United States     .  Office of          EPA/600/S-97/002
         Environmental Protection    Research and Development    January 1997
         Agency          Washington, DC 20460      Discussion Document


oEPA   Priorities for Ecological


         Protection: An Initial List and


         Discussion Document for EPA

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                                   EPA/600/S-97/002
                                   January 1997
                                   Discussion Document
Priorities for Ecological Protection:
    An Initial List and Discussion
         Document for EPA
          U.S. Environmental Protection Agency
              Washington, DC 20460

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                                   DISCLAIMER

      This document has been reviewed in accordance with U.S. Environmental Protection
Agency policy and approved for publication.  Mention of trade names or commercial products
does not constitute endorsement or recommendation for use.
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                                 CONTENTS


AUTHORS, CONTRIBUTORS, AND REVIEWERS	v

EXECUTIVE SUMMARY	 vi

1.  INTRODUCTION	1
   1.1. BACKGROUND  	1
   1.2. AUDIENCE 	1
   1.3. APPROACH  	2
   1.4. LIMITATIONS  	3

2.  VALUES AND TRENDS  	4
   2.1. LAWS	4
       2.1.1. EPALaws	4
       2.1.2. Historic Review of Federal Laws	5
   2.2. CURRENT POLICIES AND PRACTICES AT EPA 	7
       2.2.1. Past Review of EPA Programs	7
       2.2.2. Trends	8
            2.2.2.1. Water Quality Criteria 	8
            2.2.2.2. Region I  	9
       2.2.3. Other Policies and Practices	9
            2.2.3.1. Scientific Advisory Board Recommendations	9
            2.2.3.2. EPA Goals and Milestones for the Year 2005	9
            2.2.3.3. Community-Based Environmental Protection  	9
   2.3. CURRENT PRACTICES AT OTHER AGENCIES 	10
   2.4. COMMUNITY- AND PLACE-BASED PROJECTS 	10
   2.5. OTHER INDICATIONS  	11
       2.5.1. The Interagency Ecosystem Approach	11
       2.5.2. Public Opinion Research  	11
   2.6. CONCLUSIONS: SOME COMMON AREAS OF CONSIDERATION	11
       2.6.1. Ecological Entities	11
       2.6.2. Trends	12

3.  ECOLOGICAL INTEGRITY	13
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  3.1. ECOLOGICAL INTEGRITY	13
  3.2. SUSTATNABILITY 	14
  3.3. RESILIENCY	14
  3.4. BIODIVERSITY 	15
  3.5. ECOLOGICAL PROCESSES AND INTERACTIONS 	15
  3.6. HOW TO INCORPORATE ECOLOGICAL INTEGRITY INTO
      GOALS AND OBJECTIVES	16
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                            CONTENTS (Continued)

4.  ECOLOGICAL ENTITIES TO BE PROTECTED	17
  4.1.  SOME CRITERIA FOR PRIORITIZING ECOLOGICAL PROTECTION	17
  4.2.  SOME COMMONLY VALUED ECOLOGICAL ENTITIES	17
       4.2.1.  Animals, Plants, and Their Habitats  	18
             Entity 1:  Aquatic Communities in Lakes, Streams, and Estuaries 	18
             Entity 2:  Regional Populations of Native Species and Their Habitats—Terrestrial
                     and Aquatic	21
             Entity 3:  Native or Migratory Species Exposed to Severe or
                     Acute Threat	22
       4.2.2.  Whole Ecosystems	22
             Entity 4:  Ecosystem Functions and Services	23
             Entity 5:  Wetlands and Stream Corridors	23
       4.2.3.  Special Places and Species	24
             Entity 6:  Endangered Ecosystems	25
             Entity 7:  Endangered Species and Their Habitats	25
             Entity 8:  Other Places of High Ecological or Societal Value, as Appropriate  . 26

5.  PRACTICAL ADVICE 	27
  5.1.  ECOLOGICAL RISK ASSESSMENT 	27
  5.2.  APPLICATION TO NATIONAL PROGRAMS' RISK-BASED DECISIONS	28
       5.2.1.  Some Examples	31
  5.3.  CBEP PROJECTS  	31
  5.4.  WAQUOIT BAY 	35

6.  NEXT STEPS  	38

GLOSSARY	40

BIBLIOGRAPHY	42

APPENDICES  	A-l
   Appendix A: Ecosystem Concepts	A-2
   Appendix B: EPA Past Consideration of Concerns by

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                              CONTENTS (Continued)

               Concern Category and Major EPA Office	A-3
  Appendix C: Recent Policies of Federal Resource
               Management Agencies	A-8
  Appendix D: Some Community Projects  	A-l 1
  Appendix E: Lists of Special Places	A-14
  Appendix F: Statutory Provisions That Authorize EPA
               to Consider Specific Concerns  	A-15
  References for Appendices	A-26
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                 AUTHORS, CONTRIBUTORS, AND REVIEWERS
      This document was prepared by:

            Anne Barton, Office of Research and Development
              (on detail from the Office of Pesticide Programs)
            Cory Berish, EPA Region 4
            Bernie Daniel, Office of Research and Development
            Stephen Ells, Office of Solid Waste and Emergency Response
            Tom Marshall, Office of General Counsel
            Jay Messer, Office of Research and Development
            Mary Powell, Office of Pesticide Programs
            Margaret Rice, Office of Pesticide Programs
            Anne Sergeant, Office of Research and Development
            Victor Serveiss, Office of Research and Development
            Ingrid Sunzenauer, Office of Pesticide Programs
            Molly Whitworth, Office of Policy, Planning, and Evaluation
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 1                                      EXECUTIVE SUMMARY
 2
 3            EPA's mission, and the environmental laws that underlie policy and regulations, require the
 4      Agency to "protect human health and the environment." Although we may debate the degree of
 5      acceptable risk, there is general agreement on the human health endpoints of concern; there is far
 6      less agreement on the corresponding endpoints for protecting the environment. Decision makers
 7      in EPA have sought guidance on specifically what resources to protect and how they and the
 8      public can become more involved in the ecological risk assessment and decision-making process.
 9             One purpose of this document is to stimulate Agencywide discussion on which ecological
10      entities should be considered priorities for protection by all Agency programs. (Ecological
11      entities are the valued resources to be protected and can be species, ecosystem functions or
12      characteristics, or specific places and habitats.) Another purpose is to propose a process by which
13      decision makers can set specific ecological objectives to guide both assessment and action.
14            As a first step in framing this discussion, our work group reviewed past and current trends
15      in ecological protection as revealed in Federal  statutes, EPA actions, policies of natural resource
16      management agencies, community-based projects, and other management actions involving the
17      public to see what has been valued and whether there is evidence of consistent directions.
18            The results of this review show that there is a trend in environmental legislation. The early
19      statutes tended to be concerned with short-term narrow utilitarian objectives (e.g., use of
20      commercially valuable natural resources). In later statutes, there is much more evidence of longer
21      term broader utilitarian objectives  (e.g., protecting natural areas such as National Parks and
22      Scenic Rivers for the enjoyment of present and future  generations). This trend has culminated in
23      legislation that protects individual  species and whole ecosystems for posterity.
24            There is also a trend in the complexity and the time  and space scales of ecological
25      protection objectives.  Environmental legislation has a long history of protecting certain groups  of
26      animals such as fish, shellfish, migratory songbirds and waterfowl, and large mammalian game
27      species. More recently, legislation has sought  to protect entire ecosystems and to ensure their
28      "integrity" for the foreseeable future.  Integrity can be defined as "the interaction of the physical,
29      chemical, and biological elements of an ecosystem in a manner that ensures the long-term health
30      and sustainability of the ecosystems" (U.S. EPA, 1994b).  It incorporates the concepts of
31      sustainability, or the ability of  an ecosystem to support itself over a long time; resiliency, or the
32      ability of an ecosystem to recover  from a stress; and biodiversity, or the variety of life at the
33      genetic, individual, and ecosystem levels.
34            This trend has resulted in a  shift in focus from simply protecting single species on a
35      chemical-by-chemical basis to more complex approaches involving basinwide watershed
36      management and consideration of both direct and indirect effects of multiple stressors.  There is
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 1      evidence that a broad segment of the public holds beliefs that tend to support these trends.  These
 2      trends suggest that decision makers should increasingly focus on long-term goals in addition to
 3      short-term objectives; to articulate these goals to encompass sustainability, resiliency, and
 4      appropriate biodiversity; and to consider how foreseeable changes in the environment resulting
 5      from natural and human-induced changes may modify current risks and risk-reduction strategies.
 6            Because it is usually not possible to protect everything at once, it is important to be able to
 7      prioritize for the ecological entities that may be most worthy of concern and protection.  Such
 8      entities include individual species and their immediate habitats,  whole ecosystems containing many
 9      species and the processes that link them, and "special" places that are of unique or particular
10      ecological or societal value. Some criteria for ranking risks to these entities include statutory
11      mandates, valued or unvalued utility to society, the threat of irreversible harm (e.g., extinction),
12      and the importance of the entity to the  survival of other entities (e.g.,  species or ecosystems).
13            Our review of current practice suggests eight ecological entities that are of widespread
14      concern: (1) aquatic communities  in lakes, streams, and estuaries; (2) regional populations of
15      native species and their habitats; (3) severe episodic threats (such as massive bird or fish kills); (4)
16      important ecosystems functions and services; (5) wetlands; (6)  endangered ecosystems; (7)
17      endangered species and their habitats; and (8) other special places.  These categories are not listed
18      in order of priority, nor are they mutually exclusive. They are presented as a reasonable and
19      useful set of entities for setting ecological objectives.
20            Ecological objectives are needed in a variety of regulatory and nonregulatory applications
21      at EPA.  Two of these applications are when national program managers make risk-based
22      decisions and in Community-Based Environmental Protection (CBEP) projects.
23            Risk-based decisions use ecological risk assessment, which has taken a large step forward
24      with EPA's publication of a new Framework for Ecological Risk Assessment (U.S. EPA, 1992a)
25      and the Proposed Guidelines for Ecological Risk Assessment (U.S. EPA, 1996c).  The critical
26      role  of the risk  manager in this process is to (1) identify the problem and the appropriate legal
27      mandates and restrictions; (2) review the applicable entities potentially at risk; (3) meet early with
28      the technical risk assessors and the attentive public; (4) define the societal objectives associated
29      with risk to a particular entity; and in working with the risk assessors, (5) identify the assessment
30      endpoints;  (6) review and understand the conceptual model underlying the risk assessment; and
31      (7) establish quantitative measures of effect.
32            The CBEP projects use a similar set of steps: (1) identify the problem and sources of
33      information; (2) form partnerships  and  bring in the public; (3) establish boundaries; (4) inventory
34      the resources of the area; (5) list the local values; (6) establish specific objectives; and (7) plan the
35      analysis, either  by the risk assessment paradigm or some other process.

