State/
Tribal/local governments) may facilitate CAG
meetings, however, it may be preferable  to use

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someone from the community with facilitation
experience or a professiona meeting faci itator.
A neutral facilitator is particularly effective at
sites where some controversy is anticipated. Fa-
cilitation may produce a better sense of fairness
and independence, helping to ensure more
productive discussions. If a facilitator is regular-
ly used during CAG  meetings, it may  be helpful
to further clarify both the Chairperson's and fa-
cilitator's roles to avoid direct conflict between
the facilitator and Chairperson.
The intent of the CAG is to ensure ongoing
community involvement in Superfund response
actions.  As such, regular attendance at CAG
meetings by all CAG members should be antic-
ipated. Even though they are not CAG mem-
bers, the EPA Site Manager and the CIC may
attend meetings and encourage representatives
of other pertinent Federal agencies and  State/
Tribal/local governments to attend meetings as
well. Governmental attendees should not be so
numerous, however, as to inhibit meeting dis-
cussions.  Consistent attendance, however, can
demonstrate commitment to meaningful  public
participation in the cleanup process.

7.3.1  Meeting Frequency
CAG  meetings should be scheduled on  a regu-
lar basis.  CAG members should determine the
frequency of CAG meetings based on the
needs at their particular site. Meetings should
be held often enough to  allow the CAG to re-
spond to site issues within specified timeframes
and allow for timely  communication of CAG
actions and site activities to the rest of the
community. Frequency of meetings should be
covered in the CAG's operating procedures.

7.3.2  Location	
The CAG meetings should be held in a  location
agreed upon by CAG members.  It is useful to
consider a location convenient to CAG mem-
bers, as well as central enough to encourage at-
tendance by other interested members of the
community. Meeting spaces such as local librar-
ies, high schools, and senior centers may be ac-
ceptable locations. The location should meet
requirements  of the Americans with Disabilities
Act and the Rehabilitation Act of 1994 (for ex-
ample, accessibility for those in wheelchairs).

7.3.3  Meeting Format	
The format for CAG  meetings may vary de-
pending on the needs of the CAG. A basic
meeting format might include:
• Review of "old" business;

• Status update by the project technical staff
  and CAG member discussion;

• Discussion and question/answer session
  involving members of the public in
  attendance;

• Summary and discussion of "action  items" for
  the  CAG; and

• Discussion of the next meeting's agenda.

Prior to announcing each meeting, CAG mem-
bers may wish to agree upon the meeting's
purpose, agenda, and format. If necessary,  ar-
rangements should be made to provide a trans-
lator or interpreter and/or facilitator.  EPA (in
conjunction with  others such as State/Tribal/
local governments) may assist the CAG in mak-
ing appropriate arrangements.

7.3.4  Special-Focus Sessions	
The CAG also may consider holding special-fo-
cus sessions from time to time. These meetings
would focus on a single topic and provide an
opportunity for the CAG to solicit input, dis-
cuss, or gather information  on a specific issue

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requiring attention.  If an expert cannot attend
a special-focus session—travel and attendance
in person may not always be possible—it may
be useful for the CAG to schedule a confer-
ence call with that expert to discuss a particular
issue.  EPA (in conjunction with others such as
State/Tribal/local governments) may provide
support for special-focus sessions on issues rel-
evant to the Superfund site cleanup and deci-
sion-making process.

7.3.5  Meeting Documentation
The CAG should prepare a concise summary
of each meeting, highlighting the topics dis-
cussed, agreements  reached, and  action  items
identified. EPA and others such as the State/
Tribal/local governments may provide support
for this effort.  The CAG may want to consider
preparing a summary, rather than  a verbatim
transcript, to facilitate effective communication
with local communities.  If a significant segment
of the affected population is non-English-speak-
ing or visually impaired, they also should trans-
late the  summary, as appropriate,  for these
members of the community.

The meeting summary should be  available for
public review in the information repositories
and through other dissemination methods
within one month of the meeting. Copies of
the summary a so may be mailed to all
community members who attended the meet-
ing and to those who are on the CAG mailing
list.  If the CAG mailing list is larger than EPA's
site mailing list, EPA  may expand its mailing list
to include interested community members
from the CAG list.
8.  CAG Response to Requests
    for Comments
EPA (in conjunction with others such as State/
Tribal/local governments) should ma
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should choose, on a case-by-case basis, the
most appropriate mechanism to ensure that
comments are provided within specified time-
frames. One option available for the CAG to
gather input from its constituents is by holding
a special-focus meeting. To assist  in the process,
EPA (in conjunction with others such as State/
Tribal/local governments) should prepare exec-
utive summaries in plain language describing the
document and its key points.
9.  EPA Response to  Comments
    from the CAG
Since EPA representatives may attend CAG
meetings regularly, EPA may have the opportu-
nity to respond to many CAG comments on
key documents and other issues in the context
of meeting discussions.  These responses
should be documented as part of the inter-
change during the CAG meeting and, unless
otherwise stated, should not be considered
part of the formal Agency "Response to Com-
ments" (as required under Sections  I 13 and
I  17 of CERCLA and 40 CFR 300 of the Na-
tional Contingency Plan).  EPA should recognize
the nature of the comments (whether state-
ments of individual preferences or statements
supported  by all CAG members), and give the
comments corresponding weight for consider-
ation.  In cases where there are numerous
comments to address in a meeting context,
EPA may respond to them in writing.
10.  Roles and Responsibilities
      >  CAG Chairperson
      >  CAG Members
      >  EPA (as Lead Agency)
      >  State/Tribal Regulatory Agency
      >  CAG - TAG Interface
EPA is committed to early, direct, and meaning-
ful public involvement. Through CAGs, com-
munity members have a direct line of commu-
nication with EPA (as well as with the State/
Tribal/local governments, depending on their
level of involvement) and many opportunities
for expressing their opinions.  As a representa-
tive public forum, CAG members are able to
voice their views on cleanup issues and play an
important role in cleanup decisions. This is es-
pecially important before key points in the
cleanup process.  For example, CAG members
may express preferences for the type of reme-
dy, cleanup levels, future land  use, and interac-
tion with the regulatory agencies.  Since the
CAG, by definition, is intended to  be represen-
tative of the affected community, the regulatory
agencies will give substantial weight to the pref-
erences expressed by CAG members. This is
particularly important if the preferences reflect
the position of most CAG members or repre-
sent a consensus from the CAG. EPA must not
only listen to views expressed by CAG mem-
bers but address their views when making site
decisions.
EPA, the State/Tribal/local governments, the
CAG Chairperson, and CAG  members each
have an important role to play in the develop-
ment and operation of the CAG and in con-
tributing to its effectiveness as a forum for
meaningful public participation in Superfund re-
sponse actions.

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The following 1st, while not comprehensive, in-
cludes some of the key functions of each
player.

10.1  CAG Chairperson
I.  Prepare and distribute an agenda prior to
   each CAG meeting.

2.  Ensure that CAG meetings are conducted in
   a manner that encourages open and
   constructive participation by all members
   and invites participation by other interested
   parties in the community.

3.  Ensure that all pertinent community issues
   and concerns related to the Superfund site
   response are raised for consideration and
   discussion.

4.  Attempt, whenever possible, to reach
   consensus among CAG members by
   providing  official comments or stating
   positions on relevant issues and key
   documents.

5.  Facilitate dissemination of information on
   key issues to the community.

10.2  CAG Members
   Serve as a direct and re iable conduit for
   information flow to and from the
   community. CAG members have a
   responsibility to share information with
   other members of the affected
   community—the people they represent.
   Their names should  be publicized widely
   within the local community to ensure that
   community members and interest groups
   have ready access to CAG members. If
   CAG members do not wish to have their
   phone numbers  isted publicly, an alternative
   contact system should be explored to
   ensure that the community has access to
   CAG members.

2.  Represent not only their own personal
   views, but a so the views of other
   community members while serving on the
   CAG. CAG members should honestly and
   fairly present information they receive from
   members of the community; tentative
   conclusions should be identified properly as
   such.

3.  Review information concerning site cleanup
   plans, including technical documents,
   proposed and  final plans, status reports, and
   consultants' reports and provide comments
   and  other input at CAG meetings and other
   specia-focus meetings.

4.  Play an  important role at key points in the
   cleanup decision-making process by
   expressing individual community preferences
   on site issues.

5.  Attempt, whenever possible, to achieve
   consensus with their fellow members before
   providing officia comments or stating
   positions on relevant issues and key
   documents.

6.  Assist the Chairperson in disseminating
   information on key issues to the community.

7.  Attend  all CAG meetings.

8.  Be committed  to the CAG and willing to
   serve for an extended period of time (e.g.,
   two years). Terms may be staggered  for
   continuity.

9.  Serve voluntarily and  without compensation.

10.3 EPA (as Lead Agency)
   Provide information on the opportunity to
   form the CAG.

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2.  Attend CAG meetings to provide
   information and technical expertise on
   Superfund  site cleanup.

3.  Facilitate discussion of issues and concerns
   relative to Superfund actions.

4.  Listen and  respond to views expressed by
   CAG members, giving them substantial
   consideration when making site decisions,
   especially when views are those of most or
   all CAG members.

5.  Work with others, as appropriate, to
   support and participate in training to be
   provided to CAG members.

6.  Assist the CAG with administrative and
   logistical support and meeting facilities.

10.4 State/Tribal Regulatory Agency


I.  Attend all CAG meetings.

2.  Serve as an information referral and
   resource bank for the CAG on State- or
   Tribal-related issues.

3.  Support training to be provided to CAG
   members.

4.  If the lead agency, assume responsibilities
   under Section 10.3.

10.5 CAG - TAG Interface
representative of the TAG group to be a
member of the CAG. The Regions also should
encourage the TAG and CAG to work togeth-
er toward common goals with respect to site
remediation.
If no TAG currently exists for this site, commu-
nity members are still eligible and are encour-
aged to apply for a TAG. Having a CAG at a site
in no way precludes an eligible group at that
same site from receiving a TAG.
TAG recipients can use their TAG funds to hire
their own independent Technical Advisor to
help them better understand and more effec-
tively participate in the decision-making process
at Superfund sites.
If a TAG has been awarded to a community
group for work at this particular site  (with
the CAG), the Region should encourage a

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  Points to Keep in Mind Regarding Community Advisory Groups






• Consult with and involve appropriate State and Tribal Governments.



• Consult with and involve appropriate local governments.



• Involve communities EARLY in the Superfund process.



• Maintain open communication channels.



• Share information.



• Be sincere.

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11. Appendices

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                              APPENDIX A: Fact Sheet
  COMMUNITY ADVISORY GROUP (CAG)

                 (Name and Location of Site)

The U.S. Environmental Protection Agency (EPA) believes it may be useful for the com-
munity (communities) of (name of community or communities affected) to establish a Community
Advisory Group (CAG) to ensure that all segments of the community have an opportunity to partici-
pate in the decision-making process at (name of the site).
The Superfund program under the Comprehensive Environmental Response, Compensation,
and Liability Act (CERCLA) covers the cleanup of sites involving the improper disposal of hazard-
ous substances throughout the country. Community involvement is an important element of the Su-
perfund process, and EPA encourages it. EPA's comprehensive Community Involvement Program
for (name of the site) began in (date). (Provide a brief description of accomplishments of the  Com-
munity Involvement Program at this site, if possible.)

EPA, in cooperation with (name of the State/Tribal Regulatory Agency and any other parties to the
cleanup agreement)., has begun work to cleanup (name of the site).
(Provide a brief description of the site and the cleanup-related activities to date.)

A Community Advisory Group (CAG) provides a setting in which representatives of the
local community can get up-to-date information about the status of cleanup activities, as well as dis-
cuss community views and concerns about the cleanup process with EPA, the State/Tribal regulato-
ry agency, and other parties involved in cleanup of the Superfund site. The CAG is a public  forum
in which all affected and interested parties in a community can have a voice and actively par-
ticipate in the Superfund process.
Getting Involved.  CAGs are made up of members of the community. CAG membership is
voluntary and members should be willing to serve two-year terms. CAG members will meet regu-
larly and review and comment on technical documents and plans related to the environmental stud-
ies and cleanup activities at (name of site).  Members will help EPA and the community exchange
information about site activities and community concerns.  CAG members will meet with individu-
als and groups in the community  to obtain their views and hear their concerns related to site clean-
up. All CAG meetings will be open to the public. CAG members will be chosen from among
nominations submitted by individuals and groups in the community. (May provide more details
about the specific membership selection model here.) The deadline for membership application
is (date).
For More Information Contact:  (local contact name, address, and telephone number).

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                           APPENDIX B: Public Notice #1
               (Name and Location of Site)
 Formation  of  Community Advisory Group
The U.S. Environmental Protection Agency (EPA) believes it may be useful for the com-
munity (communities) of (name of community or communities affected) to establish a Community
Advisory Group (CAG) to ensure that all segments of the community have an opportunity to partici-
pate in the decision-making process at (name of the site).

The Superfund program involves cleaning up hazardous waste sites throughout the country.
EPA encourages community involvement and considers it to be an important element of the Super-
fund process.
The CAG will provide a setting in which representatives of the local community can get up-to-date
information about the status of cleanup activities, as well as discuss community views and concerns
about the cleanup process with EPA, the State regulatory agency, and other parties involved in clean-
up of the site  The CAG will be a public forum in which all affected and interested parties in a
community can have a voice and actively participate in the Superfund process.

EPA will sponsor a meeting on (date) at (time) to discuss the purpose of the CAG, provide
information on how CAG members should be chosen, and answer questions concerning cleanup
plans and activities at the site.  (Provide a brief description of specific site-related issues to be dis-
cussed.)  The meeting will be held at (meeting location address).
The CAG will be made up of members of the community.  CAG membership is volun-
tary and members serve without compensation.  Members should be willing to serve two-year terms.
The CAG will meet regularly to review and comment on technical documents and plans related to
the environmental studies and cleanup activities at (name of site) and to relay community views and
concerns related to the site. All CAG meetings will be open to the public, and all members of the
community are encouraged to participate.
For more information about the CAG, contact: (local contact name, address, and tele-
phone number).
                                       23

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                             APPENDIX C: Sample CAG Letter
Dear (name of Community Member/Organization):


    The community (communities) of (name of community or communities affected) is establishing a
Community Advisory Group (CAG) to ensure that all segments of the community have an opportu-
nity to participate in the decision-making process at (name of the site).
    The Superfund program involves cleaning up hazardous waste sites throughout the country. EPA
encourages community involvement—an important element of the Superfund process.

    The CAG will provide a setting in which representatives of the local community can get up-to-
date information about the status of cleanup activities, as well as discuss community views and con-
cerns about the cleanup process with EPA, the State/Tribal regulatory agency, and other parties in-
volved in cleanup of the site.
    The CAG will be made up of members of the  community, and members should reflect the di-
verse interests in the community. CAG membership is voluntary and members serve without com-
pensation. Members should be willing to serve two-year terms. The CAG will meet regularly to re-
view and comment on technical documents and plans related to the environmental studies and clean-
up activities at (name  of site) and to relay information between EPA and the community about the
ongoing activities at the site. They will be expected to meet often with individuals and groups in the
community to obtain their views and hear their concerns related to site cleanup issues.
    CAG membership offers an outstanding opportunity to represent the community and help ensure
the most effective remediation of the (name of site).

    If you have any questions about CAGs, please call	at 	.


                                        Sincerely,
                                        (name of EPA Regional CIC
                                        and, if possible, a local community leader)
Enclosure
                                            25

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                          APPENDIX D:  Public Notice #2
                 (Name  and Location of Site)
          Insufficient Community Interest for
          Community Advisory Board (CAG)
The U.S. Environmental Protection Agency (EPA) believed it would be useful for the
community (or communities) of (name of community or communities affected) to establish a Com-
munity Advisory Group (CAG) to ensure that all segments of the community have an opportunity to
participate in the decision-making process at (name of the site).

The CAG would provide a setting in which representatives of the local community could get up-to-
date information about the status of cleanup activities, as well as discuss community views and con-
cerns about the cleanup process with EPA, the State/Tribal regulatory agency, and other parties in-
volved in cleanup of the site.  The CAG would be a public forum in which all affected and inter-
ested parties in a community would have a voice and could participate actively in the Super-
fund process.

Efforts to encourage members of the community to serve as CAG members began on (date). These
efforts included direct communication with individuals and organizations in the community (be spe-
cific in terms of the outreach effort) as well as a public meeting in which the purpose of the CAG
and the roles and responsibilities of CAG members were discussed.
Despite these efforts, members of the community have not expressed enough interest so far to ensure
full participation by all segments of the community. Since these efforts to stimulate interest in a
CAG in (name of community), have not been successful, EPA will not continue to encourage a CAG
to form at (name of site).  If in the future, community members express an interest in forming a
CAG, EPA may reconsider this decision.

If You Have Any Questions Contact: (local contact name, address, and telephone number).
                                       27

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           APPENDIX E: List of Community Involvement Managers Nationwide
Region I  CT. ME. MA. NH. Rl. VT
US EPA - Region I (RPS-74)
John F Kennedy Federal Bldg.
Boston, MA 02203-0001
I -888 EPA-REGI (I -888-372-7341 )*
617-565-4592

Region 2  NJ. NY. Puerto Rico. & Virgin Islands
US EPA - Region 2 (26-OEP)
290 Broadway, 26th  Floor
New York, NY  10007
212-637-3673

Region 3  DE. DC. MD. PA. VA. VW
US EPA-Region 3 (3 HS43)
I 650 Arch Street
Philadelphia, PA 19103-2029
1-800-553-2509*
215-814-5131

Region 4  AL FL  GA. MS. KY. NC. SC. TN
US EPA - Region 4
Waste Management  Division
Atlanta Federal Center
61  Forsyth Street,  SW
Atlanta, GA 30303
AL, FL, GA, MS: 1-800-435-9234
KY NC, SC, TN: 1-800-435-9233

Region 5  IL  IN. Ml. MN. OH. Wl
US EPA - Region 5 (PS 19-J)
Metcalfe Federal Bldg.- 19th floor
77W.Jackson Blvd.
Chicago, IL 60604-3507
I-800-621-8431 *
312-353-2072
Region 6  AR. LA. MN. OK. TX
US EPA - Region 6 (6 SF-P)
Wells Fargo Bank
1445 RossAve., Suite 1200
Dallas, TX 75202-2733
1-800-533-3508*
214-665-8157

Region 7  IA. KS. MO. NE
US EPA - Region 7
726 Minnesota Ave.
Kansas City, KS  66101
I -800-223-0425*
913-551-7003

Region 8  CO. MT. ND. SD. UT. WY
US EPA-Region 8 (8-OC)
Office of Communications
999 18th St.,  Suite 500
Denver, CO  80202-2466
1-800-227-8917*
303-312-6312

Region 9  AZ. CA. HI. NV & U.S. Territories
US EPA - Region 9 (SFD-3)
Office of Community Relations
75 Hawthorne Street
San Francisco, CA 94105
I -800-231-3075*

Region I OAK. ID. OR. WA
US EPA-Region 10 (ECO-081)
Community Relations & Outreach Unit
1200 6th Ave.
Seattle, WA 98101
I -800-424-4372*
206-553-1272
                                         29

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Headquarters
Community Involvement and Outreach Center
Office of Emergency and Remedial Response
USEPA(5204G)
401 MSt.,SW
Washington DC 20460
Suzanne Wells
703-603-8863
Leslie Leahy
703-603-9929
*800 & 888 numbers only work within the
Region
                                         30

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APPENDIX F - PUBLIC PARTICIPATION REGULATIONS IN 40 CFR 25

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PART  1—STATEMENT  OF  ORGANI-
   ZATION  AND  GENERAL   INFOR-
   MATION

           Subpart A—Introduction

Sec.
1.1   Creation and authority.
1.3   Purpose and functions.
1.5   Organization and general information.
1.7   Location of principal offices.

          Subpart B—Headquarters

1.21  General.
1.23  Office of the Administrator.
1.25  Staff Offices.
1.27  Offices of the Associate Administrators.
1.29  Office of Inspector General.
1.31  Office of General Counsel.
1.33  Office of Administration and Resources Manage-
    ment.
1.35  Office of Enforcement and Compliance Monitor-
    ing.
1.37  Office of External Affairs.
1.39  Office of Policy, Planning and Evaluation.
1.41  Office of Air and Radiation.
1.43  Office of Prevention, Pesticides and Toxic Sub-
    stances.
1.45  Office of Research and Development.
1.47  Office of Solid Waste and Emergency Response.
1.49  Office of Water.

        Subpart C—Field  Installations

1.61  Regional Offices.
  AUTHORITY:  5 U.S.C. 552.
  SOURCE:  50 FR 26721, June 28,  1985, unless otherwise
noted.

       Subpart  A—Introduction

§ 1.1  Creation and authority.
  Reorganization  Plan 3 of 1970, established the
U.S. Environmental  Protection Agency (EPA) in
the  Executive branch as an independent Agency,
effective December  2, 1970.

§ 1.3  Purpose and  functions.
  The  U.S. Environmental Protection Agency per-
mits coordinated and effective governmental action
to assure  the protection of the  environment by
abating and controlling pollution on a systematic
basis. Reorganization Plan 3 of 1970 transferred to
EPA a variety of research, monitoring, standard
setting, and enforcement activities related to pollu-
tion  abatement and control to provide for the treat-
ment of the  environment  as a single interrelated
system. Complementary to  these activities are the
Agency's coordination and support of research and
antipollution  activities  carried  out by  State  and
local governments, private and public groups,  indi-
viduals,  and educational  institutions.  EPA rein-
forces  efforts among  other Federal agencies with
respect to the impact of their operations on the en-
vironment.

§1.5  Organization  and  general infor-
     mation.
  (a) The U.S. Environmental Protection Agency's
basic organization consists of Headquarters and 10
Regional Offices. EPA Headquarters in Washing-
ton,  DC maintains  overall planning, coordination
and control  of EPA programs. Regional Adminis-
trators  head the  Regional  Offices and  are respon-
sible directly to the Administrator for the execu-
tion  of the Agency's  programs within  the bound-
aries of their Regions.
  (b) EPA's Directives System contains definitive
statements of EPA's organization,  policies, proce-
dures,  assignments  of responsibility, and delega-
tions of authority. Copies are  available for public
inspection and  copying at the  Management  and
Organization Division, 401 M Street SW., Wash-
ington,  DC  20460. Information can be  obtained
from the Office of Public Affairs  at all  Regional
Offices.
  (c) EPA conducts procurement  pursuant to  the
Federal Property and  Administrative Services Act,
the  Federal  Procurement Regulations,  and imple-
menting EPA regulations.

§ 1.7  Location of principal offices.
  (a) The  EPA  Headquarters is  in Washington,
DC.  The  mailing  address is  401  M  Street SW.,
Washington, DC 20460.
  (b) The addresss of (and  States served by)  the
EPA Regional Offices (see § 1.61) are:
  (1)  Region  I, U.S.  Environmental Protection
Agency,  room  2203,  John  F.  Kennedy Federal
Building,   Boston,   MA   02203.  (Connecticut,
Maine, Massachusetts, New Hampshire, Rhode Is-
land, and Vermont.)
  (2) Region  II, U.S.  Environmental Protection
Agency,  Room  900, 26 Federal Plaza,  New  York,
NY  10278. (New Jersey, New York, Puerto Rico,
and the Virgin Islands.)
  (3) Region  III, U.S.  Environmental Protection
Agency,  841  Chestnut Street,  Philadelphia,  PA
19107.  (Delaware,  Maryland,  Pennsylvania, Vir-
ginia, West  Virginia,  and the District  of Colum-
bia.)
  (4) Region IV, U.S. Environmental Protection
Agency,  345 Courtland Street NE.,  Atlanta,  GA
30365.  (Alabama,  Florida,  Georgia,  Kentucky,
Mississippi,  North  Carolina,  South Carolina,  and
Tennessee.)
  (5) Region  V,  U.S.  Environmental Protection
Agency,  77  West Jackson Boulevard, Chicago, IL
60604.  (Illinois,  Indiana,  Michigan,  Minnesota,
Ohio and Wisconsin.)
                                                1

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§1.21
  (6) Region VI, U.S. Environmental Protection
Agency,  1201 Elm Street, Dallas, TX 75270. (Ar-
kansas,  Louisiana,  New Mexico,  Oklahoma,  and
Texas.)
  (7) Region VII,  U.S. Environmental Protection
Agency,  726 Minnesota Avenue, Kansas City, KS
66101. (Iowa, Kansas, Missouri, and Nebraska.)
  (8) Region VIII, U.S. Environmental Protection
Agency,  999 18th street, One Denver Place, Den-
ver,  CO 80202.  (Colorado,  Montana, North  Da-
kota, South Dakota, Utah,  and Wyoming.)
  (9) Region IX, U.S. Environmental Protection
Agency,  215  Fremont Street, San  Francisco,  CA
94105.   (Arizona,  California, Hawaii,   Nevada,
American Samoa, Trust Territories of the Pacific
Islands,   Guam,  Wake Islands, and the  Northern
Marianas.)
  (10) Region X, U.S. Environmental Protection
Agency,  1200 Sixth Avenue,  Seattle, WA 98101.
(Alaska,  Idaho, Oregon, and Washington.)
[50 FR 26721, June 28, 1985, as amended at 62 FR 1833,
Jan. 14, 1997]

      Sub pa it B—Headquarters

§1.21   General.
  EPA Headquarters is comprised of:
  (a) The Office  of the Administrator;
  (b) Two  Associate Administrators and  four staff
offices which advise  the  Administrator  on cross-
cutting  Agency  headquarters  and  regional issues
and conduct programs with respect to  EPA's inter-
face  with other national and international govern-
mental organizations;
  (c) The Office  of Inspector General;
  (d) The Office  of General Counsel; and
  (e) Nine operational offices, each headed by an
Assistant Administrator,  responsible  for carrying
out EPA's major environmental and administrative
programs.

§ 1.23   Office of the Administrator.
  The Environmental Protection Agency  is headed
by  an  Administrator  who  is appointed  by  the
President, by and with the consent of the Senate.
The  Administrator is  responsible  to the  President
for providing overall supervision  to the Agency,
and is assisted by a Deputy  Administrator also ap-
pointed  by  the President, by and with  the  consent
of the Senate. The  Deputy  Administrator  assists
the Administrator in the discharge  of Agency du-
ties and  responsibilities and serves as  Acting  Ad-
ministrator  in the absence of the Administrator.

§1.25   Staff Offices.
  (a) Office  of Administrative Law Judges.  The
Office of Administrative  Law Judges, under the
supervision   of  the  Chief  Administrative  Law
Judge, is responsible for presiding over and con-
ducting formal hearings, and issuance of initial de-
cisions, if  appropriate,  in  such proceedings. The
Office provides  supervision of the Administrative
Law Judges, who operate  as a component  of the
Office of Administrative  Law Judges, in certain
Agency Regional Offices. The Office provides the
Agency Hearing Clerk.
  (b) Office of Civil Rights. The Office  of Civil
Rights, under the supervision of a Director,  serves
as the principal  adviser to the  Administrator with
respect to EPA's civil rights programs. The  Office
develops policies, procedures,  and regulations to
implement  the  Agency's  civil rights  responsibil-
ities, and provides direction to Regional and field
activities in  the  Office's  area of responsibilities.
The Office implements and monitors the Agency's
equal employment opportunity program; provides
advice and guidance  to EPA program officials and
Regional Administrators on EEO matters;  serves
as advocate for  furthering  career opportunities for
minorities and  women; and processes complaints
of discrimination for Agency  disposition.  The of-
fice assures:
  (1) Maximum participation of minority business
enterprises under EPA contracts and grants;
  (2) Equal employment opportunity under  Agen-
cy service  contracts, construction contracts,  and
grants;
  (3) Compliance with the Davis-Bacon  Act and
related acts;
  (4) Compliance with the provisions of  laws af-
fecting Agency programs requiring nondiscrimina-
tion on account  of age and physical handicap and;
  (5) Services or benefits are dispensed under any
program or  activity receiving Agency financial as-
sistance on a nondiscrimination basis.
  (c) Science Advisory Board.  The Science  Advi-
sory Board,  under the direction of a Director, pro-
vides expert and independent advice to the Admin-
istrator on the scientific and technical issues  facing
the Agency. The Office  advises on broad,  sci-
entific, technical and policy matters; assesses the
results of specific research efforts; assists  in iden-
tifying emerging environmental problems; and ad-
vises  the  Administrator on the cohesiveness and
currency of the  Agency's scientific programs.
  (d) Office of Small and Disadvantaged Business
Utilization.  The  Office of Small and Disadvan-
taged Business   Utilization, under the supervision
of a Director, is responsible for developing  policy
and procedures  implementing  the Agency's small
and disadvantaged business utilization responsibil-
ities.  The  Office provides  information and  assist-
ance to components  of the Agency's field offices
responsible for  carrying out related activities. The
Office develops  and  implements a program to pro-
vide the maximum  utilization of women-owned
business enterprises in all aspects of EPA contract

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                                                                                            §1.27
work;  in collaboration with  the  Procurement and
Contracts  Management  Division,  develops  pro-
grams  to  stimulate  and improve involvement  of
small and minority business enterprises;  and rec-
ommends  the assignment of technical advisers  to
assist designated Procurement  Center Representa-
tives of the  Small Business Administration in their
duties.  The  Office  represents EPA at hearings,
interagency  meetings,  conferences and other ap-
propriate forums  on matters  related to  the ad-
vancement of these cited  business  enterprises  in
EPA's Federal Contracting Program.
  (e)(l) Environmental Appeals Board. The Envi-
ronmental  Appeals  Board is  a  permanent body
with  continuing  functions  composed  of three
Board  Members  designated by the Administrator.
The  Environmental  Appeals  Board  shall  decide
each matter before it in accordance with applicable
statutes and  regulations. The  Environmental Ap-
peals Board  shall decide each matter by  majority
vote.  Two  Board Members  constitute  a  quorum,
and if the absence or recusal of  a Board  Member
so requires, the  Board shall sit as a Board  of two
Members. In the case  of a tie  vote,  the  matter
shall be referred to the Administrator to break the
tie.
  (2)  Functions.  The  Environmental  Appeals
Board  shall exercise any authority expressly dele-
gated to it in this title. With respect to  any matter
for  which authority  has  not been expressly dele-
gated to the  Environmental Appeals Board, the
Environmental Appeals Board shall,  at the Admin-
istrator's request, provide advice  and consultation,
make findings of fact and conclusions of law, pre-
pare a recommended decision, or serve as  the final
decisionmaker,  as the Administrator deems appro-
priate.  In performing  its functions,  the  Environ-
mental Appeals  Board may consult with any EPA
employee  concerning any matter governed  by the
rules set forth in this title, provided such consulta-
tion  does  not violate applicable  ex  parte rules  in
this title.
  (3) Qualifications. Each member of the  Environ-
mental Appeals  Board shall be  a graduate  of  an
accredited  law  school  and  a member  in good
standing of a recognized  bar  association of any
state or the  District of Columbia. Board Members
shall not be  employed by the  Office of  Enforce-
ment, the Office of the General Counsel, a Re-
gional  Office, or any other office directly  associ-
ated with matters that could come before the Envi-
ronmental Appeals Board.  A Board  Member shall
recuse  himself or herself from deciding a particu-
lar case if that Board Member in  previous employ-
ment  performed  prosecutorial  or  investigative
functions with respect to the case, participated  in
the  preparation or presentation of evidence in the
case,  or was otherwise personally involved in the
case.
[50 FR 26721, June 28, 1985, as amended at 57 FR 5323,
Feb. 13, 1992]

§1.27  Offices of the Associate Adminis-
    trators.
   (a)  Office of International Activities. The Office
of International Activities, under the supervision of
an Associate Administrator, provides  direction to
and supervision of  the  activities,  programs,  and
staff assigned to the  Office of International Activi-
ties. All of the functions and responsibilities of the
Associate   Administrator are  Agencywide,   and
apply to all international activities  of the Agency.
The  Office  develops policies and  procedures for
the direction of the Agency's  international  pro-
grams and activities, subject to U.S. foreign pol-
icy, and assures that adequate program,  scientific,
and legal  inputs are  provided. It conducts continu-
ing evaluations  of the Agency's international ac-
tivities and makes appropriate recommendations to
the Administrator. The Office advises  the  Admin-
istrator  and  principal  Agency  officials  on  the
progress  and effect of  foreign  and international
programs  and issues. The Office serves as the Ad-
ministrator's  representative   in contacts  with  the
Department of  State and other  Federal  agencies
concerned with  international affairs. It negotiates
arrangements or understandings  relating to  inter-
national  cooperation with  foreign  organizations.
The Office coordinates Agency international  con-
tacts  and  commitments;  serves as  the focal point
for responding to requests for information  relating
to EPA international  activities;  and provides  an
initial point of contact for all foreign visitors. The
Office maintains liaison  with all  relevant  inter-
national organizations  and provides representation
where appropriate.  It  establishes Agency policy,
and approves annual plans  and modifications for
travel abroad and  attendance at international  con-
ferences  and events.  It provides  administrative
support for the  general activities of the Executive
Secretary  of the U.S.  side of the US-USSR/PRC
agreements on environmental protection and of the
U.S. Coordinator for the NATO Committee on the
Challenges of Modern Society. The Office super-
vises  these programs with respect to  activities
which are completely within the  purview of EPA.
   (b) Office of Regional Operations. The Office of
Regional Operations, under the supervision of an
Associate  Administrator,  reports  directly to  the
Administrator and Deputy Administrator.  The  Of-
fice serves as the primary communications link be-
tween the Administrator/Deputy Administrator  and
the Regional Administrators. It provides  a Head-
quarters focus for ensuring the involvement of Re-
gions, or consideration of Regional  views   and
needs, in  all aspects of the Agency's work.  The

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§1.29
Office is responsible for assuring Regional partici-
pation in Agency decision-making processes,  as-
sessing the impact of Headquarters actions on Re-
gional operations, and acting as ombudsman to re-
solve Regional problems on behalf of the Admin-
istrator.  The Associate  Administrator coordinates
Regional issues, organizes  Regional Administrator
meetings and work  groups;  and  coordinates  Re-
gional responses to specific issues. In addition,  the
Office is responsible for  working  with  the  Re-
gional Offices to further the consistent application
of national program  policies by reinforcing exist-
ing administrative, procedural, and program policy
mechanisms  as  well  as through  initiation of  re-
views  of significant  Regional issues of interest to
the Administrator. It continually monitors respon-
siveness  and compliance with established policies
and  technical needs  through formal and informal
contact and free dialogue.  The Office initiates and
conducts on-site field visits to study, analyze, and
resolve problems of Regional, sectional,  and  na-
tional scale.

§ 1.29   Office of Inspector General.
  The Office of Inspector General assumes overall
responsibility for audits and investigations relating
to EPA programs and operations.  The Office pro-
vides leadership and  coordination and recommends
policies  for  other Agency  activities designed to
promote  economy and  efficiency and to prevent
and  detect  fraud and abuse is such programs and
operations.  The Office of the Inspector General in-
forms  the  Administrator,  Deputy Administrator,
and  Congress of serious problems, abuses and  de-
ficiencies relating to  EPA  programs  and oper-
ations, and  of the necessity for and progress of
corrective action; and  reviews existing  and pro-
posed  legislation and regulations to assess the im-
pact on the  administration of EPA's programs and
operations.  The Office  recommends  policies  for,
and  conducts or coordinates relationships between,
the Agency and other Federal, State and local gov-
ernment  agencies, and nongovernmental entities on
all matters  relating to the  promotion of economy
and  efficiency in the administration of, or the pre-
vention and detection of fraud and abuse in, pro-
grams and operations administered by the  Agency.

§ 1.31   Office of General Counsel.
  The Office  of General Counsel  is under the  su-
pervision of the  General  Counsel  who serves as
the primary legal adviser to the Administrator.  The
office  provides legal services to all organizational
elements of the Agency with respect to all Agency
programs and  activities and  also provides  legal
opinions, legal counsel,  and litigation support; and
assists in the formulation and administration of the
Agency's policies and programs  as legal adviser.
§ 1.33   Office of Administration and Re-
     sources Management.
  The  Office  of Administration and  Resources
Management is under the  supervision of the As-
sistance  Administrator for Administration and Re-
sources Management  who provides services to all
of the programs and  activities  of the Agency, ex-
cept as may be specifically  noted. In addition, the
Assistant Administrator has primary responsibility
Agencywide for policy and procedures governing
the  functional  areas  outlined  below. The  major
functions of the Office include resources manage-
ment and systems (including budget and financial
management),   personnel  services,   occupational
health and safety, administrative services,  organi-
zation and management analysis and systems de-
velopment, information management and services,
automated  data processing  systems,  procurement
through contracts and grants, and human resources
management. This Office is the  primary point of
contact and manages Agencywide  internal con-
trols, audit resolution and follow up, and govern-
ment-wide  management improvement  initiatives.
In the performance of the above  functions  and re-
sponsibilities, the Assistant  Administrator for Ad-
ministration and Resources Management represents
the Administrator in communications  with the Of-
fice  of Management and Budget,  Office of Person-
nel Management, General Accounting Office, Gen-
eral  Services  Administration,  Department of the
Treasury, and other  Federal agencies prescribing
requirements for the conduct of Government budg-
et, fiscal management and administrative activities.
  (a)  Office  of Administration  and  Resources
Management,  Research  Triangle  Park,   North
Carolina, (RTF). The  Office of Administration and
Resources Management (OARM), RTF, under the
supervision of a Director, provides services to all
of the programs and  activities  at RTF and certain
financial and  automated data processing services
Agencywide. The major functions of the Office in-
clude  personnel  services,  financial  management,
procurement through  contracts, library and  other
information services,   general  services  (including
safety and  security, property and supply, printing,
distribution,  facilities  and  other  administrative
services) and providing both local RTF  and Agen-
cywide automated  data  processing systems  serv-
ices.  The Director, OARM, RTF,  supervises the
Office of Administration,  Financial  Management
and  Data Processing, RTF.
  (b)  Office  of Administration, Cincinnati, Ohio.
The  Office of Administration at  Cincinnati, Ohio,
under the supervision of a Director, provides and
administers personnel, procurement, safety and se-
curity, property  and supply,  printing, distribution,
facilities, and  other  administrative   service  pro-
grams at Cincinnati and other specified geographic
locations.