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 1            The order of the steps is somewhat flexible for both processes and may require iteration.
 2      The Waquoit Bay Problem Formulation provides a good example to illustrate both processes and
 3      is discussed in chapter 5.
 4            Our work group believes that EPA risk managers will be increasingly called upon to
 5      consider ecological risks, in addition to those that directly affect human health. As people become
 6      more educated about the complexity of ecosystems and their importance to the quality of life, risk
 7      managers will be required to increase the scope and complexity of ecological risk assessments.
 8      We hope that the review of past practice, of the ecological entities that have been of most concern
 9      in past and current statutes and regulations, and of the ecological basis for concepts such as
10      sustainability, resilience, and biodiversity prove helpful for risk managers who lack extensive
11      training or experience in these areas.
12            We hope that the recommendations in this report will lead to agreement on the entities that
13      should be considered in all Agency activities and on other principles of ecological protection. We
14      believe that a common list of entities and ecological principles for the entire Agency can provide
15      many advantages: It can promote consistency  among our programs,  make our actions more
16      understandable to the public, provide structure for those programs than do not yet have much
17      experience with ecological risk, aid in research planning, and focus risk-communication efforts.
18      Even before the Agency agrees on the common ecological entities, we believe the information and
19      suggestions in this document can  be of immediate use to Agency decision makers.  The list given
20      in chapter 4 can serve as a convenient checklist to help turn the general goals provided by EPA
21      laws into concrete, specific objectives that can guide assessments and actions.
22            Above all, we hope that Agency decision makers will use these suggestions  and
23      recommendations and share their  experiences with other offices, including the Office of Research
24      and Development and the Office of Policy, Planning, and Evaluation. Only by learning from
25      actual experience can we develop the processes and principles that will provide a sound and useful
26      EPA approach to protection of valued ecological entities.
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 1                                       1. INTRODUCTION
 2
 3      1.1.  BACKGROUND
 4            EPA's mission is to protect human health and the environment.  Initially EPA emphasized
 5      protection of human health (U.S. EPA, 1990c; Russell, 1995), and although ecological impacts
 6      are now considered to a greater extent, the focus on human health remains. As a result, many risk
 7      managers have had more experience in incorporating human-health concerns than ecological
 8      concerns into the decision-making process.  Also, the degree to which different statutes consider
 9      ecological risk varies.
10            Some risk managers in EPA have indicated that they would like to consider ecological risk
11      to a greater extent, but they need something more specific than the "protect human health and the
12      environment" found in many laws.  They want further guidance, including advice on what
13      resources should be protected.
14            The 1994 report Managing Ecological Risks at EPA (U.S. EPA, 1994a) reviewed the
15      ecological concerns already considered in many EPA program areas.  The report concluded with a
16      set of recommendations, one of which was that EPA develop common ecological concerns to be
17      considered in all Agency activities. The report states: "these concerns can take the form of
18      Agencywide principles or objectives and can also support other ecosystem management and
19      nonregulatory efforts being undertaken by the Agency."
20            Although Managing Ecological Risks did not precisely define "concerns," some examples
21      of potential Agencywide concerns cited were risks to migratory birds, wetlands, commercial
22      fisheries, congressionally designated wilderness areas and Wild and Scenic Rivers, public lands,
23      and important privately owned lands such as Nature Conservancy preserves and National
24      Audubon Society sanctuaries (U.S. EPA, 1994a, p.  18).
25            In this document, we modify this notion slightly and define an entity (or ecological entity,
26      or valued ecological entity) as the valued resource to be protected.  With this, we hope to launch
27      a discussion, within and outside of the Agency, to achieve consensus on what valued ecological
28      entities should  be considered routinely in all Agency programs for which they might be relevant.
29
30      1.2.  AUDIENCE
31            Our primary audience is EPA decision makers who determine what aspects of the
32      environment are to be protected or restored, their priority, and the extent to which they are
33      protected or restored. They could be developing regulations, criteria (e.g., water quality criteria),
34      policy, or guidance, or they could be making decisions about pesticides, toxic chemicals, or
35      cleanup  of Superfund sites. We also include those who work with partners to reduce ecological
36      risk.
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 1            This document may also be of interest
 2      to those who support these activities with
 3      technical information, risk assessments,
 4      monitoring programs, research, grant or
 5      budget activities, and community outreach; it
 6      may also be of interest to those who
 7      implement decisions (by permit reviews or
 8      enforcement activities).
 9            This audience includes people with a
10      wide range of experience in managing
11      ecological risk.  It has been challenging to
12      write for the entire audience; consequently,
13      the reader may find some parts of the
14      document more  relevant than others.
15      Furthermore, the extent to which particular
16      entities are already considered varies greatly
17      among programs; any list of potential
18      Agencywide concerns will probably seem new
19      to some readers and routine to others.
20
21      1.3. APPROACH
22            The approach taken here is based on a
23      view of government as both responding to      ^^^^^^^^^^^^^^^^^^^^^^^^^^^
24      public values and providing information and
25      leadership.  Thus, it is important for the Agency to understand the societal value attached to
26      various ecological entities.  On the other  hand, EPA must also help the public understand the
27      relationship between (1) those resources  and services that are widely valued and (2) those whose
28      value may not be widely recognized but are necessary to support other attributes that are valued.
29            Ecological principles and processes must be considered when determining priorities for
30      ecological concerns. To accomplish this, we combine an initial list of valued ecological entities
31      (i.e., ecosystems and their components) with the goal of maintaining long-term ecosystem
32      integrity. It does this by:
33
34            •   Making some inferences about the value placed on particular ecosystems and
35                ecosystem components and how these values change over time as shown in Federal
        Advantages of a Common
              List of Entities

A list of valued ecological entities to be
considered in all EPA activities has several
advantages.

Consistency: A general list of entities can
promote consistency within the Agency.

Understandability: A list of specific entities
can make it easier for the public to understand
what we do.

Structure: A list of valued entities can help
decision makers set specific, measurable
objectives.

Research Planning:  The experience of
attempting to use common entities in varied
areas can identify where we lack knowledge
and help focus research.

Communication: The entities discussed in
this document can help focus risk-
communication efforts around valued
resources.
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 1                laws, Federal agency actions, and local (community-based) environmental protection
 2                (chapter 2)
 3
 4            •    Introducing the idea of ecosystem integrity as an environmental protection goal
 5                (chapter 3)
 6
 7            •    Proposing a set of criteria for setting priorities as to what should be protected (chapter
 8                4)
 9
10            •    Proposing a set of ecological concerns for consideration as a common Agencywide list
11                to be used in all EPA activities for which they might be appropriate (chapter 4)
12
13            •    Showing how concerns can be used in two major risk-management approaches
14                (chapters).
15
16      1.4.  LIMITATIONS
17            We do not intend our recommendations to  prescribe how much any particular entity should
18      be protected. This depends on many factors, including discussions between the risk manager, the
19      attentive public, and the risk assessor,  and will differ from case to case.  This document is
20      intended to facilitate those discussions and help ensure that all appropriate ecological entities are
21      given due consideration.  In addition, the document deals only with entities that contain some
22      important nonhuman biological  component.  Human health and abiotic issues such as groundwater
23      contamination are related to these issues but are not addressed directly.
24            We also want to recognize that  some entities are not readily amenable to sound scientific
25      assessment and that some ecological risks may not be amenable to reduction or prevention under
26      existing  statutory authority.  Nevertheless, decision makers should not be deterred from
27      considering them or from including them when  documenting Agency decisions.
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 1                                    2. VALUES AND TRENDS
 2
 3            This chapter examines Federal laws and current environmental practices that reflect widely
 4      held values.  It describes the ecosystems and ecosystem components favored by the public,
 5      including the way this has changed over time, and delineates a baseline from which to consider the
 6      need for change.  The appendices contain additional information on environmental laws and
 7      practices.
 8            Ecological concerns—as evidenced by current laws, government and private action, and
 9      expressed values and philosophies—extend across a broad spectrum from immediate human utility
10      to values independent of humans. At one end of the spectrum are highly utilitarian concerns such
11      as the protection and availability of natural or manmade resources for economic use and direct
12      human consumption.  As one moves across the spectrum, concerns of this type grade into
13      recreational and aesthetic uses and human-derived preservation values. At the other end are those
14      associated with moral, religious, and spiritual values.
15            We do not intend to make any choice for the Agency or the public along this continuum.
16      Rather, we present values as inferred from legislation and environmental action and describe the
17      ways in which these values have changed over time. This approach examines historical actions at
18      a national level. In setting priorities and goals,  risk managers should keep in mind that values
19      change over time and may vary in different geographical areas.
20
21      2.1. LAWS
22            In a democratic society, the values represented in Federal law are often good indicators of
23      widely held values. Frequently, they have gone through an extended process of public debate and
24      examination. As an executive agency, EPA must implement laws. But beyond this mandate, laws
25      can provide insights into the ecosystem components, services, and whole ecosystems that are
26      particularly widely valued. These inferences, although not limiting what the Agency can do, can
27      help the Agency interpret those laws that state the ecological goals in  general terms.
28
29      2.1.1. EPA Laws
30            Existing laws direct EPA to consider  a variety of general and specific ecological concerns
31      (see table F-l in appendix F). At the most general level, most of the laws administered by EPA
32      focus the Agency on ecological concerns through mandates to protect "the environment."
33      Although Congress' use of the term environment does not help identify specific ecological
34      entities,  its plain meaning indicates that EPA may reasonably consider a broad range of ecological
35      entities in its programs.  Statutory definitions of environment in the Federal Insecticide,
36      Fungicide, and Rodenticide Act (FIFRA) and the Toxic Substances Control Act (TSCA), for
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 1      example, explicitly include water, air, land, living things (including humans), and the
 2      interrelationships among them.
 3            A number of statutory provisions in existing law also direct EPA's attention to more
 4      specific ecological concerns:
 5
 6            •   Ecosystem Components:  The Clean Water Act repeatedly mentions fish, shellfish,
 7                and wildlife in  many places and contexts.  The Clean Air Act refers to wildlife
 8                protection.
 9
10            •   Ecosystems:  The Clean Water Act has many references to specific types of aquatic
11                ecosystems, including rivers, lakes, and estuaries. The Clean Air Act mentions
12                "regionally representative" and "critical" ecosystems.
13
14            •   Special Places: Both the Clean Water and Clean Air Acts mention the Chesapeake
15                Bay, the Great Lakes, and Lake Champlain. In addition, the Clean Air Act makes
16                special provisions for national parks and wilderness areas, and the Clean Water Act
17                lists specific types of waters as "Outstanding Natural Resource Waters" for enhanced
18                protection.
19
20      2.1.2.  Historic Review of Federal Laws
21            In the late 1970s, the then-Office of Toxic Substances (OTS) prepared Federal Laws,
22      Treaties and Conventions Pertaining to the Environment as a basis for determining the
23      environmental effects of regulatory concern under TSCA (U.S. EPA, 1983).  The appendix to the
24      OTS report listed environmental legislation chronologically from 1785 to 1978 (U.S. EPA, 1983).
25      This section reviews this chronology to consider both the trends in the way laws consider
26      ecological entities and the entities that have been targeted for protection.
27
28            •   1785 to 1899:  The earliest legislation dealt with the use and disposal of public land
29                for homesteading and mining (e.g., the Mining Act of 1866) and similar uses. Such
30                laws seem to have been motivated primarily by a narrow view of the utility of natural
31                resources. However, Yellowstone Park was also set aside "for the pleasure  of the
32                people" during this era (1872), thus including a broader utilitarian view.
33
34            •   1900 to 1925:  Laws specifically protecting fish, birds, and  wildlife appeared early in
35                this period, with the Lacey Act established to protect endangered game and wild birds
36                in 1900.  This was in response to an alarming rate of extinction of wild animals and the
37                commerce in game birds for plumage during the last decades of the 19th century.  The
38                first national wildlife refuges for the protection of game  animals, birds, and fish were
39                also established during this period. The Fish and Game  Sanctuary Act, which
40                authorized the executive branch to establish such refuges, was passed in 1916. The
41                Migratory Bird Treaty Act, a major step toward protecting birds, was passed in 1918
42                to implement a 1916 treaty with Canada.  Among other  provisions, the Act specifically

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 1                prohibited the hunting of insectivorous birds, thus clearly going beyond the protection
 2                of game species. The National Park Service Act of 1916 created the National Park
 3                Service, with authority to make such rules and regulations necessary for the proper use
 4                and management of National Parks for various purposes. The law specified that
 5                grazing can be allowed when not detrimental to the primary purpose for which a
 6                particular park was established.  This demonstrated support for the "broadly
 7                utilitarian"  use of natural areas.  Concerns for more narrowly utilitarian uses also
 8                continued through this period.  Examples are the Kinkaid Homestead Act of 1904 and
 9                the Amended Mineral Leasing Act of 1920.
10
11            •   1926 to 1947: In general, this era showed a growing awareness of the need to
12                conserve natural resources, both abiotic and biotic. Examples are the Wildlife
13                Restoration Act of 1937, which authorized the use of firearms tax revenues for wildlife
14                conservation, and the Migratory Bird Conservation Act of 1929, which authorized the
15                acquisition of migratory  bird reservations. Notable during this period are the laws
16                combining  conservation  projects with depression relief such as the Tennessee Valley
17                Authority Act. There was also continuing activity on land use issues, especially
18                grazing, during the period.
19
20            •   1948 to 1978: The late  1940s and the  1950s saw the early versions of the major EPA
21                antipollution acts (the Air Pollution Act and the Federal Water Pollution Control Act).
22                These were amended at various times, notably in the 1970s. In addition, other
23                antipollution laws (e.g., the Toxic Substances Control Act of 1976) and laws
24                encouraging recycling of wastes (the Resource Conservation and Recovery Acts of
25                1970 and 1976) were passed during the period.
26
27            Numerous laws and treaties (one or more per year) were enacted for the protection offish,
28      birds, and other wildlife.  One example is the Fish and Wildlife Act of 1956, which established a
29      comprehensive national fish and  wildlife program.  Among other things, this program was to
30      develop measures for maximum  sustainable production offish. Another example is the National
31      Wildlife Refuge System Administration Act of 1966. This provided guidelines and directives for
32      managing wildlife refuges, areas  for protection of endangered fish and wildlife, waterfowl
33      production areas, and  similar refuges.
34            Ecosystem types specifically protected by laws during this period include wetlands (e.g.,
35      the Convention  on Wetlands of International Importance as Waterfowl Habitats of 1972).  These
36      acts were primarily concerned with wetlands as waterfowl habitat.  Coastal areas were the focus
37      of acts in 1968,  1972,  and 1976, which were designed to protect, preserve, develop, and restore
38      the resources of the  coastal zone.
39            Concern for recreational and  historically important areas continued throughout the period,
40      with the Wild and Scenic River Act  of 1968 to preserve sections of selected river to protect their
41      scenic value, the National Parks  and Recreation Act of 1978 to provide for the acquisition and


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 1      management of areas with scenic and recreation value, and the Endangered American Wilderness
 2      Act of 1978 to preserve wild areas with outstanding natural characteristics, and various other acts
 3      concerning national parks and forests. The Federal Land Policy and Management Act of 1976
 4      provided authority to manage Federal lands according to multiple use and sustained yield
 5      principles.
 6            A new concept was introduced by the 1974 law establishing Big Cypress National Preserve
 7      in Florida. This law created a new category for preservation and protection of areas that are
 8      unique mainly for their flora and fauna, for the benefit of future generations.  This represents a
 9      departure from the previous emphasis on scenic or recreational importance. Several other laws
10      show a broader view of the value of natural resources:
11
12            •    The National Advisory Committee on Oceans and Atmosphere (along with some
13                endangered species treaties) showed a concern for global environmental issues.
14
15            •    The Endangered Species Act (1973 and 1978) went beyond the concern for fish,
16                birds, and other wildlife to encompass all plants and animals that are listed as
17                threatened or endangered. It articulated a concern for species diversity rather than
18                particular categories of species.
19
20            •    The National Environmental Policy Act (1969) explicitly stated a policy of
21                preserving the quality-of-life benefits of natural areas and resources for future
22                generations. The regulations implementing this Act require that Federal agencies
23                analyze the effects of their significant actions on components, structures, and
24                functioning of affected ecosystems.
25
26      2.2.  CURRENT POLICIES AND PRACTICES AT EPA
27      2.2.1. Past Review of EPA Programs
28            The 1994 report Managing Ecological Risks at EPA (U. S. EPA,  1994a) reviewed past
29      Agency actions and summarized the ecological concerns historically considered in EPA decision
30      making.  Among the major findings:
31
32            •    Animals (e.g., birds and fish) are more frequently assessed than plants.  An exception
33                to this rule is the Air Program.
34
35            •    Except for endangered species,  no case was found in which an individual nonhuman
36                organism, or even a small  number of individuals, was protected by a regulatory
37                decision. However, effects somewhere between the individual and population levels,
38                such as widespread mortality in fish or birds, were used as the basis for decisions.
39
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 1            •    EPA pays considerable attention to protecting wetlands, estuaries, and large natural
 2                resources such as the Chesapeake Bay. However, only a few programs consider
 3                interactions occurring among animal and plant communities and their physical
 4                environment.
 5
 6            A summary table and more detail is provided in appendix B.  Additional details may be
 7      found in the 1994 report.
 8
 9      2.2.2. Trends
10            Managing Ecological Risks at EPA was a snapshot of the whole Agency. Individual
11      programs, however, are in very different stages of development in managing ecological risk. The
12      two sections below look at the history of a program and a region to show how the management of
13      ecological risks may change over time.
14
15      2.2.2.1.  Water Quality Criteria
16            The Clean Water Act provides for the protection of aquatic life through the establishment
17      of physical, chemical, and biological criteria.
18            For about  10 years after EPA was created, the Agency based its criteria on the same
19      methodology that was used by the Department of the Interior.  This approach focused on the
20      direct, immediate effects of single chemicals, which meant, among other things, that the criteria
21      were based on acute risk (mainly lethality) to various aquatic species (U.S. EPA, 1976).
22            In  1980, the Office of Water published new methods for setting criteria, including a
23      provision for considering chronic effects (U.S. EPA,  1980).  This approach takes a longer term
24      view.
25            More recently, the Office of Water has expanded beyond these chemical-specific criteria to
26      include whole-effluent testing (U.S. EPA, 1995c) and biological testing.  Whole-effluent testing,
27      for point  sources, considers the combined effects of many chemicals that may be present.
28      Biological Criteria directly  measure attributes of the aquatic community and compare these
29      measures to those of unimpaired waters (U.S. EPA, 1990b).  Biological Criteria integrate the
30      effects of multiple stressors of various types and their interaction. Both of these changes take  a
31      more holistic view of impacts on the aquatic community and  allow consideration of complex
32      interactions. Together they represent a large step toward an ecosystem approach.
33            The watershed protection approach (U.S. EPA,  1991b) goes even further:  It uses an
34      integrated and holistic strategy that focuses on a watershed rather than on specific sources or
35      pollutants.  As such, it encourages the consideration of cumulative chemical, physical,  and
36      biological effects throughout the watershed.