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                                                                                           §1.33
  (c) Office of the Comptroller. The Office of the
Comptroller,  under the  supervision of the Comp-
troller, is responsible for Agencywide budget, re-
sources  management and financial  management
functions, including program analysis  and plan-
ning; budget formulation, preparation and execu-
tion; funding  allotments and allocations; and de-
veloping and maintaining accounting  systems, fis-
cal  controls, and systems for payroll and disburse-
ments. The Assistant Administrator's resource  sys-
tems responsibilities are administered by this Of-
fice.
  (d) Office of Administration.  The Office of Ad-
ministration,  under the  supervision of a Director,
is responsible for the development and conduct of
programs for personnel policies,  procedures  and
operations; organization and management systems,
control, and services; facilities,  property and space
management;  personnel  and  property   security;
policies,  procedures, and operations related to  pro-
curement through  grants,  contracts,  and inter-
agency agreements;  and  occupational health  and
safety.
  (e)  Office  of Information Resources  Manage-
ment. The Office of Information Resources Man-
agement (OIRM),  under the  supervision of a Di-
rector, provides for an  information resource man-
agement program (IRM) consistent with the provi-
sions of Public Law 96-511.  The  Office estab-
lishes policy, goals and  objectives for implementa-
tion of IRM;  develops annual and long-range plans
and budgets for IRM functions and activities; and
promotes IRM concepts throughout  the  Agency.
The Office coordinates  IRM activities; plans, de-
velops and operates information systems  and serv-
ices in support of the Agency's management and
administrative functions,  and other Agency  pro-
grams  and functions as  required. The Office over-
sees the  performance of these activities when  car-
ried out  by other Agency components. The Office
performs liaison for interagency sharing of infor-
mation and coordinates  IRM activities with OMB
and GSA. The Office ensures compliance with re-
quirements of Public  Law 96-511 and other Fed-
eral laws, regulations,  and  guidelines relative to
IRM; and chairs the Agency's IRM Steering Com-
mittee. The  Office  develops  Agency policies  and
standards; and administers   or  oversees Agency
programs for library systems  and services,  internal
records management, and the automated collection,
processing, storage,  retrieval and  transmission of
data by or for Agency  components and programs.
The Office provides national program policy  and
technical guidance for:  The  acquisition  of all in-
formation technology, systems  and services by or
for  Agency  components and programs,  inculding
those systems and  services  acquired by grantees
and contractors using Agency funds; the  operation
of all  Agency  computers and telecommunications
hardware and facilities; and the establishment and/
or application of telecommunications and Federal
information processing  standards.  The  Office  re-
views and evaluates information systems and serv-
ices, including  office  automation, which are oper-
ated by other Agency components; and  sets  stand-
ards for and approves the selection of Agency per-
sonnel who are responsible for the technical man-
agement of these  activities. The Office coordinates
its  performance of these  functions  and activities
with the Agency's information collection policies
and  budgets managed by the Office  of  Policy,
Planning and Evaluation.
  (f) The  Office of Human Resources Manage-
ment. The  Office of Human  Resources Manage-
ment (OHRM), under the supervision of a  Direc-
tor, designs strategies, plans, and policies aimedat
developing and training all employees, revitalizing
EPA organizations, and matching the right people
with the right jobs. The Office  is responsible  for
developing and assuring implementation of poli-
cies and practices necessary for EPA to meet its
present  and future workforce needs.  This includes
consideration of the interrelationships between  the
environmental protection workforce needs of EPA
and State governments. For Senior Executive Serv-
ice  (SES) personnel, SES  candidates, Presidential
Executive  Interchange Participants,  and Manage-
ment Interns, OHRM  establishes policies; assesses
and   projects  Agency   executive   needs   and
workforce  capabilities;  creates,  establishes,  and
implements training  and  development  strategies
and programs; provides the full range of personnel
functions; supports the Performance Review  Board
(PRB) and the  Executive Resources Board (ERB);
and reassigns SES personnel with the concurrence
of the ERB.  For  the areas of workforce manage-
ment and  employee and  organizational develop-
ment, OHRM develops strategies, plans, and poli-
cies;  coordinates  Agencywide  implementation of
those strategies, plans, and policies; and provides
technical assistance to operating personnel offices
and States. OHRM, in cooperation with the  Office
of the Comptroller, evaluates  problems  with pre-
vious workyear  use,  monitors  current  workyear
utilization,  and projects future  workyear needs in
coordination  with the Agency's budget process.
The Office  is the lead  office  for  coordination of
human resources  management with  the  Agency's
Strategic Planning and Management System. The
Office develops methodologies  and procedures  for
evaluations of  Agency human  resources manage-
ment activities; conducts evaluations of human  re-
sources management  activities Agencywide;  and
carries out human resources management projects
of  special  interest to  Agency management. The
Office coordinates its  efforts  with the  Office of
Administration  (specifically the  Personnel  Man-
agement Division and the Management  and Orga-

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§1.35
nization Division), the Office of the Comptroller,
the Office of Information Resources Management,
and the Office of Policy, Planning and Evaluation.

§1.35  Office of Enforcement and  Com-
     pliance Monitoring.
  The Office  of Enforcement  and Compliance
Monitoring,  under the supervision of the Assistant
Administrator for Enforcement  and Compliance
Monitoring,  serves as the principal  adviser to the
Administrator in matters  concerning enforcement
and  compliance; and provides the principal direc-
tion  and review of civil enforcement activities for
air, water, waste, pesticides,  toxics,  and radiation.
The  Assistant Administrator reviews the efforts of
each Assistant  and Regional Administrator to as-
sure that EPA develops and conducts a strong and
consistent enforcement and compliance monitoring
program. The Office manages the national criminal
enforcement  program;  ensures  coordination  of
media office administrative compliance programs,
and  civil and criminal enforcement  activities; and
provides technical expertise  for enforcement  ac-
tivities.

§ 1.37  Office of External Affairs.
  (a) Office  of Federal Activities.  The Office  of
Federal Activities is  headed by a Director who re-
ports to the  Assistant Administrator for  External
Affairs and supervises  all the functions of the Of-
fice. The  Director acts  as  national program man-
ager for five  major programs  that include:
  (1) The review of other agency  environmental
impact statements and other major  actions under
the authority of Section 309 of the Clean Air Act;
  (2) EPA compliance with the National Environ-
mental Policy Act (NEPA) and related laws, direc-
tives, and  Executive policies  concerning special
environmental areas and cultural resources;
  (3) Compliance with Executive policy on  Amer-
ican Indian   affairs and the  development of pro-
grams  for  environmental protection  on  Indian
lands; and
  (4) The development and  oversight of national
programs and internal policies,  strategies,  and pro-
cedures for  implementing Executive Order  12088
and  other  administrative  or statutory  provisions
concerning  compliance  with  environmental  re-
quirements  by  Federal  facilities.   The  Director
chairs the Standing Committee on Implementation
of Executive Order  12088. The Office serves  as
the  Environmental  Protection  Agency's  (EPA)
principal point of contact and  liaison  with other
Federal agencies and  provides  consultation and
technical assistance  to those agencies  relating  to
EPA's areas  of expertise and  responsibility. The
Office administers the  filing and information sys-
tem  for all  Federal  Environmental  Impact State-
ments under  agreement with  the Council on Envi-
ronmental  Quality (CEQ)  and  provides liaison
with CEQ  on this function  and related matters  of
NEPA program  administration.  The  Office  pro-
vides a central point  of information for EPA and
the public  on environmental  impact  assessment
techniques  and methodologies.
  (b) Office of Public Affairs. The Office of Pub-
lic Affairs  is  under the  supervision of a Director
who serves as chief spokesperson for the Agency
and as a principal adviser, along with the  Assistant
Administrator  for   External   Affairs,  to  the
Adminstrator,  Deputy Administrator,  and Senior
Management Officials, on public affairs aspects  of
the Agency's  activities  and programs. The Office
of Public  Affairs  provides to the media  adequate
and  timely information  as  well as  responses  to
queries from the media on all EPA program activi-
ties.  It assures that the  policy of openness in all
information matters,  as  enunciated by the Admin-
istrator, is honored in all respects. Develops publi-
cations to inform the  general public of major EPA
programs and activities;  it also  develops  informa-
tional  materials  for  internal  EPA use  in  Head-
quarters and at the Regions,  Labs and Field Of-
fices. It  maintains clearance  systems and proce-
dures for periodicals and nontechnical information
developed by  EPA for public distribution, and re-
views  all  publications for public affairs  interests.
The Office of Public Affairs provides policy direc-
tion  for, and coordination and oversight of EPA's
community relations program. It provides  a system
for ensuring that EPA  educates citizens and re-
sponds to their concerns about all environmental
issues  and  assures that there are opportunities for
public involvement in the resolution  of problems.
The  Office supervises the production  of audio-vis-
ual materials,  including  graphics, radio and video
materials,  for the general public and for internal
audiences,  in  support of EPA  policies  and  pro-
grams. The Office provides  program direction and
professional review of the performance of public
affairs functions  in the  Regional Offices  of EPA,
as well as  at  laboratories and other  field offices.
The  Office of Public  Affairs is responsible for re-
viewing interagency  agreements and  Headquarters
purchase request  requisitions expected to  result in
contracts in the  area of public information  and
community relations. It develops proposals and re-
views  Headquarters grant applications under  con-
sideration when public affairs goals are involved.
  (c) Office of Legislative Analysis. The Office  of
Legislative  Analysis,  under the  supervision of a
Director who  serves  in the capacity of Legislative
Counsel, is responsible for legislative drafting and
liaison  activities   relating to  the Agency's  pro-
grams.  It  exercises  responsibility  for legislative
drafting; reports to the Office of Management and
Budget and congressional committees on  proposed
legislation  and pending  and enrolled bills,  as re-

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                                                                                            §1.39
quired by  OMB Circular No.  A-19 and Bulletin
No.  72-6; provides testimony on  legislation  and
other  matters  before congressional  committees;
and  reviews  transcripts of legislative hearings. It
maintains liaison with the Office of Congressional
Liaison on all Agency activities  of interest to the
Congress. The Office works closely with the staffs
of various  Assistant Administrators, Associate Ad-
ministrators,  Regional  Administrators, and Staff
Office Directors in  accordance  with  established
Agency  procedures,  in  the  development  of  the
Agency's legislative  program.  The Office  assists
the  Assistant Administrator  for  External Affairs
and the Agency's senior policy officials in guiding
legislative  initiatives  through the legislative proc-
ess.  It advises the Assistant Administrator for Ad-
ministration and Resources Management in matters
pertaining  to  appropriations  legislation.  It works
closely with the Office of Federal Activities to as-
sure compliance with Agency  procedures for the
preparation of environmental impact statements, in
relation to  proposed legislation and reports on leg-
islation. The  Office coordinates with the Office of
Management and Budget, other agencies,  and con-
gressional staff members on matters within its area
of responsibility; and develops  suggested State  and
local environmental legislative  proposals,  using in-
puts provided by  other Agency  components. The
Legislative Reference Library  provides legislative
research  services for the Agency. The Library se-
cures and  furnishes  congressional materials to all
EPA employees and,  if available, to other Govern-
ment agencies  and  private organizations;  and it
also provides the  service of  securing, upon re-
quest,  EPA reports and materials  for the Congress.
  (d) Office  of Congressional Liaison.  The Office
of Congressional Liaison  is under  the supervision
of a Director who serves as the principal adviser
to the  Administrator with respect to  congressional
activities. All of the  functions  and responsibilities
of the Director  are Agencywide  and apply to the
provision of services with respect to all of the pro-
grams  and activities of the  Agency. The  Office
serves  as the principal point of congressional con-
tact with the  Agency and maintains an effective li-
aison with the  Congress  on Agency activities of
interest to  the Congress and,  as  necessary, main-
tains liaison with Agency Regional and field offi-
cials, other Government agencies,  and public  and
private groups  having an  interest  in legislative
matters affecting the  Agency. It assures the provi-
sion of prompt response to the  Congress on all in-
quiries relating  to  activities  of the  Agency;  and
monitors and coordinates  the continuing operating
contacts  between  the staff of the  Office  of the
Comptroller and staff of the Appropriations Sub-
committees of Congress.
  (e) Office of Community and Intergovernmental
Relations. The Office of Community and Intergov-
ernmental Relations is under the supervision of a
Director who serves as the principal point of con-
tact with  public interest groups representing gen-
eral purpose State  and local governments, and is
the principal source of advice and information for
the Administrator and the  Assistant Administrator
for External Affairs  on intergovernmental  rela-
tions. The Office maintains liaison on intergovern-
mental issues with the White House and Office of
Management and  Budget  (OMB); identifies  and
seeks solutions to emerging  intergovernmental  is-
sues;  recommends  and  coordinates  personal in-
volvement by the Administrator and Deputy Ad-
ministrator  in  relations  with  State,  county,  and
local  government officials; coordinates  and assists
Headquarters  components  in  their  handling  of
broad-gauged and issue-oriented intergovernmental
problems. It works  with the  Regional Administra-
tors and the Office of Regional Operations to en-
courage the adoption of  improved methods for
dealing effectively  with State and  local  govern-
ments on  specific EPA program initiatives; works
with  the Immediate Office of the Administrator,
Office of Congressional  Liaison, Office of Public
Affairs, and the Regional  Offices to develop  and
carry  out a comprehensive liaison  program;  and
tracks legislative initiatives which affect the Agen-
cy's  intergovernmental  relations.  It  advises  and
supports the Office Director in implementing the
President's Environmental Youth Awards program.

[50 FR  26721, June  28,  1985, as amended at 52 FR
30359, Aug. 14, 1987]

§1.39  Office  of Policy,  Planning  and
    Evaluation.
   The Assistant  Administrator for  Policy, Plan-
ning  and  Evaluation  services as  principal adviser
to the Administrator  on  Agency policy and plan-
ning  issues  and as  such is responsible for super-
vision and  management of the following: Policy
analysis; standards  and  regulations; and  manage-
ment  strategy and  evaluation.  The Assistant Ad-
ministrator represents the Administrator with Con-
gress  and the  Office  of  Management and  Budget,
and  other  Federal  agencies  prescribing  require-
ments for  conduct for  Government  management
activities.
   (a)  Office of Policy Analysis. The Office  of Pol-
icy Analysis is under the supervision of a Director
who performs the following functions on an Agen-
cywide basis:  economic analysis of Agency pro-
grams, policies, standards,  and regulations,  includ-
ing the estimation of abatement costs;  research
into developing new  benefits  models;  benefit-cost
analyses;  impact  assessments;  intermediate  and
long-range strategic studies; consultation and ana-
lytical assistance  in the  areas  described above to
senior policy and program officials  and other of-
fices  in the  Agency; development and coordination

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§1.41
proposals for major new Agency initiatives; liaison
with  other  agencies;  universities,  and  interest
groups on major policy issues and development of
a coordinated Agency  position; and development
of integrated  pollution  control strategies  for se-
lected industrial and geographical areas.
  (b) Office of Standards  and Regulations. The
Office  of Standards and Regulations is  under the
supervision of a Director who is  responsible for:
involving the Office of Policy, Planning and Eval-
uation  (OPPE)  in  regulatory  review;  conducting
technical  and   statistical  analyses   of proposed
standards,  regulations and  guidelines;  serving  as
the Agency focal point for identifying,  developing
and  implementing  alternatives  to  conventional
"command and control" regulations;  conducting
analyses  of Agency activities related to chemical
substances and  providing mechanisms for  estab-
lishing regulatory priorities and resolving scientific
issues  affecting  rulemaking;  ensuring  Agency
compliance with the  Paperwork  Reduction Act;
evaluating and reviewing all Agency information
collection requests and activities, and, in coopera-
tion  with the Office  of Administration and Re-
sources Management and the  Office of Manage-
ment Systems and  Evaluation, evaluating  Agency
management and uses of data for decision-making.
  (c) Office  of Management Systems and Evalua-
tion. The  Office  of Management   Systems and
Evaluation is under the supervision  of a Director
who directs and coordinates the development, im-
plementation and  administration  of Agencywide
systems for planning, tracking, and  evaluating the
accomplishments of Agency  programs.  In  con-
sultation  with other  offices, the Office  develops a
long-range policy framework  for  Agency  goals,
and  objectives,  identifies strategies  for achieving
goals, establishes timetables for objectives, and en-
sures that programs  are evaluated against their ac-
complishments of goals.

§ 1.41    Office of Air and Radiation.
  The  Office of Air and Radiation is under super-
vision  of the Assistant Administrator for Air and
Radiation who serves as principal  adviser to the
Administrator in matters pertaining to air and radi-
ation programs,  and  is responsible for the manage-
ment of these EPA  programs:  Program policy de-
velopment and evaluation; environmental and pol-
lution  sources'  standards  development; enforce-
ment of  standards;  program policy guidance and
overview, technical  support  or conduct of compli-
ance activities and  evaluation of Regional air and
radiation program activities; development of pro-
grams  for  technical  assistance and technology
transfer;  and selected demonstration programs.
  (a) Office of Mobile Sources. The  Office of Mo-
bile  Sources, under  the  supervision  of  a Director,
is  responsible for  the mobile source air pollution
control  functions of the Office of Air and  Radi-
ation. The Office is responsible for: Characterizing
emissions from  mobile sources and related  fuels;
developing programs for their  control, including
assessment of the status of control technology and
in-use vehicle emissions;  for carrying  out, in co-
ordination  with the  Office  of Enforcement  and
Compliance  Monitoring as  appropriate,   a  regu-
latory compliance program to ensure  adherence of
mobile  sources to  standards; and for fostering the
development of State motor vehicles emission in-
spection and  maintenance programs.
  (b) Office  of Air Quality Planning  and Stand-
ards.  The  Office  of Air  Quality  Planning  and
Standards, under the  supervision of a Director, is
responsible for the  air quality planning and stand-
ards functions of the  Office  of Air and Radiation.
The Director for Air  Quality Planning  and Stand-
ards is responsible for emission standards  for new
stationary sources, and emission standards  for haz-
ardous  pollutants;  for developing  national  pro-
grams,  technical policies,  regulations,  guidelines,
and criteria for  air pollution control;  for assessing
the national air  pollution control program  and the
success  in achieving  air quality goals;  for provid-
ing assistance to the States, industry and other or-
ganizations  through  personnel  training activities
and technical information;  for providing technical
direction  and  support  to   Regional  Offices  and
other organizations; for evaluating Regional pro-
grams with  respect to State implementation plans
and strategies, technical assistance, and  resource
requirements and  allocations for  air related pro-
grams; for developing and  maintaining a  national
air  programs  data  system,  including air  quality,
emissions and other technical data; and  for provid-
ing effective  technology transfer through the  trans-
lation of technological developments into  im-
proved control program procedures.
  (c) Office of Radiation Programs.  The Office of
Radiation Programs, under the supervision  of a Di-
rector,  is responsible to  the Assistant Adminis-
trator for Air and Radiation for the  radiation ac-
tivities  of the Agency, including development of
radiation protection criteria, standards, and  poli-
cies;  measurement and control of radiation  expo-
sure;  and research requirements for  radiation pro-
grams. The Office provides technical assistance to
States through  EPA  Regional Offices and  other
agencies having radiation protection programs; es-
tablishes and directs a national surveillance and in-
vestigation program for measuring radiation  levels
in the environment; evaluates and assesses the im-
pact of  radiation on the general public and the en-
vironment; and maintains liaison  with other public
and private  organizations  involved in  environ-
mental  radiation protection activities.  The Office
coordinates with and assists the Office of Enforce-
ment and Compliance Monitoring in enforcement

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                                                                                            §1.43
activities where EPA has jurisdiction. The Office
provides editorial policy and guidance, and assists
in preparing publications.

§1.43   Office  of  Prevention,  Pesticides
     and Toxic Substances.
   The Assistant Administrator serves as  the prin-
cipal adviser to the Administrator  in matters per-
taining to assessment and regulation of pesticides
and toxic substances and is responsible for manag-
ing the Agency's  pesticides and toxic substances
programs under the Federal Insecticide, Fungicide,
and  Rodenticide Act (FIFRA);  the Federal Food,
Drug,  and Cosmetic Act;  the  Toxic  Substances
Control Act (TSCA); and for promoting coordina-
tion  of all Agency programs engaged in toxic sub-
stances  activities. The Assistant Administrator has
responsibility  for  establishing  Agency  strategies
for  implementation and  integration  of  the  pes-
ticides and  the toxic  substances programs under
applicable Federal statutes; developing and operat-
ing Agency programs and policies  for assessment
and  control of pesticides and toxic  substances; de-
veloping recommendations  for  Agency  priorities
for research, monitoring, regulatory,  and informa-
tion-gathering  activities relating to pesticides  and
toxic substances; developing scientific,  technical,
economic, and social  data bases for the conduct of
hazard assessments and evaluations in support of
toxic substances and pesticides activities; directing
pesticides and toxic  substances compliance  pro-
grams; providing toxic substances  and  pesticides
program guidance to EPA  Regional Offices;  and
monitoring,  evaluating,  and  assessing  pesticides
and  toxic substances program operations  in EPA
Headquarters and Regional Offices.
   (a) Office of Pesticide Programs. The Office of
Pesticide Programs, under  the  management of a
Director and  Deputy Director are responsible to
the Assistant  Administrator  for leadership of the
overall pesticide activities of the Agency under the
authority of the Federal Insecticide, Fungicide,  and
Rodenticide Act and several provisions of the Fed-
eral  Food, Drug, and Cosmetic  Act,  including the
development of strategic plans  for the control of
the  national   environmental  pesticide   situation.
Such plans are implemented by the Office of Pes-
ticide  Programs,  other  EPA  components,  other
Federal agencies,  or  by State,  local, and private
sectors. The  Office is also responsible for estab-
lishment of tolerance levels  for pesticide residues
which occur in or on food; registration and rereg-
istration  of pesticides; special review of pesticides
suspected of posing unreasonable  risks to human
health or the environment; monitoring of pesticide
residue  levels in food, humans,  and nontarget fish
and  wildlife;  preparation  of pesticide registration
guidelines; development of standards for the reg-
istration  and  reregistration  of pesticide products;
provision of program policy direction to technical
and manpower training activities in the pesticides
area;  development of research needs  and monitor-
ing requirements for the pesticide program and re-
lated  areas; review  of impact statements dealing
with pesticides;  and  carrying out  of assigned inter-
national activities.
  (b) Office of Pollution Prevention and Toxics.
The  Office of  Pollution Prevention and Toxics
(OPPT),  under the management of a Director and
Deputy Director is  responsible  to the Assistant
Administrator for  those activities  of the  Agency
mandated by  the  Toxic Substances  Control Act.
The Director is responsible for developing and op-
erating Agency programs and policies for new and
existing chemicals. In  each  of these areas, the Di-
rector is  responsible  for information collection and
coordination;  data development; health,  environ-
mental and economic  assessment;  and negotiated
or regulatory  control  actions.  The Director pro-
vides  operational guidance  to  EPA  Regional Of-
fices,  reviews and evaluates toxic substances ac-
tivities at EPA Headquarters and  Regional  Offices;
coordinates  TSCA activities with  other EPA of-
fices and  Federal and State  agencies,  and conducts
the export notification  required by TSCA and pro-
vides  information to  importers. The Director is re-
sponsible for  developing policies  and procedures
for the coordination  and integration of Agency and
Federal activities concerning toxic substances. The
Director  is also  responsible for coordinating com-
munication  with the industrial  community,  envi-
ronmental groups, and other interested parties on
matters relating to the implementation of TSCA;
providing technical support to international activi-
ties managed by the  Office of International Activi-
ties; and managing the joint planning of toxic re-
search and development under the  auspices of the
Pesticides/Toxic Substances Research Committee.
  (c)  Office of Compliance Monitoring.  The Of-
fice of Compliance  Monitoring,  under the super-
vision of a Director,  plans, directs, and coordinates
the pesticides  and  toxic  substances compliance
programs of the Agency.  More specifically, the
Office provides a  national pesticides and  toxic
substances compliance overview  and  program pol-
icy direction  to the  Regional  Offices  and the
States, prepares guidance  and policy on  compli-
ance issues, establishes compliance priorities, pro-
vides  technical support for litigation  activity, con-
curs  on   enforcement   actions,  maintains liaison
with the  National Enforcement Investigations  Cen-
ter, develops annual  fiscal budgets for the  national
programs, and manages fiscal and personnel re-
sources for the Headquarters programs. The Office
directs and manages  the Office of Prevention, Pes-
ticides and  Toxic  Substances'  laboratory  data in-
tegrity program  which conducts laboratory inspec-
tions  and audits of testing data. The  Office issues

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§1.45
civil administrative complaints and other adminis-
trative orders in cases of first impression,  over-
riding national significance,  or violations by any
entity located in more than one Region. The office
coordinates  with the Office  of General Counsel
and  the  Office  of Enforcement and  Compliance
Monitoring in an attorney-client relationship,  with
those Offices providing legal support for informal
and formal administrative resolutions of violations;
for conducting litigation; for interpreting statutes,
regulations  and other  legal  precedents  covering
EPA's activities; and for advising program man-
agers  on the legal implications  of  alternative
courses of action. The Office of Compliance Mon-
itoring  coordinates with  the Office  of  Pesticide
Programs in  the conduct  of  pesticide enforcement
compliance  and registration programs under the
Federal  Insecticide, Fungicide,  and  Rodenticide
Act  and  participates in  decisions involving the
cancellation or suspension of registration. The Of-
fice  establishes  policy and  operating  procedures
for pesticide compliance  activities  including  sam-
pling programs,  export  certification,  monitoring
programs to  assure compliance with  experimental
use permits,  pesticide use restrictions, and record-
keeping  requirements,  and  determines when and
whether  compliance actions  are appropriate.  The
Office establishes  policy and  guidance for the
State cooperative enforcement agreement program
and  the  applicator training  and  certification  pro-
gram. The Office  of Compliance Monitoring also
coordinates with the Office of Pollution Prevention
and  Toxics in the  conduct of regulatory and com-
pliance programs under the Toxic Substances Con-
trol Act and  participates in regulation development
for TSCA. The Office participates in the control of
imminent hazards  under TSCA, inspects facilities
subject to TSCA regulation as a part of investiga-
tions which are national in scope or which require
specialized  expertise,  and samples and  analyzes
chemicals to determine compliance  with TSCA.
The  Office  coordinates and  provides  guidance  to
other TSCA  compliance  activities, including the
State cooperative enforcement agreement program
and the preparation of administrative suits.

[50 FR 26721, June 28,  1985, as amended  at 57 FR
28087, June 24, 1992]

§1.45   Office of Research and  Develop-
     ment.
   The Office  of  Research  and Development  is
under the supervision of the  Assistant Adminis-
trator for Research and Development who  serves
as the principal science adviser to the Adminis-
trator,  and is responsible  for the development, di-
rection, and conduct of a national research, devel-
opment and  demonstration  program  in:  Pollution
sources, fate, and health and  welfare effects; pollu-
tion  prevention  and control, and  waste  manage-
ment  and utilization technology;  environmental
sciences; and monitoring systems. The  Office par-
ticipates in  the  development  of Agency  policy,
standards,  and regulations  and provides for dis-
semination of scientific and technical  knowledge,
including  analytical  methods,  monitoring tech-
niques, and  modeling methodologies.  The  Office
serves  as  coordinator for  the  Agency's policies
and programs concerning carcinogenesis and relat-
ed problems and assures  appropriate quality con-
trol and standardization of analytical measurement
and monitoring techniques  utilized by the Agency.
The  Office exercises review  and concurrence re-
sponsibilities on an Agencywide basis in all budg-
eting and  planning  actions  involving  monitoring
which require Heardquarters approval.
  (a)  Office of Acid Deposition, Environmental
Monitoring and Quality Assurance.  The Office of
Acid Deposition, Environmental  Monitoring and
Quality Assurance (OADEMQA),  under the super-
vision  of  an Office  Director,  is responsible for
planning, managing  and evaluating  a comprehen-
sive  program for:
  (1)  Monitoring the cause  and effects of acid
deposition;
  (2) Research and development on the causes, ef-
fects  and corrective steps  for the acid deposition
phenomenon;
  (3)  Research  with  respect to the transport and
fate  of pollutants which are released into  the at-
mosphere;
  (4)  Development  and  demonstration  of tech-
niques  and methods  to measure exposure  and to
relate ambient concentrations to exposure by criti-
cal receptors;
  (5) Research,  development and demonstration of
new  monitoring methods, systems, techniques and
equipment for detection, identification and charac-
terization of pollutants at the  source  and  in the
ambient environment and for use as reference  or
standard monitoring methods;
  (6) Establishment, direction and coordination of
Agencywide  Quality Assurance Program; and
  (7) Development and provision  of quality assur-
ance  methods, techniques  and  material including
validation  and standardization  of analytical meth-
ods,  sampling techniques, quality control methods,
standard reference  materials, and techniques for
data collection,  evaluation and  interpretation. The
Office  identifies specific  research,   development,
demonstration and service needs and priorities; es-
tablishes program policies  and guidelines;  devel-
ops  program plans including objectives and esti-
mates  of resources required to  accomplish objec-
tives;  administers the approved program and ac-
tivities;  assigns  program  responsibility  and re-
sources to the laboratories  assigned  by the  Assist-
ant Administrator; directs and  supervises assigned
laboratories  in program administration; and con-
                                                10

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                                                                                           §1.45
ducts reviews of program  progress and takes ac-
tion  as necessary to assure timeliness, quality and
responsiveness of outputs.
  (b) Office of Environmental Engineering  and
Technology Demonstration. The Office of Envi-
ronmental  Engineering  and  Technology  Dem-
onstration (OEETD) under the supervision of a Di-
rector, is responsible for planning, managing, and
evaluating  a comprehensive program of research,
development, and  demonstration of cost effective
methods and technologies to:
  (1) Control  Environmental impacts  associated
with  the  extraction, processing, conversion,  and
transportation  of energy, minerals, and other re-
sources, and with  industrial processing  and manu-
facturing facilities;
  (2) Control  environmental impacts  of public
sector activities including  publicly-owned  waste
water and solid waste facilities;
  (3) Control and manage  hazardous waste gen-
eration, storage, treatment, and disposal;
  (4) Provide innovative technologies for response
actions under Superfund and technologies for con-
trol  of  emergency spills of  oils and  hazardous
waste;
  (5) Improve  drinking  water supply and system
operations,  including improved understanding of
water supply technology and water supply criteria;
  (6) Characterize, reduce,  and mitigate indoor air
pollutants including radon; and
  (7) Characterize, reduce,  and  mitigate acid rain
precursors  from stationary  sources.  Development
of engineering  data needed by the  Agency  in re-
viewing premanufacturing  notices relative to as-
sessing potential  release and  exposure  to chemi-
cals, treatability by waste treatment systems, con-
tainment  and control of genetically engineered or-
ganisms,  and development  of alternatives to  miti-
gate  the likelihood of release and exposure to ex-
isting chemicals. In carrying out these responsibil-
ities, the  Office develops program plans and man-
ages the  resources assigned to it; implements the
approved  programs and activities;  assigns objec-
tives  and resources to the OEETD  laboratories;
conducts  appropriate reviews to  assure the quality,
timeliness, and responsiveness of outputs; and con-
ducts analyses  of the  relative  environmental  and
socioeconomic  impacts  of engineering  methods
and control technologies  and strategies. The Office
of Environmental  Engineering   and  Technology
Demonstration is the focal  point within the Office
of Research and  Development for providing liai-
son with the rest of the Agency and with the  De-
partment of Energy on issues associated with en-
ergy  development. The  Office  is also  the focal
point within the Office of  Research and Develop-
ment for  liaison with the rest of the Agency on is-
sues  related to engineering reseach  and develop-
ment and the control of pollution discharges.
   (c) Office of Environmental Processes and Ef-
fects Research. The Office of Environmental Proc-
esses and Effects  Research, under the supervision
of the Director, is responsible  for planning, man-
aging, and  evaluating  a comprehensive  research
program to  develop the  scientific  and techno-
logical methods and data necessary to  understand
ecological processes, and predict broad ecosystems
impacts, and to manage the entry, movement, and
fate  of pollutants  upon  nonhuman  organisms and
ecosystems. The comprehensive program includes:
   (1)  The  development of organism and  eco-
system  level effect data needed for the establish-
ment of standards, criteria or guidelines for the
protection of nonhuman components of the envi-
ronment and ecosystems integrity and the preven-
tion  of harmful human exposure to pollutants;
   (2) The  development of methods  to determine
and  predict the fate, transport, and  environmental
levels which  may result in  human exposure and
exposure of nonhuman components  of the  environ-
ment, resulting from the discharge of pollutants,
singly or in combination into the environment, in-
cluding development of source criteria  for protec-
tion  of environmental quality;
   (3)  The   development  and  demonstration  of
methods for the control or management of adverse
environmental  impacts  from agriculture and other
rural nonprofit sources;
   (4) The development and demonstration of inte-
grated pest management strategies for the manage-
ment of agriculture and urban  pests  which  utilize
alternative  biological,  cultural  and  chemical con-
trols;
   (5)  The   development  of  a  laboratory  and
fieldscale screening tests to provide  data  that can
be used to  predict the  behavior of pollutants  in
terms of movement in the environmental, accumu-
lation in the  food  chain, effects on  organisms, and
broad escosystem  impacts;
   (6) Coordination of interagency research  activi-
ties associated with  the health and  environmental
impacts of energy  production and use; and
   (7) development and demonstration of methods
for restoring degraded  ecosystem by means other
than source control.
   (d) Office of Health Research.  The Office  of
Health Research under the supervision of a  Direc-
tor, is responsible  for the management of planning,
implementing, and evaluating a comprehensive, in-
tegrated  human health  research program  which
documents  acute  and  chronic  adverse effects  to
man  from  environmental  exposure  to pollutants
and determines  those exposures which have a po-
tentially adverse  effect on  humans.  This   docu-
mentation is  utilized by ORD for criteria develop-
ment and scientific assessments in  support  of the
Agency's regulating  and standard-setting activities.
To attain this objective, the program develops tests
                                                11

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§1.47
systems  and  associated methods  and protocols,
such as predictive models to determine similarities
and  differences  among test organisms and  man;
develops  methodology and  conducts  laboratory
and  field  research  studies;  and  develops  inter-
agency programs which effectively use pollutants.
The  Office of Health Research  is  the Agency's
focal point within the Office of Research  and De-
velopment for providing liaison relative to human
health  effects and related human  exposure issues
(excluding issues related to the planning  and im-
plementation of research on the human health ef-
fects of energy pollutants that  is  conducted under
the Interagency  Energy/Environment Program). It
responds with recognized authority to changing re-
quirements  of the  Regions, program  offices and
other offices  for priority technical  assistance. In
close coordination with Agency research and advi-
sory committees, other agencies  and offices, and
interaction with academic  and other independent
scientific   bodies,  the  Office  develops  health
science policy for the Agency. Through these rela-
tionships and the scientific capabilities of its lab-
oratories and  Headquarters staffs,  the  Office  pro-
vides a focal point for matters pertaining to the ef-
fects of human exposure to environmental pollut-
ants.
  (e) Office of Health and Environmental Assess-
ment (OHEA). The Office of Health and  Environ-
mental Assessment, under the supervision  of a Di-
rector,  is the principal adviser  on matters relating
to the development of health criteria, health affects
assessment  and  risk  estimation,  to the Assistant
Administrator for Research and Development. The
Director's  Office: Develops recommendations on
OHEA programs including  the identification and
development of alternative  program goals, prior-
ities,  objectives  and work plans; develops  rec-
ommendations  on  overall  office  policies  and
means  for their implementation; performs  the criti-
cal path planning necessary to assure a timely pro-
duction of OHEA information in response to pro-
gram office needs; serves as an Agency health as-
sessment  advocate  for issue resolution and  regu-
latory review in the Agency Steering  Committee,
Science Advisory  Board, and  in cooperation with
other Federal agencies and the  scientific and tech-
nical community; and provides administrative  sup-
port  services  to the  components  of OHEA.  The
Director's Office provides Headquarters coordina-
tion  for  the Environmental Criteria and Assess-
ment Offices.
  (f) Office of Exploratory Research.  The Office
of Exploratory Research (OER), under the  super-
vision  of  a Director, is responsible  for overall
planning,  administering, managing, and evaluating
EPA's  anticipatory and extramural grant  research
in response to Agency priorities,  as articulated by
Agency  planning mechanisms  and  ORD's  Re-
search Committees. The Director  advises the As-
sistance Administrator on the direction, scientific
quality and  effectiveness of ORD's long-term sci-
entific review and evaluation; and research fund-
ing assistance efforts.  The responsibilities of this
office include: Administering ORD's  scientific re-
view  of extramural requests for research funding
assistance;  developing research  proposal solicita-
tions;  managing  grant projects;  and  ensuring
project quality and optimum dissemination  of re-
sults.  The OER is responsible for analyzing EPA's
long-range  environmental research concerns; fore-
casting  emerging  and  potential  environmental
problems and manpower needs; identifying Federal
workforce training programs to  be used  by  State
and local  governments; assuring the  participation
of minority institutions in  environmental research
and development activities; and conducting special
studies in response to  high priority national  envi-
ronmental needs and problems.  This  office  serves
as an ORD  focal point for university  relations and
other  Federal research  and development  agencies
related to EPA's extramural research program.

[50 FR 26721,  June  28,  1985, as  amended at  52 FR
30360, Aug.  14, 1987]

§1.47  Office of Solid Waste and Emer-
    gency Response.
  The Office of Solid Waste and Emergency Re-
sponse (OSWER),  under the supervision of  the
Assistant Administrator for Solid Waste and  Emer-
gency  Response,  provides  Agencywide  policy,
guidance, and direction for the Agency's solid and
hazardous  wastes  and  emergency response  pro-
grams. This Office has primary responsibility for
implementing the Resource Conservation and Re-
covery Act (RCRA)  and the Comprehensive Envi-
ronmental Response,  Compensation and  Liability
Act  (CERCLA—"Superfund").  In  addition to
managing those  programs,  the Assistant Adminis-
trator serves as  principal adviser to the Adminis-
trator in matters pertaining to them. The Assistant
Administrator's  responsibilities  include:  Program
policy development  and evaluation;  development
of appropriate hazardous waste standards  and reg-
ulations; ensuring compliance with applicable laws
and  regulations; program  policy  guidance  and
overview, technical support, and evaluation of Re-
gional solid and hazardous wastes and  emergency
response  activities; development of programs  for
technical,  programmatic,  and compliance assist-
ance to States and local governments;  development
of guidelines and  standards for the land disposal
of hazardous wastes; analyses of  the recovery of
useful  energy from solid waste; development and
implementation of a program to  respond to uncon-
trolled hazardous waste sites and spills (including
oil spills); long-term strategic planning and special
studies; economic  and  long-term environmental
                                                12

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                                                                                          §1.49
analyses; economic impact  assessment  of RCRA
and CERCLA regulations;  analyses of  alternative
technologies and trends;  and cost-benefit analyses
and development of OSWER  environmental  cri-
teria.
  (a)  Office of Waste Programs Enforcement. The
Office of Waste Programs  Enforcement (OWPE),
under the supervision of a Director, manages a na-
tional  program of technical compliance and  en-
forcement under CERCLA and  RCRA. The Office
provides guidance and support for the  implementa-
tion of the CERCLA and RCRA compliance  and
enforcement programs. This includes the develop-
ment  of program strategies, long-term and yearly
goals, and the formulation of budgets  and plans to
support implementation  of strategies  and goals.
The Office  provides program guidance through the
development  and issuance  of  policies, guidance
and  other  documents  and  through  training  and
technical assistance. The  Office oversees and sup-
ports  Regions  and States  in  the implementation of
the  CERCLA and RCRA enforcement  programs.
The  Office may assume responsibility  for direct
management of a limited  number of CERCLA  and
RCRA  enforcement  actions which are multi-re-
gional in nature or are cases of national  signifi-
cance. The  Office serves as the national technical
expert for  all matters relating to CERCLA  and
RCRA  compliance and enforcement. It  represents
the  interest of the  CERCLA and RCRA enforce-
ment  programs to other offices of the Agency. In
coordination with the Office of  External  Affairs
(OEA) and IO-OSWER, represents the program to
external organizations,  including  the  Office  of
Management  and Budget (OMB),  Congress, U.S.
Department of Justice and other Federal agencies,
the  media, public interest  and industry  groups,
State  and local governments and their associations
and the public.
  (b) Office of Solid Waste. The Office of Solid
Waste,  under the supervision of a Director, is re-
sponsible for the solid and hazardous waste activi-
ties of the Agency. In particular, this Office is re-
sponsible  for  implementing the  Resource Con-
servation and  Recovery Act. The Office provides
program policy direction to and evaluation of such
activities throughout the Agency  and establishes
solid  and hazardous wastes  research requirements
for EPA.
  (c)   Office  of Emergency and Remedial   Re-
sponse. The Office of Emergency  and Remedial
Response, under the  supervision of a Director, is
responsible for the emergency and remedial  re-
sponse  functions of the  Agency (i.e., CERCLA).
The Office  is specifically responsible for:
  (1)  Developing  national strategy,  programs,
technical policies, regulations,  and guidelines  for
the  control of abandoned hazardous  waste sites,
and response to and prevention of oil and hazard-
ous substance spills;
  (2) Providing direction, guidance, and support to
the  Environmental  Response Teams and oversee-
ing their activities;
  (3) Providing direction, guidance, and support to
the  Agency's non-enforcement emergency and re-
medial  response  programs,  including  emergency
and remedial responses to hazardous waste sites;
  (4) Developing national accomplishment plans
and resources;
  (5) Scheduling  the guidelines for program plans;
  (6) Assisting in the training of personnel;
  (7) Monitoring and evaluating the performance,
progress, and fiscal status of the Regions in imple-
menting emergency and remedial  response  pro-
gram plans;
  (8) Maintaining  liaison with  concerned public
and  private national organizations for emergency
response;
  (9) Supporting  State emergency response  pro-
grams; and
  (10)  Coordinating Office activities  with other
EPA programs.
  (d) Office of Underground Storage  Tanks. The
Office of Underground Storage  Tanks, under the
supervision of a Director, is responsible for defin-
ing,  planning,  and implementing regulation of un-
derground  storage tanks containing petroleum, pe-
troleum products,  and  chemical  products. In par-
ticular,  this Office is  responsible for overseeing
implementation of Subtitle I of the Resource Con-
servation and Recovery Act  (RCRA), as amended.
The  Office develops and promulgates  regulations
and policies including notification, tank design and
installation, corrective  action,  and  State program
approvals.  It also plans for an oversees utilization
of the Underground Storage Tank Trust Fund es-
tablished by the  Superfund Amendments and  Re-
authorization Act  of 1986 (SARA).

[50  FR  26721,  June 28,  1985, as amended at 52 FR
30360, Aug. 14, 1987]

§1.49   Office of Water.
  The Office  of  Water, under the  supervision of
the  Assistant Administrator for Water who serves
as the  principal  adviser to  the Administrator in
matters  pertaining to water programs,  is respon-
sible  for management  of EPA's  water programs.
Functions of the Office include program policy de-
velopment  and evaluation; environmental and pol-
lution source standards development; program pol-
icy  guidance and  overview; technical support;  and
evaluation  of  Regional water  activities; the  con-
duct  of compliance and permitting activities  as
they relate to  drinking water and water programs;
development  of programs  for  technical assistance
and technology transfer; development  of  selected
demonstration programs; economic  and long-term
                                               13

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§1.49
environmental analysis;  and marine and estuarine
protection.
  (a) Office of Water Enforcement  and Permits.
The  Office of  Water  Enforcement  and Permits,
under the supervision of a Director, develops poli-
cies, strategies, procedures  and guidance for EPA
and  State compliance  monitoring,  evaluation, and
enforcement programs for  the Clean  Water Act
and  the Marine Protection Research  and  Sanc-
tuaries Act. The Office also provides national pro-
gram direction to the National Pollutant Discharge
Elimination System permit program.  The  office
has  overview responsibilities  and provides  tech-
nical assistance  to the regional  activities in both
enforcement and permitting programs.
  (b) Office of Water Regulations and Standards.
The  Office of Water  Regulations and  Standards,
under the supervision  of a Director, is  responsible
for the  Agency's  water regulations and standards
functions. The Office is responsible for developing
an overall program strategy for the achievement of
water  pollution  abatement  in  cooperation  with
other appropriate  program offices.  The  Office
assures  the coordination of all national water-relat-
ed activities within this water program strategy,
and monitors national progress toward the achieve-
ment of water quality  goals and is responsible for
the development of effluent guidelines  and water
quality  standards,  and other  pollutant  standards,
regulations, and guidelines  within the program re-
sponsibilities of the Office.  It exercises overall re-
sponsibility for the development of effective  State
and  Regional water quality  regulatory control pro-
grams.  The Office  is responsible for the develop-
ment and maintenance of a centralized water pro-
grams  data  system  including compatible  water
quality, discharger,  and program data files  utiliz-
ing,  but not displacing, files developed  and main-
tained by other  program offices.  It is responsible
for developing national accomplishment plans and
resource and  schedule guidelines  for  monitoring
and  evaluating the  performance,  progress, and fis-
cal status of the organization in implementing pro-
gram plans. The Office represents EPA in activi-
ties  with other  Federal agencies  concerned with
water quality regulations and standards.
  (c) Office of Municipal Pollution  Control. The
Office of Municipal Pollution Control,  under the
supervision of a Director,  is  responsible for the
Agency's water  program operations functions. The
Office is responsible for developing national  strat-
egies, program and policy recommendations,  regu-
lations  and guidelines for municipal water  pollu-
tion  control; for providing technical  direction and
support to Regional Offices  and  other organiza-
tions; and  for evaluating Regional and  State pro-
grams  with  respect to  municipal point  source
abatement  and  control, and  manpower develop-
ment for   water-related activities.  The  Office
assures that priority Headquarters and regional ac-
tivities are  planned and  carried out in a  coordi-
nated and integrated fashion, including developing
and implementing data submission systems.
  (d)  Office of Drinking  Water.  The  Office  of
Drinking Water, under the supervision of a Direc-
tor, is responsible for water supply activities of the
Agency,  including the  development  of  an imple-
mentation  strategy  which  provides  the  national
policy direction and coordination for the program.
This Office develops regulations and guidelines to
protect drinking water quality and existing  and fu-
ture underground sources of drinking water, devel-
ops program policy and guidance for enforcement
and compliance activities, and  recommends policy
for water supply  protection activities.  The office
provides  guidance and technical  information  to
State agencies, local utilities, and Federal facilities
through the Regional Offices on program planning
and phasing; evaluates  the  national level of com-
pliance with the  regulations; plans  and develops
policy guidance for response to  national, Regional,
and local emergencies; reviews and evaluates, with
Regional Offices, technical data for the designa-
tion  of sole-source aquifers;  designs  a  national
program  of public information;  provides program
policy direction for technical assistance and man-
power training activities in the  water supply  area;
identifies research  needs  and develops  monitoring
requirements for  the national  water supply  pro-
gram;  develops national accomplishments' plans
and resource  schedule  guidelines  for  monitoring
and evaluating  the program plans,  and program
performance, and fiscal status; develops program
plans,  and  budget  and  program status  reports for
the water supply program;  coordinates water sup-
ply activities with other  Federal agencies  as  nec-
essary; and serves  as  liaison  with  the National
Drinking Water Advisory Council.
  (e)  Office of Ground-Water Protection. The Of-
fice of Ground-Water Protection, under  the super-
vision  of a Director, oversees  implementation of
the Agency's  Ground-water  Protection  Strategy.
This Office coordinates  support of  Headquarters
and regional activities  to develop stronger  State
government  organizations  and  programs  which
foster ground-water protection.  The Office directs
and coordinates Agency  analysis and approaches
to unaddressed problems of ground-water contami-
nation; is principally responsible for establishing
and implementing  a framework  for decision-mak-
ing at EPA on ground-water protection issues; and
serves  as the focus of internal  EPA policy  coordi-
nation for ground-water.
  (f)  Office of Marine and Estuarine Protection.
The  Office of  Marine and Estuarine  Protection,
under the supervision of  a Director,  is responsible
for the development of policies and strategies and
implementation  of a program  to protect the ma-
                                                 14

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rine/estuarine environment, including ocean dump-
ing. The Office provides national direction for the
Chesapeake Bay and other estuarine  programs, and
policy oversight of the Great Lakes Program.
  (g) Office of Wetlands Protection.  The Office of
Wetlands Protection,  under  the supervision of a
Director,  administers the  404/Wetlands  Program
and develops policies, procedures,  regulations, and
strategies addressing the  maintenance, enhance-
ment, and protection of the Nations Wetlands. The
Office coordinates  Agency  issues related  to wet-
lands.
[50  FR  26721, June 28,  1985, as amended at 52 FR
30360, Aug. 14, 1987]

    Subpart C—Field Installations

§1.61   Regional Offices.
  Regional  Administrators are responsible to  the
Administrator, within the boundaries of their Re-
gions, for the execution of the Regional Programs
of the Agency and  such other responsibilities  as
may be  assigned.  They  serve  as  the Administra-
tor's prinicipal representatives  in their  Regions in
contacts  and relationships   with  Federal, State,
                                         §1.61

interstate  and local agencies,  industry,  academic
institutions,  and other public and private  groups.
Regional Administrators are responsible for:
  (a) Accomplishing national  program objectives
within the Regions as established by the Adminis-
trator,  Deputy  Administrator,  Assistant  Adminis-
trators,  Associate  Administrators,  and Heads  of
Headquarters Staff Offices;
  (b)  Developing, proposing,  and  implementing
approved  Regional  programs  for  comprehensive
and  integrated environmental protection activities;
  (c) Total resource management in their Regions
within guidelines provided by Headquarters;
  (d) Conducting  effective  Regional enforcement
and compliance programs;
  (e) Translating technical  program direction and
evaluation provided by the  various Assistant Ad-
ministrators,  Associate  Administrators and Heads
of Headquarters Staff Offices,  into effective oper-
ating programs at the Regional level,  and assuring
that such programs are executed efficiently;
  (f) Exercising approval authority for proposed
State standards and implementation plans;  and
  (g) Providing for overall and specific  evalua-
tions of Regional  programs, both internal  Agency
and State activities.
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   PART  2—PUBLIC  INFORMATION

    Subpart A—Requests for Information

Sec.
2.100   Definitions.
2.101   Policy  on disclosure of EPA records.
2.102   [Reserved]
2.103   Partial  disclosure of records.
2.104   Requests to which this subpart applies.
2.105   Existing records.
2.106   Where  requests for  agency records shall be filed.
2.107   Misdirected written requests; oral requests.
2.108   Form of request.
2.109   Requests  which  do  not  reasonably  describe
    records  sought.
2.110   Responsibilities of Freedom of Information Offi-
    cers.
2.111   Action by office responsible for responding to re-
    quest.
2.112   Time allowed for  issuance of initial determina-
    tion.
2.113   Initial denials of requests.
2.114   Appeals from initial denials; manner of making.
2.115   Appeal determinations; by whom made.
2.116   Contents of determination denying appeal.
2.117   Time allowed for issuance of appeal determina-
    tion.
2.118   Exemption categories.
2.119   Discretionary release of exempt documents.
2.120   Fees; payment; waiver.
2.121   Exclusions.

   Subpart  B—Confidentiality of Business
                    Information

2.201   Definitions.
2.202   Applicability  of subpart;  priority where provisions
    conflict; records containing more than one kind  of
    information.
2.203   Notice  to be  included in EPA requests, demands,
    and forms; method of asserting business confidential-
    ity claim;  effect of failure to  assert claim at time  of
    submission.
2.204   Initial action by EPA office.
2.205   Final confidentiality determination by EPA legal
    office.
2.206   Advance confidentiality determinations.
2.207   Class determinations.
2.208   Substantive criteria  for use in  confidentiality de-
    terminations.
2.209   Disclosure in special circumstances.
2.210   Nondisclosure for   reasons other  than  business
    confidentiality or where disclosure  is prohibited by
    other statute.
2.211   Safeguarding  of business information;  penalty for
    wrongful disclosure.
2.212   Establishment of control offices for categories  of
    business information.
2.213   Designation by business of addressee  for notices
    and inquiries.
2.214   Defense of Freedom of Information Act suits; par-
    ticipation  by affected business.
2.215   Confidentiality agreements.
2.216-2.300   [Reserved]
2.301   Special rules governing certain  information ob-
    tained under the  Clean Air Act.
2.302  Special  rules governing  certain  information  ob-
    tained under the Clean Water Act.
2.303  Special  rules governing  certain  information  ob-
    tained under the Noise Control Act of 1972.
2.304  Special  rules governing  certain  information  ob-
    tained under the Safe Drinking Water Act.
2.305  Special  rules governing  certain  information  ob-
    tained under  the   Solid  Waste  Disposal Act,  as
    amended.
2.306  Special  rules governing  certain  information  ob-
    tained under the Toxic Substances Control Act.
2.307  Special  rules governing  certain  information  ob-
    tained under the Federal  Insecticide, Fungicide  and
    Rodenticide Act.
2.308  Special  rules governing  certain  information  ob-
    tained under the Federal  Food, Drug and Cosmetic
    Act.
2.309  Special  rules governing  certain  information  ob-
    tained under the Marine Protection, Research  and
    Sanctuaries Act of 1972.
2.310  Special  rules governing  certain  information  ob-
    tained under the Comprehensive Environmental  Re-
    sponse, Compensation, and Liability Act of 1980, as
    amended.
2.311   Special  rules governing  certain  information  ob-
    tained under the Motor Vehicle Information and Cost
    Savings Act.

Subpart  C—Testimony  by  Employees  and
     Production of  Documents in Civil  Legal
     Proceedings Where the United  States Is
     Not a  Party

2.401   Scope and purpose.
2.402  Policy on presentation of testimony and produc-
    tion of documents.
2.403  Procedures  when  voluntary  testimony   is  re-
    quested.
2.404  Procedures when an employee is subpoenaed.
2.405  Subpoenas duces tecum.
2.406  Requests for  authenticated  copies of EPA  docu-
    ments.

  AUTHORITY:  5 U.S.C.  301, 552 (as  amended), 553;
sees.  114, 205,  208, 301,  and 307, Clean Air Act, as
amended (42  U.S.C. 7414,  7525,  7542, 7601, 7607); sees.
308, 501 and 509(a), Clean  Water Act,  as  amended  (33
U.S.C. 1318,  1361,  1369(a)); sec. 13,  Noise Control  Act
of 1972  (42  U.S.C.  4912);  sees.  1445  and  1450,  Safe
Drinking Water  Act (42  U.S.C. 300j^, 300j-9); sees.
2002, 3007,  and 9005, Solid Waste Disposal Act,  as
amended (42 U.S.C. 6912, 6927,  6995); sees. 8(c),  11,
and 14, Toxic Substances Control Act (15 U.S.C. 2607(c),
2610, 2613);  sees.  10,  12,  and  25, Federal  Insecticide,
Fungicide, and  Rodenticide  Act, as amended  (7  U.S.C.
136h, 136j, 136w);  sec. 408(f), Federal  Food, Drug  and
Cosmetic  Act,  as amended  (21  U.S.C.  346(fl); sees.
104(f)  and 108, Marine Protection Research  and  Sanc-
tuaries Act of 1972 (33  U.S.C. 1414(f),  1418); sees.  104
and 115, Comprehensive Environmental  Response,  Com-
pensation, and  Liability Act of 1980, as amended  (42
U.S.C. 9604 and 9615);  sec. 505, Motor Vehicle Informa-
tion and Cost Savings Act, as amended (15 U.S.C.  2005).

  SOURCE: 41 FR 36902, Sept. 1, 1976,  unless otherwise
noted.

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§2.100
       Subpart A—Requests for
                Information

§2.100   Definitions.
  For the purposes of this part:
  (a) EPA means the United States Environmental
Protection Agency.
  (b) EPA Record or,  simply record means any
document, writing,  photograph, sound or magnetic
recording, drawing,  or other  similar  thing  by
which information has been preserved, from which
the information can be retrieved and copied, and
over which EPA has  possession or control. It may
include  copies  of the  records of  other  Federal
agencies (see  §2.111(d)). The term includes  infor-
mal writings (such as drafts and the like), and also
includes  information  preserved in a form which
must  be translated or deciphered by machine  in
order to be intelligible to humans. The term  in-
cludes documents and the like which were created
or acquired by EPA,  its predecessors, its officers,
and its employees by use of Government funds  or
in the course of transacting official business.  How-
ever,  the  term  does  not include  materials which
are the personal records of an EPA officer or em-
ployee.  Nor does the term include materials pub-
lished by non-Federal  organizations which are
readily  available to  the  public,  such as books,
journals,  and  periodicals  available  through ref-
erence  libraries, even  if  such materials  are  in
EPA's possession.
  (c) Request means  a request to inspect or obtain
a copy of one or more records.
  (d) Requestor means any  person who has sub-
mitted a request to EPA.
  (e) The term commercial  use request refers  to
a request  from or on behalf of one who seeks in-
formation for a use  or  purpose that furthers the
commercial, trade  or  profit interests of the reques-
tor  or the person  on whose  behalf the request  is
made. In determining whether a requestor properly
belongs in this category, EPA must determine the
use to which  a requestor will  put the documents
requested.  Moreover, where EPA  has reasonable
cause to doubt the use to  which  a requestor will
put the records sought,  or where that use is not
clear  from the request itself, EPA may seek addi-
tional clarification before assigning the request  to
a specific category.
  (f)  The term non-commercial scientific institu-
tion refers to  an institution that is  not operated on
a commercial basis as  that term  is referenced  in
paragraph (e)  of this section, and which is  oper-
ated solely for the purpose  of conducting scientific
research the results of which are  not intended  to
promote any particular product or industry.
  (g) The term educational  institution refers to a
preschool, a public or private  elementary  or sec-
ondary  school, an  institution of  graduate  higher
education,  an institution of undergraduate  higher
education, an institution or professional education,
and  an  institution of vocational education,  which
operates a program  or programs  of  scholarly re-
search.
  (h) The term representative of the news  media
refers to any person actively gathering news for an
entity that is organized and operated to publish or
broadcast news  to  the  public.  The term  news
means information that is about current events or
that would be of current interest to the public.  Ex-
amples  of news  media entities  include  television
or radio  stations broadcasting  to the  public at
large, and publishers  of periodicals  (but only in
those instances when they  can qualify as dissemi-
nators of news) who make  their products available
for purchase or subscription by the general public.
These examples  are not intended to  be all-inclu-
sive. Moreover, as traditional methods of news de-
livery  evolve  (e.g.,  electronic  dissemination of
newspapers  through telecommunications services),
such alternative media would be  included in this
category. In the case  of freelance  journalists,  they
may be regarded as working for a news organiza-
tion  if they can demonstrate a solid  basis for ex-
pecting  publication through that organization, even
though not actually employed by it. A publication
contract would be the clearest proof, but EPA may
also  look to the  past publication  record of a re-
questor  in making this determination.
  (i) The term search includes all time spent look-
ing for material that is responsive  to a request, in-
cluding  page-by-page or line-by-line  identification
of material within documents. Searching for mate-
rial must be done in the  most efficient and  least
expensive manner so  as to minimize costs for both
the EPA and the  requestor. For example, EPA will
not engage in line-by-line search when merely du-
plicating an entire document would prove the less
expensive and quicker method of complying  with
a request. Search will be distinguished, moreover,
from  review of  material  in  order  to  determine
whether  the material  is exempt  from disclosure
(see  paragraph (j) of this  section). Searches  may
be done manually or by computer using existing
programming.
  (j) The term review refers  to the process  of ex-
amining  documents  located in response  to  a re-
quest that is for  a commercial use (see paragraph
(e) of this  section) to determine whether any por-
tion  of any document located is  permitted to be
withheld.  It  also includes processing  any  docu-
ments for disclosure,  e.g., doing  all  that is  nec-
essary to excise them and  otherwise prepare them

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                                                                                          §2.106
for release. Review does not include time spent re-
solving legal or policy  issues regarding the appli-
cation of exemptions.  (Documents must be  re-
viewed in responding to all requests; however, re-
view  time  may only be charged to Commercial
Use Requesters.)
  (k) The term duplication refers to the process of
making a copy of a document  necessary  to  re-
spond to an  FOIA request. Such copies can take
the form of  paper copy, microform, audio-visual
materials,  or  machine  readable  documentation
(e.g.,  magnetic tape or disk), among  others.  The
copy  provided  must be  in a form that is reason-
ably usable by requesters.
[41  FR 36902, Sept. 1,  1976,  as  amended at  50  FR
51658, Dec. 18, 1985; 53 FR 216, Jan. 5, 1988]

§2.101  Policy  on  disclosure  of  EPA
    records.
  (a)  EPA will make the  fullest possible disclo-
sure of records to the public, consistent with  the
rights of individuals to  privacy, the rights of per-
sons in business  information entitled to confiden-
tial treatment, and the  need for  EPA to promote
frank internal policy deliberations and to pursue its
official activities without undue disruption.
  (b) All EPA records  shall be available  to  the
public unless they are exempt from the disclosure
requirements  of 5 U.S.C 552.
  (c)  All nonexempt  EPA records shall be avail-
able  to  the  public upon  request  regardless   of
whether any justification or need for such records
has been shown by the requestor.
  (d) When documents  responsive to a request are
maintained for distribution by agencies operating
statutory-based fee schedule  programs, such  as,
but not limited to, the Government Printing  Office
or the  National  Technical  Information  Service,
EPA  will inform  the requester  of the  steps nec-
essary to obtain records  from the  sources.
[41 FR 36902, Sept. 1, 1976, as amended at 53 FR 216,
Jan. 5, 1988]

§2.102  [Reserved]

§2.103  Partial disclosure  of records.
  If a requested record contains  both exempt and
nonexempt material, the nonexempt material shall
be disclosed, after the  exempt material has been
deleted in accordance with  §2.119.

§2.104 Requests to which this subpart
    applies.
  (a)  This  subpart applies to any  written request
(other than  a request  made  by  another Federal
agency) received by any EPA office,  whether or
not the request cites the Freedom of  Information
Act, 5  U.S.C.  552. See §§2.107(a) and  2.112(b)
regarding the treatment of requests which are  di-
rected by the requestor to offices other than those
listed in  §2.106.
  (b) Any  written request to  EPA for existing
records  prepared by EPA  for  routine public  dis-
tribution, e.g., pamphlets, copies of speeches, press
releases,  and educational materials,  shall be hon-
ored.  No individual determination under §2.111 is
necessary in such cases, since preparation  of the
records  for  routine public  distribution  itself con-
stitutes a determination that the records are avail-
able to the public.

§2.105   Existing records.
  (a) The Freedom of Information Act, 5 U.S.C.
552, does not require the creation of new records
in response  to a  request, nor does it require EPA
to place  a requestor's  name  on a distribution  list
for automatic receipt of certain kinds of records as
they come into existence. The Act establishes re-
quirements for disclosure of existing records.
  (b) All existing EPA records are subject to rou-
tine destruction according to standard record reten-
tion schedules.
§2.106   Where   requests
     records shall be filed.
for   agency
  (a) A request for records may be filed with the
EPA Freedom of Information Officer, A-101, 401
M Street,  SW., Washington, DC 20460.
  (b) Should the requestor have  reason to believe
that the records sought may be located in an EPA
regional office, he may transmit his request to the
appropriate regional Freedom of Information  Of-
fice indicated below:
  (1)  Region  I  (Massachusetts,  Connecticut,
Maine, New  Hampshire, Rhode Island,  Vermont):
U.S. Environmental Protection Agency, Freedom of Infor-
  mation Officer, Room 2303,  John F.  Kennedy Federal
  Building, Boston, MA 02203.
  (2) Region II (New Jersey,  New York, Puerto
Rico, Virgin Islands):
U.S. Environmental Protection Agency, Freedom of Infor-
  mation Officer, Room 1005,  26  Federal Plaza,  New
  York, NY 10007.
  (3) Region III (Delaware, Maryland, Pennsylva-
nia,  Virginia, West Virginia, District of  Colum-
bia):
U.S. Environmental Protection Agency, Freedom of Infor-
  mation Officer, 841  Chestnut Street,  Philadelphia, PA
  19107.
  (4) Region IV (Alabama,  Florida, Georgia, Ken-
tucky, Mississippi, North Carolina, South Carolina,
Tennessee):
U.S. Environmental Protection Agency, Freedom of Infor-
  mation Officer, 345 Courtland Street, NE., Atlanta, GA
  30365.

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§2.107
  (5) Region V (Illinois, Indiana, Michigan, Min-
nesota, Ohio, Wisconsin):

U.S. Environmental Protection Agency, Freedom of Infor-
  mation  Officer, 77 West Jackson Boulevard, Chicago,
  IL 60604.

  (6) Region VI (Arkansas, Louisiana, New Mex-
ico, Oklahoma, Texas):

U.S. Environmental Protection Agency, Freedom of Infor-
  mation  Officer (6M-MC), 1201 Elm Street, Dallas, TX
  75270.

  (7) Region VII  (Iowa, Kansas,  Missouri, Ne-
braska):

U.S. Environmental Protection Agency, Freedom of Infor-
  mation  Officer, 726 Minnesota Avenue, Kansas City,
  KS 66101.

  (8) Region VIII (Colorado, Montana, North Da-
kota, South Dakota, Utah, Wyoming):

U.S. Environmental Protection Agency, Freedom of Infor-
  mation  Officer, One  Denver  Place,  999 18th  Street,
  Suite 1300, Denver, CO 80202-2413.

  (9) Region IX (Arizona, California,  Hawaii, Ne-
vada, American Samoa, Guam,  Trust  Territory of
Pacific Islands):

U.S. Environmental Protection Agency, Freedom of Infor-
  mation  Officer,  215 Fremont Street, San Francisco, CA
  94105.

  (10) Region X  (Alaska, Idaho, Oregon, Wash-
ington):

U.S. Environmental Protection Agency, Freedom of Infor-
  mation  Officer, 1200  Sixth  Avenue,  Seattle, WA
  98101.
[41  FR 36902,  Sept.  1,  1976,  as  amended  at 50 FR
51659, Dec. 18, 1985; 62 FR 1833, Jan.  14, 1997]

§2.107   Misdirected  written  requests;
     oral requests.
  (a) EPA cannot assure that a  timely or satisfac-
tory response  under this subpart will  be given to
written requests that are addressed to EPA offices,
officers,  or employees  other than the  Freedom of
Information Officers  listed in §2.106. Any EPA
officer or employee who receives a written request
for inspection or disclosure of  EPA records shall
promptly forward a copy of the request to the ap-
propriate Freedom  of Information Officer, by the
fastest practicable means, and shall,  if appropriate,
commence action  under  §2.111. For  purposes  of
§2.112, the time allowed with respect to initial de-
terminations shall be  computed from the day on
which the appropriate  Freedom  of Information Of-
ficer receives the request.
  (b) While EPA officers and employees will at-
tempt in  good faith to  comply with requests for in-
spection  or disclosure of EPA records made orally,
by telephone or otherwise, such oral  requests are
not required to be processed in accordance  with
this subpart.
[41  FR  36902,  Sept.  1,  1976, as  amended  at 50 FR
51659, Dec. 18, 1985]

§ 2.108   Form of request.
  A request shall be made in writing, shall reason-
ably describe the records sought in a way that will
permit their identification and location, and should
be addressed to one  of the addresses set forth in
§2.106, but otherwise need not  be in  any particu-
lar form.

§2.109   Requests which do not reason-
     ably describe records sought.
  (a) If the  description of the  records sought in
the request is not sufficient to allow EPA to iden-
tify and  locate  the requested records, the EPA of-
fice taking action under §2.111  will notify the re-
questor (by telephone  when practicable) that the
request cannot be further processed until additional
information is furnished.
  (b) EPA will make  every  reasonable  effort to
assist  in the  identification  and  description  of
records sought and to  assist the requestor  in for-
mulating his request. If a request  is described in
general terms (e.g., all records having to do  with
a certain area), the EPA office taking action under
§2.111  may communicate with the requestor (by
telephone when practicable) with  a view  toward
reducing the administrative burden  of processing a
broad request and minimizing the fees payable by
the requestor. Such attempts will not be used as a
means to  discourage  requests,  but  rather  as  a
means to help  identify with more specificity the
records actually sought.

§2.110   Responsibilities  of  Freedom  of
     Information Officers.
  (a) Upon receipt of a written request, the Free-
dom  of  information Officer  (whether  at  EPA
Headquarters or at an EPA region) shall  mark the
request with the date of receipt, and shall attach
to the request a control slip indicating the date of
receipt, the  date  by which  response is  due,  a
unique Request Identification Number, and other
pertinent  administrative information.  The request
and  control  slip shall  then be  forwarded  imme-
diately to the EPA office believed to be respon-
sible for maintaining  the records requested. (If the
records requested are  believed to be located at two
or more EPA  offices,  each such  office shall be
furnished a copy of  the request and  control  slip,
with  instructions  concerning which  office  shall
serve as the lead office  for coordinating the re-
sponse.)  The Freedom of Information Officer  shall
retain a file  copy of the request and  control  slip,
and  shall monitor the  handling of the request to
ensure a timely response.

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                                                                                         §2.112
  (b) The Freedom of Information Officer shall
maintain a file concerning each request received,
which shall contain a  copy of the request, initial
and appeal determinations, and other pertinent cor-
respondence and records.
  (c) The Freedom of Information officer shall
collect and maintain the information necessary to
compile the reports required by 5  U.S.C.  552(d).

§2.111   Action  by office responsible for
     responding to  request.
  (a) Whenever  an EPA  office  becomes  aware
that  it is  responsible for responding to a request,
the office shall:
  (1) Take action under §2.109, if required, to ob-
tain  a better  description of the records requested;
  (2) Locate the  records as promptly  as possible,
or determine that the  records are not known to
exist, or that they are  located at another EPA of-
fice,   or that  they are  located at  another Federal
agency and not possessed by EPA;
  (3)  When  appropriate,   take   action   under
§2.120(c) to  obtain payment or  assurance of pay-
ment;
  (4) If any located records  contain business in-
formation, as  defined  in §2.201(c), comply with
subpart B of this part;
  (5) Determine  which of the  requested records
legally   must  be  withheld,  and  why   (see
§2.119(b));
  (6) Of the requested records which  are exempt
from mandatory disclosure but which  legally may
be disclosed  (see  §2.119(a)),  determine  which
records will be withheld, and why;
  (7) Issue all initial determination within the al-
lowed period (see  §2.112),  specifying (individ-
ually or  by category)  which records will be dis-
closed and which will  be withheld, and signed by
a person authorized to  issue the  determination
under §2.113(b).  Denials of requests shall comply
with §2.113;  and
  (8) Furnish the appropriate Freedom  of Informa-
tion  Officer a copy of the determination. If the de-
termination denied a request for one or more  exist-
ing,  located  records, the  responding  office shall
also  furnish  the  Freedom  of Information officer
the name, address, and telephone  number  of the
EPA employee(s)  having  custody of the  records,
and shall maintain the records in a manner permit-
ting  their prompt forwarding to the General  Coun-
sel upon request  if an appeal from the initial de-
nial is filed. See also §2.204(f).
  (b) If it appears that some  or all of the re-
quested records are not in the  possession  of the
EPA office which has been assigned responsibility
for responding to  the  request but may be  in the
possession of some other EPA office, the Freedom
of Information officer who  is monitoring  the re-
quest shall be so informed immediately.
  (c) In determining which records are responsive
to a request, the EPA office responding shall ordi-
narily  include those records  within  the  Agency's
possession as  of the date of the  Agency's receipt
of the request.
  (d) When  a request for EPA records encom-
passes records of another Federal agency, the EPA
office shall either: (1) Respond to the request after
consulting with  the  originating agency  when ap-
propriate  or;  (2) promptly transfer  responsibility
for  responding to the request to the originating
agency provided that the  other agency is  subject to
the  FOIA. Whenever the EPA office  refers  a re-
quest to another agency,  it shall notify the reques-
tor  of the  referral.

[41  FR 36902, Sept.  1, 1976,  as amended  at 50 FR
51659, Dec. 18, 1985]

§2.112   Time  allowed  for  issuance  of
     initial  determination.
  (a) Except as otherwise provided in this section,
not later than the tenth working day after the date
of receipt by  a Freedom of Information  Office of
a request  for  records,  the  EPA office responsible
for  responding to the request shall issue a written
determination to the  requestor stating which of the
requested  records will, and which will not, be re-
leased and the reason for any denial of  a request.
If the records  are not known to exist or  are not in
EPA's possession, the EPA office shall  so inform
the   requestor.  To  the extent requested records
which are in  EPA's possession are  published by
the  Federal government,  the response may inform
the  requestor that the records are available for in-
spection and where copies can be obtained.
  (b) The period of  10 working  days shall  be
measured  from  the  date  the  request  is first re-
ceived and logged in  by the  Headquarters or re-
gional Freedom of Information  Office.
  (c) There shall be excluded  from  the  period of
10  working days  (or  any extension thereof) any
time which elapses between the date  that a reques-
tor  is notified by  EPA under  §2.109  that his re-
quest does  not reasonably  identify the records
sought, and the date that the  requestor furnishes a
reasonable identification.
  (d) There shall be excluded  from  the  period of
10  working days  (or  any extension thereof) any
time which elapses between the date  that a reques-
tor  is notified by EPA under  §2.120 that prepay-
ment or assurance of payment  of fees is required,
and the date  that the requestor pays (or makes
suitable arrangements to pay) such charges.
  (e) The EPA office taking action under §2.111,
after notifying the appropriate  Freedom  of Infor-
mation Office, may extend the basic  10-day period
established under subsection (a) of this section by
a period not to exceed 10 additional working days,
by furnishing written notice to the requestor within

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§2.113
the basic  10-day period stating  the reasons for
such extension and  the  date  by which  the  office
expects to be able to issue a determination.  The
period may be so extended only  when  absolutely
necessary, only  for  the period required,  and only
when one or more  of the  following unusual cir-
cumstances require the extension:
   (1) There is a need to search for and collect the
requested records  from field facilities or other es-
tablishments  that are separate  from the office proc-
essing the request:
   (2) There  is a  need to search  for, collect, and
appropriately  examine  a voluminous  amount of
separate  and distinct records  which are  demanded
in a single request; or
   (3) There is a need for consultation, which shall
be  conducted with all practicable speed, with an-
other agency having a substantial interest in the
determination of  the request or among two or
more components  of EPA.
   (f) Failure of  EPA to  issue  a  determination
within the 10-day period or any authorized exten-
sion shall constitute  final agency action  which au-
thorizes the requestor to commence an action  in an
appropriate Federal   district  court to  obtain the
records.
[41 FR  36902, Sept.  1, 1976,  as amended  at 50 FR
51659, Dec. 18, 1985]

§2.113   Initial denials of requests.
   (a) An initial  denial of a request may be issued
only for the following reasons:
   (1) A  statutory  provision, provision of this part,
or court  order requires that  the information not be
disclosed;
   (2) The record is  exempt from mandatory dis-
closure  under 5 U.S.C.  552(b) and  EPA has de-
cided that the public interest  would not be served
by disclosure; or
   (3) Section 2.204(d)(l) requires initial denial be-
cause a third  person must be  consulted in connec-
tion with  a business  confidentiality claim.
   (b) The Deputy Administrator, Assistant Admin-
istrators,  Regional  Administrators,  the  General
Counsel, the Inspector General, Associate Admin-
istrators,  and heads  of headquarters  staff offices
are delegated the authority to issue initial  deter-
minations This authority may be redelegated; Pro-
vided, That the authority to issue  initial  denials of
requests  for  existing,  located records (other than
denials based solely  on  §2.204(d)(l)) may be re-
delegated only to  persons occupying positions not
lower than division director  or equivalent.
   (c) [Reserved]
   (d)(l)  Each initial determination  to deny  a re-
quest shall be written, signed, and dated, and, ex-
cept as provided in paragraph (d)(2), shall contain
a reference to the Request  Identification Number,
shall identify the  records that are being withheld
(individually, or, if the denial covers a large num-
ber of similar records, by described category), and
shall state  the basis for denial for each record or
category of records being withheld.
  (2) No initial determination shall reveal the ex-
istence  or  nonexistence of records if identifying
the mere fact of the existence or nonexistence of
those records would reveal confidential business
information,  confidential personal information or
classified national security information.  Instead of
identifying the  existence or  nonexistence  of the
records,  the  initial  determination  shall state  that
the request is denied because  either the records do
not exist or they are exempt  from mandatory dis-
closure under the applicable provision of 5 U.S.C.
552(b). No such determination shall be made with-
out the concurrence of the General Counsel or his
designee. The General Counsel has designated the
Contracts and Information Law  Branch to act on
these requests  for  concurrence.   See  §2.121 for
guidance on initial  determinations denying, in lim-
ited circumstances,  the existence  of certain law en-
forcement records or information.
  (e) If the decision to deny a request is made by
an authorized EPA employee other than the person
signing the determination letter, that other person's
identity  and  position shall be  stated in the deter-
mination letter.
  (f) Each  initial determination  which  denies, in
whole  or in part, a request  for one or more exist-
ing, located EPA records (including determinations
described in  §2.113(d)(2)  of this section)  shall
state that the requester may appeal the initial de-
nial by  sending  a written  appeal to  the address
shown in §2.106(a) within 30 days after receipt of
the determination.  An initial  determination which
only denies the existence of records, however, will
not include a notice of appeal rights.
  (g) A determination shall be deemed issued on
the date the determination letter  is placed in  EPA
mailing channels for first class mailing to the re-
questor,  delivered to the U.S. Postal Service for
mailing, or personally delivered to the requestor,
whichever date first occurs.

[41  FR  36902, Sept.  1,  1976, as  amended  at 50  FR
51659, Dec.  18, 1985; 53 FR 216, Jan. 5, 1988]

§2.114 Appeals   from   initial  denials;
     manner of making.
  (a) Any  person whose request for one or more
existing, located  EPA records has been denied in
whole  or in  part by an initial determination may
appeal that  denial by  addressing a written appeal
to the address shown in  § 2.106(a).
  (b) An appeal should be mailed no later than 30
calendar days after the date the requestor received

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                                                                                          §2.117
the initial  determination  on the request.  An  un-
timely appeal may be treated either as a timely ap-
peal or as a new request, at the option of the Free-
dom of Information Officer.
   (c) The appeal letter shall contain a reference to
the Request Identification Number  (RIN), the date
of the initial determination, and the name  and ad-
dress of the person  who  issued the  initial denial.
The appeal letter shall  also indicate  which of the
records to  which access was  denied are the sub-
jects of the appeal.