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 1      2.2.2.2. Region I
 2            Some regions have also moved toward more holistic approaches for protecting the natural
 3      resources in their areas. The Resource Protection Project (Ueland et al, 1995) is a good
 4      example. Region I, in cooperation with State environmental agencies and the New England
 5      Interstate Water Pollution Control Commission, initiated this project in 1993 to help target the
 6      most important natural resources in each State and to promote an ecosystem approach to
 7      environmental protection. This is not a new regulatory program but an approach that uses
 8      existing regulatory programs to effectively protect valuable natural resources.
 9
10      2.2.3. Other Policies and Practices
11      2.2.3.1. Scientific Advisory Board Recommendations
12            The 1990 report from EPA's Scientific Advisory Board, Reducing Risk: Setting Priorities
13      and Strategies for Environmental Protection (U.S. EPA,  1990c), listed habitat alteration and loss
14      of biological diversity among the high-risk problems. Although this report ranked risk rather than
15      valued entities, this ranking does reflect a high value placed on habitat and biodiversity by the
16      Scientific Advisory Board.
17
18      2.2.3.2. EPA Goals and Milestones for the Year 2005
19            The Proposed Environmental Goals for America With Milestones for 2005 ("Goals
20      Report," U.S. EPA, 1996b) has been developed to encourage  innovation in improving the
21      effectiveness and reducing the costs of environmental protection and to help EPA and other
22      Federal agencies be more accountable for protecting the environment.
23            The quantitative benchmarks of the Goals Report go beyond the scope of this document.
24      However, there is a connection to this document in the ecological resources that are targeted by
25      these benchmarks.  The Goals Report specifically mentions aquatic communities, regional
26      populations of native species and their habitats, wetlands, ecosystem functions, endangered
27      species, and endangered ecosystems such as old-growth forests and natural prairies. The
28      proposed list of common entities in chapter 4 is consistent with the list of ecological resources
29      targeted in the Goals Report.
30
31      2.2.3.3. Community-Based Environmental Protection
32            Recent EPA policies have called for holistic ecosystem  protection in partnership with local
33      communities and other agencies. The CBEP policy promotes  an inclusive process to advance
34      environmental results, with a clear emphasis on the protection of whole ecosystems (U.S. EPA,
35      1994b). EPA has adopted this new approach as a more effective way of protecting ecosystems
36      than more fragmented media- or stressor-oriented approaches.
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 1      2.3.  CURRENT PRACTICES AT OTHER AGENCIES
 2            Appendix C reviews the current policies of Federal land and natural resource management
 3      agencies. The focus of concern for each of these agencies is obvious from their names.  For
 4      example, the mission of the U.S. Fish and Wildlife Service (FWS) is "to conserve, protect and
 5      enhance the Nation's fish and wildlife and their habitat for the continuing benefit of the American
 6      people."
 7            The agencies described in appendix C have modified their processes over the last 10 years
 8      to include greater stakeholder involvement and to consider a wider range of risks to resources
 9      along with sound watershed and habitat management practices.  This process is generally known
10      as ecosystem management.
11            An example of ecosystem management at  the U.S. Forest Service is the Service's Northern
12      Goshawk Guidelines. These guidelines will be used to develop national forest plans in the
13      Service's southwestern region that will sustain goshawk populations and also benefit forest health,
14      soil productivity, and the habitats of other old-growth-dependent plants and animals (CEQ, 1993,
15      p. 19).
16            Another example of ecosystem management can be found in several agencies'
17      implementation of the Endangered Species Act.  The FWS and National Marine Fisheries Service
18      (NMFS) have adopted a formal policy that incorporates ecosystem considerations into a variety of
19      activities under the Endangered Species Act.  For example, where appropriate, group listings are
20      made on an ecosystem basis, recovery plans are developed for entire ecosystems inhabited by
21      multiple-listed species, and consultation is carried out on an ecosystem basis (Interagency
22      Ecosystem Management Task Force, 1995, Vol. II).
23            All of the agencies reviewed combine the concept of ecosystem integrity or sustainability
24      with the mission of maintaining valued resources for human use. They recognize that real
25      protection of the resources over the long run can be accomplished effectively and efficiently only
26      by protecting the ecosystems on which these resources depend.
27
28      2.4.  COMMUNITY-AND PLACE-BASED PROJECTS
29            Locally based projects are important sources of information both on the current status of
30      ecological protection and, by inference, on what  is valued.
31            The value offish and wildlife is as obvious in these projects as elsewhere. For example, the
32      EPA Ecosystem Protection Inventory (U.S. EPA, 1995b) shows that fish and fisheries figure in at
33      least one project in each of EPA's 10 regions and figure in five or more projects in most regions.
34      Comparative-risk projects tend to mention  fish and wildlife and their habitats under both
35      ecological and quality-of-life categories (U.S. EPA, 1993).

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 1            Aquatic ecosystems, and especially wetlands, tend to be frequent concerns. Endangered
 2      species or other biodiversity issues (such as the range of native species) are also frequent. Both
 3      the Wisconsin Tribes project (U.S. EPA, 1992b) and the Kahalu'u O'ahu, Hawai'i, project
 4      (University of Hawai'i at Manoa,  1992) include "respect for the land" or "respect for the earth"
 5      among their human welfare values.
 6            Community-based projects  are more likely than national projects to include specific
 7      religious or spiritual values. For example, the Wisconsin Tribes project values eagles for religious
 8      reasons.
 9
10      2.5. OTHER INDICATIONS
11      2.5.1. The Interagency Ecosystem Approach
12            The Interagency Ecosystem Management Task Force was established in August 1993 to
13      implement the mandate to adopt an ecosystem management approach throughout the Federal
14      Government.  The findings of this  task force are presented in the three-volume report The
15      Ecosystem Approach: Healthy Ecosystems and Sustainable Economies (Interagency Ecosystem
16      Management Task Force, 1995).   Although much of this report deals with the process of acting
17      through partnerships, it also stresses the need to work on an ecosystem scale and sustain natural
18      resources for future populations.
19
20      2.5.2. Public Opinion Research
21            There is some recent research (Kempton et al, 1996) to indicate that the American public
22      understands that there are complex interrelationships between natural entities within ecosystems
23      and that, consequently, stress to the environment can have unexpected and disastrous results.
24      This same study shows wide support for preservation of species for reasons other than human
25      utility.
26
27      2.6. CONCLUSIONS:  SOME COMMON AREAS OF CONSIDERATION
28      2.6.1. Ecological Entities
29            Some inferences can be made about ecological entities that are clearly considered to be
30      valuable from the discussion of laws and ecological protection efforts.
31
32            •    Fish, Birds, Other Wildlife, and Associated Ecosystems: These entities are the
33                subject of many Federal laws. They are routinely considered by both EPA and local
34                projects. The associated ecosystems are given prominent attention in the new
35                approaches recently adopted by the natural resource agencies.
36