[41 FR 36902,  Sept.  1,  1976, as amended at 50 FR
51659, Dec.  18, 19851
§2.115   Appeal
     whom made.
determinations;     by
  (a) The General Counsel shall make one of the
following legal  determinations in connection  with
every appeal from the initial denial of a request
for an existing, located record:
  (1) The record must be disclosed;
  (2) The  record must not be disclosed, because
a statute or a provision of this part so requires; or
  (3) The  record is exempt from  mandatory dis-
closure  but legally may be disclosed as a matter
of Agency discretion.
  (b) Whenever the General Counsel has deter-
mined under paragraph (a)(3) of this section that
a record is exempt from mandatory disclosure but
legally  may be  disclosed,  and the record has not
been  disclosed by EPA under 5 U.S.C. 552, the
matter shall be referred to the Assistant Adminis-
trator   for  External  Affairs.   If  the   Assistant
Administant  Administrator  determines  that  the
public interest would not be served by disclosure,
a determination  denying the appeal shall be issued
by the General Counsel. If the Assistant Adminis-
trator determines that the public  interest would  be
served by disclosure, the record shall be disclosed
unless the Administrator  (upon  a review  of the
matter requested by the appropriate Assistant Ad-
ministrator,  Associate Administrator, Regional Ad-
ministrator,  the General Counsel, or the head of a
headquarters staff office)  determines that the  pub-
lic  interest would not be served by disclosure, in
which case  the  General Counsel shall issue a de-
termination denying  the appeal. This review by the
Assistant Administrator for External Affairs  shall
not apply to appeals from initial determinations  by
the Office  of Inspector General  to deny requests.
  (c) The  General Counsel may delegate his au-
thority under paragraph (a) of this section to a Re-
gional Counsel,  or to any other attorney employed
on  a  full-time basis by  EPA,  in connection  with
any category of appeals or any individual appeal.
  (d) The Assistant Administrator for External Af-
fairs may delegate the authority under paragraph
(b) of this section to the Deputy Assistant Admin-
istrator for External Affairs.
[41 FR  36902, Sept.  1,  1976, as amended  at 50 FR
51659, Dec. 18, 1985]

§2.116   Contents  of  determination  de-
     nying appeal.
   (a) Except as provided in paragraph (b) of this
section,  each determination  denying  an appeal
from an initial  denial  shall be  in  writing,   shall
state which  of the exemptions  in 5 U.S.C. 552(b)
apply to each requested existing record, and  shall
state the reason(s) for denial of the  appeal. A de-
nial determination shall also state the name and
position of each EPA officer or employee who di-
rected that  the  appeal  be denied.  Such  a deter-
mination shall further state that the  person whose
request  was  denied  may obtain  de  novo judicial
review of the denial by complaint filed  with the
district court of the United States in the district in
which the complainant resides,  or has his  principal
place of business, or in which the Agency records
are situated, or in the District of Columbia, pursu-
ant to 5 U.S.C. 552(a)(4).
   (b) No determination denying  an appeal  shall
reveal the existence  or nonexistence  of records if
identifying the mere fact of the existence or  non-
existence of those records would reveal confiden-
tial business information, confidential personal in-
formation or classified national security  informa-
tion.  Instead of identifying the existence  or  non-
existence  of the records, the  determination  shall
state that the  appeal  is denied because either the
records  do not exist or they are exempt from man-
datory disclosure under the applicable provision of
5 U.S.C. 552(b).
[53 FR217, Jan. 5, 1988]

§2.117  Time  allowed  for  issuance of
     appeal determination.
   (a) Except as  otherwise provided in this section,
not later than the twentieth working  day  after the
date of receipt by the Freedom of Information Of-
ficer  at EPA  Headquarters  of  an appeal  from an
initial denial of a request for records, the General
Counsel shall issue a written determination stating
which of the requested records  (as to  which an ap-
peal was made)  shall be disclosed and which  shall
not be disclosed.
   (b) The period of  20 working days  shall be
measured from the date an appeal is  first received
by the  Freedom of Information Officer  at  EPA
Headquarters, except  as  otherwise  provided  in
§2.205(a).
   (c) The Office of General Counsel, after notify-
ing the Freedom  of  Information Officer  at  EPA
Headquarters, may extend the basic  20-day period
established under subsection (a) of this section by

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§2.118
a period not to exceed 10 additional working days,
by furnishing written notice to the requestor within
the basic 20-day period stating  the  reasons for
such extension and  the  date by which the office
expects to be able to issue a  determination. The
period may be so extended only  when absolutely
necessary,  only  for  the period required, and  only
when one  or  more  of the  following unusual  cir-
cumstances require the extension:
  (1) There is a need to search for and collect the
records from field facilities  or other establishments
that are separate from the office processing the ap-
peal;
  (2) There is a need to search  for,  collect, and
appropriately  examine  a voluminous amount  of
separate and distinct records which are demanded
in a single request; or
  (3) There is a need for consultation, which  shall
be conducted  with all practicable speed,  with an-
other agency  having a substantial interest in the
determination  of  the  request  or  among  two  or
more components of EPA.
  (d) No  extension  of the  20-day period shall  be
issued  under subsection  (c) of this section which
would  cause the total of all such extensions and
of any  extensions issued under  §2.112(e) to ex-
ceed 10 working days.

§2.118  Exemption  categories.
  (a) 5 U.S.C.  552(b) establishes nine  exclusive
categories of matters which are  exempt from the
mandatory disclosure  requirements of  5  U.S.C.
552(a).  No request under 5  U.S.C. 552 for an ex-
isting,  located record in EPA's possession shall be
denied by any EPA  office or employee unless the
record   contains (or  its  disclosure  would reveal)
matters that are—
  (1) Specifically authorized under criteria estab-
lished by  an Executive Order to be kept  secret in
the interest of national  defense or  foreign policy
and are in fact properly classified  pursuant to  such
Executive Order;
  (2) Related  solely  to the internal personnel rules
and practices of an agency;
  (3) Specifically exempted  from  disclosure  by
statute  (other than  5 U.S.C.  552(b)): Provided,
That such statute:
  (i) Requires that  the matters be withheld from
the public in such a  manner as to leave no  discre-
tion on the issue, or
  (ii) Establishes  particular criteria for withhold-
ing or refers to particular types of matters to  be
withheld;
  (4) Trade  secrets  and commercial  or  financial
information obtained from a person and privileged
or confidential (see subpart  B);
  (5) Interagency or  intra-agency memorandums
or letters which would not  be  available by law to
a party other than an agency in litigation with the
agency;
  (6) Personnel and medical files and similar files
the disclosure of which would constitute a clearly
unwarranted invasion of personal privacy;
  (7)(i) Records or information  compiled for law
enforcement purposes, but only to the extent that
the production  of such law enforcement records or
information:
  (A)  Could reasonably be  expected to interfere
with enforcement proceedings;
  (B)  Would deprive a person of a right to a fair
trial or an impartial adjudication;
  (C)  Could reasonably be expected to constitute
an unwarranted invasion of personal privacy;
  (D)  Could reasonably be  expected  to  disclose
the identity of a confidential source, including a
State,  local, or foreign agency or authority or any
private institution which furnished information  on
a confidential basis, and, in the case of a record
or  information  compiled by  a  criminal law en-
forcement authority in the  course of a criminal  in-
vestigation,  or  by an agency  conducting a lawful
national  security intelligence  investigation,  infor-
mation furnished by a confidential source;
  (E)  Would  disclose techniques  and procedures
for law enforcement investigations or prosecutions,
or would disclose guidelines for law  enforcement
investigations  or prosecutions if such  disclosure
could  reasonably be  expected to risk  circumven-
tion of the law; or
  (F)  Could reasonably be expected  to  endanger
the life or physical safety of any individual.
  (ii) [Reserved]
  (8) Contained in or related to examination, oper-
ating,  or condition  reports prepared by, on behalf
of,  or for the use of an agency responsible for the
regulation or supervision of finanical institutions;
or
  (9) Geological and geophysical information and
data, including  maps, concerning wells.
  (b) The fact  that the applicability of an exemp-
tion permits the withholding  of a requested record
(or portion thereof) does not necessarily mean that
the  record  must  or  should  be  withheld.   See
§2.119.
[41  FR 36902,  Sept.  1,  1976,  as amended  at 43  FR
40000,  Sept. 8, 1978; 53 FR 217, Jan. 5, 1988]

§2.119   Discretionary release of exempt
     documents.
  (a) An EPA  office may,  in its discretion, release
requested records despite the applicability  of one
or more of the  exemptions listed in §2.118 (a)(2),
(a)(5), or (a)(7). Disclosure of such records is en-
couraged if no  important purpose would be served
by withholding the records.
  (b) As a matter of policy, EPA will not release
a requested record if EPA has determined that one

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                                                                                           §2.120
or more  of the exemptions listed in  §2.118(a)(l),
(3), (4),  (6),  (8),  or (9), applies to the  record, ex-
cept when ordered  to do so by a Federal court or
in exceptional circumstances under appropriate re-
strictions with the approval of the Office of Gen-
eral Counsel  or a Regional Counsel.

§2.120   Fees;  payment; waiver.
  (a) Fee  schedule. Requesters  shall be charged
the full  allowable   direct  costs  incurred  by  the
Agency  in responding  to  a FOIA request. How-
ever, if EPA  uses a contractor to search for, repro-
duce  or  disseminate records  responsive to  a re-
quest, the cost to  the requester shall not exceed the
cost of the Agency itself  performing the  service.
  (1) There  are  four categories  of requests.  Fees
for each  of the categories  will be  charged as fol-
lows:
  (i) Commercial use requests. If the  request seeks
disclosure of records for a commercial use, the re-
quester shall  be charged for the time  spent search-
ing for the requested record, reviewing the record
to determine whether  it should  be disclosed and
for the cost of each page of duplication. Commer-
cial use requesters should note that EPA also may
charge fees to them for time  spent  searching for
and/or reviewing  records, even if EPA fails to lo-
cate the records or if the records located are deter-
mined to be exempt from disclosure.
  (ii) Requests from an educational  or non-com-
mercial  scientific  institution  whose purpose  is
scholarly or scientific research, involving a request
which is not for  a  commercial use and seeks dis-
closure of records.  In  the  case of such a request,
the requester shall be charged only for the duplica-
tion  cost of the records, except  that  the first 100
pages  of duplication  shall be  furnished  without
charge.
  (iii) Requests from a representative of the news
media, involving  a request  which is not for a com-
mercial use and seeks disclosure  of records. In the
case  of  such a  request,  the  requester  shall  be
charged  only for  the  duplication  cost  of  the
records,  except that the first 100 pages of duplica-
tion shall be furnished without charge.
  (iv) All  other requests. If the request seeks dis-
closure of records other than as described in para-
graphs (a)(l)(i),  (ii), and (iii)  of this section, the
requester shall be charged the full cost of search
and duplication.  However, the first two hours  of
search time (or its  cost equivalent)  and the first
100 pages  of duplication (or their cost equivalent)
shall  be  furnished  without charge.  Requesters  in
the "all  other requests" category should note that
EPA also may charge  fees to them for time spent
searching for records,  even if EPA fails to locate
the records or if the  records located are deter-
mined to be exempt from disclosure.
  (2) The  determination of a requester's fee cat-
egory will be based on the  following:
  (i) Commercial use requesters: The use to which
the requester will put the documents requested;
  (ii) Educational  and non-commercial scientific
institution requestors: Identity of the requester and
the use  to  which the requestor  will put the  docu-
ments requested;
  (iii) Representatives of the news media request-
ers: The identity of the requester  and the  use  to
which the  requestor  will  put  the  documents re-
quested.
  (3) Fees  will be charged to requesters, as appro-
priate,  for  search,  duplication and  review  of re-
quested  records in  accordance with the following
schedule:
  (i) Manual search for records.
  (A) EPA Employees: For each Vi hour or por-
tion thereof:
  (7) GS-8 and below: $4.00.
  (2) GS-9 and above: $10.00.
  (B) Contractor employees: The requestor will be
charged for actual charges  up to but not exceeding
the rate which would have been charged had EPA
employees  conducted the search.
  (ii) Computer  search for  records charges will
consist of:
  (A) EPA employee  operators: For each V-2 hour
or portion thereof:
  (7) GS-8 and below: $4.00.
  (2) GS-9 and above: $10.00, plus.
  (B)  Contractor operators:  Requestors will be
charged for the actual  charges  up  to  but not ex-
ceeding the rate which would have been charged
had  EPA  employees  conducted the  search (see
paragraph (a)(3)(i)(A) of this section), plus.
  (C) Actual computer resource usage charges for
this search.
  (iii)  Review of records. For  each  Vz hour  or
portion thereof (EPA employees):
  (A) GS-8 and below: $4.00.
  (B) GS-9 and above: $10.00.
  (iv) Duplication or reproduction of records.
  (A) Duplication  or  reproduction  of documents
by EPA employees  (paper  copy of paper original):
$.15 per page.
  (B) Computer printouts (other than those cal-
culated  in  a  direct-cost  billing—see  paragraph
(a)(3)(ii) of this section  "Computer  search for
records") $.15 per page.
  (C) Other methods  of duplication or reproduc-
tion, including, but not limited to,  duplication  of
photographs, microfilm and magnetic tape, will be
charged at the actual direct cost  to EPA.
  (4) Other charges.
  (i) Other charges incurred in responding to a re-
quest including but not limited to, special handling
or transportation of records, will be  charged  at the
actual direct cost to EPA.

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§2.120
  (ii)  Certification or  authentication  of records:
$25.00 per certification or authentication.
  (5) No charge shall be made—
  (i) For the cost of preparing or reviewing letters
of response to a request or appeal;
  (ii) For time spent resolving legal or  policy is-
sues concerning the application of exemptions;
  (iii) For search time  and  the first 100 pages of
duplication     for    requests    described    in
§2.120(a)(l)(ii) and (iii) of this section;
  (iv)  For the  first two hours of search time  (or
its cost equivalent) and for  the first 100 pages of
duplication     for    requests    described    in
§2.120(a)(l)(iv) of this section;
  (v) If the total fee  in connection with a request
is less than $25.00, or if the costs of collecting the
fee would otherwise exceed  the amount of the fee.
However, when EPA reasonably believes that a re-
quester or group  of requesters  is attempting to
break a request down into a series  of requests  for
the purpose  of avoiding the  assessment of fees,
EPA will aggregate such requests to determine the
total fee, and will charge accordingly;
  (vi)  For responding to  a request by an individ-
ual for one copy of a record retrievable by the  re-
questing individual's  name  or personal identifier
from a Privacy Act system of records;
  (vii) For furnishing records requested by either
House of Congress, or by a duly authorized com-
mittee or  subcommittee of Congress, unless the
records are requested  for the benefit of an individ-
ual Member of Congress or for a constituent;
  (viii) For  furnishing  records  requested by and
for the official use of other Federal agencies; or
  (ix)  For furnishing records needed by an EPA
contractor, subcontractor, or grantee to  perform the
work required by the EPA contract or grant.
  (b) Method of payment. All fee payments shall
be in the form  of a check or money order payable
to  the "U.S. Environmental  Protection  Agency"
and shall be  sent (accompanied by a reference to
the pertinent Request Identification Number(s)) to
the appropriate Headquarters  or Regional  Office
lock box address:
  (1) EPA—Washington Headquarters,  P.O. Box
360277M, Pittsburgh, PA 15251;
  (2) EPA—Region 1,  P.O.  Box 360197M,  Pitts-
burgh, PA 15251;
  (3) EPA—Region 2,  P.O.  Box 360188M,  Pitts-
burgh, PA 15251;
  (4) EPA—Region 3,  P.O.  Box 360515M,  Pitts-
burgh, PA 15251;
  (5) EPA—Region 4, P.O. Box 100142, Atlanta,
GA. 30384;
  (6) EPA—Region 5,  P.O. Box 70753, Chicago,
IL 60673;
  (7) EPA—Region 6,  P.O.  Box 360582M,  Pitts-
burgh, PA 15251;
  (8) EPA—Region 7,  P.O.  Box 360748M,  Pitts-
burgh, PA 15251;
  (9) EPA—Region 8,  P.O.  Box 360859M,  Pitts-
burgh, PA 15251;
  (10) EPA—Region 9, P.O. Box 360863M,  Pitts-
burgh, PA 15251;
  (11)  EPA—Region  10,  P.O. Box  360903M,
Pittsburgh, PA 15251;
  Under the Debt  Collection Act of 1982 (Pub. L.
97-365), payment  (except for prepayment) shall be
due within thirty (30) calendar days after the date
of billing. If payment is not received at the end of
thirty calendar  days, interest and a late payment
handling  charge will be  assessed.  In addition,
under this Act, a penalty charge will be applied on
any principal amount not paid within ninety (90)
calendar days  after the  due date for payment. By
the authority of the  Debt Collection Act of  1982,
delinquent amounts due may be collected through
administrative  offset or referred to  private collec-
tion agencies. Information related to  delinquent ac-
counts may also  be reported to the  appropriate
credit agencies.
  (c) Assurance of payment. (1) If an EPA office
estimates that the fees for processing a request (or
aggregated    requests     as    described    in
§2.120(a)(5)(vi)  of  this  section)  will  exceed
$25.00, that office need not search for, duplicate
or disclose  records  in response  to  the request(s)
until  the  requester assures payment of the  total
amount of fees estimated to become due under this
section. In such  cases, the EPA office will prompt-
ly inform  the   requester (by  telephone  it  prac-
ticable) of the need to make assurance of payment.
  (2) An EPA office may not require a requester
to make an advance payment, i.e. payment before
work is commenced  or continued on a request, un-
less:
  (i)  A requester  has previously failed to  pay a
fee charged in  a  timely fashion (i.e.,  within 30
days after the date of the billing), or
  (ii) The EPA  office estimates or determines that
the allowable charges that a requester may be re-
quired to  pay  are  likely to exceed  $250.00.  Then
the EPA  office will notify  the requester of the
likely cost and obtain satisfactory assurance of full
payment where  the  requester  has  a  history of
prompt payment of  FOIA fees, or  require an ad-
vance  payment  of an amount up to the full  esti-
mated charges  in  the case of requesters  with no
history  of payment.  If such  advance  payment  is
not received within  30 days  after  EPA's  billing,
the request will  not  be  processed and the  request
will be closed. See also  §2.112(d).
  (d) Reduction or waiver  of fee.  (1) The fee
chargeable under this section shall be reduced or
waived by EPA  if the Agency determines that dis-
closure of the information:
                                                10

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                                                                                           §2.121
   (i) Is in the public interest because it is likely
to contribute significantly to  public understanding
of the operations  or  activities of the  government;
and
   (ii) Is not primarily in the  commercial  interest
of the requestor.
   (2) Both of these requirements must be satisfied
before fees  properly  assessable can be waived or
reduced.
   (3) The Agency will employ the following four
factors  in  determining whether the  first  require-
ment has been met:
   (i) The subject of the request: Whether the sub-
ject  of the requested records  concerns "the oper-
ations or activities of the  government";
   (ii) The informative value of the information to
be disclosed: Whether the disclosure is  "likely to
contribute to an understanding of government op-
erations or activities";
   (iii) The contribution to an  understanding of the
subject  by the general public  likely to result from
disclosure: Whether disclosure of the requested in-
formation will contribute to  "public understand-
ing"; and
   (iv) The significance of the contribution to pub-
lic understanding: Whether disclosure is likely to
contribute "significantly" to  public understanding
of government operations or activities.
   (4) The Agency will employ the following fac-
tors  in  determining  whether  the second  require-
ment has been met:
   (i) The existence  and magnitude  of a commer-
cial  interest:  Whether the requester has a commer-
cial  interest  that  would  be furthered by  the re-
quested disclosure; and, if so
   (ii) The primary interest in  disclosure: Whether
the magnitude of the  identified commercial  interest
of the requester is sufficiently large, in comparison
with the public  interest in disclosure, that disclo-
sure  is  "primarily in the commercial interest of
the requester."
   (5) In all cases, the  burden shall be on  the re-
quester  to present information in support of a re-
quest for a waiver of fees. A  request for reduction
or waiver of fees should include:
   (i) A clear statement of the requester's  interest
in the requested documents;
   (ii) The use proposed  for the documents  and
whether the requester will derive income or other
benefit from such use;
   (iii) A statement of how the public will  benefit
from such use  and  from the  release of  the re-
quested documents; and
   (iv) If specialized  use of the documents or in-
formation is  contemplated, a  statement  of the re-
quester's qualifications that are relevant to the spe-
cialized use.
   (6) A request  for  reduction or waiver  of fees
shall be addressed to the appropriate Freedom of
Information Officer.  The  requester  shall  be in-
formed in writing of the Agency's decision wheth-
er to grant or  deny the fee waiver or fee reduction
request. This  decision may be  appealed  by letter
addressed to the EPA Freedom of Information Of-
ficer.  The  General  Counsel shall decide  such ap-
peals.  The  General Counsel  may redelegate  this
authority only to the Deputy General Counsel or
the Associate General  Counsel  for  Grants, Con-
tracts and General Law.
   (e)  The  Financial  Management  Office  shall
maintain a record of all fees charged  requesters for
searching for,  reviewing and reproducing requested
records under this  section. If after the end of 60
calendar days from the date  on which request for
payment was made the requester has  not submitted
payment to the appropriate EPA billing address (as
listed  in  §2.120(b)),  the  Financial  Management
Division shall place the requester's name on a de-
linquent list which  is sent to the EPA Freedom of
Information Officer. If a requester whose name ap-
pears on the delinquent list makes a  request under
this part, the EPA Freedom of Information  Officer
shall inform the requester that EPA will not proc-
ess the request until the requester submits payment
of the overdue fee from the  earlier  request. Any
request made by an individual who specifies an af-
filiation  with  or representation  of a corporation,
association, law firm, or other organization  shall
be deemed to be a request by the corporation, as-
sociation, law firm, or other organization. If an or-
ganization  placed on  the delinquent  list can show
that the person  who  made the  request for which
payment was overdue did not make the request on
behalf of the organization the organization  will be
removed from the  delinquent  list but the name of
the individual shall remain on the list. A  requester
shall not be placed on the delinquent list if a re-
quest for a reduction  or for  a  waiver is pending
under paragraph (d) of this section.

[53 FR217, Jan. 5, 1988]

§2.121   Exclusions.
   (a) Whenever a request is  made which involves
access to records described in § 2.118(a)(7)(i)(A),
and
   (1) The  investigation or proceeding involves  a
possible violation of criminal law; and
   (2) There is reason to believe that the subject of
the investigation  or proceeding is not aware of its
pendency, and disclosure of the  existence of such
records could reasonably be expected to interfere
with enforcement proceedings,  EPA shall,  during
only such time as the circumstances  continue, treat
the records as not  subject to the requirements of
5 U.S.C. 552 and this subpart.
   (b) Whenever  informant records maintained by
the Agency under an informant's name or personal
identifier are requested by a third party according
                                                 11

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§2.201
to the informant's name  or personal identifier and
the informant's status as  an  informant  has not
been  officially  confirmed,  EPA  shall treat the
records  as not subject to  the  requirements  of 5
U.S.C. 552 and this subpart.
   (c) No  determination relying on this  section
shall  be issued without the concurrence of the
General  Counsel  or  his designee.  The  General
Counsel has designated the Contracts and Informa-
tion Law Branch to act on these requests  for con-
currence.
   (d) An initial determination which only relies on
this  section  will  not include  notice  of appeal
rights.
[53 FR219, Jan. 5, 1988]

    Subpart B—Confidentiality of
          Business Information

§2.201   Definitions.
   For the purposes of this subpart:
   (a) Person means an individual, partnership,
corporation, association,  or other public or private
organization  or  legal entity,  including  Federal,
State  or local  governmental  bodies and  agencies
and their employees.
   (b) Business means any person engaged  in a
business, trade, employment, calling or profession,
whether or not all or any part  of the net  earnings
derived  from such  engagement  by  such person
inure (or may lawfully inure) to the benefit of any
private shareholder or individual.
   (c) Business information (sometimes referred to
simply  as information)  means any information
which pertains to the interests of  any  business,
which was developed or  acquired by that business,
and (except where the context  otherwise requires)
which is possessed by EPA in recorded form.
   (d) Affected business  means, with reference to
an item of business information, a business which
has asserted (and  not  waived or withdrawn)  a
business confidentiality claim covering the infor-
mation,  or a business which could be expected to
make such a claim if it were aware that disclosure
of the information to the  public was proposed.
   (e) Reasons  of business confidentiality  include
the concept of trade secrecy and other related legal
concepts which give (or  may give) a business the
right to  preserve the confidentiality of business in-
formation and to limit its use or disclosure by oth-
ers in order that the business may obtain or retain
business advantages it derives  from its  rights in
the information. The definition  is meant to encom-
pass  any concept which authorizes a Federal agen-
cy  to   withhold  business information  under  5
U.S.C. 552(b)(4), as well as any concept which re-
quires EPA to withhold information from the pub-
lic for the benefit of a business under  18 U.S.C.
 1905 or any of the various statutes cited in §2.301
through §2.309.
   (f) [Reserved]
   (g) Information which is available to the public
is information in EPA's possession which EPA
will furnish to any member of the public upon re-
quest and which EPA may make public, release or
otherwise make available to any person whether or
not its disclosure  has been requested.
   (h) Business confidentiality claim (or,  simply,
claim) means a claim or allegation that  business
information is entitled to confidential treatment for
reasons of business confidentiality, or a request for
a determination that such  information is entitled to
such treatment.
   (i)  Voluntarily submitted  information  means
business information in EPA's possession—
   (1) The submission of which EPA had no statu-
tory or contractual authority to require; and
   (2) The submission of which was not prescribed
by statute or regulation as a condition of obtaining
some  benefit  (or  avoiding  some  disadvantage)
under a regulatory program of general applicabil-
ity,  including such regulatory programs as permit,
licensing, registration, or certification programs,
but  excluding programs  concerned  solely or pri-
marily with the award or administration  by EPA
of contracts or grants.
   (j) Recorded means written  or  otherwise  reg-
istered in some form for preserving information,
including such forms  as drawings,  photographs,
videotape,  sound recordings,  punched cards, and
computer tape or  disk.
   (k) [Reserved]
   (1) Administrator, Regional Administrator, Gen-
eral Counsel, Regional Counsel, and Freedom of
Information Officer mean the  EPA officers or em-
ployees occupying the positions so titled.
   (m) EPA office means any organizational ele-
ment of EPA, at  any level or location. (The terms
EPA office and EPA  legal office are used  in this
subpart for the sake  of brevity and ease of ref-
erence.  When this subpart requires that an action
be taken by an EPA office or by an EPA  legal of-
fice, it is the responsibility of the  officer or em-
ployee in charge  of that  office  to take the action
or ensure that it is taken.)
   (n) EPA  legal office  means  the  EPA General
Counsel  and any  EPA office over which the Gen-
eral Counsel  exercises  supervisory  authority,  in-
cluding the various Offices of Regional Counsel.
(See paragraph (m) of this section.)
   (o) A working  day is any day on which Federal
government offices are  open for normal business.
Saturdays,  Sundays, and  official Federal  holidays
are not working days; all other days are.
                                                12

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                                                                                          §2.203
§2.202   Applicability of subpart;  prior-
     ity   where    provisions    conflict;
     records  containing  more than one
     kind of information.
  (a) Sections 2.201 through 2.215 establish basic
rules governing business confidentiality claims, the
handling by EPA of business information which is
or may be entitled to confidential treatment, and
determinations by EPA of whether information is
entitled to confidential  treatment for reasons  of
business confidentiality.
  (b) Various statutes (other  than 5 U.S.C. 552)
under which EPA operates contain  special provi-
sions concerning  the  entitlement to confidential
treatment of information gathered  under  such stat-
utes. Sections 2.301  through 2.311 prescribe rules
for treatment of certain  categories of business in-
formation obtained under the various statutory pro-
visions. Paragraph (b)  of each of those sections
should be consulted to determine  whether any  of
those sections applies to the particular information
in question.
  (c) The basic  rules of  §§2.201 through  2.215
govern except to  the extent that they are modified
or  supplanted by the  special rules of  §§2.301
through 2.311. In the event of a conflict between
the provisions of the  basic rules  and those of a
special  rule which is  applicable to  the  particular
information in question, the provision of the spe-
cial rule shall govern.
  (d) If two or  more  of  the  sections  containing
special rules apply to the particular information in
question,  and the applicable  sections  prescribe
conflicting special rules for the treatment  of the
information,  the  rule  which  provides  greater  or
wider availability to the public of the information
shall govern.
  (e) For most  purposes,  a  document or  other
record may usefully  be treated as  a single unit  of
information, even though in fact the document  or
record is  comprised of a  collection of individual
items of  information.  However, in applying the
provisions of this subpart, it  will often be nec-
essary to  separate the individual items of informa-
tion into two or more categories, and to afford dif-
ferent treatment to the information in  each such
category.  The need for differentiation of this type
may arise, e.g., because a business confidentiality
claim covers only a portion of a record, or because
only a  portion of the record  is eligible for con-
fidential  treatment.  EPA  offices taking  action
under this subpart must be alert to this problem.
  (f) In taking actions under this subpart, EPA of-
fices should consider whether  it is possible to ob-
tain  the  affected  business's consent to disclosure
of useful  portions of records while  protecting the
information which is or may be  entitled to con-
fidentiality (e.g.,  by withholding such portions  of
a record as  would identify a  business,  or  by dis-
closing data in the  form of industry-wide aggre-
gates, multi-year averages or totals,  or some simi-
lar form).
   (g) This  subpart  does not  apply to  questions
concerning entitlement to confidential treatment or
information which concerns an individual solely in
his personal, as opposed to business, capacity.
[41 FR  36902,  Sept.  1,  1976, as amended at 43 FR
40000, Sept. 8, 1978; 50 FR 51661, Dec.  18, 1985]

§2.203  Notice  to  be  included  in  EPA
     requests,   demands,   and    forms;
     method  of  asserting business  con-
     fidentiality  claim; effect of failure
     to  assert claim at time  of  submis-
     sion.
   (a) Notice to be included  in certain requests and
demands for information,   and in certain forms.
Whenever an EPA office makes a written request
or demand that a  business  furnish  information
which,  in the office's opinion,  is likely to be re-
garded  by  the  business  as  entitled to  confidential
treatment under this subpart, or whenever  an EPA
office prescribes a form for use by businesses in
furnishing such information, the request, demand,
or form shall include or enclose a notice which—
   (1) States that the business may, if it desires, as-
sert  a business confidentiality claim covering part
or all of the information, in the manner described
by paragraph (b) of this section, and that informa-
tion  covered by such a claim will be disclosed by
EPA only to the extent, and by means of the pro-
cedures, set forth in  this subpart;
   (2) States that if no such  claim  accompanies the
information when it  is received by EPA, it may be
made available to the  public by EPA without fur-
ther  notice to the business; and
   (3) Furnishes a citation  of the location of this
subpart in the Code  of Federal  Regulations and the
FEDERAL REGISTER.
   (b) Method and time of asserting business con-
fidentiality claim. A business  which is submitting
information to EPA may  assert  a  business  con-
fidentiality  claim  covering the  information  by
placing on (or  attaching to) the  information,  at the
time  it is  submitted  to   EPA,  a cover  sheet,
stamped or typed legend, or other suitable  form of
notice  employing language such  as trade secret,
proprietary,  or company  confidential.  Allegedly
confidential portions of otherwise non-confidential
documents  should   be  clearly  identified  by  the
business, and may be submitted separately to fa-
cilitate  identification and handling by EPA.  If the
business desires confidential treatment only until a
certain  date  or until the occurrence of a  certain
event, the notice should so state.
   (c) Effect  of failure  to assert claim  at time of
submission of information. If information was sub-
mitted by a business to EPA on  or after  October
                                                13

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§2.204
1, 1976, in response to  an EPA request or demand
(or on an EPA-prescribed form) which contained
the substance of the notice required by paragraph
(a) of this section, and  if no business confidential-
ity claim accompanied the information when  it
was received by EPA,  the inquiry  to the business
normally required  by  §2.204(c)(2) need not  be
made. If a  claim  covering the information  is re-
ceived after the  information itself is received, EPA
will  make  such  efforts  as  are  administratively
practicable to associate the late claim with copies
of  the  previously-submitted information  in  EPA
files (see §2.204(c)(l)). However, EPA cannot as-
sure that such efforts will be effective, in light of
the possibility of prior disclosure or  widespread
prior dissemination of the information.

§ 2.204   Initial action by EPA office.
   (a) Situations requiring action. This section pre-
scribes  procedures  to be  used by  EPA offices in
making initial determinations of whether business
information is entitled to confidential treatment for
reasons of business confidentiality.  Action shall be
taken under this section whenever  an  EPA office:
   (1) Learns that  it is  responsible for responding
to a request under 5 U.S.C.  552 for the release of
business information;  in  such a case, the  office
shall  issue an initial  determination within the pe-
riod specified in §2.112;
   (2) Desires to determine whether business  infor-
mation in its possession is  entitled to confidential
treatment, even though no  request for release of
the information has been received; or
   (3) Determines that it is likely that EPA eventu-
ally will be requested to disclose the information
at some future  date and  thus  will have  to  deter-
mine whether the information is  entitled to con-
fidential treatment. In  such a case this  section's
procedures should be initiated  at the earliest prac-
ticable time, in order to increase the time available
for preparation  and submission of comments  and
for issuance of determinations, and to  make  easier
the task of meeting response deadlines  if a request
for release  of  the  information is later received
under 5 U.S.C. 552.
   (b) Previous  confidentiality  determination. The
EPA  office  shall first ascertain whether there has
been  a previous determination,  issued by a Federal
court or by an EPA legal office acting under this
subpart, holding that the information in question is
entitled to  confidential treatment  for  reasons  of
business confidentiality.
   (1) If such a  determination holds that the  infor-
mation  is  entitled to  confidential treatment,  the
EPA  Office  shall  furnish any person whose re-
quest for  the  information  is  pending  under  5
U.S.C.  552 an  initial  determination (see §2.111
and §2.113) that  the information  has previously
been  determined  to  be  entitled   to  confidential
treatment, and that the request is therefore denied.
The  office  shall furnish such person  the  appro-
priate case  citation  or EPA determination. If the
EPA office  believes that a previous determination
which was issued by an EPA legal office may be
improper or no longer valid,  the office  shall so in-
form the  EPA legal office,  which shall consider
taking action under § 2.205(h).
  (2) With respect to all information not known to
be covered  by such a previous determination, the
EPA office  shall take action under paragraph (c)
of this  section.
  (c) Determining existence  of business confiden-
tiality claims. (1) Whenever action under this para-
graph is required by paragraph (b)(2) of this sec-
tion, the EPA office shall examine  the information
and the office's records  to determine which busi-
nesses,   if  any,  are   affected  businesses  (see
§2.201(d)),  and to determine which businesses if
any,  have asserted business  confidentiality claims
which remain applicable to the information. If any
business is  found to have asserted an applicable
claim, the office shall take action under paragraph
(d) of this section with respect to each such claim.
  (2)(i) If the examination conducted under para-
graph (c)(l) of this  section discloses the existence
of any business which, although it has not asserted
a claim, might be expected to assert a claim if it
knew EPA  proposed to disclose the information,
the EPA office shall contact a responsible official
of each such  business to learn whether the busi-
ness  asserts a  claim covering  the information.
However, no  such inquiry need be made to  any
business—
  (A) Which failed  to assert a claim covering the
information  when responding to an  EPA request or
demand, or  supplying  information  on  an  EPA
form, which contained the substance of the state-
ments prescribed by § 2.203(a);
  (B)  Which otherwise failed to  assert a  claim
covering the information after being informed by
EPA that such failure could result  in disclosure of
the information to the public; or
  (C) Which has  otherwise  waived or withdrawn
a claim covering the information.
  (ii) If a request for release of the information
under 5 U.S.C. 552  is pending at the time inquiry
is made under this  paragraph (c)(2), the inquiry
shall be made  by  telephone  or equally prompt
means,  and  the responsible official contacted  shall
be informed that any claim the business wishes to
assert must  be brought to the EPA office's atten-
tion no  later than the close of business on the  third
working day after such inquiry.
  (iii)  A record shall be kept of the results of any
inquiry  under this paragraph (c)(2).  If any business
makes  a claim covering  the  information,  the  EPA
office shall take further action under paragraph (d)
of this  section.
                                                14

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                                                                                           §2.204
  (3) If,  after the  examination under paragraph
(c)(l) of this  section,  and after any  inquiry made
under paragraph (c)(2) of this section, the EPA of-
fice  knows  of no claim covering the  information
and  the time  for response  to  any  inquiry  has
passed,  the  information shall  be treated for  pur-
poses of this subpart as not entitled to confidential
treatment.
  (d) Preliminary determination. Whenever action
under  this  paragraph  is  required  by  paragraph
(c)(l)  or  (2) of  this section on  any  business's
claim, the EPA Office shall make a  determination
with respect to each such claim. Each determina-
tion  shall be made after consideration of the provi-
sions of §2.203, the applicable substantive  criteria
in §2.208  or elsewhere in this  subpart, and  any
previously-issued determinations under this  subpart
which are applicable.
  (1) If, in  connection with any business's claim,
the office determines that the  information may be
entitled to confidential treatment, the  office  shall—
  (i) Furnish the  notice of opportunity to  submit
comments prescribed by paragraph (e) of this  sec-
tion  to  each business which is known to have as-
serted an applicable claim and which has not  pre-
viously been furnished such notice with regard to
the information in question;
  (ii) Furnish, to any person whose request for re-
lease of the  information is pending under 5 U.S.C.
552, a determination (in accordance  with  §2.113)
that the information may be entitled to confidential
treatment   under  this  subpart   and   5   U.S.C.
552(b)(4), that further inquiry by EPA pursuant to
this  subpart is required  before a final determina-
tion  on  the request can be issued, that the person's
request  is therefore  initially  denied, and that after
further inquiry a final  determination will be issued
by an EPA legal office; and
  (iii) Refer the  matter  to  the  appropriate EPA
legal office, furnishing the information required by
paragraph (f) of  this section after  the time  has
elapsed for  receipt of comments  from the affected
business.
  (2) If, in  connection with all applicable  claims,
the office determines that the information  clearly
is not entitled to confidential treatment, the office
shall take the actions required by §2.205(f). How-
ever,  if a business has previously been furnished
notice under §2.205(f) with  respect to the same
information, no further notice need be furnished to
that  business. A copy of each notice furnished to
a  business   under  this  paragraph   (d)(2)  and
§2.205(f) shall be forwarded promptly to  the ap-
propriate EPA legal office.
  (e) Notice to affected  businesses;  opportunity to
comment.  (1)  Whenever  required  by  paragraph
(d)(l) of this section, the  EPA office  shall prompt-
ly furnish each business a written  notice  stating
that  EPA is determining under this subpart wheth-
er the  information is entitled to confidential treat-
ment, and affording  the business an opportunity to
comment. The notice shall  be furnished by  cer-
tified mail (return receipt requested), by personal
delivery, or by other means which allows verifica-
tion of the  fact  and date of receipt.  The notice
shall state the  address of the  office to which the
business's comments shall be  addressed (the  EPA
office  furnishing the  notice,  unless the  General
Counsel  has  directed otherwise), the time allowed
for comments, and  the  method for requesting  a
time  extension under  §2.205(b)(2).  The notice
shall  further  state  that  EPA  will  construe  a
business's failure to furnish timely comments as a
waiver of the business's claim.
   (2) If  action under this section is occasioned by
a request for the information under 5 U.S.C. 552,
the period for comments shall  be  15 working days
after the date of the business's receipt  of the  writ-
ten notice. In other cases, the EPA office shall es-
tablish a reasonable  period for comments (not less
than 15  working days after  the business's receipt
of the written  notice). The time  period  for com-
ments  shall  be considered met  if the business's
comments are postmarked or hand  delivered to the
office  designated in the  notice by the  date speci-
fied.  In  all   cases, the  notice   shall  call  the
business's attention to the provisions of §2.205(b).
   (3) At or  about  the time the written notice  is
furnished, the EPA office shall orally inform  a re-
sponsible representative  of the business  (by  tele-
phone  or otherwise) that the business  should ex-
pect to receive  the written notice, and shall request
the business  to contact the EPA office  if the  writ-
ten notice  has not  been  received within a  few
days,  so  that EPA may furnish a  duplicate notice.
   (4)  The written   notice required  by paragraph
(e)(l)  of this  section shall  invite  the business's
comments on the following points (subject to para-
graph (e)(5) of this  section):
   (i) The portions of the information which are al-
leged to  be entitled to confidential treatment;
   (ii)  The  period of time for which  confidential
treatment is  desired by the business (e.g., until a
certain date, until the  occurrence  of  a specified
event,  or permanently);
   (iii) The purpose  for which the information was
furnished to EPA and the approximate date of sub-
mission,  if known;
   (iv)  Whether a business confidentiality claim ac-
companied the information when it was received
by EPA;
   (v)  Measures taken by the business  to  guard
against undesired disclosure  of the  information to
others;
   (vi)  The  extent to  which the  information has
been disclosed  to others, and the precautions taken
in connection therewith;
                                                 15

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§2.205
   (vii)  Pertinent confidentiality determinations,  if
any, by EPA or other Federal agencies, and a copy
of any  such determination,  or reference  to  it,  if
available;
   (viii) Whether the business asserts that disclo-
sure of the information would be likely to result
in  substantial  harmful  effects on the business'
competitive position, and if so, what those harmful
effects would be, why they should be viewed as
substantial, and an explanation of the causal rela-
tionship  between disclosure  and such harmful ef-
fects; and
   (ix) Whether the business asserts that the infor-
mation is voluntarily submitted information as de-
fined in § 2.201(i), and if so, whether and why dis-
closure of the information would tend to lessen the
availability to  EPA of similar information in the
future.
   (5) To the extent that the  EPA office already
possesses the relevant facts, the  notice need not
solicit responses to the matters addressed  in para-
graphs (e)(4) (i) through (ix) of this section, al-
though  the notice  shall request  confirmation of
EPA's understanding  of such facts where appro-
priate.
   (6) The  notice shall refer to § 2.205(c) and shall
include the statement prescribed by § 2.203(a).
   (f) Materials to  be furnished to EPA  legal of-
fice. When a matter is referred to an EPA legal of-
fice under  paragraph (d)(l) of this  section, the
EPA office taking  action under this section  shall
forward promptly to the EPA legal office the fol-
lowing items:
   (1) A copy  of the  information in question, or
(where  the quantity or form of the information
makes forwarding a copy of the  information im-
practical) representative samples,  a description of
the information, or both;
   (2) A description of the circumstances and date
of EPA's acquisition of the  information;
   (3) The  name, address, and telephone number of
the EPA employee(s) most familiar with the infor-
mation;
   (4) The  name, address and telephone number of
each business which asserts  an applicable business
confidentiality claim;
   (5) A  copy  of  each applicable claim  (or the
record of  the assertion of  the claim), and a de-
scription  of when  and  how each claim  was as-
serted;
   (6) Comments concerning each business's com-
pliance  or noncompliance with applicable  require-
ments of §2.203;
   (7) A copy of any request for release of the in-
formation pending under 5 U.S.C.  552;
   (8)  A  copy  of the  business's  comments on
whether the information is  entitled to confidential
treatment;
  (9) The office's comments  concerning the ap-
propriate  substantive criteria under  this  subpart,
and  information  the office  possesses  concerning
the information's entitlement to confidential treat-
ment; and
  (10) Copies  of other correspondence  or memo-
randa which pertain to the matter.

[41  FR  36902,  Sept.  1,  1976, as amended  at 43 FR
40000, Sept. 8, 1978; 50 FR 51661, Dec. 18, 1985]

§2.205   Final    confidentiality    deter-
     mination by EPA legal office.
  (a) Role of EPA legal office.  (1) The appropriate
EPA legal office  (see paragraph (i) of this section)
is  responsible for making  the  final administrative
determination of whether or not business informa-
tion  covered  by a business confidentiality claim is
entitled to confidential treatment  under this  sub-
part.
  (2) When  a  request for  release of the informa-
tion under 5  U.S.C.  552 is pending, the EPA  legal
office's determination shall serve  as  the final de-
termination on  appeal from an  initial  denial of the
request.
  (i)  If  the  initial  denial  was  issued under
§2.204(b)(l), a final  determination  by the  EPA
legal office is necessary only if the requestor has
actually filed an appeal.
  (ii)  If  the  initial  denial  was  issued under
§2.204(d)(l), however,  the EPA legal office  shall
issue  a final determination in  every  case, unless
the request has  been withdrawn.  (Initial denials
under §2.204(d)(l) are of a procedural  nature, to
allow further inquiry into the merits of the matter,
and  a  requestor  is entitled to a  decision on the
merits.) If an appeal from such a denial has not
been received by the EPA  Freedom of Information
Officer  on the tenth working day after issuance of
the denial, the matter shall be handled as if an ap-
peal had been  received on that day,  for purposes
of establishing a schedule for  issuance  of an ap-
peal decision under §2.117 of this part.
  (b) Comment period;  extensions; untimeliness as
waiver of claim. (1) Each business which has  been
furnished the notice and opportunity  to  comment
prescribed by  §2.204(d)(l) and  §2.204(e)  shall
furnish  its comments to the office specified in the
notice in time to  be postmarked or hand  delivered
to  that  office not later than the  date  specified in
the notice  (or the date  established in lieu thereof
under this section).
  (2) The period for submission of comments may
be extended if, before the comments are due,  a re-
quest for an extension  of the  comment period is
made by  the business and approved by  the  EPA
legal   office.   Except   in   extraordinary    cir-
cumstances, the EPA legal office will not approve
                                                 16

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                                                                                           §2.205
such an extension without the  consent of any per-
son whose request for release of the information
under 5 U.S.C. 552 is pending.
  (3) The  period  for submission of comments  by
a business may be  shortened  in the  manner de-
scribed in paragraph (g) of this section.
  (4) If a  business's comments have not been  re-
ceived by  the specified  EPA  office by the date
they are  due  (including any approved extension),
that office  shall promptly inquire whether the busi-
ness has complied with  paragraph (b)(l)  of this
section. If the business has complied with para-
graph  (b)(l)  but the  comments have been lost in
transmission,  duplicate  comments  shall   be   re-
quested.
  (c)  Confidential treatment  of comments from
business. If  information  submitted  to  EPA by a
business as part of its comments under this section
pertains to the business's claim, is not otherwise
possessed by EPA, and is marked when received
in accordance with §2.203(b), it will  be regarded
by EPA  as entitled to confidential treatment and
will   not   be  disclosed  by  EPA  without  the
business's  consent, unless its disclosure is  duly  or-
dered  by  a  Federal  court, notwithstanding other
provisions  of this subpart to the contrary.
  (d) Types affinal determinations; matters to  be
considered. (1) If the EPA legal office finds that
a business has failed  to  furnish comments under
paragraph  (b) of this section by  the specified due
date,  it  shall determine  that the business has
waived its  claim.  If, after application of the pre-
ceding sentence, no claim applies to the informa-
tion, the office shall determine  that the information
is not  entitled to confidential treatment  under this
subpart and,  subject to §2.210, is available to the
public.
  (2) In all other  cases, the EPA legal office shall
consider each business's claim and comments, the
various provisions of this subpart, any previously-
issued determinations under this subpart which are
pertinent,   the  materials   furnished   it   under
§ 2.204(f),  and such other materials  as it finds ap-
propriate.  With respect to each  claim,  the office
shall determine whether or not the  information is
entitled to  confidential treatment  for the benefit of
the business that asserted the claim,  and the period
of any such  entitlement (e.g., until  a certain date,
until the occurrence of a specified event,  or per-
manently),  and shall take  further action under
paragraph (e) or (f) of this section, as appropriate.
  (3) Whenever the claims of two or  more busi-
nesses apply  to the  same  information, the EPA
legal office shall take  action appropriate under the
particular  circumstances to protect  the interests of
all persons concerned (including any person whose
request for the information is pending under 5
U.S.C. 552).
  (e) Determination that information is entitled to
confidential treatment. If the EPA legal office de-
termines that the information is  entitled to con-
fidential treatment for the full period requested by
the business which made  the  claim,  EPA  shall
maintain the information in  confidence for such
period,  subject  to  paragraph (h) of this section,
§2.209, and the other provisions of this subpart
which  authorize   disclosure  in  specified  cir-
cumstances,  and the  office shall so  inform the
business. If any person's request for the release of
the information is  then pending under  5  U.S.C.
552, the EPA legal office shall issue a  final deter-
mination denying that request.
  (f) Determination that information is not enti-
tled to  confidential treatment; notice; waiting pe-
riod; release of information.  (1)  Notice of  denial
(or partial  denial) of a business  confidentiality
claim, in the form prescribed by paragraph (f)(2)
of this section,  shall be furnished—
  (i) By  the  EPA  office  taking  action  under
§2.204, to  each business on  behalf of which a
claim has been made, whenever  §2.204(d)(2) re-
quires such notice; and
  (ii) By the EPA legal  office taking action under
this section, to each business which has asserted a
claim applicable to the information and which has
furnished timely comments  under paragraph  (b) of
this section, whenever the EPA legal office  deter-
mines that the  information  is not entitled to con-
fidential treatment under this subpart for the bene-
fit of the business, or determines that  the period
of  any entitlement to  confidential  treatment is
shorter than that requested by the business.
  (2) The notice prescribed by paragraph (f)(l) of
this section shall be written, and shall be furnished
by certified mail (return  receipt requested), by per-
sonal delivery,  or by other means which allows
verification of  the fact of receipt and the date of
receipt.  The notice shall  state the  basis  for the de-
termination, that it constitutes final agency  action
concerning the business  confidentiality claim, and
that such final agency action may be subject to ju-
dicial review under Chapter 7 of Title 5,  United
States Code. With  respect to EPA's implementa-
tion of the  determination, the notice shall state that
(subject to  §2.210) EPA will make the informa-
tion available to the  public on the tenth working
day  after the date of the business's receipt of the
written  notice (or on  such  later date as is  estab-
lished in  lieu  thereof by  the  EPA legal  office
under paragraph  (f)(3) of this  section),  unless the
EPA  legal  office has first  been  notified  of the
business's  commencement of an  action in  a Fed-
eral court to obtain judicial review  of the  deter-
mination, and to obtain  preliminary  injunctive re-
lief  against  disclosure.  The  notice  shall  further
state  that if such an action is timely commenced,
                                                 17

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§2.206
EPA may nonetheless make the information avail-
able to  the public (in the absence  of an  order by
the court to the contrary), once the court has  de-
nied a motion  for a preliminary injunction in  the
action or has otherwise upheld the EPA determina-
tion, or whenever it appears to  the EPA  legal  of-
fice, after reasonable notice to  the business, that
the business is  not taking appropriate measures to
obtain a speedy resolution of the action. If the in-
formation has been found to be temporarily enti-
tled to confidential treatment, the notice shall fur-
ther state that the information will not be disclosed
prior to the end of the period of such temporary
entitlement to confidential treatment.
  (3) The period established  in a notice under
paragraph (f)(2) of this section for commencement
of an action to  obtain judicial review may be  ex-
tended if, before the  expiration of such period,  a
request  for an  extension is  made by the  business
and approved by the  EPA legal office. Except in
extraordinary circumstances, the  EPA  legal office
will not approve  such  an  extension without  the
consent of any  person whose request for release of
the information under 5 U.S.C. 552 is pending.
  (4) After the expiration of any  period  of tem-
porary entitlement to  confidential treatment,  a  de-
termination under this paragraph (f) shall be im-
plemented by the EPA legal office by making  the
information available to the public  (in the  absence
of  a  court order prohibiting   disclosure)  when-
ever—
  (i) The period provided for  commencement by
a business of an action  to  obtain judicial review
of the determination has  expired without notice to
the EPA legal office of commencement of such an
action;
  (ii) The court,  in a timely-commenced action,
has denied the  business'  motion for a preliminary
injunction, or has otherwise  upheld the EPA deter-
mination;  or
  (iii) The EPA legal office, after reasonable no-
tice has been provided to the business, finds that
the business is  not taking appropriate measures to
obtain  a  speedy  resolution of the  timely-com-
menced action.
  (5) Any person whose request for release of the
information under 5  U.S.C.  552  is pending at  the
time notice is given under paragraph (f)(2) of this
section shall be furnished a determination  under  5
U.S.C. 552 stating the circumstances under which
the information will be released.
  (g) Emergency situations. If the  General Coun-
sel  finds that disclosure of information covered by
a claim would  be helpful in alleviating a  situation
posing an imminent and substantial danger to pub-
lic  health or safety, he  may prescribe and  make
known to  interested persons such shorter comment
period (paragraph (b) of this section),  post-deter-
mination waiting period (paragraph (f) of this sec-
tion), or both, as he finds necessary under the cir-
cumstances.
  (h) Modification of prior determinations. A de-
termination  that  information  is  entitled to con-
fidential treatment for the benefit of a business,
made under this  subpart by an EPA legal office,
shall  continue  in  effect  in  accordance  with  its
terms  until an  EPA  legal  office  taking action
under this section, or under §2.206  or §2.207, is-
sues a final determination stating that the earlier
determination no longer describes  correctly the in-
formation's  entitlement to confidential  treatment
because  of change in the  applicable law, newly-
discovered or changed facts, or because the earlier
determination  was clearly erroneous.  If an EPA
legal office tentatively concludes that such an ear-
lier determination  is of questionable validity,  it
shall so  inform the business,  and shall afford the
business an opportunity to furnish  comments  on
pertinent  issues   in  the  manner  described  by
§2.204(e) and  paragraph (b) of  this  section.  If,
after consideration of any timely comments sub-
mitted by the business, the EPA legal office makes
a revised final  determination that the  information
is not entitled to confidential treatment, or that the
period of entitlement to such  treatment will end
sooner than it would have  ended under the earlier
determination, the office will follow the procedure
described in paragraph (f) of this section. Deter-
minations under this section may be  made only by,
or with the concurrence of, the General  Counsel.
  (i)  Delegation  and redelegation of  authority.
Unless the General  Counsel  otherwise directs, or
this subpart otherwise  specifically provides, deter-
minations and actions  required by this subpart to
be made or taken  by an EPA  legal office shall be
made or taken by the appropriate Regional counsel
whenever the  EPA  office taking  action under
§ 2.204 or § 2.206(b) is under  the  supervision of a
Regional Administrator, and by the General Coun-
sel  in  all other  cases. The General Counsel may
redelegate any  or all  of his authority under this
subpart to any attorney employed by EPA on a
full-time basis under the General Counsel's super-
vision. A Regional Counsel may redelegate any or
all of his authority under this subpart to any attor-
ney employed by  EPA on a full-time  basis under
the  Regional counsel's supervision.

[41  FR  36902, Sept.  1, 1976,  as  amended at 50  FR
51661, Dec. 18, 1985]

§2.206   Advance confidentiality  deter-
     minations.

  (a) An advance determination under this section
may be issued by an EPA legal office if—
  (1) EPA has requested or demanded that a busi-
ness furnish business information to EPA;
                                                18

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                                                                                           §2.208
  (2) The business asserts that the information, if
submitted,  would  constitute  voluntarily  submitted
information under  §2.201(i);
  (3) The business will voluntarily submit the in-
formation for use by EPA only if EPA first deter-
mines that the  information is entitled to confiden-
tial treatment under this subpart; and
  (4) The EPA office which  desires submission of
the information has requested that the EPA legal
office issue a determination under this section.
  (b) The EPA office requesting an advance deter-
mination under this section shall—
  (1) Arrange to have the business furnish directly
to the EPA legal office a copy of the information
(or, where feasible, a description of the nature of
the information sufficient to  allow a determination
to be made), as well as the  business's  comments
concerning the matters addressed in §2.204(e)(4),
excluding,  however, matters  addressed in §2.204
(e)(4)(iii) and (e)(4)(iv); and
  (2) Furnish to the EPA legal office the materials
referred to in § 2.204(f) (3), (7), (8), and (9).
  (c) In making a determination under this  sec-
tion, the  EPA legal office  shall first  determine
whether  or not the information  would  constitute
voluntarily submitted information under  §2.201(i).
If the  information  would  constitute  voluntarily
submitted information,  the legal office shall further
determine whether the information is  entitled to
confidential treatment.
  (d) If the EPA  legal office determines that the
information would not constitute voluntarily  sub-
mitted information,  or determines that it would
constitute voluntarily  submitted information  but
would not be entitled to confidential treatment, it
shall so  inform the business and the  EPA office
which  requested  the  determination,  stating  the
basis of the determination, and shall return to the
business all  copies  of the  information which it
may have received from the  business  (except that
if a request under 5 U.S.C. 552 for release of the
information is received while the EPA legal office
is in possession of the  information, the legal office
shall retain a copy of the information, but shall not
disclose it unless ordered by  a Federal court to do
so). The legal  office shall not disclose  the infor-
mation to any  other EPA office  or employee and
shall not use the information for any purpose ex-
cept the determination under this  section, unless
otherwise directed by a Federal court.
  (e) If the EPA  legal office determines that the
information would constitute  voluntarily submitted
information and that it is entitled  to  confidential
treatment, it shall  so inform the EPA office which
requested  the  determination  and  the  business
which submitted it, and shall forward the informa-
tion to the EPA office which requested the deter-
mination.
§2.207   Class determinations.
  (a) The General Counsel may make and issue a
class  determination under  this section if he finds
that—
  (1) EPA possesses, or is obtaining, related items
of business information;
  (2) One or more characteristics  common  to  all
such items of information will necessarily result in
identical treatment for each such item under one
or more of the provisions  in this subpart, and that
it is therefore proper to treat all such  items as a
class for one or more purposes under this subpart;
and
  (3) A  class determination would serve a useful
purpose.
  (b) A  class determination shall  clearly identify
the class of information to  which it pertains.
  (c) A  class determination may state that  all  of
the information in the class—
  (1) Is, or is not, voluntarily submitted informa-
tion under §2.201(i);
  (2) Is,  or is not, governed by a particular section
of this subpart, or by a particular set of substantive
criteria under this subpart;
  (3) Fails to  satisfy one or more of the applicable
substantive criteria, and  is therefore ineligible for
confidential treatment;
  (4) Satisfies one or more of the  applicable sub-
stantive criteria; or
  (5) Satisfies one or more of the  applicable sub-
stantive criteria during a certain period, but will  be
ineligible  for confidential treatment thereafter.
  (d) The purpose of a class determination is sim-
ply to make known the Agency's position regard-
ing the manner in which  information  within the
class will be treated under  one or more of the pro-
visions of this subpart.  Accordingly, the notice  of
opportunity  to  submit  comments  referred  to  in
§2.204(d)(l)(ii) and  §2.205(b), and the list of ma-
terials required to be furnished to the  EPA legal
office under §2.204(d)(l)(iii), may be modified to
reflect the fact that the class  determination has
made unnecessary the submission of materials per-
tinent to one or more issues.  Moreover, in  appro-
priate cases,  action based  on the class  determina-
tion may  be taken under §2.204(b)(l),  §2.204(d),
§ 2.205(d), or  § 2.206. However, the existence of a
class  determination shall not, of itself, affect any
right  a business  may have to receive any notice
under §2.204(d)(2) or §2.205(f).

§2.208   Substantive  criteria for use  in
     confidentiality determinations.
  Determinations  issued  under  §§2.204 through
2.207 shall hold that business information is enti-
tled to confidential treatment for the benefit of a
particular business if—
                                                19

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§2.209
  (a) The business  has asserted  a business con-
fidentiality  claim  which has not  expired by  its
terms, nor been waived nor withdrawn;
  (b) The business has satisfactorily shown  that it
has taken reasonable measures to protect the con-
fidentiality of the  information, and that it intends
to continue to take such measures;
  (c) The information is  not, and has not been,
reasonably obtainable without the  business's con-
sent by  other persons (other than  governmental
bodies) by use of legitimate means (other than dis-
covery based on a showing of special need in a ju-
dicial or quasi-judicial proceeding);
  (d) No statute specifically requires disclosure of
the  information; and
  (e) Either—
  (1) The business  has satisfactorily  shown that
disclosure of the  information is likely  to  cause
substantial harm to the business's competitive po-
sition; or
  (2) The information is voluntarily submitted  in-
formation (see §2.201(i)), and its disclosure would
be likely to  impair the Government's ability to ob-
tain necessary information  in the future.
§2.209   Disclosure
     cumstances.
in    special    cir-
  (a) General. Information which, under this sub-
part, is not available to the public may nonetheless
be  disclosed  to  the   persons,  and  in the  cir-
cumstances, described  by paragraphs (b) through
(g)  of this section. (This  section shall not be con-
strued to  restrict  the  disclosure  of information
which has been determined to be available to the
public. However, business information for which a
claim of confidentiality has been  asserted shall be
treated as being  entitled  to confidential treatment
until there has been a  determination in accordance
with the  procedures of this subpart that the infor-
mation is not entitled to confidential treatment.)
  (b) Disclosure to Congress or the Comptroller
General.  (1) Upon receipt of a written request by
the  Speaker of the  House, President of the Senate,
chairman of a committee or subcommittee, or the
Comptroller General, as appropriate, EPA will dis-
close business information to either House of Con-
gress, to  a committee or subcommittee of  Con-
gress, or to the Comptroller General, unless a stat-
ute  forbids such disclosure.
  (2) If the  request  is for business information
claimed  as confidential or  determined to  be con-
fidential,  the  EPA  office processing the request
shall  provide  notice to each  affected business of
the  type  of information disclosed and to whom it
is disclosed. Notice shall be given at least ten days
prior to disclosure, except where it is not possible
to provide notice ten days in  advance of any date
established by the requesting  body for responding
to the request. Where ten  days advance notice can-
not be given, as  much advance notice as  possible
shall be  provided.  Where  notice cannot be given
before the  date established by the requesting body
for responding to the request, notice shall be given
as promptly  after disclosure  as possible. Such no-
tice may be given by notice  published in the FED-
ERAL REGISTER or  by letter sent by certified mail,
return  receipt requested, or telegram.  However,  if
the requesting body asks in writing that no notice
under this  subsection be given, EPA  will  give no
notice.
   (3) At the time  EPA discloses the  business in-
formation,  EPA will inform the requesting body of
any  unresolved  business   confidentiality  claim
known to cover the information and of any deter-
mination under this subpart that the information  is
entitled to  confidential treatment.
   (c) Disclosure to other  Federal agencies. EPA
may disclose business information to another Fed-
eral agency if—
   (1) EPA receives a  written request for disclo-
sures of the  information from  a duly  authorized
officer or employee of the other agency or on the
initiative of  EPA  when such disclosure  is  nec-
essary to enable  the other agency to carry out a
function  on behalf of EPA;
   (2) The  request,  if any, sets  forth the official
purpose for which the information is needed;
   (3) When  the  information has been claimed as
confidential  or has been  determined to  be  con-
fidential, the responsible EPA  office provides  no-
tice to each affected business of the type of infor-
mation to  be disclosed  and  to  whom it  is to be
disclosed. At the discretion of the office, such no-
tice may be given by notice  published in the FED-
ERAL REGISTER  at least 10  days prior to disclo-
sure, or by letter sent by certified mail return re-
ceipt requested or  telegram  either of which must
be received  by the affected business  at  least 10
days prior  to disclosure. However, no notice shall
be required when EPA furnishes business informa-
tion  to another Federal agency to perform a func-
tion  on behalf of EPA, including but not limited
to—
   (i) Disclosure  to  the Department of Justice for
purposes of investigation or prosecution of civil or
criminal  violations  of Federal law related  to EPA
activities;
   (ii) Disclosure  to the  Department of Justice for
purposes of representing EPA in any matter; or
   (iii)  Disclosure to any Federal agency  for pur-
poses  of performing  an EPA  statutory  function
under an interagency agreement.
   (4) EPA notifies the other agency of any unre-
solved business confidentiality claim  covering the
information and  of any determination under  this
                                                20

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                                                                                          §2.211
subpart that the information is entitled to confiden-
tial treatment, and that further disclosure of the in-
formation may be a violation of 18 U.S.C.  1905;
and
  (5) The  other  agency agrees in writing not to
disclose further any information designated as con-
fidential unless—
  (i) The other agency has statutory authority both
to compel  production of the information and to
make the proposed disclosure, and the other  agen-
cy has, prior to  disclosure of the  information to
anyone other than its officers and employees, fur-
nished to each affected business at least the  same
notice to which the affected business would be  en-
titled under this subpart;
  (ii) The  other  agency has obtained the  consent
of each affected  business to the  proposed disclo-
sure; or
  (iii)  The other agency has  obtained a written
statement  from the  EPA General  Counsel or  an
EPA Regional Counsel that disclosure of the infor-
mation would be proper under this subpart.
  (d) Court-ordered disclosure. EPA may disclose
any business  information in any manner and to  the
extent ordered by a Federal court.  Where possible,
and when  not in violation  of a specific directive
from the court, the EPA office disclosing informa-
tion  claimed as confidential or determined to  be
confidential shall provide as much  advance notice
as possible to each affected business of the type
of information to  be disclosed and to whom it is
to be disclosed,  unless the affected  business  has
actual notice of the court order. At the discretion
of the office, subject to any  restrictions  by  the
court, such notice may be given by  notice in  the
FEDERAL REGISTER,  letter  sent by  certified mail
return receipt requested, or telegram.
  (e) Disclosure within EPA. An  EPA office, offi-
cer, or employee  may disclose any business infor-
mation to another EPA office, officer, or employee
with an official need for the information.
  (f)  Disclosure  with consent of business.  EPA
may disclose any business  information to any per-
son if EPA has obtained the prior consent  of each
affected business to such disclosure.
  (g) Record  of disclosures  to  be  maintained.
Each  EPA office  which discloses  information to
Congress,  a  committee or subcommittee of  Con-
gress, the Comptroller General, or another Federal
agency under the authority of paragraph (b) or (c)
of this section, shall maintain a record of the fact
of such disclosure for a period of not less than 36
months after  such disclosure. Such a record, which
may be in  the form  of a log, shall show the  name
of the  affected businesses, the date of disclosure,
the person  or body to whom disclosure was made,
and a description  of the information disclosed.
[41  FR 36902, Sept.  1, 1976, as amended at 43  FR
40000, Sept. 8, 1978; 50 FR 51661, Dec. 18, 1985]
§2.210   Nondisclosure     for    reasons
     other than business confidentiality
     or  where  disclosure  is  prohibited
     by other statute.
  (a) Information which is  not entitled to con-
fidential  treatment under this  subpart shall  be
made available to  the public  (using the procedures
set forth  in §§2.204 and 2.205) if its release is re-
quested under 5  U.S.C.  552,  unless  EPA deter-
mines (under subpart A of this part) that, for rea-
sons other than reasons of business confidentiality,
the  information is exempt from mandatory disclo-
sure and cannot or should not be made available
to the public.  Any such determination under sub-
part A  shall  be   coordinated with  actions  taken
under this subpart for the  purpose  of avoiding
delay in responding  to  requests under 5 U.S.C.
552.
  (b) Notwithstanding any other provision of this
subpart, if any statute not cited in this subpart  ap-
pears to require EPA to give  confidential treatment
to any business information for reasons  of busi-
ness confidentiality, the matter  shall  be referred
promptly  to an  EPA  legal  office  for resolution.
Pending resolution, such information shall be treat-
ed as if  it were entitled to confidential treatment.

§2.211   Safeguarding of business infor-
     mation; penalty for wrongful disclo-
     sure.
  (a) No EPA officer or employee  may disclose,
or use for his or her private gain or advantage, any
business  information  which  came into his  or  her
possession, or to which he  or she gained access,
by virtue of his or her official position or employ-
ment, except as authorized by this subpart.
  (b) Each EPA officer or employee who has cus-
tody or  possession of business  information shall
take appropriate  measures to  properly safeguard
such information  and to protect against  its im-
proper disclosure.
  (c) Violation of paragraph  (a) or (b) of this sec-
tion shall constitute grounds  for dismissal, suspen-
sion, fine, or other adverse personnel action. Will-
ful  violation of paragraph (a) of this section may
result in  criminal prosecution  under  18  U.S.C.
1905 or other applicable statute.
  (d) Each contractor  or subcontractor with  the
United States  Government, and  each employee of
such contractor or subcontractor, who  is furnished
business  information  by  EPA under  §§2.301(h),
§2.302(h), 2.304(h),  2.305(h), 2.306(j), 2.307(h),
2.308(i),  or 2.310(h) shall use or disclose that in-
formation only as permitted by the  contract or
subcontract under  which the  information was fur-
nished.  Contractors or subcontractors shall take
steps to  properly  safeguard  business  information
including following any  security procedures  for
handling  and  safeguarding  business  information
                                                21

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§2.212
which  are contained in any manuals, procedures,
regulations,  or  guidelines provided by EPA. Any
violation of this paragraph shall constitute grounds
for suspension  or debarment of the contractor or
subcontractor in  question.  A  willful  violation of
this paragraph may result in criminal prosecution.
[41  FR  36902, Sept. 1,  1976, as amended  at  50  FR
51662, Dec. 18, 1985; 58 FR 461, Jan. 5, 1993]

§2.212  Establishment of control  offices
    for categories of business informa-
    tion.
  (a)  The Administrator, by  order, may establish
one or more mutually exclusive categories of busi-
ness information, and may designate for each such
category an EPA office (hereinafter referred to as
a control office) which  shall have responsibility
for taking actions (other than actions required to
be taken by an  EPA legal office) with  respect to
all information within such category.
  (b)  If a control office has been assigned respon-
sibility for  a category of business information, no
other  EPA  office, officer, or employee may make
available to the  public  (or otherwise disclose to
persons other than EPA officers and employees)
any information in that category  without  first ob-
taining the  concurrence of the control office.  Re-
quests  under 5  U.S.C. 552 for release of  such in-
formation shall  be referred to the control office.
  (c)  A control office shall take the actions  and
make  the determinations  required by  §2.204 with
respect  to  all  information  in any category  for
which the control office has been assigned respon-
sibility.
  (d)  A control office shall maintain a record of
the following, with respect to items of business in-
formation in categories for which it has been as-
signed responsibility:
  (1)  Business confidentiality claims;
  (2)  Comments submitted in support of claims;
  (3)  Waivers and withdrawals of claims;
  (4)  Actions and determinations by EPA  under
this subpart;
  (5)  Actions by Federal courts; and
  (6)   Related   information  concerning   business
confidentiality.

§2.213  Designation by  business  of  ad-
    dressee for notices and inquiries.
  (a)  A business which wishes to designate  a per-
son or office as the proper addressee of  commu-
nications from EPA to the business under this sub-
part may do so  by furnishing in  writing to the
Freedom of Information Officer (A-101), Environ-
mental Protection Agency, 401 M St. SW., Wash-
ington, DC 20460,  the following  information:  The
name  and address of the  business making  the des-
ignation; the name, address, and telephone number
of the  designated person or office; and a request
that EPA inquiries  and communications (oral and
written) under this subpart, including inquiries and
notices which require reply within deadlines if the
business  is to avoid waiver of its rights under this
subpart, be furnished to the  designee pursuant to
this section. Only one person or office may serve
at any one time as a business's designee under this
subpart.
  (b) If  a business has named  a designee  under
this section, the following EPA inquiries  and no-
tices to the business shall be  addressed to  the des-
ignee:
  (1) Inquiries concerning a  business's desire to
assert  a  business  confidentiality claim,  under
§2.204(c)(2)(i)(A);
  (2) Notices affording opportunity to substantiate
confidentiality  claims,  under  §2.204(d)(l)  and
§2.204(e);
  (3)  Inquires  concerning  comments,   under
§2.205(b)(4);
  (4) Notices of denial of confidential treatment
and  proposed  disclosure  of information,  under
§2.205(f);
  (5) Notices concerning  shortened comment and/
or waiting periods under § 2.205(g);
  (6) Notices concerning modifications or  overrul-
ings of prior determinations, under §2.205(h);
  (7)  Notices  to   affected  businesses   under
§§2.301(g) and 2.301(h) and  analogous provisions
in §§2.302, 2.303, 2.304,  2.305, 2.306, 2.307, and
2.308; and
  (8) Notices to affected businesses under § 2.209.
  (c)  The Freedom  of Information Officer  shall, as
quickly  as possible,  notify all  EPA offices  that
may possess information submitted by the business
to EPA, the Regional Freedom of Information Of-
fices,  the Office of General  Counsel, and the of-
fices of Regional Counsel of any designation re-
ceived under this section. Businesses making des-
ignations under this section  should bear in mind
that several working days  may be required for dis-
semination of this  information  within EPA  and
that some EPA offices  may not receive notice of
such designations.
[41  FR 36902, Sept. 1,  1976,  as amended at 43 FR
40001, Sept. 8, 1978]

§ 2.214   Defense of Freedom of Informa-
    tion  Act  suits; participation  by af-
    fected  business.
  (a)  In making final  confidentiality determina-
tions under this subpart, the  EPA legal office re-
lies to a  large extent upon  the  information  fur-
nished by the affected business to substantiate its
claim of  confidentiality. The EPA legal office may
be unable to verify the accuracy  of much of the
information submitted by the affected business.
  (b) If the EPA legal office makes  a final con-
fidentiality determination  under this  subpart  that
                                               22

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                                                                                         §2.301
certain  business  information  is  entitled  to  con-
fidential treatment, and EPA is sued by a requester
under the Freedom of Information Act for disclo-
sure of that information, EPA will:
  (1) Notify  each affected business of  the  suit
within 10 days after service of the complaint upon
EPA;
  (2) Where  necessary to  preparation  of EPA's
defense, call upon each  affected business to  fur-
nish assistance; and
  (3) Not oppose a motion by any affected busi-
ness to intervene as a party to the suit under  rule
24(b) of the Federal Rules of Civil Procedure.
  (c) EPA will defend its final confidentiality de-
termination, but EPA expects the  affected  business
to cooperate  to the fullest extent possible in  this
defense.

[43 FR 40001,  Sept. 8, 1978]

§2.215  Confidentiality agreements.
  (a) No EPA  officer,  employee,  contractor, or
subcontractor  shall enter into  any agreement with
any affected business to keep business information
confidential unless such  agreement  is  consistent
with this subpart. No EPA officer, employee, con-
tractor,  or subcontractor shall promise any affected
business that business  information  will  be  kept
confidential unless the promise is consistent with
this subpart.
  (b) If an EPA office  has requested information
from  a State,  local,  or  Federal  agency  and the
agency  refuses to furnish the  information to  EPA
because the information is or  may constitute con-
fidential business information,  the EPA office may
enter into an  agreement  with  the agency to  keep
the  information confidential,  notwithstanding the
provisions  of  this  subpart.  However,  no  such
agreement shall be made unless the  General Coun-
sel determines that the agreement is necessary and
proper.
  (c) To determine that  an agreement  proposed
under paragraph  (b) of this section  is  necessary,
the  General Counsel must find:
  (1) The  EPA office requesting the information
needs the information to perform its functions;
  (2) The agency will not furnish the information
to EPA without an agreement  by  EPA to keep the
information confidential; and
  (3) Either:
  (i) EPA has no statutory power to  compel sub-
mission of the information directly from  the  af-
fected business, or
  (ii) While  EPA has statutory power to  compel
submission of the information directly from the af-
fected  business, compelling submission  of the  in-
formation directly from the business would—
  (A) Require time  in excess of that available to
the  EPA office to perform its necessary work with
the  information,
  (B) Duplicate information already  collected by
the  other agency and  overly  burden  the affected
business, or
  (C) Overly burden the resources of EPA.
  (d) To determine that  an  agreement proposed
under paragraph (b) of this section is proper, the
General  Counsel must find  that the  agreement
states—
  (1) The purpose for which the information is re-
quired by EPA;
  (2) The conditions under which the agency  will
furnish the information to EPA;
  (3) The information subject  to the agreement;
  (4) That the agreement  does not cover informa-
tion acquired by EPA from another source;
  (5) The manner in which EPA will treat the in-
formation; and
  (6) That EPA will treat the information in ac-
cordance with the agreement subject to an order of
a Federal court to disclose the  information.
  (e) EPA will treat any information acquired pur-
suant to  an agreement  under paragraph  (b) of this
section in accordance with the procedures of this
subpart except where the agreement specifies  oth-
erwise.
[43 FR 40001,  Sept. 8, 1978]

§§2.216-2.300   [Reserved]

§2.301   Special rules governing certain
     information   obtained   under   the
     Clean Air Act.
  (a) Definitions. For the purpose of this section:
  (1) Act means the Clean Air Act,  as  amended,
42U.S.C. 7401 et seq.
  (2)(i) Emission  data means,  with  reference to
any source of emission of any substance into the
air—
  (A)  Information necessary to determine  the
identity,   amount,   frequency,  concentration,  or
other characteristics  (to the extent related to  air
quality) of any emission which has been emitted
by the source (or  of any  pollutant resulting from
any emission by the source),  or any  combination
of the foregoing;
  (B)  Information necessary to determine  the
identity,   amount,   frequency,  concentration,  or
other characteristics  (to the extent related to  air
quality) of the emissions which, under an applica-
ble  standard or limitation,  the source was  author-
ized to emit (including, to the  extent necessary for
such purposes, a description of the manner or  rate
of operation of the source); and
  (C) A  general description of the location and/or
nature of the source to the  extent necessary to
identify the source and to  distinguish it from other
sources (including, to the extent necessary for such
purposes, a description of  the device, installation,
or operation constituting the source).
                                               23

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§2.301
  (ii) Notwithstanding  paragraph (a)(2)(i) of this
section, the following information shall be consid-
ered to be emission data only to the extent nec-
essary to allow EPA  to  disclose publicly that  a
source is  (or is not) in compliance with an  appli-
cable standard or  limitation, or to allow  EPA  to
demonstrate the feasibility, practicability, or attain-
ability (or lack thereof) of an existing or proposed
standard or limitation:
  (A) Information concerning research, or the re-
sults  of research,  on any project, method, device
or installation (or any  component thereof) which
was  produced, developed, installed, and used only
for research purposes; and
  (B) Information concerning any product,  meth-
od,  device,  or installation  (or  any component
thereof) designed and  intended to be marketed  or
used  commercially  but not yet  so  marketed  or
used.
  (3) Standard or limitation means any emission
standard or limitation  established or publicly pro-
posed pursuant to the Act or pursuant to any regu-
lation under the Act.
  (4) Proceeding means any rulemaking, adjudica-
tion, or licensing conducted by EPA under the Act
or under regulations  which implement the Act, ex-
cept for determinations under this subpart.
  (5) Manufacturer  has the meaning given it  in
section 216(1) of the Act, 42 U.S.C.  7550(1).
  (b) Applicability.  (1) This  section  applies  to
business information which was—
  (i) Provided or obtained under section 114  of
the Act, 42  U.S.C. 7414, by the owner or operator
of any  stationary  source, for the purpose (A)  of
developing or assisting in the development of any
implementation plan under  section 110 or lll(d)
of the Act, 42 U.S.C. 7410, 7411(d), any standard
of performance under  section 111 of the  Act, 42
U.S.C. 7411, or any emission standard under sec-
tion  112 of the Act,  42 U.S.C.  7412, (B) of  deter-
mining whether any person is in violation of any
such  standard or  any requirement of such a plan,
or (C)  of carrying out any  provision of  the Act
(except a provision of Part  II of the Act with re-
spect to  a manufacturer of new motor vehicles  or
new motor vehicle engines);
  (ii) Provided or obtained under section 208  of
the Act, 42 U.S.C. 7542, for the purpose  of ena-
bling the Administrator to  determine  whether  a
manufacturer has acted or is acting in compliance
with the Act and regulations under the Act, or pro-
vided or obtained under section 206(c) of the Act,
42 U.S.C. 7525(c); or
  (iii) Provided in response to  a subpoena for the
production of papers, books, or documents issued
under the authority  of section  307(a) of the Act,
42 U.S.C. 7607(a).
  (2) Information will be considered to have been
provided or obtained under section 114 of the Act
if it was provided in response to a request by EPA
made for any  of the purposes stated in section
114, or if its submission could have been required
under section 114, regardless  of  whether section
114 was cited as the  authority for any request for
the information,  whether an order to provide  the
information was issued under section 113(a) of the
Act, 42  U.S.C.  7413(a), whether  an action  was
brought under section 113(b) of the Act, 42 U.S.C.
7413(b), or whether the  information was provided
directly to EPA or through some third person.
  (3) Information will be considered to have been
provided or obtained under section 208 of the Act
if it was provided in response to a request by EPA
made for any  of the purposes stated in section
208, or if its submission could have been required
under section 208, regardless  of  whether section
208 was cited as the  authority for any request for
the information,  whether  an action  was brought
under section 204 of the Act,  42  U.S.C.  7523, or
whether  the  information was provided directly to
EPA or through some third person.
  (4) Information will be considered to have been
provided or  obtained under  section 206(c)  of the
Act if it was provided in response to a request by
EPA made for any of the purposes stated in sec-
tion  206(c),  or if its  submission could have been
required under  section 206(c) regardless of wheth-
er section 206(c)  was cited as authority for any re-
quest for the information, whether an action was
brought under  section 204  of the Act, 42 U.S.C.
7523, or whether the information was provided di-
rectly to EPA or through some third person.
  (5) Information will be considered to have been
provided or  obtained under  section 307(a)  of the
Act if it was provided in response to a subpoena
issued under section  307(a), or  if its production
could have been  required by subpoena under sec-
tion  307(a),  regardless of whether section  307(a)
was  cited as the  authority for  any request for the
information,  whether a  subpoena was issued by
EPA, whether a  court issued an order under sec-
tion  307(a),  or whether  the  information was  pro-
vided directly to  EPA or through some third per-
son.
  (c) Basic  rules  which  apply without change.
Sections  2.201  through   2.207,   §2.209  and
§§2.211 through 2.215  apply without change  to
information to which this section applies.
  (d) [Reserved]
  (e) Substantive criteria for use in confidentiality
determinations. Section 2.208  applies to  informa-
tion  to which this section applies,  except that in-
formation which  is  emission data,  a standard  or
limitation,  or  is collected  pursuant to  section
211(b)(2)(A) of  the Act is  not eligible  for con-
fidential treatment.  No  information  to which this
section  applies is voluntarily  submitted  informa-
tion.
                                                24