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 1            •    Ecosystem Types and Services: Many types of ecosystems are considered. The
 2                value of wetlands, for example, has become widely recognized in the last 20 years, and
 3                wetlands are considered by a number of Agency programs. In local projects, wetlands,
 4                stream corridors, forests, and other ecosystem types are frequently mentioned as
 5                important resources.
 6
 7            •    Special Places and Species:  Many of these are designated by Federal law. The
 8                Federal and State natural resource agencies have missions that usually involve the care
 9                of specific places, such as national parks. Local areas tend to focus on locally
10                important places that may be important for ecological, recreational, aesthetic, or
11                cultural reasons.  EPA, other Federal agencies, and communities all focus on
12                endangered species, which is a congressionally mandated concern.
13
14      2.6.2. Trends
15            The laws and examples of ecological protection also show some trends  over time.
16
17            •    Toward a Larger Geographic Scale:  There is a clear trend toward looking at the
18                larger geographic picture, including recent use of watershed and regional-scale
19                assessments and the global effects of climate change.
20
21            •    Toward Taking a Longer Term View: The chronology of Federal laws show a clear
22                trend toward a longer term view. Early U.S.  policies appeared to start out with little
23                or no concern beyond immediate exploitation of natural resources.  Many laws show
24                that we have moved away from this view. No longer do we view our resources as
25                unlimited.  The desire to be able to pass on our natural heritage to future generations
26                has increasingly formed the basis for environmental legislation.  It is especially evident
27                in the Endangered Species Act and the National Environmental Policy Act.
28
29                In a slightly different sense, EPA programs have taken a longer term view by moving
30                from immediate, urgent, and highly visible problems to those that are less visible right
31                now but may have as large or even larger impact in the future. Water quality criteria
32                illustrate this trend.
33
34            •    Toward an Ecosystem Approach:  Perhaps the clearest trend, especially in the last
35                few years, is toward consideration of entire ecosystems, including cumulative effects
36                of multiple stressors and complex interactions between individual components.  This is
37                mandated by the National Environmental Policy Act,  shown in the latest actions of the
38                Office of Water, and embodied in the policies of EPA and other Federal agencies and
39                in the Interagency Task Force on Ecosystem Management. At least one recent study
40                of public opinion shows that much of the public supports this trend (Kempton et al,
41                1996).
42
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 1                                  3. ECOLOGICAL INTEGRITY
 2
 3            As scientific and public understanding of ecological principles evolves, so, too, must the
 4      focus of ecological assessment and management. EPA is moving toward consideration of risk on
 5      larger scales of both geography and time than in the past.  These trends show a consideration for
 6      ecological integrity and related ideas such as sustainability and resiliency. This approach puts
 7      specific organisms and resources in the context of what they need to survive in the long run. It
 8      also links valued components, services, special places, and what is needed to support them in the
 9      context of ecological protection.  So maintaining ecosystem integrity is not an endpoint but a way
10      to achieve environmental protection. It is the focus of many of our laws and how they are
11      implemented. In this document, we approach the concept as a way to identify the
12      interconnections between a particular component, service, or special place and its associated
13      ecosystem.
14            We also encourage managers to  adopt a long-term strategy and provide information that
15      enables them to develop  decisions that work not just until the next review or sampling round but
16      for generations.  Certain widely valued components, services, or other defined characteristics help
17      focus ecological risk-management decisions. Yet if ecosystem integrity is not considered as a part
18      of the goal, any protection offered may be only momentary or may require a drain on future
19      resources in order to maintain it.  Thus, decisions designed for long-term success are likely to be
20      more cost-effective than those that provide  immediate results but must be reevaluated and
21      possibly reengineered every few years.  Better long-term decisions are made when the concepts of
22      ecological integrity, sustainability, resiliency, and biodiversity (described below) are considered.
23
24      3.1.  ECOLOGICAL INTEGRITY1
25            Why consider ecological integrity? There  is  not much point in protecting, say, a particular
26      animal without also protecting its food supply, shelter, and the area in which it searches for a
27      mate: An animal deprived of food will starve, and one deprived of shelter will succumb to the
28      elements or predation. Some animals can move to  other areas, but they may face increased
29      competition or have to survive with inferior resources. Plants, too, have individual requirements.
30      Some have circumvented the issue of finding a mate by way of asexual reproduction, but they all
31      live within specific nutrient, moisture, and sunlight  constraints.
32            The goal of maintaining ecological integrity requires definition and measurement. Here we
33      draw upon the Edgewater Consensus (U.S.  EPA, 1994b), which defines ecological integrity as
                    chapter assumes some familiarity of ecological concepts and terms such as ecosystem
        structure.  Several ecosystem concepts are defined in Appendix A.
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 1      "the interaction of the physical, chemical, and biological elements of an ecosystem in a manner
 2      that ensures the long-term health and sustainability of the ecosystem." It goes on to say that
 3      integrity can be evaluated by measuring organism health, species and community diversity, and
 4      ecosystem functions.  The term health may not apply very well to ecosystems, but we have
 5      chosen this definition as one that was developed and adopted by consensus within the Agency for
 6      purposes of our discussion document.
 7            Ecological integrity includes the system's ability to recover from stress and retain its
 8      distinctive characteristics.  Forest regeneration after a fire is an example of recovery from a stress,
 9      but a clearcut replanted with a monoculture is not; even though the vegetation is replaced and soil
10      erosion is checked, a single tree species cannot fulfill all of the functions of the variety of plants in
11      the original forest.  There are times when such a management decision is appropriate: The system
12      may be more conveniently managed and yield more valuable timber. However, the ecosystem
13      cannot function as it once did:  its processes are simplified; "fail-safe" redundancies are
14      eliminated; and many associated species are missing, with their roles in the ecosystem left unfilled.
15      The monoculture probably will be more vulnerable to storm damage, fire, disease, and pest
16      infestation than the original forest.
17
18      3.2. SUSTAINABILITY
19            Sustainability^ a related ecological concept, is the ability of an ecosystem to support itself
20      despite a continued harvest, removal, or loss of some sort.  In managed forests, the harvest is
21      balanced with tree growth in an effort to maintain continued wood or pulp production over time.
22      NMFS uses fish reproduction, growth, and recruitment to determine allowable fish harvests.  At a
23      Superfund site, some inhibition offish reproduction might be balanced against reductions in the
24      fish populations that would otherwise occur due to competition for food.  Pesticides are evaluated
25      in terms of the benefits they provide as well as the risks they pose to the environments. Such an
26      approach (risk-benefit balancing) could take into account the long-term effects of pesticide use on
27      the sustainability of agricultural  systems. So in general,  the preferred goal would be something
28      like "a self-sustaining fish population  for the next 100 years" rather than "the fishery yield we
29      want right now." It is not always possible to take such a long-term approach, but the most
30      successful decisions will use it at least to some extent.
31
32      3.3. RESILIENCY
33            Another related ecological concept is resiliency, or the ability of an ecosystem to adapt to
34      change (or stress).  The change or stressed may be natural (e.g., flood, forest fire, pest infestation)
35      or anthropogenic (e.g., commercial fishing, timber harvest, chemical releases). Note,  however,
36      that an altered system will not return  exactly to its original prestress state. Resiliency also reflects
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 1      the system's adaptability in the face of changing conditions such as drought, temperature, and
 2      various organisms' population cycles. All organisms have adapted to stress from other species
 3      (such as feeding) and abiotic factors (such as storms or fire). But human activities tend to go
 4      beyond the range of natural stress and overcome ecosystem resilience. For example, although a
 5      forest may easily recover from patchy storm damage, it may take much longer to recover from a
 6      clear-cut timber harvest because the disturbed area has a very different microclimate and is too
 7      large to be effectively buffered by the remaining trees. Similarly, small fires leave mature trees
 8      blackened but not actually burned (and even encourage cones of certain species to open and
 9      release their seeds), while fire suppression efforts can result in a large accumulation of debris on
10      the forest floor. This accumulation can fuel a large crown fire that consumes all trees as well as
11      the soil's organic matter, leaving sterile soil without seeds or seed sources.
12
13      3.4. BIODIVERSITY
14            Norse (1990) describes biodiversity as "the variety of life on all levels of organization,
15      represented by the number and relative frequencies of items (genes, organisms, and ecosystems)."
16      He points out that biodiversity is not just a question of numbers but also of maintaining the
17      integrity of the genetic mixture within populations, the richness of species within ecosystems, and
18      a mix of ecosystems.
19            Biodiversity is also related to  sustainability and resiliency in that an ecosystem with varied
20      genetic makeup (e.g., one that contains more species and varied individuals within a species) may
21      be better able to recover from disturbance than  one with less genetic variation.  Internal structural
22      and functional redundancies mean that, although some individuals or species may be wiped out,
23      others with somewhat different characteristics may be able to survive the shock and carry on the
24      functions of the ecosystem.
25            Management decisions are most likely to succeed when they look beyond the entity and
26      stressor of concern and consider potential impacts in a larger context.  By considering ecosystem
27      integrity, the manager can factor sustainability, resiliency, and biodiversity into the decision and
28      ensure that it is not only practical but provides effective, comprehensive environmental protection
29      over the long term.
30
31      3.5. ECOLOGICAL PROCESSES AND INTERACTIONS
32            There are a number of interactions and ecological processes that influence ecosystem
33      integrity. Recognizing these ecological links by consulting with ecologists, or, better yet,
34      performing ecological risk assessments according to a plan developed by the process described in
35      chapter 5 will enable the manager to make a decision that better protects against unanticipated
36      indirect effects. The following are a few examples.
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 1            •   Effects on the population of one species may have drastic or detrimental effects on its
 2                predator or prey species.  In addition, the impact on the first species or its associated
 3                predator or prey species could have a cascading effect on a number of other species in
 4                an ecosystem.
 5
 6            •   Effects on environmental  conditions (e.g., temperature, moisture, light) may exceed
 7                the tolerance range of species in the ecosystem.
 8
 9            •   Disturbance of preserves  or corridors between preserves could eliminate the areal
10                extent and intermingling of reproductive individuals necessary for species to survive.
11
12            •   The carrying capacity (number of individuals of one species that an area can support)
13                of a habitat may be decreased by some indirect pathway—for example, by disruptions
14                of soil quality caused by increased runoff due to an increase in impervious surfaces in a
15                neighboring area.
16
17      3.6. HOW TO INCORPORATE ECOLOGICAL INTEGRITY INTO GOALS AND
18          OBJECTIVES
19            How does all this apply to the  role of decision makers in setting goals and objectives? The
20      following three principles summarize much of what is stated above and provide a good start in
21      making ecological integrity a part of  the goal.
22
23            1.   Take a longer viewpoint in setting goals—several generations rather than several
24                years.
25
26            2.   If possible, put the goal in terms of sustainability rather than immediate use. That is,
27                make the goal "self-sustaining fish population for the next 100 years" rather than "the
28                fishery yield we want right now."
29
30            3.   Consult scientists about indirect effects and how the particular ecosystem or resource
31                of concern relates to other ecosystems. Consider whether the goals ought to be
32                modified in this light.
33
34            The next chapter discusses choosing the ecological entities to which these principles might
35      apply.
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 1                        4. ECOLOGICAL ENTITIES TO BE PROTECTED
 2
 3            In this chapter, we propose some general criteria for prioritizing valued entities and we
 4      apply these criteria to a proposed set of initial common entities to be considered in all Agency
 5      activities.  These recommendations are intended to improve the Agency's consideration of
 6      ecological issues by helping EPA decision makers focus on valued ecological entities that are
 7      appropriate for their particular program or project.
 8
 9      4.1.  SOME CRITERIA FOR PRIORITIZING ECOLOGICAL PROTECTION
10            Based on what we found in chapters 2 and 3, we propose four criteria. These criteria are
11      then used to justify the eight entities proposed later in this chapter.
12
13            •   Mandated Protection: We are required by law to protect entities such as endangered
14                species. The section on EPA laws in chapter 2 describes some of these.
15
16            •   Other Societal Value:  Society values organisms, places, ecosystems, and their
17                functions for commercial, recreational, spiritual, and other reasons. Previous sections
18                on laws, current practice in EPA and Federal natural resource agencies, and
19                community projects all provide examples of concerns that are highly valued.
20
21            •   Rare or Under Threat:   Some species of animals and plants, as well  as some entire
22                ecosystems, appear to be  declining or are already so rare that it would not take much
23                to eliminate them entirely. Alternatively,  they may be threatened by some trend or
24                development (not necessarily anything EPA controls).  They need not appear on any
25                official list to meet this criterion.  An example is neotropical migrant birds: Although
26                few of them are on the endangered species list, their populations appear to be
27                diminishing and their habitats in both hemispheres are declining.
28
29            •   Ecological Significance:  This criterion includes organisms that help  sustain the
30                ecosystem. Plants and animals are considered ecologically important when they
31                provide a significant food base, provide shelter for other species, promote regeneration
32                of critical resources, or serve another important function of an ecosystem. Certain
33                major categories of organisms and ecosystem processes are generally  considered
34                important to the ecosystem. They are often referred to as "keystone" species or
35                functions.
36
37      4.2.  SOME COMMONLY VALUED ECOLOGICAL ENTITIES
38            One of the recommendations of Managing Ecological Risk is that the Agency identify an
39      initial common list of ecological  concerns, or entities, to be considered in every EPA decision
40      where relevant.  Reaching consensus on such a list will require discussion within the Agency and
41      some dialogue with partners and interested groups outside the Agency.  As a start, however, we

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 1      propose eight ecological entities for this list. They are organized in broad categories to help
 2      decision makers go beyond the particular entities listed.  Table 4-1 presents the categories,
 3      entities, and criteria by which the entities are valued.
 4            Neither the individual entities nor the categories are mutually exclusive. For example,
 5      wetlands as habitat for waterfowl might be included in (2) regional populations of native species,
 6      (4) ecosystem functions and services, or (5) wetlands and stream corridors. Any specific local
 7      ecosystem could be considered as a habitat for some group of plants or animals, as a whole
 8      ecosystem or provider of services, or as a special place.  The program or project goals determine
 9      which category is most appropriate.
10            We describe these entities broadly enough to cover a great deal. They do not, however,
11      include everything worthy  of protection.  For example, local populations might be of concern for
12      some programs or projects. Some EPA programs routinely include entities not on this list in their
13      decisions; we expect this practice to continue whatever the final list. The common list should not
14      inhibit any program or project from going beyond it.
15            The remainder of this chapter discusses each of the entities.
16
17      4.2.1. Animals, Plants, and Their Habitats
18            Chapter 2 demonstrated that many plants and animal are widely valued. In particular,
19      native fish and wildlife and some plants are valued for reasons that range from the narrowly
20      utilitarian to a belief that they have rights of their own.
21            However, much of EPA does not give the same consideration to habitats.  To protect
22      species at the population or community level, one must consider the integrity of the ecosystems
23      that support them as well as direct threats to the plants or animals themselves. Otherwise, any
24      gains made in protecting them from direct threat may be very short-lived.
25
26      Entity 1: Aquatic Communities in Lakes, Streams, and Estuaries
27            This entity focuses on aquatic plants and animals and the surface water habitats that
28      support them.  Depending  on the nature of the program or project, the goal for protection could
29      include the entire range of species (e.g., "protect 95 percent of the species"),  one or more species
30      that have particular social and ecological value (e.g., "maintain lake trout as the top predator"), or
31      the community as a whole  (e.g., "maintain a balance of species typical of an oligotrophic lake").
32      Attributes depend on the goals; table 4-1 provides two examples.
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to



VO
                                            Table 4-1.  Proposed List of Ecological Entities


Category
Animals, plants,
and their habitats















Whole ecosystems








Ecological entity
1. Aquatic
communities in
lakes, streams, and
estuaries


2. Regional
populations of
native species and
their
habitats — terrestrial
and aquatic
3. Groups of
native or migratory
species exposed to
severe or acute
threat
4. Ecosystem
functions and
services


5. Wetlands and
stream corridors

Examples of
attributes
Survival,
development,
reproduction of
aquatic species;
habitat extent for
key species
Survival and
recruitment; habitat
extent



Survival without
visible damage



Nutrient recycling,
ability to filter
pollutants, habitat
extent for diversity
of species
Extent


Examples of
objectives"
Protect 95 percent
of aquatic species,
or maintain
population of a key
species

Maintain viable
regional population
of native species;
maintain or restore
habitat for native
species
Avoid widespread
and recurring or
massive die-offs


Maintain or restore
function or service
to some standard


Maintain extent of
wetland
Criteria

Mandated
Some (CWA)





Some in CAA,
CWA




Some (e.g.,
Migratory Bird
Treaty Act)


Some general
authority



Yes

Societal
value
High for fish
and shellfish




High for some





Usually high




Not always
recognized



High for many

Rare, under
threat
Some





Some





Not usually




A few




Some

Ecological
significance
Relatively high





High for some





Varies, often
unknown



Very high




High


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to
VO
                                                Table 4-1.  Proposed List of Ecological Entities (Continued)


Category
Special places and
species














Ecological entity
6. Endangered
ecosystems (e.g.,
old-growth forests,
tall-grass prairies)
7. Endangered
species and their
habitats

8. Other places'1
with high
ecological or
societal value, as
appropriate


Examples of
attributes
Extent



Survival,
development,
reproduction, and
recruitment
Species diversity;
nutrient levels, etc.,
appropriate to the
type of ecosystem;
landscape measures


Examples of
objectives"
Maintain extent of
endangered
ecosystem types

Maintain and
restore populations


Restore
biodiversity,
maintain as
oligotrophic0 lake,
maintain extent of
certain habitat
Criteria

Mandated
Some



Yes



Some (e.g., Great
Waters by CAA)




Societal
value
High for some



Potential for some



High for many





Rare, under
threat
All



High



Some





Ecological
significance
Important for
biodiversity


Usually low



High for many





to
o
        "In this document, the term objective is used to refer to a specific objective for an ecological entity. See glossary.
        bSpecial places do not necessarily fit the definition of entity used in theProposed Guidelines for Ecological Risk Assessment (U.S. EPA, 1996c).  See glossary.
        GAn oligotrophic lake is one with low nutrient and high oxygen levels.
        Note: CAA = Clean Air Act; CWA = Clean Water Act.

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 1            This entity ranks high on most of the criteria. The Clean Water Act mandates water quality
 2      that supports a "balanced indigenous population offish, shellfish, and wildlife." Because other
 3      parts of the aquatic community are needed to support fish and shellfish, this in effect mandates the
 4      protection of aquatic communities.
 5            Chapter 2 points out that many aquatic species are highly valued. Many fish and shellfish
 6      have commercial as well as recreational value. Fish are considered by virtually every EPA
 7      program and by many community environmental protection projects.  Although it is not clear that
 8      the entire aquatic community is always considered, protecting the community must be a part of
 9      the action if it is to be effective in protecting fish populations.
10            Some aquatic habitats are rare or under threat. Although pollution from point sources has
11      been greatly reduced since EPA was established, nonpoint sources still pose a problem. States
12      have reported that only about half the assessed miles of river were found to have healthy
13      communities (U.S. EPA,  1996V).
14            This entity also ranks very high in ecological importance.  Because it includes all members
15      of the aquatic community, it necessarily includes those that are most important to the ecosystem.
16
17      Entity 2:  Regional Populations of Native Species and Their Habitats—Terrestrial and
18      Aquatic
19            This entity targets native plants and animals at the regional population level,  together with
20      the habitats necessary to support them. At least some of the  species or their habitats rank high on
21      each of the four criteria.
22            Many Federal laws were promulgated to  protect populations of native species, especially
23      wildlife, and their habitats.  Among the laws governing EPA  actions, the Clean Air Act and Clean
24      Water Act have provisions that focus on wildlife or aquatic species and their habitats.
25            This targeting of native species indicates  their high societal value. In addition, many laws
26      focus on natural areas as habitat.  EPA and other Federal agencies already protect populations of
27      native species, as do local community projects.  In the case of EPA actions, it is not always clear
28      that the efforts extended to habitats; however, as with the aquatic species in entity 1, protection  of
29      the habitat is essential to protection of the population.
30            Many of these species and their habitats are declining or under  threat, in addition to those
31      designated  as endangered (see entity 7). Two examples are many bird species, especially among
32      the warblers and waterfowl, and most amphibians. Habitat examples are large forests,  grasslands,
33      and wetlands.
34            Some of the species considered here are,  by themselves, important to the ecosystem by
35      virtue of their role as prey or predator, for example. Because this entity includes not only the