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                                                                                           §2.301
  (f) Availability of information  not entitled to
confidential  treatment.   Section 2.210  does  not
apply to information to which this  section applies.
Emission data,  standards or  limitations, and  any
other information provided under  section  114 or
208  of the Act which  is  determined under  this
subpart not to be entitled to confidential treatment,
shall be available  to  the public notwithstanding
any  other provision of this part. Emission data and
standards or  limitations  provided in response to a
subpoena issued under  section  307(a) of the  Act
shall be available  to  the public notwithstanding
any  other provision of this part. Information (other
than emission  data  and standards or limitations)
provided in response to a subpoena issued under
section 307(a)  of the  Act,  which  is  determined
under this subpart not to be entitled to confidential
treatment,  shall be  available to the public, unless
EPA determines that the information is  exempt
from mandatory disclosure under 5 U.S.C. 552(b)
for reasons other than  reasons  of business con-
fidentiality and cannot  or should  not be made
available to the  public.
  (g) Disclosure of information relevant to a pro-
ceeding. (1)  Under sections  114, 208 and 307 of
the Act, any  information to which this section ap-
plies may be released by EPA because of the rel-
evance of  the  information to a proceeding, not-
withstanding  the fact that the  information other-
wise might be  entitled  to confidential treatment
under this  subpart. Release of information because
of its  relevance to  a proceeding  shall be made
only in accordance with this paragraph (g).
  (2)  In  connection with  any  proceeding other
than a proceeding involving a decision by a pre-
siding  officer after an evidentiary  or  adjudicatory
hearing, information to which this section applies
which  may be  entitled  to confidential treatment
may be made  available to the  public under  this
paragraph  (g)(2). No information  shall be made
available to the public under this paragraph (g)(2)
until any affected business has been informed  that
EPA is considering making the information avail-
able to the public under this paragraph  (g)(2) in
connection with an identified proceeding,  and has
afforded the business a reasonable period for com-
ment (such  notice and opportunity to comment
may be afforded in connection with the notice pre-
scribed by §2.204(d)(l) and  §2.204(e)).  Informa-
tion  may be made available  to the  public under
this paragraph (g)(2) only if, after consideration of
any  timely comments  submitted by the  business,
the General Counsel determines that the informa-
tion  is  relevant to  the  subject  of the proceeding
and the EPA office conducting the proceeding de-
termines that the public interest would  be served
by making the  information available to the public.
Any affected business  shall  be given at  least  5
days' notice by the General Counsel prior to mak-
ing the information available to the public.
  (3) In  connection with any proceeding involving
a decision by a  presiding  officer after  an  evi-
dentiary  or adjudicatory hearing, information to
which this section applies which may be entitled
to confidential treatment may be  made available to
the  public, or to  one or more parties  of record to
the  proceeding, upon  EPA's initiative, under  this
paragraph (g)(3).  An EPA office proposing disclo-
sure of  information under this  paragraph (g)(3),
shall  so  notify the presiding  officer  in  writing.
Upon receipt  of such  a notification, the presiding
officer shall notify each affected business that  dis-
closure under this paragraph (g)(3) has been pro-
posed, and shall  afford each such business a pe-
riod for comment found by the presiding officer to
be  reasonable  under the circumstances.  Informa-
tion may be  disclosed under this paragraph (g)(3)
only  if,  after  consideration of  any timely com-
ments submitted  by the business, the EPA office
determines in writing that, for reasons  directly as-
sociated  with the conduct of the proceeding, the
contemplated disclosure would serve the public in-
terest, and the presiding officer determines in writ-
ing that the information is relevant to  a matter in
controversy in the proceeding.  The  presiding offi-
cer may  condition disclosure of the information to
a party of record on the making  of such protective
arrangements  and commitments  as he finds to be
warranted.  Disclosure  to one or more  parties of
record, under protective arrangements or commit-
ments, shall not, of itself, affect the eligibility of
information for confidential treatment under the
other provisions of this subpart. Any affected busi-
ness shall be  given at least 5  days notice by the
presiding officer  prior to making the information
available to the public or to one or more of the
parties of record to the proceeding.
  (4) In  connection with any proceeding involving
a decision by a  presiding  officer after  an  evi-
dentiary  or adjudicatory hearing, information to
which this  section applies may be made  available
to one or more parties of record to the proceeding,
upon  request  of  a party, under this  paragraph
(g)(4). A party of record seeking disclosure of in-
formation shall direct  his request to the presiding
officer. Upon  receipt of such a request, the presid-
ing officer shall notify each affected business  that
disclosure under this paragraph (g)(4) has been re-
quested,  and shall afford  each such business a pe-
riod for comment found by the presiding officer to
be  reasonable  under the circumstances.  Informa-
tion may be  disclosed to a party of record under
this paragraph  (g)(4) only if, after consideration of
any timely comments submitted by the  business,
the  presiding officer determines  in writing  that (i)
the  party of record has  satisfactorily  shown  that
with respect to a significant matter  which is in
                                                25

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§2.301
controversy in the proceeding,  the  party's ability
to participate effectively in the proceeding will be
significantly  impaired  unless  the  information  is
disclosed to him, and (ii) any harm to an affected
business that would result  from the disclosure  is
likely to be outweighed by the benefit to the pro-
ceeding and to the public interest that would result
from  the  disclosure. The  presiding  officer  may
condition  disclosure of the  information to a party
of record on  the making  of such protective  ar-
rangements  and  commitments as he finds to  be
warranted.  Disclosure  to one  or  more parties of
record,  under  protective arrangements  or commit-
ments, shall not, of itself, affect the eligibility of
information to  confidential treatment under  the
other provisions of this  subpart.  Any affected busi-
ness shall be  given at  least 5 days notice by the
presiding  officer prior  to making the  information
available to one  or more of the parties of record
to the proceeding.
   (h) Disclosure to authorized representatives.  (1)
Under sections  114, 208 and 307(a) of the  Act,
EPA possesses authority to  disclose to any author-
ized representative of the United States any infor-
mation to which this section applies, notwithstand-
ing the fact that the  information  might otherwise
be  entitled  to confidential  treatment under  this
subpart. Such authority may be exercised only in
accordance with  paragraph (h)  (2)  or (3)  of  this
section.
   (2)(i) A person under contract or subcontract to
the United States government to perform work in
support of EPA in connection with the Act or reg-
ulations which implement the Act may be consid-
ered an authorized  representative of the  United
States for purposes of this paragraph (h). For pur-
poses of this section, the term "contract" includes
grants and cooperative agreements under the Envi-
ronmental Programs Assistance  Act of 1984 (Pub.
L. 98-313), and the term  "contractor" includes
grantees and cooperators under the  Environmental
Programs  Assistance Act of 1984.  Subject to the
limitations in this paragraph (h)(2),  information to
which this section applies may be disclosed:
   (A) To a contractor or subcontractor with EPA,
if the EPA program office  managing the contract
first determines in writing that such disclosure  is
necessary in  order that the  contractor  or  sub-
contractor may carry out the work required by the
contract or subcontract;  or
   (B)  To a  contractor  or  subcontractor with  an
agency  other than EPA, if the EPA program office
which  provides  the information  to that agency,
contractor, or  subcontractor first  determines  in
writing, in consultation with the General Counsel,
that such  disclosure is  necessary in order that the
contractor or subcontractor may carry out the work
required by the contract or subcontract.
  (ii) No information shall be disclosed under this
paragraph  (h)(2),  unless  this  contract or  sub-
contract in question provides:
  (A) That the contractor or subcontractor and the
contractor's or subcontractor's employees shall use
the information  only for the  purpose  of carrying
out the  work required  by the  contract  or  sub-
contract, shall refrain from disclosing the informa-
tion to  anyone other than EPA without the  prior
written approval of each affected business or of an
EPA legal office and shall return to EPA all cop-
ies  of the information (and any  abstracts  or ex-
tracts therefrom) upon request  by the  EPA pro-
gram office, whenever the information is no longer
required by the contractor or subcontractor for the
performance of the work required under the con-
tract or  subcontract,  or upon completion  of the
contract or subcontract (where the information was
provided to the  contractor or subcontractor by an
agency  other  than  EPA, the  contractor may  dis-
close or return the information to that agency);
  (B)  That the  contractor  or  subcontractor  shall
obtain  a written  agreement to honor such terms of
the contract or subcontract  from each of the con-
tractor's or subcontractor's  employees who will
have access to the information,  before such em-
ployee is allowed such access; and
  (C)  That the  contractor  or  subcontractor ac-
knowledges and  agrees  that the  contract or sub-
contract provisions  concerning the use  and disclo-
sure of business  information are  included for the
benefit  of, and shall  be enforceable by, both the
United  States government and any affected busi-
ness having an interest in information concerning
it supplied  to the  contractor  or subcontractor  by
the United States government under the contract or
subcontract.
  (iii)  No  information  shall  be  disclosed  under
this paragraph (h)(2) until  each  affected business
has been furnished  notice of the contemplated dis-
closure  by the EPA program office and has  been
afforded a period found reasonable by that  office
(not less than 5  working days) to submit its com-
ments. Such notice shall include  a description of
the information to be disclosed,  the identity of the
contractor  or  subcontractor, the contract  or sub-
contract  number, if any, and the  purposes  to  be
served by the  disclosure.
  (iv)  The  EPA program  office shall  prepare  a
record  of each  disclosure  under this  paragraph
(h)(2),  showing the  contractor or subcontractor, the
contract  or subcontract  number,  the  information
disclosed, the date(s)  of disclosure, and each af-
fected  business.  The  EPA program  office  shall
maintain the  record of  disclosure and  the  deter-
mination  of necessity prepared  under paragraph
(h)(2)(i)  of this section  for a period of not  less
than 36 months after the  date of the disclosure.
                                                26

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                                                                                           §2.302
  (3) A state or local governmental agency which
has  duties or  responsibilities  under the  Act,  or
under regulations which implement the Act,  may
be considered an authorized representative of the
United States  for purposes of this paragraph  (h).
Information to  which  this  section applies  may be
furnished  to such an agency at the agency's writ-
ten request, but only if—
  (i) The  agency  has first furnished to the EPA
office having custody  of the information a written
opinion from  the  agency's chief legal officer or
counsel stating that under  applicable state  or local
law the agency has the authority to compel a busi-
ness  which possesses such information to  disclose
it to  the agency, or
  (ii) Each affected business is informed of those
disclosures under this  paragraph (h)(3)  which per-
tain  to it, and the agency  has  shown to the satis-
faction of an  EPA legal office that the agency's
use  and disclosure  of such information  will  be
governed  by state  or local law  and  procedures
which will provide adequate protection to the  in-
terests of affected businesses.

[41  FR  36902, Sept.  1, 1976, as amended at 43  FR
40002,  Sept. 8,  1978; 43 FR  42251, Sept.  20,  1978; 50
FR 51662,  Dec. 18,  1985;  58 FR  461, Jan. 5,  1993; 58
FR 5061, Jan 19, 1993; 58 FR 7189, Feb. 5, 1993]

§ 2.302   Special rules governing certain
     information   obtained   under   the
     Clean Water Act.

  (a) Definitions. For the purposes of this  section:
  (1) Act means the  Clean Water Act, as  amend-
ed, 33 U.S.C. 1251  et seq.
  (2)(i) Effluent data means, with reference to  any
source of discharge  of any pollutant (as that term
is defined  in section 502(6) of the Act, 33 U.S.C.
1362 (6))—
  (A)  Information  necessary   to  determine  the
identity,  amount,  frequency,   concentration, tem-
perature, or other characteristics (to the extent  re-
lated to water quality) of any  pollutant which has
been discharged by the source  (or of any pollutant
resulting from any  discharge from the  source), or
any combination of the foregoing;
  (B)  Information  necessary   to  determine  the
identity,  amount,  frequency,   concentration, tem-
perature, or other characteristics (to the extent  re-
lated to  water quality)  of the pollutants which,
under  an  applicable  standard  or limitation,  the
source was authorized to discharge (including, to
the extent necessary  for such  purpose, a  descrip-
tion  of the manner  or  rate of operation  of the
source); and
  (C) A general description of the location and/or
nature of  the source  to the  extent necessary to
identify the source and to distinguish it from other
sources (including, to the extent necessary for such
purposes, a description of the  device, installation,
or operation constituting the source).
  (ii) Notwithstanding  paragraph (a)(2)(i) of this
section, the following information shall be consid-
ered to be  effluent  data  only to the extent nec-
essary to allow EPA  to  disclose publicly that a
source is  (or is  not) in compliance with an  appli-
cable standard or  limitation, or to allow  EPA to
demonstrate the  feasibility, practicability, or attain-
ability (or lack thereof) of an existing or proposed
standard or limitation:
  (A) Information concerning  research, or the re-
sults of research, on any product, method, device,
or installation (or any  component thereof) which
was  produced, developed, installed, and used only
for research purposes; and
  (B) Information concerning  any product,  meth-
od,  device,  or installation  (or  any component
thereof) designed and  intended to be  marketed or
used  commercially  but not yet  so  marketed  or
used.
  (3) Standard  or limitation means  any  prohibi-
tion,  any effluent  limitation,  or  any toxic, pre-
treatment or new source performance  standard es-
tablished  or publicly proposed  pursuant to the Act
or pursuant to regulations under the Act, including
limitations or prohibitions in  a  permit  issued  or
proposed  by EPA  or by a  State under section 402
of the Act, 33 U.S.C. 1342.
  (4) Proceeding means any rulemaking, adjudica-
tion, or licensing conducted by EPA under the Act
or under regulations which implement the Act, ex-
cept for determinations under this part.
  (b) Applicability.  (1) This section applies only
to business information—
  (i) Provided to or obtained  by  EPA under sec-
tion  308  of the  Act, 33 U.S.C. 1318, by  or from
the owner or operator  of any point source, for the
purpose  of  carrying out the objective of  the Act
(including but not limited to developing or assist-
ing in the development of any standard  or limita-
tion  under the  Act, or determining  whether any
person is  in violation of any such standard or limi-
tation); or
  (ii) Provided to  or obtained  by EPA under sec-
tion  509(a) of the Act, 33 U.S.C. 1369(a).
  (2) Information will be considered  to have been
provided or obtained under section 308 of the Act
if it was provided in response to a request  by EPA
made for any  of the  purposes stated in section
308, or if its submission could have been required
under section 308, regardless  of whether section
308 was cited as the authority for any request for
the information, whether  an order to provide the
information was issued under section  309(a)(3) of
the Act,  33 U.S.C.  1319(a)(3), whether a civil ac-
tion  was brought under section 309(b) of the Act,
33 U.S.C. 1319(b),  and whether the information
                                                27

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§2.303
was  provided directly to  EPA or through  some
third person.
  (3) Information will be considered to have been
provided or obtained under section 509(a) of the
Act if it was provided in response to a subpoena
issued under section 509(a),  or  if its  production
could have been required by subpoena under sec-
tion  509(a), regardless of whether section 509(a)
was cited as  the authority for any request for the
information,  whether a  subpoena was issued by
EPA,  whether a court issued  an  order under sec-
tion 307(a), or  whether  the information was  pro-
vided directly to EPA or through some third per-
son.
  (4) This section  specifically does not  apply to
information  obtained  under  section   310(d)  or
312(g)(3)  of   the  Act,   33  U.S.C.   1320(d),
1322(g)(3).
  (c)  Basic  rules  which  apply  without  change.
Sections  2.201  through   2.207,  2.209,  2.211
through 2.215 apply without change to information
to which this section applies.
  (d) [Reserved]
  (e)  Substantive criteria for use in confidentiality
determinations.  Section 2.208 applies  to  informa-
tion to  which this section applies, except that in-
formation which is effluent data or a standard or
limitation is not eligible for confidential treatment.
No  information to  which this section applies is
voluntarily submitted information.
  (f)  Availability of information not  entitled to
confidential  treatment.   Section  2.210  does  not
apply to information to which this section applies.
Effluent data,  standards  or  limitations,  and  any
other  information provided or obtained under sec-
tion 308 of the Act which is determined under  this
subpart not to be entitled to confidential treatment,
shall  be available  to  the  public  notwithstanding
any other provision of this part. Effluent  data  and
standards or  limitations provided in response  to a
subpoena issued under section 509(a)  of the  Act
shall  be available  to  the  public  notwithstanding
any other provision of this part. Information (other
than  effluent  data  and  standards  or  limitations)
provided in response to  a subpoena issued under
section  509(a)   of the Act, which is  determined
under this subpart not to  be entitled to  confidential
treatment, shall  be  available to the public, unless
EPA  determines that the  information is exempt
from  mandatory disclosure under  5 U.S.C.  552(b)
for  reasons other than reasons of business  con-
fidentiality and  cannot  or should not be made
available to the public.
  (g) Disclosure of information relevant to a pro-
ceeding. (1) Under  sections 308 and 509(a) of the
Act,  any information to which this section applies
may be released by EPA because  of the relevance
of the information to a proceeding, notwithstand-
ing the fact that the information  otherwise might
be  entitled  to confidential  treatment  under this
subpart. Release of information to which this sec-
tion applies  because of its relevance to a proceed-
ing shall  be made only  in  accordance with this
paragraph (g).
  (2)-(4)  The provisions of §2.301(g)  (2), (3),
and  (4)  are incorporated by  reference  as  para-
graphs (g) (2), (3), and  (4), respectively of this
section.
  (h) Disclosure to authorized representatives. (1)
Under sections 308 and  509(a) of the Act, EPA
possesses  authority to disclose to any authorized
representative of the United States any information
to which this section applies, notwithstanding the
fact that the information  might otherwise be enti-
tled to  confidential  treatment under  this subpart.
Such authority may be exercised  only in accord-
ance with paragraph  (h)(2) or (h)(3)  of this sec-
tion.
  (2)-(3)  The provisions  of §2.301(h) (2) and (3)
are incorporated by reference as paragraphs (h) (2)
and (3), respectively, of this section.

[41  FR  36902, Sept.  1,  1976,  as amended at  43 FR
40003, Sept. 8, 1978]

§ 2.303   Special rules governing certain
     information  obtained   under   the
     Noise Control Act of 1972.

  (a) Definitions. For the purposes of this section:
  (1) Act means  the Noise Control Act  of  1972,
42 U.S.C. 4901 et seq.
  (2) Manufacturer has the meaning given it in 42
U.S.C. 4902(6).
  (3) Product has the  meaning  given it  in 42
U.S.C. 4902(3).
  (4) Proceeding means any  rulemaking, adjudica-
tion, or licensing conducted by EPA under the Act
or under regulations which implement the Act, ex-
cept for determinations under this subpart.
  (b) Applicability.  This section applies only to in-
formation provided to or obtained by EPA under
section  13 of the  Act, 42  U.S.C. 4912, by or from
any manufacturer of any  product to which regula-
tions  under  section 6 or  8 of the Act (42 U.S.C.
4905, 4907) apply.  Information will be deemed to
have been provided or obtained under section 13
of the Act, if it was provided in response to a re-
quest by EPA made  for  the purpose of enabling
EPA  to determine  whether the manufacturer has
acted or is acting in  compliance  with the Act, or
if its submission  could have been required under
section  13 of the Act,  regardless  of  whether sec-
tion 13 was  cited as  authority  for  the request,
whether an order to provide  such  information was
issued under section  ll(d) of the Act, 42 U.S.C.
4910(d), and whether  the  information  was  pro-
vided directly to  EPA by  the  manufacturer or
through some third person.
                                                28

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                                                                                          §2.304
  (c) Basic  rules  which  apply without change.
Sections 2.201 through  2.207  and 2.209 through
2.215  apply  without  change  to information  to
which this section applies.
  (d) [Reserved]
  (e) Substantive criteria for use in confidentiality
determinations.  Section  2.208  applies  without
change  to  information to  which this section  ap-
plies; however, no  information to which this sec-
tion applies is voluntarily submitted information.
  (f) [Reserved]
  (g) Disclosure  of information relevant to  a pro-
ceeding. (1) Under section 13 of the Act,  any in-
formation to which this section applies may be re-
leased by EPA because of its relevance to a matter
in  controversy in  a  proceeding, notwithstanding
the fact that the  information otherwise  might  be
entitled to  confidential treatment under this  sub-
part.  Release  of information because of  its rel-
evance  to a proceeding shall be made only in ac-
cordance with this paragraph  (g).
  (2)-(4) The provisions  of §2.301(g) (2), (3),
and (4) are  incorporated  by  reference as  para-
graphs  (g)  (2), (3), and (4), respectively, of this
section.

[41  FR  36902, Sept.  1, 1976,  as  amended at  43 FR
40003, Sept. 8, 1978]

§2.304 Special rules governing certain
     information  obtained  under   the
     Safe Drinking Water Act.

  (a) Definitions. For the purposes of this section:
  (1) Act means the Safe Drinking Water Act,  42
U.S.C. 300f et seq.
  (2) Contaminant means  any  physical,  chemical,
biological,  or radiological  substance  or  matter in
water.
  (3) Proceeding means  any  rulemaking, adjudica-
tion, or licensing  process conducted by EPA under
the Act or  under  regulations  which implement the
Act, except for any determination under this part.
  (b) Applicability. (1) This section applies only
to information—
  (i) Which was  provided  to or  obtained by EPA
pursuant to a requirement of a  regulation  which
was issued by EPA under the Act for the purpose
of—
  (A) Assisting the Administrator in establishing
regulations under the Act;
  (B) Determining whether  the  person  providing
the information has acted  or is acting in compli-
ance with the Act; or
  (C) Administering any program of financial as-
sistance under the Act; and
  (ii) Which was provided  by a person—
  (A) Who is a  supplier of water,  as  defined in
section  1401(5) of the Act,  42 U.S.C. 300f(5);
  (B)  Who is or may  be subject to a primary
drinking water regulation  under section  1412  of
the Act, 42 U.S.C. 300g-l;
  (C) Who  is or may be subject to an applicable
underground injection  control program, as defined
in section 1422(d) of the Act,  42 U.S.C.300h-l(d);
  (D) Who  is or may be subject to the permit re-
quirements  of section  1424(b) of the  Act,  42
U.S.C. 300h-3(b);
  (E) Who is  or may be subject to  an  order issued
under  section  1441(c)  of the  Act,  42 U.S.C.
300j(c); or
  (F) Who  is a  grantee,  as  defined in section
1445(e) of the Act, 42 U.S.C.  300j-4(e).
  (2)  This  section  applies   to  any  information
which is described by paragraph (b)(l) of this sec-
tion if it was provided in response  to a request by
EPA or its authorized representative (or by a State
agency  administering any program  under  the Act)
made for any purpose stated in paragraph  (b)(l) of
this  section, or if its submission could have been
required under section 1445 of the  Act, 42 U.S.C.
300J-4, regardless  of whether  such  section  was
cited in any request  for the information, or wheth-
er the  information was provided directly to EPA
or through some third person.
  (c) Basic  rules  which  apply without change.
Sections 2.201 through  2.207,  2.209, and 2.211
through 2.215  apply  without change to information
to which this section applies.
  (d) [Reserved]
  (e) Substantive criteria for use in confidentiality
determinations. Section 2.208 applies  to  informa-
tion to which this section  applies,  except that in-
formation which deals with the existence,  absence,
or level of  contaminants in drinking water is  not
eligible for  confidential treatment. No information
to which this section applies is voluntarily submit-
ted information.
  (f) Nondisclosure  for  reasons other than busi-
ness confidentiality or where disclosure is prohib-
ited by  other  statute. Section 2.210 applies to in-
formation to which this section applies, except that
information  which deals with the existence,  ab-
sence,  or  level of contaminants in  drinking water
shall be available to  the  public  notwithstanding
any other provision of this part.
  (g) Disclosure  of information relevant to  a pro-
ceeding. (1) Under section  1445(d)  of the  Act, any
information  to which this  section applies may be
released by  EPA because of the relevance  of the
information  to a proceeding,  notwithstanding  the
fact that the information otherwise might be enti-
tled to  confidential  treatment under this  subpart.
Release of information to  which this section  ap-
plies because of its relevance to a proceeding shall
be  made only in  accordance  with  this paragraph
(g).
                                                29

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§2.305
  (2)-(4) The provisions of §2.301(g) (2), (3), (4)
are  incorporated  by reference as paragraphs  (g)
(2), (3), and (4), respectively, of this  section.
  (h) Disclosure  to authorized representatives. (1)
Under section 1445(d) of the  Act, EPA possesses
authority to disclose to any authorized representa-
tive of the United States any information to which
this section applies, notwithstanding the fact that
the information otherwise might be entitled to con-
fidential treatment under this subpart. Such author-
ity  may be  exercised only  in  accordance  with
paragraph (h)(2) or (h)(3) of this section.
  (2)-(3) The provisions of §2.301(h) (2)  and (3)
are incorporated by reference as paragraphs (h) (2)
and (3), respectively, of this section.
[41  FR 36902, Sept.  1,  1976, as amended at  43 FR
40003, Sept. 8, 1978]

§2.305   Special rules governing certain
     information  obtained   under   the
     Solid Waste Disposal Act, as amend-
     ed.
  (a) Definitions. For purposes of this section:
  (1) Act means the Solid  Waste Disposal Act, as
amended, including amendments made by the Re-
source Conservation and Recovery Act of 1976, as
amended, 42  U.S.C. 6901 et seq.
  (2) Person has the meaning given it in section
1004(15) of the Act, 42 U.S.C. 6903(15).
  (3) Hazardous waste has the meaning given it
in section  1004(5) of the Act,  42 U.S.C.  6903(5).
  (4) Proceeding means  any rulemaking, adjudica-
tion, or licensing conducted by EPA  under the Act
or under regulations which implement the  Act in-
cluding the issuance of  administrative orders and
the  approval  or  disapproval of plans (e.g.  closure
plans)  submitted  by persons subject to regulation
under the  Act,  but not including  determinations
under this subpart.
  (b) Applicability. This section  applies to infor-
mation provided to or obtained by EPA under sec-
tion  3001(b)(3)(B), 3007, or 9005 of the Act, 42
U.S.C  6921(b)(3)(B), 6927, or 6995.  Information
will  be considered to  have been provided or ob-
tained under sections 3001(b)(3)(B),  3007, or 9005
of the  Act if it was provided  in response to a re-
quest from EDA  made  for any  of the purposes
stated in the Act or if its  submission could have
been required under those  provisions of the Act
regardless  of whether a specific section was cited
as the authority for any request for the information
or whether the information was provide directly to
EPA or through some third person.
  (c) Basic  rules  which  apply  without change.
Sections  2.201 through  2.207  and  2.209 through
2.215  apply without  change  to  information to
which this  section applies.
  (d) [Reserved]
  (e) Substantive criteria for use in confidentiality
determinations.  Section  2.208  applies  without
change  to  information to  which this  section ap-
plies; however, no  information to which this  sec-
tion  applies is voluntarily submitted information.
  (f) [Reserved]
  (g) Disclosure of information relevant in a pro-
ceeding. (1)  Under sections  3007(b)  and 9005(b)
of the Act (42 U.S.C. 6927(b) and 6995(b)), any
information to which this  section applies may be
disclosed by  EPA because of the relevance  of the
information in a proceeding under the  Act,  not-
withstanding  the  fact that the  information  other-
wise  might be entitled  to  confidential  treatment
under this  subpart. Disclosure of information to
which this  section applies because of its  relevance
in a proceeding shall  be made  only in accordance
with this paragraph  (g).
  (2)-(4) The provisions  of §2.301(g) (2),  (3),
and  (4) are  incorporated  by  reference  as para-
graphs  (g)  (2), (3), and (4), respectively,  of this
section.
  (h) Disclosure to authorized  representatives. (1)
Under  sections   3001(b)(3)(B),   3007(b),   and
9005(b)  of the  Act (42  U.S.C.  6921(b)(3)(B),
6927(b), and  6995(b)), EPA possesses  authority to
disclose to any authorized representative  of the
United  States any information  to which this  sec-
tion  applies,  notwithstanding the fact that the in-
formation might otherwise  be entitled to  confiden-
tial treatment under this subpart. Such  authority
may be exercised only  in accordance with para-
graph (h)(2) or (h)(3)  of this section.
  (2)-(3) The provisions of §2.301(h) (2) and (3)
are incorporated by reference as paragraphs (h) (2)
and (3), respectively, of this section.
  (4) At the  time any information is furnished to
a contractor,  subcontractor, or  state  or local gov-
ernment agency under this  paragraph (h), the EPA
office furnishing the information to the contractor,
subcontractor, or state or local  government agency
shall  notify the contractor, subcontractor, or state
or local government  agency that the  information
may be entitled to  confidential treatment and that
any knowing  and willful  disclosure of the informa-
tion  may subject the  contractor,  subcontractor, or
state or local  government agency and its employ-
ees   to  penalties    in   section   3001(b)(3)(B),
3007(b)(2), or 9005(b)(l)  of the Act (42  U.S.C.
6921(b)(3)(B), 6927(b), or 6995(b)).
[43  FR  40003, Sept. 8, 1978,  as amended  at  50 FR
51662, Dec.  18, 1985]

§ 2.306 Special rules governing  certain
     information  obtained   under    the
     Toxic Substances Control Act.
  (a) Definitions. For the purposes of this section:
  (1) Act  means  the Toxic  Substances Control
Act,  15 U.S.C. 2601 et seq.
                                                30

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                                                                                           §2.306
  (2) Chemical substance has the meaning given
it in section 3(2) of the  Act,  15 U.S.C. 2602(2).
  (3)(i) Health and safety  data means the infor-
mation described in paragraphs (a)(3)(i) (A), (B),
and (C) of this section with respect to  any chemi-
cal  substance or mixture offered for commercial
distribution  (including for test marketing purposes
and  for  use in  research and development),  any
chemical  substance  included  on the inventory of
chemical substances under section 8 of the Act (15
U.S.C. 2607), or any  chemical substance or mix-
ture  for which testing is  required under section 4
of the Act (15  U.S.C.  2603) or for which notifica-
tion  is required  under section 5 of the Act (15
U.S.C. 2604).
  (A) Any study of any effect of a chemical sub-
stance  or mixture on  health,  on the environment,
or on both, including underlying data  and epide-
miological studies; studies  of occupational expo-
sure  to a chemical substance or mixture; and toxi-
cological, clinical,  and  ecological studies  of a
chemical substance or mixture;
  (B) Any test performed under the Act; and
  (C) Any data reported to, or otherwise obtained
by,   EPA from  a  study  described in  paragraph
(a)(3)(i)(A)  of this section  or a test described in
paragraph (a)(3)(i)(B) of this section.
  (ii) Notwithstanding paragraph (a)(3)(i)  of this
section, no  information shall  be considered to be
health and safety data if disclosure of the informa-
tion would—
  (A) In the case of a chemical substance or mix-
ture, disclose processes used in the manufacturing
or processing the chemical substance  or mixture
or,
  (B) In the case of a mixture, disclose the por-
tion of the mixture  comprised by any of the chem-
ical substances in the mixture.
  (4) [Reserved]
  (5) Mixture has the meaning given it in  section
3(8)  of the Act, 15 U.S.C. 2602(8).
  (6) Proceeding means any rulemaking, adjudica-
tion, or licensing conducted by EPA under the Act
or under regulations which  implement the Act, ex-
cept  for determinations under this subpart.
  (b) Applicability. This  section applies to all  in-
formation submitted  to EPA  for the  purpose of
satisfying some  requirement  or condition  of the
Act or of regulations which implement the Act,  in-
cluding information originally submitted to  EPA
for some  other  purpose and either relied upon to
avoid some  requirement or  condition of the Act or
incorporated into a submission in order to satisfy
some requirement or  condition of the  Act or of
regulations which implement the Act. Information
will  be considered to have been provided under
the  Act  if the  information could  have  been ob-
tained under authority of the Act, whether the Act
was  cited as authority or  not, and whether the  in-
formation  was   provided  directly  to   EPA  or
through some third person.
  (c) Basic  rules which  apply without  change.
Sections 2.201 through  2.203,  2.206, 2.207,  and
2.210 through 2.215  apply without change to in-
formation to which this section applies.
  (d) Initial  action by EPA office. Section  2.204
applies  to information to  which this section ap-
plies,  except that the  provisions of  paragraph
(e)(3) of this section  regarding the time  allowed
for seeking judicial review shall  be  reflected in
any   notice   furnished   to  a  business   under
§2.204(d)(2).
  (e) Final confidentiality  determination  by  EPA
legal office.  Section 2.205  applies to information
to which this section applies, except that—
  (1)  Notwithstanding  §2.205(i),  the  General
Counsel (or his designee),  rather than the  regional
counsel, shall make the  determinations  and take
the actions required by §2.205;
  (2) In  addition to the statement prescribed by
the second sentence of § 2.205(f)(2),  the notice of
denial of  a  business  confidentiality  claim  shall
state that under section 20(a) of the Act,  15 U.S.C.
2619, the business may commence  an action in an
appropriate Federal district court to prevent disclo-
sure.
  (3) The following sentence is substituted for the
third  sentence of §2.205(f)(2): "With  respect to
EPA's  implementation of the determination, the
notice shall state that (subject to § 2.210) EPA will
make the information available to the  public on
the thirty-first (31st) calendar day after the date of
the business' receipt of the written notice (or on
such  later date  as is  established  in  lieu thereof
under paragraph (f)(3) of this section),  unless the
EPA  legal office  has  first  been  notified of the
business' commencement of an action in a Federal
court to obtain judicial review of the determination
and to obtain preliminary injunctive  relief against
disclosure."; and
  (4) Notwithstanding §2.205(g), the 31 calendar
day period prescribed by § 2.205(f)(2), as modified
by  paragraph (e)(3) of this section,  shall not be
shortened without the consent of the business.
  (f) [Reserved]
  (g) Substantive  criteria for use in confidentiality
determinations.  Section  2.208  applies  without
change  to information to  which this section ap-
plies, except that health and safety  data are not eli-
gible for confidential treatment. No information to
which this section applies is voluntarily submitted
information.
  (h) Disclosure  in special  circumstances. Section
2.209 applies to information to which this section
applies,  except that the following  two  additional
provisions apply to § 2.209(c):
  (1) The official purpose for which the informa-
tion is  needed must  be in  connection  with the
                                                31

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§2.306
agency's  duties under  any law  for  protection of
health or the  environment or for specific law en-
forcement purposes; and
  (2) EPA notifies the other agency that the infor-
mation  was acquired under authority  of the  Act
and that any  knowing  disclosure of the informa-
tion may  subject the officers and employees of the
other agency  to the penalties  in  section 14(d) of
the Act (15 U.S.C. 2613(d)).
  (i)  Disclosure of information relevant in a pro-
ceeding. (1) Under section 14(a)(4) of the Act (15
U.S.C.  2613(a)(4)), any information to  which this
section  applies may be disclosed  by EPA when the
information is relevant in a proceeding under the
Act,  notwithstanding the fact that the information
otherwise might be entitled to confidential treat-
ment  under this subpart. However,  any such  dis-
closure  shall be made in a manner that preserves
the confidentiality of the information to the extent
practicable without impairing the proceeding. Dis-
closure  of information to which this section ap-
plies  because  of its relevance in a proceeding shall
be made  only in  accordance with this paragraph
(i).
  (2)-(4) The provisions of  §2.301(g) (2),  (3),
and  (4) are   incorporated by  reference as para-
graphs  (i) (2), (3), and  (4),  respectively,  of this
section.
  (j)  Disclosure of information to contractors and
subcontractors.  (1) Under section 14(a)(2) of the
Act  (15  U.S.C.  2613(a)(2)), any information to
which this section applies may  be  disclosed  by
EPA  to a contractor or subcontractor of the United
States performing  work  under the  Act, notwith-
standing the  fact that  the information otherwise
might be entitled to confidential treatment under
this subpart. Subject to the limitations in this para-
graph (j), information to which this section applies
may be disclosed:
  (i)  To  a contractor or subcontractor with EPA,
if the EPA program office managing the contract
first  determines in writing that such disclosure is
necessary for  the  satisfactory performance by the
contractor or subcontractor of the contract  or sub-
contract; or
  (ii) To a contractor  or  subcontractor with an
agency  other than EPA,  if the EPA program office
which provides the  information to  that agency,
contractor, or subcontractor  first determines in
writing, in consultation with the  General Counsel,
that such disclosure is  necessary for the satisfac-
tory  performance  by the  contractor or subcontrac-
tor of the contract or subcontract.
  (2)-(4) The provisions of §2.301(h)(2) (ii), (iii),
and  (iv)  are  incorporated by reference as para-
graphs  (j) (2), (3), and  (4),  respectively,  of this
section.
  (5) At the time any information is  furnished to
a contractor or subcontractor under this paragraph
(j), the EPA  office furnishing  the  information to
the  contractor or  subcontractor  shall  notify the
contractor  or subcontractor that the  information
was acquired under authority of the Act  and that
any knowing disclosure  of the information may
subject the contractor or subcontractor and its em-
ployees to the penalties in section 14(d) of the Act
(15 U.S.C. 2613(d)).
   (k) Disclosure of information when necessary to
protect health or the environment against an un-
reasonable  risk  of injury.  (1)  Under  section
14(a)(3)  of the Act (15 U.S.C 2613(a)(3)), any in-
formation to  which  this section applies  may be
disclosed by EPA when disclosure is necessary to
protect health or the environment against an unrea-
sonable risk of injury to health or the environment.
However, any disclosure  shall be made in a  man-
ner that  preserves the confidentiality of the infor-
mation to the extent  not inconsistent with protect-
ing health  or the environment  against the unrea-
sonable risk of injury. Disclosure of information to
which this section applies because of the need to
protect health or the environment against an unrea-
sonable risk of injury  shall be made  only in ac-
cordance with this paragraph (k).
   (2)  If any  EPA office determines that there  is
an unreasonable risk  of injury to health or the en-
vironment and that to  protect health or the  envi-
ronment against the unreasonable risk of injury it
is necessary  to disclose information  to which this
section applies that otherwise might be entitled to
confidential treatment under this subpart, the EPA
office  shall  notify the General  Counsel in writing
of the nature of the unreasonable risk of injury,
the extent of the  disclosure proposed, how the pro-
posed  disclosure  will serve to protect health or the
environment against  the  unreasonable risk of in-
jury, and the proposed date of disclosure. Such no-
tification shall be made  as  soon  as  practicable
after discovery of the unreasonable risk of injury.
If the EPA office determines that the risk of injury
is so imminent that  it  is impracticable to furnish
written notification  to  the General  Counsel, the
EPA office  shall notify the General  Counsel oral-
iy.
   (3) Upon receipt of notification under paragraph
(k)(2)  of this section,  the  General Counsel  shall
make  a  determination  in writing whether disclo-
sure of information to  which this section applies
that otherwise might be  entitled  to  confidential
treatment is necessary to protect health or the en-
vironment against an unreasonable  risk of injury.
The General Counsel shall also determine the ex-
tent of disclosure necessary to  protect against the
unreasonable  risk of injury as  well as when the
disclosure must be made to protect against the un-
reasonable risk of injury.
                                                 32

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                                                                                           §2.307
   (4) If the  General Counsel determines that dis-
closure  of information to which  this section  ap-
plies that otherwise  might be entitled to confiden-
tial treatment is necessary to protect health or the
environment  against an unreasonable risk of in-
jury, the  General Counsel shall furnish notice to
each affected business of the contemplated disclo-
sure and  of  the  General  Counsel's  determination.
Such notice  shall be made in writing by certified
mail, return receipt requested, at least 15 days be-
fore the disclosure is to be made.  The notice shall
state the date upon which disclosure will be made.
However, if  the  General  Counsel determines that
the risk of injury is  so imminent that it is imprac-
ticable to furnish such notice 15  days before the
proposed  date of disclosure, the General Counsel
may provide  notice by means that will provide re-
ceipt of the notice by the  affected business at least
24 hours before the  disclosure is to  be made.  This
may be done by  telegram, telephone, or other rea-
sonably rapid means.