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 1      particular species but also its habitat with all its biotic and abiotic components, this entity is
 2      critical to the ecosystem.
 3
 4      Entity 3: Native or Migratory Species Exposed to Severe or Acute Threat
 5            The purpose of targeting this entity is to avoid large acute incidents to fish, wildlife, or
 6      plants, such as massive fish or bird kills. It may be focused below the population or community
 7      level. However, except in the case of endangered species (see entity 7), it does not protect single
 8      individuals but rather large numbers of individuals.
 9            There are mandates for some members of this group. For example, the Migratory Bird
10      Treaty Act, the Bald Eagle Act, and others prohibit the killing of many bird species except under
11      permit for specified reasons.
12            Most of the animals and plants likely to be covered here are highly valued.  These species
13      are also protected by other Federal agencies and community projects. These species and the
14      avoidance of large-scale incidents have been the focus of past EPA actions.
15            The pesticide diazinon provides legal precedent for this entity.  The U.S. Court of Appeals
16      Fifth Circuit upheld EPA's finding that recurring bird kills are an unreasonable environmental risk,
17      regardless of any population effect.  Following this finding, the Administrator's final decision to
18      cancel diazinon determined that "as a matter of policy an unnecessary risk of regularly repeated
19      bird kills will not be tolerated" (U.S. EPA, 1990d).
20            Some of the species in this category are rare and under threat, although for obvious reasons
21      one would not expect a rare species to appear in large numbers in a major incident.  The examples
22      of rare or declining species given for entity 2 also  fit this category.
23            Because these incidents are usually evaluated on an individual basis, the actual degree of
24      ecosystem impact may not be known. However, in at least some cases, it seems likely that a
25      stressor causing such devastating effects on large plants or animals will also have some wider
26      ecosystem effects.
27            This entity targets regional populations for  Agencywide consideration, similar to the
28      National Goals Project (U.S. EPA, 1996b), which also mentions regional populations of native
29      species.  However, specific programs and projects may go beyond this.
30
31      4.2.2.  Whole Ecosystems
32            This category includes ecosystems as a whole.  Associated goals are to maintain their
33      geographic extent or special character or to preserve  their value for providing certain services to
34      humans or other ecosystems.  The goals focus on  the movement of energy and matter through the
35      ecosystem, in processes such as nutrient cycling, rather than on specific components.
36
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 1      Entity 4:  Ecosystem Functions and Services
 2             Ecosystem functions result from ecosystem processes (see appendix A). Ecosystem
 3      services are those ecosystem functions perceived as beneficial to society. Both are included in this
 4      category because some functions that are not immediately perceived as beneficial may turn out to
 5      be of great ecological value and, ultimately, of indirect societal value,  as well.
 6            Services and functions of wetlands are discussed in the next section. Services and
 7      functions of other ecosystems to consider are nutrient cycling (all ecosystems), maintenance of air
 8      quality by absorbing and breaking down pollutants (many ecosystems), climate control (forests
 9      and others), flood control (stream corridors), generation and maintenance of soils (many heavily
10      vegetated terrestrial ecosystems), pest and disease control (prairies), pollination (prairies), and
11      provision of biodiversity (many ecosystems, and also diversity in ecosystem types).
12            Although few specific functions are mentioned in the laws reviewed in chapter 2, many
13      laws mention types of ecosystems and/or the interactions of ecosystem components.
14            The value of entities in this category may not always be appreciated. However, the value
15      of services is  increasingly being recognized by the public, as illustrated by the new understanding
16      of wetlands.  In addition to wetlands, ecosystems  such as forests, stream corridors, and many
17      aquatic ecosystems are targeted for protection by law or by Federal and local protection projects.
18      The service most often mentioned in these projects is biodiversity, but others such as flood
19      control are also mentioned.
20            Some ecosystems are rare or disappearing.  Those considered endangered are included in
21      entity 6.
22            Many functions of ecosystems have great ecological value. By, for example, helping to
23      provide clean air and water, they benefit other ecosystems, as well as benefiting humans directly.
24      Ultimately, the continued existence of all valued components depends on the continuation of
25      critical functions. Their benefit to  human welfare is greater than is yet commonly recognized. As
26      Westman (1977) described these benefits, ecosystem services "maintain clean air, pure water, a
27      green earth, and  a balance of creatures:  the functions that enable humans to obtain the food, fiber,
28      energy, and other material needs for survival."
29
30      Entity 5:  Wetlands and Stream Corridors
31            This entity includes the protection of wetland and stream corridor extent and functions.
32      Some functions to consider (U.S. EPA, 1990b) are:
33            •   Water-supply services
34            •   Floodwater regulation
35            •    Shoreline anchoring and erosion control
36            •   Water purification
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 1            •   Habitat provision for biodiversity.
 2            Most of the discussion below is about wetlands. Stream corridors are included with
 3      wetlands because many of their functions are similar (e.g., flood and erosion control) and because
 4      they are similarly located in many cases.
 5            Protection of wetlands is mandated by the Clean Water Act and other laws, as discussed in
 6      chapter 2.
 7            The societal value of wetlands has been increasingly recognized over the past couple of
 8      decades.  No longer are  they thought of as mosquito-ridden swamps; instead, they are valued for
 9      the various functions and services they provide.  As pointed out in chapter 2, wetlands are
10      considered by many Agency programs and local environmental protection projects.
11            Wetlands are under threat in that they have been declining for many years.  An estimated 53
12      percent of wetlands in the continental United States have been lost since colonial times (U.S.
13      EPA, 1996b).
14            Wetlands have high ecological value,  for many of the same reasons cited in the previous
15      section on ecosystem functions and services. In particular, wetlands help maintain biodiversity.
16      Almost 35 percent of all rare and endangered animal species are either located in wetland areas or
17      depend on them, even though wetlands constitute only about 5 percent of the Nation's lands
18      (Conservation Foundation, 1988).
19
20      4.2.3.  Special Places and Species
21            One category specifically mentioned in Managing Ecological Risks at EPA (U.S. EPA,
22      1994a) is specific geographic places of special interest because of their unique character or
23      contribution to America's natural resources.  Their importance is reflected both in the laws, which
24      set aside  many of these places to be maintained as important natural areas, and in many local or
25      community-based projects, which target rare or unique natural areas for special consideration in
26      environmental protection efforts.
27            There are at least  two ways in which risk managers can afford special treatment to certain
28      places. First, they can be given high priority for ecosystem protection.  Second, they can be
29      considered for a higher degree  of protection than other places or species.
30            The special character of the place needs to be carefully and explicitly defined so that it is
31      clear just what is being protected.  Many places are considered special because they provide
32      habitat for rare species or for biological diversity (e.g., National Wildlife Refuges). Others are
33      noted for characteristics of the ecosystem as a whole (endangered ecosystems). Still others are
34      valued for their aesthetic qualities or because they are among the few relatively pristine
35      ecosystems of a particular type (e.g., National Wilderness Areas).

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 1            Similarly, certain species may be considered special for different reasons. Endangered
 2      species are the best-known example, but others may be singled out for religious or cultural
 3      reasons or because of their ecological importance.
 4
 5      Entity 6:  Endangered Ecosystems
 6            Endangered ecosystems are among those places most urgently in need of special
 7      protection. They include ecosystems listed by the National Biological Survey (NBS) as critically
 8      endangered, endangered, or threatened (Noss et al, 1995).  Some of these listings are fairly
 9      generic (old-growth and other virgin forests in the United States, except Alaska); others are
10      geographically very specific (Hempstead Plains grasslands on Long Island, New York). The list
11      includes 30 critically endangered, 58 endangered, and more than 38 threatened ecosystems.
12            Many portions of these ecosystems are protected under the Endangered Species Act as
13      habitat for listed species. For example, the NBS report listed more than 100 candidate, proposed,
14      or listed species associated with just one of the listed ecosystems (long-leaf pine or wiregrass
15      communities in the southern coastal plain).
16            There is little question about the rarity of these ecosystems. The NBS report estimates that
17      from 70 percent to 99.9 percent of the listed ecosystems have been lost since European
18      settlement. Many are now represented only in very small areas. These areas are ecologically
19      important for the contribution to biodiversity.  They support  not only endangered species, but also
20      those that are rare, declining, and unlikely to survive without the specific types of ecosystems
21      upon which they depend.
22            Federal laws and past actions at both the Federal and community levels show that a high
23      value is placed on protecting rare natural areas for future generations.  Protecting ecosystems is
24      also an efficient way of preserving highly valued species.
25
26      Entity 7:  Endangered Species and Their Habitats
27            Included in this entity are all species  that are federally  listed as endangered or threatened
28      and their habitats.  Protection of these species is mandated under the Endangered Species Act.
29            Endangered species have been the focus of many Federal and local environmental
30      protection efforts.  This is one of the entities that nearly every EPA program already includes in
31      its activities.  From this and its inclusion in  Federal law, it can be inferred to be of high societal
32      value. Every species listed here is both rare and under threat; this is the qualification for inclusion.
33            By the time a species has made the Federal endangered or threatened list, the population is
34      so small that its role in the ecosystem may have been largely lost. However, biodiversity, which is
35      the goal of endangered species protection, has great ecological importance.
36
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 1      Entity 8:  Other Places of High Ecological or Societal Value, as Appropriate
 2            Many places that are not considered endangered or threatened are of special importance
 3      nonetheless. These should be considered by decision makers as appropriate to the program or
 4      project being considered.  They may be particularly important for CBEP initiatives. Although we
 5      do not here propose a definitive list of places for Agencywide use, there are examples to consider.
 6            A nationwide list of special places has already been compiled in Targeting Priority Natural
 7      Resource Areas: A Review of National Lists (U.S. EPA, 199 la).  A summary of this list is
 8      provided in the appendix E.
 9            Some programs provide special consideration for special places. For example, Superfund
10      has regulations assigning point values, used for prioritization, to certain sensitive environments,
11      such as marine sanctuaries and national parks. Both of these are included in the Review of
12      National Lists (U.S. EPA, 1991a). Another example comes from EPA's Office of Air:  The Great
13      Waters Program conducts special monitoring and evaluation for the Great Lakes, Chesapeake
14      Bay, and other bodies of water designated by Congress.
15            Some of these nonendangered special places are mandated for special consideration in EPA
16      legislation, such as the Great Waters mentioned above. Many others have been set aside by
17      Congress, such as national parks and national wildlife refuges.  Some EPA programs, such as the
18      Air Office and Superfund mentioned above, already give special consideration to specific places,
19      and they are considered by many local projects. This attention indicates the high societal value of
20      these places.
21            Although most of these places are not considered endangered or threatened ecosystems,
22      many are considered rare and under some threat from development or pollution. The Nature
23      Conservancy's "Last Great Places" provides examples of these. They are listed in the Review of
24      National Lists (U.S. EPA, 1991a).
25            Many places are considered to have great ecological importance.  Ecological importance
26      was the basis for the Review of National Lists (U.S. EPA, 1991 a).
27            To direct assessment and action for a program or project, these entities should lead to
28      specific objectives. The next chapter provides some advice  on how to go about setting these
29      objectives.
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 1                                      5. PRACTICAL ADVICE
 2
 3            This chapter describes how the ecological entities and criteria recommended in the last
 4      chapter can be used in conjunction with ecological risk assessment, risk-based national program
 5      decisions, and CBEP.  In either case, decisions makers have the important task of setting specific
 6      measurable objectives.  The processes outlined in this chapter are focused on that task. A detailed
 7      example is provided to illustrate the processes.
 8
 9      5.1.  ECOLOGICAL RISK ASSESSMENT
10            This section explores the relationship between risk assessment and the entities to be
11      protected.  We use definitions from EPA's Framework for Ecological Risk Assessment
12      (Framework, U.S. EPA, 1992a) and the Proposed Guidelines for Ecological Risk Assessment
13      (Guidelines, U.S. EPA,  1996c). Terms in the Guidelines and Framework are defined, and
14      examples are given to illustrate the terms.
15            Ecological risk assessment is a process that evaluates the likelihood that adverse ecological
16      effects may occur or are occurring as a result of exposure to one or more stressors.  The risk may
17      be expressed in a variety of ways,  both quantitative and qualitative.  The Framework sets out the
18      basic structure and principles of ecological risk assessment at EPA.
19            Ecological risk assessment can evaluate risk to a single species, as well as to natural
20      communities and whole ecosystems. Stressors can be single or multiple chemicals, biological
21      agents, or physical  disturbance.  A risk assessment may be initiated because of a particular
22      stressor (e.g., a chemical or biological pesticide) or source of stressors (e.g., a toxic waste site),
23      by some observed ecological effects (e.g., large bird or fish die-offs), or by a valued resource that
24      seems to be in danger of deteriorating.
25            Although ecological risk assessment is not always required for decision making, it can help
26      identify environmental problems, establish priorities, and provide a scientific basis for decisions.
27      The process can identify existing risks or forecast the risk of stressors not yet present in the
28      environment.
29            Risk management evaluates the advantages and disadvantages of a particular action in the
30      context of such factors as risk assessment information, regulatory  setting,  practicality, political
31      climate, resource constraints, and the manager's own experience.  Both the Framework and
32      Guidelines stress the involvement  of managers to ensure that the manager understands the intent
33      of the analysis and that the final assessment provides information that truly supports the decision
34      to be made. Risk managers can get the most out of risk assessment and forge a good working
35      relationship with risk assessors by actively participating in the planning stages.
36
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 1            At EPA, ecological risk assessments may support management decisions by, for example,
 2      predicting the risks of a new chemical intended for use in manufacturing, evaluating the risks
 3      associated with pesticides that are intentionally released into the environment, weighing the risks
 4      of multiple stressors in watersheds, evaluating the need for air quality standards, or determining
 5      risks of chemicals at hazardous waste sites. Because some people define "risk assessment" more
 6      narrowly than we do here, it is possible that some Agency decision makers use risk assessment in
 7      some form as a part of their decision making without recognizing it as such.  For example, a
 8      qualitative evaluation of the likely effects of an exotic species or continued residential
 9      development on a lake ecosystem can be a risk assessment even though it is neither quantitative
10      nor dealing with a specific chemical.
11            The potential complexities of an ecological risk assessment demand careful planning for its
12      design. Many of the complexities differ from those of human-health assessments and include
13      deciding what  species, populations, ecosystems, or functions are most relevant; species
14      interactions and indirect effects; and the significance of nonchemical stressors.
15            The risk assessment process outlined in the Framework provides a way to develop a
16      logical, sequential approach to solving this complex problem.
17            The parts of the process most relevant to this discussion document are planning and
18      problem formulation, which are the first phases of ecological risk assessment and establish the
19      goals, objectives, breadth, and focus of the assessment.  They are systematic planning steps that
20      identify the major factors to be considered in a particular assessment, and they are linked to the
21      regulatory and policy context of the assessment.
22            The most important part of the risk manager's job at these stages is to set specific
23      objectives for the  program.  The next section provides some concrete steps to accomplish this by
24      using the entities listed in the previous chapter.
25
26      5.2.  APPLICATION TO NATIONAL PROGRAMS' RISK-BASED DECISIONS
27            Most EPA  programs  make at least some risk management decisions at a national level.
28      These decisions focus on criteria, licensing, cleanup, or other regulatory decisions made by EPA,
29      although they may include partnerships or community involvement.  Regardless of the focus, the
30      process for these programs is generally laid out in the Framework.
31            Planning and problem formulation can be done on a  case-by-case basis, but it is usually
32      more practical for national programs to plan generically and develop  standardized procedures and
33      methods for dealing with individual cases. The national program needs to consider both what is
34      appropriate to the program's functions (e.g., clean up Superfund sites, set water quality criteria)
35      and their ecological goals and objectives. There is usually no question about the program's