[43 FR  40003,  Sept.  8,  1978,  as amended  at 44 FR
17674, Mar. 23, 1979; 58 FR 462, Jan. 5, 1993]

§ 2.307   Special  rules governing  certain
     information    obtained   under   the
     Federal Insecticide,  Fungicide and
     Rodenticide Act.
   (a) Definitions. For the purposes of this section;
   (1) Act means  the Federal  Insecticide, Fungicide
and Rodenticide  Act, as amended, 7 U.S.C. 136 et
seq., and its predecessor,  7 U.S.C. 135 et seq.
   (2) Applicant  means any  person  who  has  sub-
mitted to EPA (or to a predecessor agency with
responsibility for administering the Act) a registra-
tion statement or application for registration under
the Act of a pesticide or of an establishment.
   (3) Registrant means  any person  who  has  ob-
tained registration under the  Act of a pesticide or
of an establishment.
   (b) Applicability.  This  section applies to all in-
formation submitted to EPA by  an applicant  or
registrant for the purpose of satisfying some re-
quirement or condition of the Act or of regulations
which implement the Act,  including information
originally submitted to EPA for some other pur-
pose but incorporated by the  applicant or registrant
into a submission in order to satisfy some require-
ment or condition  of the Act or  of  regulations
which implement the Act. This section  does  not
apply to information supplied to  EPA by a peti-
tioner in support  of a petition for a tolerance under
21 U.S.C.  346a(d),  unless the information  is also
described by  the first sentence  of this paragraph.
   (c) Basic  rules which  apply without  change.
Sections 2.201 through 2.203,  2.206,  2.207, and
2.210 through 2.215 apply without  change to in-
formation to  which this section applies.
  (d) Initial action  by EPA office.  Section  2.204
applies  to  information to  which  this section  ap-
plies, except that the  provisions of paragraph (e)
of this  section regarding  the  time allowed  for
seeking judicial review  shall be  reflected in  any
notice furnished to  a business under  § 2.204(d)(2).
  (e) Final confidentiality  determination by EPA
legal office.  Section 2.205  applies to information
to which this section applies, except that—
  (1)  Notwithstanding  §2.205(i),   the  General
Counsel (or his designee), rather than the  Regional
Counsel, shall  make the determinations  and take
the actions required by §2.205;
  (2) In addition  to the statement  prescribed by
the second sentence of §2.205(f)(2),  the  notice of
denial of  a business  confidentiality claim shall
state that under section 10(c) of the Act,  7 U.S.C.
136h(c), the business may commence an  action in
an appropriate  Federal district court for a declara-
tory judgment;
  (3) The following sentence is substituted for the
third  sentence  of  §2.205(f)(2):  "With respect to
EPA's  implementation of the  determination,  the
notice shall state that (subject to §2.210) EPA will
make the information  available to the public on
the thirty-first (31st) calendar day  after the date of
the business's receipt  of the written  notice  (or on
such  later  date as is  established in lieu thereof
under paragraph (f)(3) of this section), unless the
EPA  legal  office  has  first  been  notified of the
business's  commencement of an action in a Fed-
eral  court to obtain judicial review  of the  deter-
mination or to obtain a declaratory judgment  under
section  10(c) of the  Act and to  obtain preliminary
injunctive relief against disclosure.";  and
  (4) Notwithstanding §2.205(g),  the 31  calendar
day period prescribed by § 2.205(f)(2), as  modified
by paragraph (e)(3) of this section,  shall not be
shortened without the consent of the business.
  (f) [Reserved]
  (g) Substantive criteria for use in confidentiality
determinations.  Section  2.208   applies  without
change  to  information to  which  this section  ap-
plies; however, no  information  to which  this sec-
tion applies is voluntarily submitted information.
  (h) Disclosure in special circumstances. (1) Sec-
tion  2.209  applies without  change to information
to which this  section  applies.  In addition,  under
section   12(a)(2)(D)  of   the  Act,  7  U.S.C.
136j(a)(2)(D), EPA possesses authority to disclose
any  information to  which this  section applies to
physicians,  pharmacists, and other  qualified per-
sons needing such information for  the performance
of their duties,  notwithstanding the fact that the in-
formation might otherwise be entitled to confiden-
tial  treatment under this subpart.  Such  authority
under section 12(a)(2)(D) of the Act  may be exer-
cised only  in accordance with paragraph  (h)(2) or
(h)(3) of this section.
                                                33

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§2.308
  (2) Information  to  which  this  section applies
may be disclosed (notwithstanding the fact that it
might otherwise  be entitled to confidential treat-
ment under this  subpart) to  physicians,  phar-
macists,  hospitals,  veterinarians, law  enforcement
personnel,  or governmental agencies with respon-
sibilities  for protection  of public  health, and to
employees  of any such persons or agencies, or to
other qualified persons, when  and to the extent
that  disclosure is necessary in order to treat illness
or injury or to prevent imminent harm to persons,
property, or the environment,  in the opinion of the
Administrator or  his designee.
  (3) Information  to  which  this  section applies
may be disclosed (notwithstanding the fact that it
otherwise might  be entitled to confidential treat-
ment under this  subpart) to a person  under  con-
tract to EPA to perform work for EPA in connec-
tion  with the Act or regulations which implement
the Act,  if the  EPA program office managing the
contract  first determines in writing that such  dis-
closure  is  necessary in  order that the  contractor
may carry  out the  work required by the contract.
Any such disclosure to a contractor shall be made
only in accordance with the procedure and require-
ments of § 2.301(h)(2) (ii) through (iv).
  (4) Information  to  which  this section  applies,
and which  relates to formulas of products, may be
disclosed at any  public  hearing  or in  findings of
fact  issued by the Administrator, to the extent and
in the manner authorized by  the Administrator or
his designee.
[41  FR 36902, Sept.  1,  1976,  as amended at 43  FR
40005, Sept. 8, 1978]

§2.308   Special  rules  governing certain
     information   obtained   under   the
     Federal  Food,  Drug  and  Cosmetic
     Act.
  (a) Definitions. For the purposes of this section:
  (1) Act means  the Federal Food, Drug and  Cos-
metic Act,  as amended, 21  U.S.C. 301 et seq.
  (2) Petition means a petition for the  issuance of
a regulation establishing a tolerance for a pesticide
chemical or exempting the  pesticide chemical from
the necessity of a tolerance, pursuant to section
408(d) of the Act, 21 U.S.C. 346a(d).
  (3) Petitioner means a person who has submit-
ted a petition to EPA (or to a predecessor agency).
  (b) Applicability.  (1)  This  section applies  only
to business information  submitted  to  EPA (or to
an advisory committee established  under the  Act)
by  a petitioner,  solely  in support of a  petition
which has not been acted on by the publication by
EPA of a regulation establishing a tolerance for a
pesticide  chemical  or  exempting the  pesticide
chemical from the necessity of a tolerance, as pro-
vided in  section  408(d)  (2) or (3)  of the  Act,  21
U.S.C. 346a(d) (2) or (3).
  (2) Section 2.307, rather than this  section, ap-
plies to information  described by the first sentence
of §2.307(b)  (material incorporated into  submis-
sions  in order to satisfy the  requirements of the
Federal  Insecticide,  Fungicide  and  Rodenticide
Act, as amended), even though such information
was originally submitted by a petitioner in support
of a petition.
  (3) This section does not apply to information
gathered by EPA under a proceeding initiated  by
EPA to establish a tolerance under  section 408(e)
of the Act, 21 U.S.C. 346a(e).
  (c) Basic  rules which  apply without  change.
Sections 2.201,  2.202,  2.206,  2.207,  and  2.210
through 2.215 apply without change  to information
to which this section applies.
  (d) Effect of submission of information without
claim.  Section 2.203  (a)  and  (b)  apply  without
change  to  information to  which this section ap-
plies. Section 2.203(c), however, does not apply to
information to  which this section applies. A peti-
tioner's failure  to assert a  claim  when  initially
submitting a petition shall not constitute  a waiver
of any claim the petitioner may have.
  (e) Initial  action  by EPA office.  Section 2.204
applies  to  information to  which this section ap-
plies, except that—
  (1) Unless the EPA office has on file a written
waiver of a petitioner's claim, a petitioner shall be
regarded as an affected business, a petition shall
be treated as if it were covered by a business con-
fidentiality claim, and an EPA office acting under
§2.204(d) shall determine that the  information in
the petition is  or may be entitled to  confidential
treatment and shall take action in accordance with
§2.204(d)(l);
  (2) In addition to other required provisions of
any   notice  furnished  to  a   petitioner   under
§ 2.204(e), such notice shall state that—
  (i) Section 408(f)  of the Act,  21 U.S.C.  346a(f),
affords  absolute  confidentiality to  information to
which this section applies, but after  publication by
EPA  of a regulation  establishing a tolerance (or
exempting the pesticide chemical from the neces-
sity of a tolerance) neither the Act nor this  section
affords any protection to the information;
  (ii) Information submitted in support of a peti-
tion which is  also incorporated into a submission
in order to  satisfy a requirement or condition of
the Federal Insecticide, Fungicide and Rodenticide
Act, as  amended, 7 U.S.C. 136 et seq., is regarded
by EPA as being governed, with respect to busi-
ness confidentiality,  by § 2.307 rather than  by this
section;
  (iii) Although  it appears that this section may
apply to the information at this time, EPA is pres-
ently engaged in determining whether for any rea-
son the  information is  entitled to confidential treat-
ment  or will be  entitled to such treatment if and
                                                34

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                                                                                         §2.310
when this section no longer applies to the informa-
tion; and
  (iv) Information determined by EPA to be cov-
ered by this  section will not be disclosed for as
long as this section continues to apply, but will be
made available to the public thereafter (subject to
§2.210) unless the business furnishes timely com-
ments in response to the notice.
  (f) Final confidentiality determination  by  EPA
legal office. Section 2.205 applies to information
to which this section applies, except that—
  (1)  Notwithstanding  §2.205(i),  the  General
Counsel or his designee, rather than the Regional
counsel, shall  in all cases make the determinations
and take the actions required by § 2.205;
  (2) In addition to the circumstances mentioned
in §2.205(f)(l), notice in the form prescribed by
§2.205(f)(2)  shall be  furnished to each  affected
business whenever information is found to be enti-
tled  to confidential  treatment under section 408(f)
of the Act but not otherwise entitled to confiden-
tial treatment.  With respect to such cases, the fol-
lowing sentences shall be substituted  for the  third
sentence  of §2.205(f)(2):  "With respect to EPA's
implementation  of  the determination, the notice
shall state that (subject to §2.210) EPA will make
the  information available to  the public on  the thir-
ty-first (31st) calendar day after the business's re-
ceipt of the written  notice (or on such later  date
as is established in  lieu thereof under paragraph
(f)(3) of this  section), unless the EPA legal office
has  first  been  notified  of the  business's  com-
mencement of an action in a Federal court to ob-
tain  judicial review of the determination and to
obtain preliminary injunctive relief against disclo-
sure; provided,  that the information  will not be
made available to the public  for so long as  it is
entitled to confidential  treatment  under section
408(f) of the  Federal Food,  Drug and Cosmetic
Act, 21 U.S.C. 346a(f)."; and
  (3) Notwithstanding §2.205(g), the 31  calendar
day period prescribed by § 2.205(f)(2), as modified
by  paragraph  (f)(2)  of this section, shall not be
shortened without the consent of the business.
  (g) [Reserved]
  (h) Substantive criteria for use in confidentiality
determinations.  Section  2.208  does  not apply to
information to which this section applies.  Such in-
formation shall  be  determined  to be entitled to
confidential treatment for so long as this section
continues to apply to it.
  (i) Disclosure in special circumstances.  (1) Sec-
tion 2.209 applies  to information  to which  this
section applies.  In addition, under Section 408(f)
of the Act, 21 U.S.C.  346a(f), EPA is authorized
to disclose the information to other persons.  Such
authority under section 408(f) of the  Act may be
exercised  only in accordance with paragraph (i)(2)
or (i)(3) of this section.
  (2) Information to which this  section  applies
may be disclosed (notwithstanding the fact that it
otherwise might be  entitled to  confidential treat-
ment under this subpart) to a  person under con-
tract to  EPA to perform work for EPA in connec-
tion with the Act,  with  the Federal Insecticide,
Fungicide,  and Rodenticide Act, as  amended, or
regulations which implement  either  such  Act,  if
the   EPA program  office managing  the  contract
first determines in writing that  such  disclosure  is
necessary in order that the contractor may carry
out the  work required by the contract. Any such
disclosure to a contractor  shall be made only in
accordance with the procedures and  requirements
of §2.301(h)(2) (ii) through (iv).
  (3) Information to which this  section  applies
may be  disclosed by EPA to an advisory commit-
tee  in accordance with section  408(d) of the Act,
21 U.S.C. 346a(d).
[41  FR  36902, Sept.  1, 1976, as  amended  at 43  FR
40005, Sept. 8, 1978]

§2.309   Special rules governing  certain
     information  obtained under the Ma-
     rine Protection, Research and Sanc-
     tuaries Act of 1972.
  (a) Definitions. For the purposes of this section:
  (1) Act means  the Marine Protection,  Research
and  Sanctuaries  Act of 1972, 33  U.S.C.  1401  et
seq.
  (2) Permit means any  permit  applied  for or
granted  under the Act.
  (3) Application means an application for a per-
mit.
  (b) Applicability. This section applies to all  in-
formation provided to or obtained by EPA as a
part of  any application or in connection  with any
permit.
  (c) Basic  rules which apply without  change.
Sections 2.201  through 2.207  and 2.209  through
2.215 apply without  change  to  information to
which this section applies.
  (d) Substantive criteria for use in confidentiality
determinations.  Section 2.208  does  not  apply to
information to which this section applies. Pursuant
to section 104(f) of the Act, 33 U.S.C. 1414(f), no
information to which this section  applies  is eligi-
ble  for confidential treatment.
[41  FR  36902, Sept.  1, 1976, as  amended  at 43  FR
40005, Sept. 8, 1978]

§2.310   Special rules governing  certain
     information   obtained   under  the
     Comprehensive  Environmental  Re-
     sponse, Compensation, and  Liabil-
     ity Act of 1980,  as amended.
  (a) Definitions. For purposes of this section:
  (1) Act means the  Comprehensive  Environ-
mental Response, Compensation, and  Liability Act
                                               35

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§2.310
of 1980, as  amended, including amendments made
by the  Superfund Amendments  and Reauthoriza-
tion Act of  1986, 42 U.S.C. 9601, et seq.
  (2) Person has the meaning given it in  section
101(21) of the Act, 42 U.S.C. 9601(21).
  (3) Facility has the meaning given it in  section
101(9) of the Act, 42 U.S.C. 9601(9).
  (4) Hazardous substance has the meaning given
it  in  section  101(14)  of  the  Act,   42  U.S.C.
9601(14).
  (5) Release has the meaning given it in  section
101(22) of the Act, 42 U.S.C. 9601(22).
  (6) Proceeding means any rulemaking or adju-
dication conducted by EPA under the Act or under
regulations  which implement  the  Act (including
the issuance of administrative orders under  section
106 of the Act and cost recovery pre-litigation set-
tlement negotiations under sections 107 or  122 of
the Act), any cost recovery litigation under  section
107 of the  Act, or  any  administrative  determina-
tion made under section  104 of the Act, but not
including determinations  under this subpart.
  (b) Applicability. This  section applies only to in-
formation provided to or obtained by  EPA under
section  104 of  the  Act,  42 U.S.C.  9604, by or
from  any person who stores, treats, or  disposes of
hazardous wastes; or where necessary to  ascertain
facts  not available at the facility where such haz-
ardous substances are located, by or from any per-
son who generates,  transports,  or  otherwise  han-
dles or has handled hazardous substances, or by or
from  any person  who performs  or supports re-
moval or remedial   actions pursuant  to  section
104(a) of the  Act. Information will be considered
to have  been  provided or obtained under  section
104 of the  Act  if it was provided in response to
a request from  EPA or a  representative of  EPA
made for any  of the purposes  stated in  section
104,  if it was provided pursuant to the terms of a
contract, grant or other agreement to perform work
pursuant to  section 104,  or if its submission could
have  been required  under section  104, regardless
of whether  section  104 was cited as authority for
any request  for the information or whether  the in-
formation  was  provided  directly to  EPA  or
through some third person.
  (c)  Basic rules  which  apply without change.
Sections 2.201 through 2.207 and §§2.209 through
2.215  apply without change  to  information  to
which this section applies.
  (d) [Reserved]
  (e)  Substantive criteria for use in confidentiality
determinations.  Section  2.208  applies   without
change  to information to  which this   section ap-
plies; however,  no information to which  this sec-
tion applies  is voluntarily submitted information.
  (f)  [Reserved]
  (g)(l)  Under section 104(e)(7)(A) of the Act (42
U.S.C. 9604(e)(7)(A)) any information to  which
this section applies may be disclosed by EPA be-
cause of the relevance of the information in a pro-
ceeding  under the Act, notwithstanding the fact
that the information otherwise might be  entitled to
confidential treatment under this  subpart. Disclo-
sure  of information to which this section applies
because  of its relevance in a proceeding shall  be
made only in accordance with this  paragraph (g).
  (2) The provisions of §2.301(g)(2)  are to  be
used as paragraph (g)(2) of this section.
  (3) In connection with any proceeding involving
a decision by a  presiding officer  after  an evi-
dentiary or adjudicatory hearing,  except with re-
spect to litigation  conducted  by  a  Federal court,
information to which this  section  applies which
may be  entitled to confidential treatment may  be
made available to  the public,  or  to one or more
parties  of record to the proceeding, upon EPA's
initiative, under this paragraph (g)(3). An EPA of-
fice proposing disclosure of information  under this
paragraph (g)(3) shall so notify the  presiding offi-
cer in writing. Upon receipt of such a notification,
the  presiding officer shall  notify  each  affected
business that disclosure under this  paragraph (g)(3)
has been proposed,  and shall  afford  each such
business a period for  comment found by the pre-
siding   officer  to  be  reasonable  under the cir-
cumstances. Information may be  disclosed under
this paragraph (g)(3) only if, after consideration of
any timely comments submitted by the business,
the EPA office determines in writing that, for rea-
sons directly  associated with the conduct of the
proceeding, the  contemplated  disclosure  would
serve the public interest, and the  presiding officer
determines in writing that the information is rel-
evant to a matter in controversy in the proceeding.
The  presiding officer may condition disclosure  of
the information to a party of record  on the making
of such protective arrangements and commitments
as he finds to be  warranted. Disclosure  to one  or
more parties of record,  under protective arrange-
ments  or commitments,  shall  not, of itself, affect
the eligibility  of information for confidential treat-
ment  under the other provisions  of this  subpart.
Any affected  business shall be  given  at least  5
days notice by the presiding officer prior to mak-
ing the information available to the public  or to
one or  more of the parties of record to the pro-
ceeding.
  (4) In connection with any proceeding involving
a decision by a  presiding officer  after  an evi-
dentiary or adjudicatory hearing,  except with re-
spect to litigation  conducted  by  a  Federal court,
information to which this  section  applies which
may be  entitled to confidential treatment may  be
made available to one or more parties of record to
the proceeding, upon  request of a  party,  under this
paragraph (g)(4).  A party of record seeking disclo-
sure  of information shall direct his  request to the
                                                36

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                                                                                          §2.311
presiding  officer. Upon receipt of such  a  request,
the presiding officer  shall  notify  each  affected
business that disclosure under this paragraph (g)(4)
has been  requested,  and shall  afford  each  such
business a period for comment found by the pre-
siding officer  to be  reasonable under the  cir-
cumstances.  Information  may  be disclosed  to  a
party  of record under this paragraph (g)(4) only if,
after  consideration  of any timely comments  sub-
mitted by  the business, the presiding officer deter-
mines in writing that:
   (i)  The  party of record has satisfactorily shown
that with  respect to a significant matter which is
in controversy in the proceeding, the party's  abil-
ity to participate  effectively in the proceeding will
be significantly impaired unless the  information is
disclosed to him; and
   (ii) Any harm to an affected business that would
result  from  the  disclosure  is  likely to  be  out-
weighed by the  benefit to the proceeding  and the
public interest that would result from the  disclo-
sure.
The presiding officer may condition disclosure of
the information to a party of record on the making
of such protective arrangements and  commitments
as he finds to be warranted. Disclosure  to one or
more  parties of record, under  protective arrange-
ments or  commitments, shall not, of itself, affect
the eligibility of information for confidential treat-
ment  under the other provisions of this  subpart.
Any  affected business  shall be  given at least  5
days notice by the presiding officer prior to mak-
ing the information  available to one or more of the
parties of record to the proceeding.
   (5) In connection with cost recovery  pre-litiga-
tion settlement negotiations under sections  107 or
122 of the Act (42  U.S.C. 9607,  9622),  any infor-
mation to which this section applies that  may be
entitled to  confidential treatment may  be  made
available to potentially responsible parties pursuant
to a contractual  agreement to protect the informa-
tion.
   (6) In connection with any  cost  recovery pro-
ceeding under section  107 of the Act involving  a
decision by a presiding officer after  an evidentiary
or adjudicatory hearing, any information to which
this section applies that may be entitled  to  con-
fidential treatment may be made available to one
or more parties of record to the  proceeding, upon
EPA's initiative, under this paragraph (g)(6).  Such
disclosure must be  made  pursuant to a stipulation
and protective order signed by all parties to whom
disclosure is made and by the presiding officer.
   (h) Disclosure  to authorized  representatives. (1)
Under section  104(e)(7)  of the  Act (42  U.S.C.
9604(e)(7)), EPA possesses authority to disclose to
any authorized representative of the Untied States
any information to which this section applies, not-
withstanding the fact  that the information might
otherwise  be  entitled  to  confidential  treatment
under this subpart.  Such authority  may  be exer-
cised only in accordance with paragraph  (h)(2) or
(h)(3) of this section.
  (2) The provisions  of §2.301(h)(2) are to  be
used as paragraph (h)(2) of this section.
  (3) The provisions  of §2.301(h)(3) are to  be
used as paragraph (h)(3) of this section.
  (4) At the time any information is furnished to
a contractor, subcontractor,  or state or local  gov-
ernment under  this paragraph (h), the EPA office
furnishing  the  information to the contractor,  sub-
contractor, or  state  or  local government agency
shall notify the contractor,  subcontractor,  or  state
or local government agency that the information
may be entitled to confidential treatment and that
any knowing and willful disclosure of the informa-
tion  may subject the contractor,  subcontractor, or
state or local government agency and its employ-
ees to penalties in section 104(e)(7)(B) of the  Act
(42 U.S.C. 9604(e)(7)(B)).

[50 FR 51663, Dec. 18, 1985, as amended at 58 FR 462,
Jan. 5, 1993]

§2.311   Special  rules  governing certain
     information   obtained   under   the
     Motor Vehicle Information and Cost
     Savings  Act.
  (a) Definitions. For the purposes of this section:
  (1) Act  means the  Motor Vehicle  Information
and  Cost  Savings  Act,  as  amended,  15  U.S.C.
1901 et seq.
  (2) Average  fuel  economy has the  meaning
given it in section 501(4)  of the Act, 15  U.S.C.
2001(4).
  (3) Fuel economy has the meaning given  it in
section  501(6) of the Act, 15 U.S.C. 2001(6).
  (4) Fuel economy data means  any measurement
or calculation of fuel economy for any model  type
and average fuel economy of a manufacturer under
section  503(d) of the Act, 15 U.S.C. 2003(d).
  (5) Manufacturer  has the meaning given  it in
section  501(9) of the Act, 15 U.S.C. 2001(9).
  (6) Model type has the meaning given it in sec-
tion 501(11)  of the Act,  15 U.S.C. 2001(11).
  (b) Applicability. This section applies only to in-
formation provided to or obtained by EPA under
Title  V,  Part  A of  the Act,   15 U.S.C.  2001
through  2012.  Information  will  be considered to
have been provided or obtained under Title V, Part
A of the  Act if it was provided in response  to a
request  from EPA made for any  purpose  stated in
Title V, Part A, or  if its submission could have
been required under Title V Part A, regardless of
whether Title V Part A  was cited as the authority
for any request for information or whether the in-
formation  was  provided  directly  to  EPA  or
through some third person.
                                                37

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§2.401
  (c) Basic  rules which  apply without change.
Sections 2.201 through 2.207 and §§2.209 through
2.215  apply  without  change  to  information to
which this section applies.
  (d) [Reserved]
  (e) Substantive criteria for use in confidentiality
determinations.  Section  2.208  applies  without
change to information to  which this section ap-
plies, except that information this is fuel economy
data is not eligible for confidential treatment. No
information to which this section applies is  volun-
tarily submitted information.
  (f) [Reserved]
  (g) Disclosure of information relevant to  a pro-
ceeding. (1) Under  section 505(d)(l) of the Act,
any information to which this section applies may
be released by EPA because of the relevance of
the  information to a proceeding under Title V, Part
A of the Act, notwithstanding the fact that the  in-
formation otherwise might be entitled to confiden-
tial  treatment under this subpart. Release  of infor-
mation to which this  section applies because of its
relevance to a  proceeding shall be made only in
accordance with this paragraph (g).
  (2) The provisions of §2.301(g)(2) are  to  be
used as paragraph (g)(2) of this section.
  (3) The provisions of §2.301(g)(3) are  to  be
used as paragraph (g)(3) of this section.
  (4) The provisions of §2.301(g)(4) are  to  be
used as paragraph (g)(3) of this section.
[50 FR 51663, Dec. 18,  1985]

Subpart C—Testimony  by  Employ-
     ees and Production of Docu-
      ments in Civil Legal Proceed-
      ings  Where the  United  States
      Is Not a Party

  AUTHORITY:  5  U.S.C.  301;  Reorganization Plan No. 3
of 1970, 5 U.S.C.  App.; 33  U.S.C. 361(a); 42 U.S.C.
300j-9; 42 U.S.C. 691 la, 42 U.S.C. 7601(a).
  SOURCE: 50 FR 32387, Aug. 9, 1985, unless otherwise
noted.

§2.401  Scope and purpose.
  This subpart  sets  forth procedures  to be fol-
lowed  when  an  EPA employee  is  requested or
subpoenaed to provide testimony concerning infor-
mation acquired in the course  of performing offi-
cial  duties or because of  the  employee's official
status. (In such cases,  employees must state for the
record  that their testimony  does  not  necessarily
represent the  official position of EPA.  If they are
called to state the official position of EPA, they
should ascertain that position before  appearing.)
These procedures also apply  to subpoenas  duces
tecum for any document in the possession of EPA
and to requests for certification of copies of docu-
ments.
  (a) These procedures apply to:
  (1)  State  court proceedings  (including grand
jury proceedings);
  (2) Federal civil proceedings, except where the
United States, EPA or another Federal  agency is
a party; and
  (3) State and local legislative and administrative
proceedings.
  (b) These procedures do not apply:
  (1) To matters which are not related to EPA;
  (2) To Congressional requests or subpoenas for
testimony or documents;
  (3)  Where  employees  provide  expert  witness
services as  approved  outside activities in accord-
ance with 40 CFR part 3, subpart E (in such cases,
employees  must state  for the record that the testi-
mony  represents  their own views  and does  not
necessarily represent the official position of EPA);
  (4) Where employees voluntarily testify  as pri-
vate citizens with respect to environmental matters
(in such cases, employees must state for the record
that  the testimony represents their own views and
does not necessarily represent  the official position
of EPA).
  (c) The purpose of this subpart is to ensure that
employees'  official time is  used only for official
purposes,  to  maintain  the  impartiality  of EPA
among private litigants, to ensure that public funds
are not used for private purposes and to establish
procedures  for approving testimony or production
of documents when clearly in the interests of EPA.

§2.402  Policy on presentation of testi-
     mony and production of documents.
  (a) With the approval of the cognizant Assistant
Administrator, Office Director,  Staff Office Direc-
tor  or Regional  Administrator or  his  designee,
EPA employees (as defined in 40 CFR 3.102 (a)
and (b)) may testify at the request of another Fed-
eral agency, or, where it is in the interests of EPA,
at the request of a State  or local government  or
State legislative committee.
  (b) Except as permitted by paragraph (a) of this
section, no EPA employee may provide  testimony
or produce documents in any proceeding to which
this  subpart applies  concerning information  ac-
quired in the  course  of performing official duties
or because of the employee's  official relationship
with EPA,  unless authorized by the General Coun-
sel  or his designee under §§2.403 through 2.406.

§2.403  Procedures when voluntary tes-
     timony is requested.
  A request for testimony by  an EPA  employee
under § 2.402(b) must be in writing and must state
the nature of the requested testimony and the rea-
sons why the testimony would be in the interests
                                               38

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                                                                                        §2.406
of EPA. Such requests are immediately sent to the
General Counsel  or his designee (or, in the  case
of employees in the Office  of Inspector General,
the Inspector General or his  designee)  with the
recommendations  of the employee's  supervisors.
The General Counsel  or his  designee, in  consulta-
tion with the appropriate Assistant  Administrator,
Regional Administrator,  or  Staff Office Director
(or, in the case of employees in the Office of In-
spector General, the Inspector  General or his  des-
ignee), determines whether  compliance  with the
request would clearly be in the interests of  EPA
and responds as soon as practicable.

§2.404  Procedures when  an  employee
    is subpoenaed.
  (a)  Copies of subpoenas  must immediately be
sent to the General Counsel or his  designee  with
the recommendations  of the  employee's  super-
visors. The  General  Counsel or  his  designee,  in
consultation with the appropriate Assistant Admin-
istrator, Regional  Administrator or Staff Office Di-
rector, determines whether  compliance  with the
subpoena would clearly be in the interests of  EPA
and responds as soon as practicable.
  (b)  If the General Counsel or  his designee de-
nies approval to comply with  the subpoena,  or if
he has not acted by the return date, the employee
must  appear at the stated time and place (unless
advised by the General  Counsel or his  designee
that the subpoena was not validly issued or  served
or that the subpoena has been withdrawn), produce
a copy of these regulations and respectfully refuse
to provide any testimony or  produce any docu-
ments. United States ex rel.  Touhy  v. Ragen, 340
U.S. 462 (1951).
  (c)  Where employees in the Office  of  Inspector
General are subpoenaed, the Inspector General or
his designee makes the determination under para-
graphs (a)  and  (b) of this section in  consultation
with the General Counsel.
  (d) The General Counsel will request the assist-
ance of the Department of Justice or a U.S. Attor-
ney where necessary to represent the  interests  of
the Agency and the employee.

§2.405   Subpoenas duces tecum.
  Subpoenas duces tecum for  documents or other
materials  are treated the same as  subpoenas for
testimony. Unless the General  Counsel or his des-
ignee, in consultation with  the appropriate Assist-
ant Administrator,  Regional Administrator or  Staff
Office Director (or, as  to employees in the  Office
of Inspector General, the Inspector General) deter-
mines that compliance with the subpoena is clearly
in the interests of EPA, the employee must appear
at the stated time and place (unless advised by the
General Counsel or his designee that the subpoena
was not validly  issued or served  or that the  sub-
poena has been withdrawn) and respectfully refuse
to produce  the  subpoenaed materials. However,
where  a subpoena duces tecum  is  essentially  a
written request for documents,  the requested docu-
ments will be provided  or denied  in accordance
with subparts A  and B  of this part where approval
to respond to the subpoena has not been granted.

§2.406   Requests for authenticated  cop-
    ies of EPA documents.
  Requests for authenticated copies  of EPA docu-
ments  for purposes  of admissibility under 28
U.S.C. 1733 and Rule  44 of the Federal Rules  of
Civil  Procedure will  be  granted  for documents
which  would otherwise  be released  pursuant  to
subpart  A. For  purposes of Rule 44 the person
having legal custody of the  record is the cognizant
Assistant  Administrator,  Regional  Administrator,
Staff Office Director or Office  Director or his des-
ignee. The advice  of the Office of General Coun-
sel should be obtained  concerning the proper  form
of authentication.
                                               39

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           PART 3—EMPLOYEE
  RESPONSIBILITIES AND CONDUCT

Sec.
3.100  Cross-reference  to employee  ethical  conduct
    standards and financial disclosure regulations.
3.101  Waiver of certain financial interests.
  AUTHORITY: 5 U.S.C. 7301 and 18 U.S.C. 208(b)(2).
  SOURCE: 61 FR 40503, Aug. 2, 1996, unless otherwise
noted.

§3.100  Cross-reference   to   employee
    ethical  conduct  standards  and fi-
    nancial  disclosure regulations.
  Employees  of the  Environmental  Protection
Agency (EPA) should  refer to the Standards  of
Ethical Conduct  for  Employees of the Executive
Branch at 5 CFR part  2635, the EPA regulations
at 5 CFR part 6401  that supplement those stand-
ards, and the Executive  Branch financial disclosure
regulations  at 5 CFR part 2634.

§3.101  Waiver  of certain financial in-
    terests.
  (a) The prohibition of 18 U.S.C.  208(a) may be
waived by  general  regulation. Financial interests
derived from the following have been determined
to be too remote  or too inconsequential to affect
the integrity of employee's services, and employ-
ees may participate in matters affecting them:
  (1) Mutual  funds  (including tax-exempt bond
funds),  except those which concentrate their in-
vestments in particular industries;
  (2) Life insurance, variable annuity, or guaran-
teed  investment  contracts  issued by insurance
companies;
  (3) Deposits in a bank,  savings and loan asso-
ciation, credit union, or similar financial  institu-
tion;
  (4) Real property  used  solely  as the personal
residence of an employee;
  (5) Bonds or other securities issued  by the U.S.
Government or its agencies.
  (b) This provision will be superseded when the
Office of Government Ethics publishes its  Execu-
tive  Branch-wide  exemptions and EPA will pub-
lish a document in the  FEDERAL REGISTER revok-
ing it at that time.

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PART    4—UNIFORM    RELOCATION    §4.1   Uniform   relocation   assistance
   ASSISTANCE  AND   REAL   PROP-        and real property acquisition.
   ERTY ACQUISITION  FOR  FEDERAL      Effective April 2, 1989, regulations and proce-
   AND  FEDERALLY ASSISTED  PRO-    dures  for  complying with the Uniform Relocation
   f^RAMS                                     Assistance and Real Property Acquisition Policies
                                                  Act of  1970  (Pub.  L.  91-646,  84 Stat.  1894, 42
                                                  U.S.C. 4601), as amended by the Surface Trans-
  AUTHORITY: Section 213, Uniform Relocation Assist-      rtation and  Uniform Relocation Assistance Act
ance and Real Property Acquisition Policies Act of 1970,    rf ^       ^ w      m  ^  ^    ^
as amended by  the Surface Transportation and Uniform             \                   .
Relocation Assistance Act  of 1987, Title IV of Pub. L.    U'S'C- 4601 note) are Set forth m 49 CFR ?art 24
100-17, 101 Stat. 246-256 (42 U.S.C. 4601 note).          [52 FR 48023, Dec. 17, 1987 and 54 FR 8912, Mar. 2,
                                                  1989]

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 PART 5—TUITION FEES FOR DIRECT
                  TRAINING

Sec.
5.1   Establishment of fees.
5.2   Definitions.
5.3   Schedule of fees.
5.4   Registration offices.
5.5   Procedure for payment.
5.6   Refunds.
5.7   Waiver of fee.
5.8   Appeal of waiver denial.
  AUTHORITY: Title V, 65 Stat. 290 (31 U.S.C. 483a).
  SOURCE: 38 FR 32806, Nov. 28, 1973, unless otherwise
noted.

§5.1  Establishment of fees.
  The  Environmental  Protection  Agency  shall
charge the revised schedule of tuition fees for  all
persons  attending EPA  direct  training  courses
which commence on or after January 1, 1974.

§5.2  Definitions.
  Direct  Training means all technical and mana-
gerial training  conducted directly by EPA for per-
sonnel of State and local governmental agencies,
other Federal agencies,  private industries, univer-
sities, and other non-EPA agencies and organiza-
tions.
  Registration  office means  any of the several of-
fices  in  EPA which have been designated to re-
ceive applications for  attendance  at direct training
courses.  (See §5.4 for a  listing of such courses.)

§ 5.3  Schedule of fees.
  Tuition  fees  for direct training  will  be estab-
lished within the range of $15  to $70  per training
day  depending upon  whether  the  course is pre-
dominantly a laboratory,  lecture, or survey course,
or a course with other similar variables.  Each cog-
nitive program  and regional  office will  announce
the tuition fee  at the time the date for  offering the
course is  announced. As a transition easement, tui-
tion fees  for all State and local government em-
ployees are established at a maximum of $25  per
training day  regardless of type of course until July
1, 1974.  After that date they are to pay  the full
fee.  Charges for field courses  taught by EPA in-
structors are for actual  expenses on a per course
basis. Complete  tuition fee schedules may be  ob-
tained from the registration  offices listed in §5.4.
Tuition  fees will be  subject  to change  either  up-
ward or  downward,  based  on  actual  experience
under the system.

§5.4  Registration offices.
  Direct  training programs  are  offered by both
EPA  national  program offices  and regional EPA
offices.  Listed  in this section are the EPA  national
program offices and  regional offices to which ap-
plications are to be  sent. The proper registration
office may be determined from the specific course
announcement.

            NATIONAL PROGRAM OFFICES

                   AIR PROGRAM
  Direct Training Registration Office, Office of Air Pro-
grams, Research Triangle Park, NC 27717.

         WASTE WATER TREATMENT PROGRAM
  Direct Training Registration Office, National Training
Center, Robert A.  Taft Sanitary Engineering Center, Envi-
ronmental Protection Agency, 4676 Columbia Parkway,
Cincinnati, OH 45226.

         WATER SUPPLY TREATMENT PROGRAM
  Direct Training  Registration Office,  Environmental Pro-
tection Agency, 4676 Columbia Parkway, Cincinnati, OH
45226.

        SOLID WASTES MANAGEMENT PROGRAM
  U.S. Environmental Protection Agency, Office of Solid
Waste Management Programs, Washington, DC 20460.

                RADIATION PROGRAM
  U.S. Environmental Protection Agency, Office of Radi-
ation Programs, Washington, DC 20460.

                PESTICIDES PROGRAM
  U.S. Environmental Protection Agency,  Office of Pes-
ticides Programs, Washington, DC 20460.

              REGIONAL EPA OFFICES
  EPA, Regional  Manpower Office, Region I, JFK Fed-
eral Building—Room 2303, Boston, MA 02203.
  EPA, Regional Manpower Office, Region II, 26 Federal
Plaza, Room 845D, New York, NY 10007.
  EPA, Regional Manpower Office, Region III, Sixth and
Walnut Streets, Philadelphia, PA 19106
  EPA,  Regional Manpower  Office,  Region  IV,  1421
Peachtree Street, NE., 4th floor, Atlanta, GA 30309.
  EPA, Regional  Manpower Office, Region V, 1 North
Wacker Drive, Chicago, IL 60606.
  EPA, Regional Manpower Office, Region VI, 1600 Pat-
terson, Suite 1100, Dallas, TX 75201.
  EPA, Regional  Manpower Office,  Region VII, Room
249, 1735 Baltimore Avenue, Kansas City,  MO  64108.
  EPA, Regional  Manpower Office,  Region VIII,  Suite
900, 1860 Lincoln Street, Denver, CO  80203.
  EPA, Regional Manpower Office, Region IX, 100 Cali-
fornia Street, San Francisco,  CA 94111.
  EPA,  Regional Manpower Office, Region X,  1200
Sixth Avenue,  Seattle, WA 98101.

§5.5  Procedure for payment.
  Applications for direct training courses shall  be
completed  and  submitted in accordance  with  the
instructions issued by the respective national pro-
gram and/or regional offices.  Fee payment in the
amount  indicated  by  the  course  announcement
shall accompany completed applications (except in
the case  of waiver requests as described in §5.75).

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§5.6
All applications for field courses will be submitted
in a timely manner by the sponsoring agency. Ex-
penses will be  noted and  charges assessed the
sponsoring agency  after the  course is conducted.
The charge will be payable upon  submission. All
applicants shall make payment by check, payable
to the U.S. Environmental Protection  Agency, ex-
cept applicants  from  Federal,  State,  and  local
agencies  may  send a purchase order  of other ac-
ceptable  financial  commitment.  Such  financial
commitment statements shall  include information
as  to  the agency and account  number to  be
charged and other necessary information  for bill-
ing purposes.

§5.6   Refunds.
  An applicant may withdraw his application and
receive full reimbursement of his fee provided that
he  notifies the appropriate  registration  office in
writing no later than 10 days  before commence-
ment of the course for which he has registered.
§5.7  Waiver of fee.
  Waivers of the  full tuition  fee may be granted
on  a limited basis. Each waiver request must be
justified  and considered by cognitive EPA  units
on: (a) Severity of the  pollution  problem in the
area in which the  applicant employee is working;
(b) bona-fide administrative or legal constraints of
the applicant agency  to  pay the reduced fee;  (c)
service, resulting  from the training  that will  be
provided as a benefit to the Federal  Government.
No  waivers  will  be  granted for  field  courses.
Waivers  are  provided as a transitional  easement
for exceptional cases  and will  not be  granted after
July 1, 1975.

§5.8  Appeal of waiver denial.
  Waiver denials  may be  appealed to the Office
of Education and  Manpower  Planning, Washing-
ton, DC 20460, to adjudicate  and expedite agency
review. Appeal submissions should include copies
of original application and justification for waiver,
EPA registration office denial  correspondence, and
other pertinent information supporting the request
for waiver.

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PART  6—PROCEDURES FOR IMPLE-
   MENTING THE REQUIREMENTS OF
   THE   COUNCIL   ON    ENVIRON-
   MENTAL  QUALITY   ON  THE   NA-
   TIONAL ENVIRONMENTAL POLICY
   ACT

            Subpart A—General

Sec.
6.100  Purpose and policy.
6.101  Definitions.
6.102  Applicability.
6.103  Responsibilities.
6.104  Early involvement of private parties.
6.105  Synopsis of environmental review procedures.
6.106  Deviations.
6.107  Categorical exclusions.
6.108  Criteria for initiating an EIS.

         Subpart B—Content of EISs

6.200  The environmental impact statement.
6.201  Format.
6.202  Executive summary.
6.203  Body of EISs.
6.204  Incorporation by reference.
6.205  List of preparers.

Subpart C—Coordination  With Other  Envi-
    ronmental  Review  and   Consultation
    Requirements

6.300  General.
6.301  Landmarks, historical, and archeological sites.
6.302  Wetlands, floodplains, important farmlands, coast-
    al zones, wild and  scenic rivers,  fish  and wildlife,
    and endangered species.
6.303  Air quality.

   Subpart D—Public and  Other Federal
            Agency Involvement

6.400  Public involvement.
6.401  Official filing requirements.
6.402  Availability of documents.
6.403  The commenting process.
6.404  Supplements.

Subpart  E—Environmental  Review  Proce-
    dures  for Wastewater  Treatment Con-
    struction Grants Program

6.500  Purpose.
6.501  Definitions.
6.502  Applicability and limitations.
6.503  Overview of the environmental review process.
6.504  Consultation during the facilities planning  proc-
    ess.
6.505  Categorical exclusions.
6.506  Environmental review process.
6.507  Partitioning the environmental review process.
6.508  Findings of No Significant  Impact  (FNSI) deter-
    mination.
6.509  Criteria for initiating Environmental Impact State-
    ments (EIS).
6.510  Environmental Impact Statement (EIS) prepara-
    tion.
6.511  Record of Decision  (ROD) for EISs and identi-
    fication of mitigation measures.
6.512  Monitoring for compliance.
6.513  Public participation.
6.514  Delegation to States.

Subpart  F—Environmental  Review  Proce-
    dures for  the New Source  NPDES  Pro-
    gram

6.600  Purpose.
6.601  Definitions.
6.602  Applicability.
6.603  Limitations  on actions during environmental re-
    view process.
6.604  Environmental review process.
6.605  Criteria for preparing EISs.
6.606  Record of decision.
6.607  Monitoring.

Subpart  G—Environmental Review  Proce-
    dures for  Office  of Research  and  De-
    velopment Projects

6.700  Purpose.
6.701  Definition.
6.702  Applicability.
6.703  General.
6.704  Categorical exclusions.
6.705  Environmental assessment and finding of no sig-
    nificant impact.
6.706  Environmental impact statement.

Subpart  H—Environmental Review  Proce-
    dures for  Solid  Waste  Demonstration
    Projects

6.800  Purpose.
6.801  Applicability.
6.802  Criteria for preparing EISs.
6.803  Environmental review process.
6.804  Record of decision.

Subpart   I—Environmental  Review  Proce-
    dures for EPA Facility Support Activities

6.900  Purpose.
6.901  Definitions.
6.902  Applicability.
6.903  Criteria for preparing EISs.
6.904  Environmental review process.
6.905  Record of decision.

  Subpart J—Assessing the Environmental
       Effects Abroad of EPA Actions

6.1001  Purpose and policy.
6.1002  Applicability.
6.1003  Definitions.
6.1004  Environmental review  and assessment require-
    ments.
6.1005  Lead or cooperating agency.
6.1006  Exemptions and considerations.

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§6.100
6.1007  Implementation.

APPENDIX A  TO PART 6—STATEMENT OF  PROCEDURES
    ON  FLOODPLAIN  MANAGEMENT  AND  WETLANDS
    PROTECTION

  AUTHORITY: 42 U.S.C. 4321 et seq., 7401-7671q; 40
CFR part 1500.

  SOURCE: 44 FR 64177, Nov. 6, 1979, unless otherwise
noted.
  EDITORIAL  NOTE: Nomenclature changes affecting part
6 appear at 50 FR 26315, June 25, 1985.

          Subpart A—General

§6.100   Purpose and policy.

  (a)  The National  Environmental Policy  Act of
1969 (NEPA), 42  U.S.C.  4321 et seq., as imple-
mented by Executive Orders 11514 and 11991 and
the  Council  on Environmental Quality (CEQ) Reg-
ulations of November 29,  1978 (43 FR 55978) re-
quires  that Federal  agencies include  in their deci-
sion-making  processes appropriate  and  careful
consideration of all  environmental effects of pro-
posed actions, analyze potential environmental ef-
fects of proposed actions and their alternatives for
public  understanding and  scrutiny, avoid or mini-
mize adverse  effects of proposed actions, and re-
store and enhance environmental  quality as much
as possible.  The Environmental Protection Agency
(EPA)  shall  integrate these NEPA factors as early
in the Agency planning processes as  possible.  The
environmental review  process shall  be the focal
point to assure NEPA considerations  are taken into
account.  To the extent applicable, EPA shall  pre-
pare environmental  impact  statements  (EISs)  on
those major  actions determined to have significant
impact on the quality of the human environment.
This part takes  into account the  EIS  exemptions
set  forth  under section 511(c)(l) of  the  Clean
Water Act (Pub. L.  92-500) and section 7(c)(l) of
the  Energy  Supply and Environmental Coordina-
tion Act of 1974 (Pub.  L. 93-319).
  (b) This part establishes EPA policy and proce-
dures for the identification and analysis of the en-
vironmental  impacts of EPA-related  activities and
the  preparation and  processing of EISs.

§6.101   Definitions.

  (a)  Terminology.  All terminology used  in  this
part will be consistent with the terms  as defined
in 40 CFR part  1508 (the CEQ Regulations). Any
qualifications  will be provided in the  definitions
set  forth in each subpart of this regulation.
  (b) The term CEQ Regulations means the regu-
lations  issued by the  Council  on Environmental
Quality  on  November  29,  1978  (see  43  FR
55978), which implement Executive  Order 11991.
The CEQ Regulations  will  often be  referred to
throughout this regulation by reference to 40 CFR
part 1500 et al.
  (c) The term environmental review means the
process whereby an evaluation is  undertaken by
EPA to determine whether a proposed Agency ac-
tion may have a significant impact on the environ-
ment and therefore require the preparation  of the
EIS.
  (d) The term environmental information  docu-
ment means  any written analysis prepared  by an
applicant, grantee  or contractor describing the en-
vironmental  impacts of a proposed  action. This
document will be of sufficient scope to enable the
responsible  official to  prepare  an  environmental
assessment as described in the  remaining subparts
of this regulation.
  (e) The term  grant  as used  in this part  means
an award of funds or other assistance by a written
grant agreement  or  cooperative agreement  under
40 CFR chapter I, subpart B.

§6.102   Applicability.
  (a) Administrative  actions covered. This part ap-
plies to the activities of EPA in accordance with
the  outline of the subparts  set forth  below. Each
subpart describes  the  detailed environmental re-
view procedures required for each action.
  (1) Subpart A sets forth an overview of the reg-
ulation.  Section  6.102(b)  describes  the require-
ments for EPA legislative proposals.
  (2) Subpart B describes the requirements for the
content of an EIS prepared pursuant to subparts E,
F, G, H,  and I.
  (3) Subpart C describes the requirements for co-
ordination of all environmental laws during the en-
vironmental  review  undertaken pursuant to  sub-
parts E, F, G, H, and I.
  (4) Subpart D describes the  public  information
requirements which  must be  undertaken in con-
junction  with the environmental review require-
ments under subparts E, F, G, H, and I.
  (5) Subpart E describes the environmental re-
view requirements for the wastewater  treatment
construction  grants program under  Title  II  of the
Clean Water  Act.
  (6) Subpart F describes the environmental re-
view requirements for new source National Pollut-
ant Discharge Elimination System  (NPDES)  per-
mits under section 402 of the Clean Water Act.
  (7) Subpart G describes  the environmental re-
view requirements for  research and  development
programs undertaken by the Agency.
  (8) Subpart H describes  the environmental re-
view requirements for  solid waste demonstration
projects undertaken by the Agency.
  (9) Subpart I  describes the environmental re-
view requirements for  construction  of special  pur-
pose  facilities  and  facility renovations by the
Agency.

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                                                                                          §6.103
  (b) Legislative proposals.  As  required by the
CEQ Regulations, legislative EISs are required for
any  legislative proposal  developed by EPA which
significantly affects the quality of the human envi-
ronment. A preliminary draft EIS shall be prepared
by the  responsible EPA office concurrently  with
the  development of  the legislative proposal  and
contain information required under subpart B. The
EIS  shall be  processed in accordance  with the re-
quirements set forth under 40 CFR 1506.8.
  (c) Application to  ongoing activities—(1) Gen-
eral.  The  effective  date for these regulations is
December 5,  1979. These regulations do not apply
to an EIS or  supplement to that  EIS if the  draft
EIS  was filed with the Office of External Affairs,
(OEA)  before July 30, 1979. No  completed envi-
ronmental  documents need be redone by reason of
these regulations.
  (2) With regard to activities under subpart E,
these regulations shall apply to all EPA environ-
mental  review procedures effective December 15,
1979.  However,  for  facility plans begun  before
December 15,  1979,  the responsible official  shall
impose no new requirements  on the grantee. Such
grantees shall  comply with requirements  applicable
before the effective   date of this  regulation.  Not-
withstanding the above,  this regulation shall apply
to any  facility plan  submitted to  EPA after  Sep-
tember  30, 1980.

[44 FR 64177, Nov. 6,  1979, as amended at 47 FR 9829,
Mar.  8, 1982]

§6.103  Responsibilities.
  (a) General responsibilities. (1) The responsible
official's duties include:
  (i) Requiring applicants,  contractors, and grant-
ees  to  submit environmental information docu-
ments and related documents  and assuring that en-
vironmental reviews  are conducted on proposed
EPA projects  at  the earliest  possible  point  in
EPA's decision-making process. In this regard, the
responsible official shall assure the early involve-
ment and  availability of information for private
applicants  and other non-Federal entities requiring
EPA approvals.
  (ii) When required, assuring that adequate  draft
EISs are  prepared and  distributed  at the earliest
possible point in EPA's  decision-making process,
their internal  and external  review is  coordinated,
and final EISs are prepared  and distributed.
  (iii) When an EIS is not prepared, assuring doc-
umentation of the decision to grant a categorical
exclusion,  or  assuring that  findings of no signifi-
cant   impact  (FNSIs) and  environmental assess-
ments are prepared  and  distributed for those ac-
tions requiring them.
  (iv)  Consulting with  appropriate  officials re-
sponsible for other environmental  laws set forth in
subpart C.
   (v) Consulting with the Office of External Af-
fairs (OEA)  on actions involving unresolved con-
flicts concerning this part or other Federal agen-
cies.
   (vi) When required, assuring that public  partici-
pation requirements are met.
   (2) Office  of External Affairs duties  include: (i)
Supporting the Administrator in providing  EPA
policy guidance and assuring that EPA offices es-
tablish and maintain adequate administrative pro-
cedures to comply with this part.
   (ii) Monitoring the overall timeliness and  qual-
ity of the EPA effort to comply with this part.
   (iii) Providing assistance to responsible officials
as required,  i.e., preparing  guidelines describing
the scope of environmental  information required
by private applicants relating to their proposed ac-
tions.
   (iv) Coordinating the training of personnel in-
volved in the review and preparation of EISs and
other associated documents.
   (v) Acting as EPA liaison with  the  Council on
Environmental  Quality and other Federal and State
entities on matters  of EPA policy and  administra-
tive  mechanisms to facilitate external review of
EISs, to  determine lead agency and to improve the
uniformity of  the  NEPA procedures  of  Federal
agencies.
   (vi) Advising the Administrator and Deputy Ad-
ministrator on  projects which involve more than
one  EPA office, are highly  controversial,  are na-
tionally  significant,  or pioneer EPA policy, when
these projects have  had or should have  an EIS pre-
pared on them.
   (vii) Carrying out administrative  duties relating
to maintaining  status  of  EISs  within EPA,  i.e.,
publication of notices  of intent in the FEDERAL
REGISTER and  making available to the public sta-
tus reports on EISs and other elements of the envi-
ronmental review process.
   (3) Office  of an Assistant Administrator duties
include:  (i) Providing  specific policy guidance to
their respective offices  and assuring that those of-
fices  establish  and maintain  adequate  administra-
tive procedures to comply with this part.
   (ii) Monitoring the overall timeliness and  qual-
ity of their respective  office's  efforts to   comply
with this part.
   (iii) Acting as liaison between their  offices and
the OEA and between their  offices and other As-
sistant Administrators  or Regional  Administrators
on matters of  agencywide policy and  procedures.
   (iv) Advising the Administrator and Deputy Ad-
ministrator through the  OEA on projects or activi-
ties within their respective areas of responsibilities
which involve  more than one  EPA  office, are
highly controversial, are nationally significant, or
pioneer EPA policy, when these projects will have
or should have an EIS prepared on them.

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§6.104
  (v) Pursuant to §6.102(b) of this subpart, pre-
paring legislative EISs as appropriate on EPA leg-
islative initiatives.
  (4) The Office of Policy, Planning, and Evalua-
tion duties include:  responsibilities  for coordinat-
ing the preparation of EISs required on EPA legis-
lative proposals in accordance with §6.102(b).
  (b) Responsibilities for subpart E—(1) Respon-
sible official. The responsible official for EPA ac-
tions covered by this subpart is the Regional Ad-
ministrator.
  (2) Assistant Administrator.  The responsibilities
of  the  Assistant  Administrator,  as  described  in
§6.103(a)(3), shall be  assumed  by  the  Assistant
Administrator for Water for EPA actions covered
by this subpart.
  (c) Responsibilities for subpart F—(1) Respon-
sible official. The responsible official for  activities
covered by this  subpart is the Regional Adminis-
trator.
  (2) Assistant Administrator.  The responsibilities
of  the  Assistant  Administrator,  as  described  in
§6.103(a)(3), shall be  assumed  by  the  Assistant
Administrator for Enforcement  and  Compliance
Monitoring for EPA actions covered by  this sub-
part.
  (d) Responsibilities for subpart G. The  Assistant
Administrator for Research and Development will
be the responsible official for activities covered by
this subpart.
  (e) Responsibilities for subpart H. The  Assistant
Administrator for Solid Waste and Emergency Re-
sponse will be the responsible official for activities
covered by this subpart.
  (f) Responsibilities for subpart I. The respon-
sible official for new construction  and modifica-
tion of special purpose facilities is as follows:
  (1) The  Chief, Facilities Engineering and Real
Estate Branch, Facilities and Support Services Di-
vision, Office of the  Assistant Administrator for
Administration     and    Resource    Management
(OARM) shall  be the  responsible official on all
new construction of special purpose facilities and
on all new modification projects for which the Fa-
cilities Engineering and Real Estate Branch has re-
ceived a funding allowance and for all other field
components not  covered elsewhere  in paragraph
(f) of this section.
  (2) The Regional  Administrator shall be the re-
sponsible  official on all improvement and  modi-
fication projects for which the regional office has
received the funding allowance.

[44  FR 64177, Nov. 6, 1979, as amended at 47 FR 9829,
Mar. 8, 1982; 50 FR 26315, June 25, 1985; 51 FR  32609,
Sept. 12, 1986]
§6.104   Early  involvement  of  private
     parties.
  As  required  by   40   CFR  1501.2(d)   and
§6.103(a)(3)(v) of this regulation, responsible offi-
cials must ensure early involvement of private ap-
plicants or other non-Federal entities in the envi-
ronmental review process related to EPA grant and
permit actions  set forth under  subparts E,  F,  G,
and H. The responsible official in conjunction with
OEA shall:
  (a) Prepare where practicable, generic guidelines
describing the  scope and level  of  environmental
information required from applicants as a basis for
evaluating their proposed actions, and make these
guidelines available upon request.
  (b)  Provide  such  guidance  on  a project-by-
project basis to any applicant seeking assistance.
  (c) Upon receipt of an application for agency
approval,  or notification that an  application will be
filed, consult  as required with  other appropriate
parties to  initiate and coordinate the necessary en-
vironmental analyses.
[44 FR 64177, Nov. 6,  1979, as amended at 47 FR 9829,
Mar.  8, 1982]

§6.105   Synopsis  of  environmental  re-
     view procedures.
  (a) Responsible official.  The responsible official
shall  utilize  a systematic,  interdisciplinary  ap-
proach to integrate natural  and social sciences as
well as environmental design arts in planning pro-
grams and making decisions which  are subject to
environmental  review.  The respective staffs may
be supplemented by professionals from other agen-
cies  (see 40 CFR 1501.6) or consultants whenever
in-house capabilities are insufficiently interdiscipli-
nary.
  (b)   Environmental   information   documents
(E1D).  Environmental   information   documents
(EIDs) must be prepared by applicants,  grantees,
or permittees and submitted to EPA as required in
subparts E, F, G, H,  and I. EIDs will be of suffi-
cient scope  to enable  the  responsible  official to
prepare an environmental assessment as described
under  §6.105(d)  of  this  part  and  subparts E
through I. EIDs will  not have to be prepared for
actions  where  a categorical  exclusion  has been
granted.
  (c) Environmental  reviews.  Environmental re-
views  shall  be  conducted on  the EPA  activities
outlined in § 6.102 of this part and set forth under
subparts E, F, G, H and I. This process shall con-
sist of a study  of the action to identify and evalu-
ate the related environmental impacts. The process
shall  include  a  review of  any related  environ-
mental information document to  determine wheth-
er any significant impacts are  anticipated  and
whether any changes  can be made in the proposed

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                                                                                          §6.107
action to  eliminate significant  adverse  impacts;
when an EIS is required, EPA has overall respon-
sibility  for this review,  although grantees, appli-
cants, permittees or contractors will  contribute to
the review through submission  of environmental
information documents.
   (d) Environmental assessments. Environmental
assessments  (i.e.,  concise public  documents  for
which EPA is responsible) are prepared to provide
sufficient data  and analysis to determine whether
an EIS  or finding  of no significant impact is re-
quired.  Where  EPA determines that  a categorical
exclusion is  appropriate  or  an EIS  will  be  pre-
pared, there is  no need to prepare a formal envi-
ronmental assessment.
   (e) Notice of intent and EISs. When the environ-
mental review  indicates that  a  significant environ-
mental  impact  may occur and significant adverse
impacts can not be eliminated by making changes
in the project, a notice of intent to prepare an EIS
shall  be  published in  the  FEDERAL REGISTER,
scoping shall be undertaken in  accordance with 40
CFR  1501.7,  and a draft EIS  shall be prepared  and
distributed. After external coordination and evalua-
tion of the comments received,  a  final  EIS shall be
prepared and disseminated. The final  EIS shall list
any  mitigation  measures necessary to  make  the
recommended alternative environmentally accept-
able.
   (f)  Finding  of no  significant impact  (FNSI).
When the  environmental review  indicates no sig-
nificant  impacts  are  anticipated or  when  the
project  is altered to eliminate  any significant  ad-
verse impacts,  a FNSI shall be  issued and made
available to the public. The environmental assess-
ment  shall be included as a part  of the FNSI. The
FNSI shall list any mitigation measures necessary
to make  the  recommended  alternative  environ-
mentally acceptable.
   (g) Record of decision. At the time of its deci-
sion on any action  for which a final EIS has been
prepared,  the responsible official shall  prepare  a
concise  public  record of the decision. The record
of decision shall describe those  mitigation meas-
ures to  be undertaken which  will  make  the  se-
lected  alternative   environmentally   acceptable.
Where the final EIS recommends the alternative
which is ultimately chosen by the responsible offi-
cial, the record of decision may be extracted from
the executive summary to the final EIS.
   (h) Monitoring.  The  responsible official shall
provide  for monitoring to assure  that decisions on
any action where a final EIS  has been prepared
are properly  implemented. Appropriate mitigation
measures  shall  be  included in actions undertaken
by EPA.

[44 FR  64177,  Nov.  6,  1979,  as amended at 50 FR
26315, June 25, 1985; 51 FR 32610, Sept. 12, 1986]
§6.106   Deviations.
   (a) General. The Assistant Administrator, OEA,
is authorized to approve deviations from these reg-
ulations.   Deviation  approvals  shall  be  made  in
writing by the Assistant Administrator, OEA.
   (b)  Requirements.  (1)  Where  emergency  cir-
cumstances  make it  necessary  to take  an action
with significant environmental  impact without ob-
serving the  substantive  provisions of these  regula-
tions or the  CEQ Regulations, the responsible offi-
cial shall  notify the Assistant Administrator, OEA,
before taking such action.  The responsible  official
shall consider to the extent possible alternative ar-
rangements;  such arrangements  will be  limited to
actions necessary to control the immediate impacts
of the emergency; other actions remain  subject to
the environmental review  process.  The  Assistant
Administrator,  OEA, after consulting  CEQ, will
inform the responsible official, as expeditiously as
possible of the disposition of his request.
   (2)  Where circumstances make it necessary to
take action   without  observing  procedural provi-
sions of these  regulations, the  responsible  official
shall notify  the Assistant Administrator,  OEA, be-
fore taking  such action. If the  Assistant Adminis-
trator,  OEA, determines such a deviation would be
in the  best interest of the Government, he shall in-
form the  responsible  official, as  soon as possible,
of his  approval.
   (3) The Assistant Administrator, OEA, shall co-
ordinate   his  action   on  a   deviation   under
§6.106(b)(l) or (2) of this  part with the Director,
Grants Administration  Division,  Office  of Plan-
ning and  Management, for any required grant-re-
lated deviation under 40 CFR 30.1000, as well as
the appropriate Assistant Administrator.
[44 FR 64177, Nov. 6, 1979, as amended at 47 FR 9829,
Mar. 8, 1982]

§6.107   Categorical exclusions.
   (a) General. Categories of actions which do not
individually, cumulatively  over time, or  in  con-
junction with other Federal, State, local,  or private
actions have a significant effect  on the  quality of
the human   environment  and  which have been
identified  as having no such effect based  on the
requirements in  §6.505, may  be  exempted from
the substantive environmental review requirements
of this part.  Environmental  information documents
and  environmental assessments or environmental
impact statements  will  not be  required  for  ex-
cluded actions.
   (b) Determination.  The responsible official shall
determine whether an action is  eligible  for a cat-
egorical exclusion as  established by  general  cri-
teria in §6.107 (d) and (e) and any applicable  cri-
teria in program specific subparts  of part 6 of this
title. A determination shall be  made as early as

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§6.108
possible  following the receipt  of an  application.
The  responsible official shall document the  deci-
sion to issue or deny an exclusion as soon as  prac-
ticable  following   review  in   accordance  with
§6.400(f).  For qualified  actions, the  documenta-
tion  shall include  the application, a brief descrip-
tion  of the proposed action, and a brief statement
of how the action meets the criteria for a categor-
ical  exclusion without violating criteria for not
granting an exclusion.
  (c) Revocation.  The responsible official shall re-
voke a categorical  exclusion and shall  require a
full  environmental  review if,  subsequent to the
granting  of an exclusion,  the  responsible  official
determines that: (1)  The proposed action no longer
meets the requirements for a categorical exclusion
due  to changes in the proposed action; or (2) de-
termines from new  evidence that serious local  or
environmental  issues  exist; or  (3) that Federal,
State, local,  or tribal laws  are  being  or may be
violated.
  (d) General categories of actions  eligible for ex-
clusion. Actions consistent with any of the follow-
ing categories  are eligible  for a categorical exclu-
sion:
  (1) Actions which are  solely directed  toward
minor rehabilitation of existing facilities,  func-
tional replacement of equipment,  or towards the
construction of new ancillary facilities adjacent  or
appurtenant to existing facilities;
  (2) Other  actions specifically allowed in pro-
gram specific  subparts of this regulation; or
  (3) Other actions  developed in accordance with
paragraph (f) of this section.
  (e) General  criteria for  not granting a categor-
ical  exclusion. (1) The full environmental review
procedures of this part must be followed if under-
taking an  action  consistent with  allowable  cat-
egories  in  paragraph (d) of this section may  in-
volve  serious  local  or environmental  issues,  or
meets any of the criteria listed below:
  (i) The action is  known or  expected to have a
significant effect on the quality  of the human  envi-
ronment,  either  individually,   cumulatively  over
time, or in  conjunction with other federal, State,
local, tribal or private actions;
  (ii) The action is  known or expected to directly
or indirectly affect:
  (A) Cultural resource areas such as archaeologi-
cal and historic sites  in accordance with §6.301,
  (B) Endangered or threatened species and their
critical habitats in accordance with §6.302 or State
lists,
  (C) Environmentally important natural resource
areas such  as floodplains, wetlands,  important
farmlands,  aquifer recharge zones  in  accordance
with § 6.302, or
  (D) Other resource  areas identified  in  supple-
mental guidance issued by  the OEA;
  (iii) The action is known or expected not to be
cost-effective  or to cause  significant public con-
troversy; or
  (iv) Appropriate  specialized  program specific
criteria for not  granting  an exclusion  found in
other subparts  of this  regulation are applicable to
the action.
  (2) Notwithstanding the provisions of paragraph
(d) of this section, if any  of the conditions  cited
in paragraph  (e)(l) of this section exist,  the  re-
sponsible official shall ensure:
  (i) That a categorical  exclusion  is not  granted
or,  if previously granted, that it is revoked  accord-
ing to paragraph (c) of this  section;
  (ii) That an adequate EID is prepared; and
  (iii) That  either an environmental  assessment
and FNSI or a notice of  intent for  an EIS  and
ROD is prepared and issued.
  (f) Developing new categories of excluded ac-
tions.  The responsible official, or other  interested
parties, may request that a new general  or special-
ized program specific category of excluded actions
be created, or that an existing category be  amend-
ed  or  deleted.  The request shall be in  writing to
the Assistant Administrator, OEA, and  shall con-
tain adequate information to support the request.
Proposed new categories  shall  be  developed  by
OEA and published in the  FEDERAL REGISTER as
a proposed rule, amending paragraph  (d)  of this
section when the proposed new category applies to
all  eligible programs  or,  amending  appropriate
paragraphs in other subparts of this part when the
proposed new category applies to one specific pro-
gram.  The publication shall include a thirty (30)
day public comment period. In addition to  criteria
for specific programs listed  in  other subparts of
this  part, the following  general  criteria shall  be
considered in  evaluating proposals for  new  cat-
egories:
  (1)  Any action taken seldom  results  in  the  ef-
fects  identified in general  or specialized program
specific  criteria identified through the application
of criteria for not granting a categorical exclusion;
  (2) Based upon previous  environmental reviews,
actions consistent with the proposed category have
not required the preparation of an EIS; and
  (3)  Whether information adequate to determine
if a potential action is  consistent with the proposed
category will normally be available when needed.

[50 FR 26315, June 25, 1985,  as  amended at 51  FR
32610, Sept. 12, 1986]

§6.108   Criteria for  initiating an EIS.
  The responsible official shall assure that an EIS
will be prepared  and issued for actions under sub-
parts E, G, H, and I when it is determined that any
of the following conditions  exist:
  (a) The  Federal  action may significantly affect
the pattern and type of land use (industrial, com-

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                                                                                          §6.203
mercial,  agricultural, recreational, residential)  or
growth and distribution of population;
  (b) The  effects resulting from  any structure or
facility constructed or operated under the proposed
action may conflict with local, regional or State
land use  plans or policies;
  (c) The  proposed action may  have  significant
adverse effects on wetlands, including indirect  and
cumulative effects, or any major part of a structure
or facility  constructed or operated under the pro-
posed action may be located in wetlands;
  (d) The proposed action may significantly affect
threatened  and endangered species or their habitats
identified in the  Department of the Interior's  list,
in accordance with §6.302, or a  State's list, or a
structure  or  a  facility constructed  or operated
under the proposed action may be  located in the
habitat;
  (e) Implementation  of the proposed action or
plan  may  directly cause or induce  changes that
significantly:
  (1) Displace population;
  (2) Alter the  character of  existing  residential
areas;
  (3) Adversely affect a floodplain; or
  (4) Adversely affect  significant amounts of im-
portant  farmlands  as defined  in  requirements in
§6.302(c),  or  agricultural operations on this land.
  (f) The proposed action may, directly, indirectly
or cumulatively have significant adverse effect on
parklands, preserves, other public lands or areas of
recognized scenic,  recreational, archaeological, or
historic value; or
  (g) The  Federal  action may directly or through
induced  development  have a  significant adverse
effect upon local ambient air quality, local ambient
noise levels, surface water or groundwater quality
or quantity, water supply, fish, shellfish, wildlife,
and their natural habitats.

[50  FR 26315,  June 25,  1985, as amended at 51  FR
32611, Sept. 12, 1986]
      Sub pa it B—Content of EISs
§6.200   The    environmental
     statement.
impact
  Preparers of  EISs must  conform with the re-
quirements of 40 CFR part 1502 in writing EISs.

§6.201   Format.
  The format used for EISs shall encourage good
analysis and clear presentation of alternatives, in-
cluding the proposed  action,  and  their environ-
mental, economic and social impacts. The follow-
ing standard format for EISs should  be used unless
the responsible  official determines that  there is  a
compelling reason to do otherwise:
  (a) Cover sheet;
  (b) Executive Summary;
  (c) Table of contents;
  (d) Purpose of and need for action;
  (e) Alternatives including proposed action;
  (f) Affected environment;
  (g)  Environmental  consequences of the  alter-
natives;
  (h) Coordination (includes list of agencies, orga-
nizations, and persons to  whom copies of the  EIS
are sent);
  (i) List of preparers;
  (j) Index  (commensurate with complexity of
EIS);
  (k) Appendices.

§6.202   Executive summary.
  The executive summary shall describe in suffi-
cient detail (10-15 pages) the critical facets of the
EIS  so that the reader can become familiar  with
the proposed project or action and its  net effects.
The  executive summary shall focus on:
  (a) The existing problem;
  (b) A brief description  of each alternative evalu-
ated (including  the preferred and no action alter-
natives) along with  a  listing of the environmental
impacts,  possible  mitigation measures  relating to
each  alternative, and any  areas of controversy (in-
cluding  issues  raised  by governmental agencies
and the public);  and
  (c) Any major conclusions.
A comprehensive summary may be prepared in in-
stances where the EIS is  unusually long in nature.
In accordance  with 40  CFR  1502.19, the  com-
prehensive summary may be circulated in lieu of
the EIS;  however, both documents shall be distrib-
uted to any Federal, State and local agencies  who
have  EIS review responsibilities and also shall be
made available to other interested parties upon re-
quest.

§6.203   Body of EISs.
  (a) Purpose  and need. The EIS  shall clearly
specify the underlying purpose and need to which
EPA is responding. If the action  is a  request for
a permit or a grant, the  EIS shall clearly specify
the goals and objectives of the applicant.
  (b) Alternatives including the proposed action.
In addition to 40 CFR 1502.14, the EIS shall  dis-
cuss:
  (1)  Alternatives considered  by the  applicant.
This  section shall include a balanced  description
of each  alternative  considered by  the applicant.
These discussions shall include size and  location
of  facilities,  land  requirements,  operation   and
maintenance   requirements,   auxiliary   structures
such  as pipelines  or transmission  lines, and  con-
struction schedules. The  alternative of no action
shall  be discussed  and  the applicant's preferred
alternative(s) shall be identified.  For  alternatives
which were eliminated from  detailed study, a  brief

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§6.204
discussion  of the  reasons  for  their having  been
eliminated shall be included.
  (2) Alternatives available  to EPA.  EPA alter-
natives to be discussed shall include: (i) Taking an
action; or (ii) taking an action on a modified or al-
ternative project,  including an  action not consid-
ered by the  applicant; and (iii)  denying the action.
  (3) Alternatives available to other permitting
agencies. When preparing a joint EIS, and  if ap-
plicable, the alternatives available to other Federal
and/or State agencies shall be discussed.
  (4) Identifying preferred alternative. In the final
EIS, the responsible  official shall signify the pre-
ferred alternative.
  (c) Affected environment  and  environmental
consequences of the alternatives. The affected en-
vironment on  which the evaluation of each alter-
native  shall be based  includes, for  example, hy-
drology, geology,  air quality,  noise,  biology,
socioeconomics, energy, land use,  and archeology
and  historic subjects.  The  discussion  shall  be
structured so  as to present the total  impacts of
each alternative for easy comparison among  all al-
ternatives by the reader. The effects of a "no ac-
tion" alternative  should be included to facilitate
reader comparison of  the beneficial  and adverse
impacts of other alternatives to  the applicant doing
nothing. A description of the environmental setting
shall be included  in the "no  action" alternative
for  the  purpose of providing needed background
information. The  amount of detail  in  describing
the  affected environment  shall  be  commensurate
with the complexity of the  situation and the im-
portance of the anticipated impacts.
  (d) Coordination. The EIS shall include:
  (1) The  objections  and suggestions made  by
local, State, and Federal agencies before and dur-
ing the EIS review process must be given full con-
sideration, along with the issues of public concern
expressed by individual citizens and  interested en-
vironmental groups. The EIS must include discus-
sions of any such comments concerning our ac-
tions, and the author of each comment should be
identified. If a comment has resulted in a change
in the project  or  the  EIS,  the impact statement
should explain the  reason.
  (2) Public participation through public hearings
or scoping meetings shall  also be  included. If a
public  hearing has been held prior to the publica-
tion of the EIS, a summary of the transcript should
be included  in this section. For the  public hearing
which  shall be held after  the  publication  of the
draft EIS, the date, time, place, and purpose shall
be included here.
  (3) In the final EIS, a summary of the coordina-
tion process and EPA responses to  comments  on
the  draft EIS shall  be included.
[44  FR  64177, Nov. 6,  1979,  as  amended  at 50  FR
26316, June 25,  1985]
§6.204   Incorporation by reference.
  In addition to 40 CFR  1502.21, material  incor-
porated into  an EIS  by reference shall be orga-
nized to the  extent possible into a  Supplemental
Information Document and be made available for
review upon request.  No  material may be  incor-
porated by reference unless it is reasonably avail-
able for inspection by  potentially interested per-
sons within the period allowed for comment.

§6.205   List of preparers.
  When the  EIS is prepared by  contract,  either
under direct contract to EPA or  through an appli-
cant's or grantee's contractor, the responsible offi-
cial must independently evaluate the EIS prior to
its approval and take responsibility  for its  scope
and  contents.  The  EPA officials  who undertake
this evaluation shall also  be described under the
list of preparers.

Subpart    C—Coordination    With
     Other   Environmental   Review
     and    Consultation    Require-
     ments

§ 6.300   General.
  Various  Federal laws and executive  orders ad-
dress specific environmental concerns. The respon-
sible official shall integrate to the greatest prac-
ticable  extent the applicable procedures in this
subpart during the implementation of the environ-
mental review process under Subparts E through I.
This subpart presents the central requirements  of
these  laws and executive orders. It refers to the
pertinent authority and regulations or guidance that
contain the procedures.  These laws and executive
orders  establish review procedures independent of
NEPA requirements. The responsible official shall
be  familiar with any other EPA or  appropriate
agency  procedures  implementing these laws and
executive orders.
[44 FR  64177, Nov. 6, 1979,  as  amended at 50  FR
26316, June 25, 1985]

§6.301   Landmarks,  historical,  and ar-
     cheological sites.
  EPA is subject to the requirements of the His-
toric Sites Act of 1935, 16 U.S.C. 461  et seq., the
National Historic  Preservation  Act  of 1966,  as
amended, 16 U.S.C. 470 et seq., the Archaeologi-
cal and  Historic Preservation Act  of 1974,  16
U.S.C. 469 et  seq.,  and Executive Order  11593,
entitled "Protection and Enhancement of the Cul-
tural  Environment."  These  statutes,  regulations
and executive orders  establish review  procedures
independent of NEPA requirements.
  (a) National natural landmarks.  Under the His-
toric Sites  Act of 19