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 1      function, but objectives more specific than "protect the environment" usually require considerable
 2      thought. Valued ecological entities are considered during this problem formulation phase.
 3            The following steps detail one way to plan and formulate the problem of a risk assessment
 4      of national scope.
 5
 6      1. Identify the Problem: Basically, this means stating why you are doing this assessment. Is it
 7      based on a stressor (e.g., for a pesticide registration), a source (e.g., a Superfund site), or a
 8      resource (e.g., the Great Waters Program of the Air Office)? Under what mandates or restrictions
 9      do you operate?
10
11      2. Review the Categories and Particular Ecological Entities:  These are listed in chapter 4
12      What entities on this proposed list of common entities, or other entities suggested by the
13      categories, are susceptible to your stressor or otherwise relevant to your problem? This step
14      needs to be done with the help of the risk assessors,  who can provide information on susceptibility
15      to the stressor.  At the conclusion of this step, you will have a list of ecological entities that are
16      relevant to your problem.
17
18      3. Meet With  the Risk Assessors and the Public: The purpose of this step is to determine the
19      societal value and ecological relevance of each of the entities you identified in step 2. The risk
20      assessors are responsible for determining the ecological relevance and you (and the public or your
21      partners, as appropriate) are responsible for determining the societal value. Although you can
22      meet separately with the public and the risk assessors, it is beneficial to meet with them together
23      so that the connection between societal value and ecological relevance can be discussed. For
24      example, in the Waquoit Bay watershed assessment (discussed later in this chapter), it was clear
25      that scallops and fish had high societal value.  Eel grass was not initially perceived to be of such
26      great value, but its importance to the development of the scallops and fish led to its being included
27      in the risk assessment.  A meeting with risk managers, assessors, and the interested public
28      facilitates discussion of such connections.
29
30      4. Set Environmental Protection Goals and Objectives:  Using the information from the first
31      three steps, set  your environmental goals and  objectives for the assessment.  As illustrated in
32      tables 4-1 and 5-1, these objectives should include what you are  doing (e.g.,  protecting,
33      maintaining, restoring), the resource or entity under  consideration (general or specific animals,
34      plants, or ecosystems), and the desired state for that entity (e.g., maintain a population at its
35      current level, restore a function to a specific past state, no unreasonable risk).  Although the

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 1      "desired state" implies a level of protection, the examples show that this need not be quantitative
 2      or even based on risk to ecological entities alone. The pesticide example of avoiding
 3      unreasonable risk (discussed below) is one that is based on balancing the risk against the benefits
 4      that pesticide use  provides to agriculture.  While you are setting objectives, consider how to
 5      incorporate ecosystem integrity.  Can you take a longer view?  Be more geographically
 6      expansive? Specifically include sustainability? It is important to write the objective as explicitly
 7      as possible, even if you believe your program has been working toward  this objective for many
 8      years.  Sometimes things are not as clear as they seem; for example, is the program really
 9      concerned with the entire aquatic community? Or are fish really the concerns and the other
10      measures important because they affect fish?  If the objectives are specific enough, the remaining
11      steps can be completed by the risk assessors without the close involvement of risk managers.
12      However, it is useful for all concerned, including risk managers, to review and understand each of
13      the steps listed below.
14
15      5. Set Assessment Endpoints:  As defined in the glossary, an assessment endpoint is some
16      particular attribute of the ecological entity that will be the focus of the protection effort.
17      Assessment endpoints should be susceptible to the  stressor, have societal value, and have
18      ecological relevance (U.S. EPA, 1992a). These three criteria were explicitly considered in steps
19      1-3.  If the objectives are specific, they will contain enough guidance on societal value so that the
20      risk assessors can complete this step without further guidance from risk managers.
21
22      6. Review and Understand the Conceptual Model: Work through the conceptual model (see
23      glossary for definition)  for the assessment with the risk assessors.  Make sure that there is general
24      understanding about the relationship between the objectives, the assessment endpoints, and the
25      measures of effect. Do some changes need to be made to ensure that the objectives are
26      addressed? This is also a good time to explicitly identify all of the regulatory questions, the
27      degree of certainty required, and other issues important to the assessment (see U.S. EPA, 1996c,
28      for more on this step).
29
30      7. Document the Analysis Plan: The analysis plan delineates the assessment design.  This
31      includes identifying gaps and limitations.  Are there aspects (entities, sources, or stressors)
32      important to the goal that are impossible to address properly for scientific or other reasons? If so,
33      these barriers should be explicitly discussed in all documentation of the process and a plan for
34      overcoming them should be implemented.  The documentation should include explicit
35      relationships between the overall goal, the objectives, the assessment endpoints, the conceptual
36      model, and the analysis plan.
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 1      5.2.1. Some Examples
 2            Table 5-1 provides some brief
 3      examples. One of these (Waquoit Bay) is
 4      described in more detail in section 5.4.
 5            In table 5-1, the first column simply
 6      identifies the source of the example, a national
 7      or international program in some cases, a
 8      special local or regional project in others.
 9      The second column identifies the ecological
10      entity to be protected in this example. Each
11      of these entities is included in one or more of
12      the eight entities listed in chapter 4, but most
13      of the entities in the table are more specific
14      than the listings in chapter 4. The entity listed
15      may be only one of many entities for a given
16      program or project. These examples are for
17      illustration only; no attempt is made to
18      describe any program in its entirety.  The next
19      column is a short summary of the objective     ^^^^^^^^^^^^^^^^^^^^^^^^^^^m
20      for that particular entity, as implied or stated
21      by the program or project. The assessment endpoints describe the particular attributes of the
22      entity that is to be protected (see glossary), and are based on the objective. Finally, the measures
23      of effect are the measures used to evaluate the condition or response of the assessment endpoint.
24      All of the just-mentioned terms are defined in the glossary.
25
26      5.3. CBEP PROJECTS
27            The CBEP approach is introduced in chapter 2. CBEP  projects are usually driven not by a
28      particular stressor or medium, but by the valued resources in a particular area.  These projects
29      involve working in partnership with local and State organizations and working closely with the
30      public.
31            The following steps detail one way to plan a CBEP risk assessment.
32
33      1. Identify the Problem: This includes clearly identifying the sources of information (e.g.,
34      citizen complaints, ambient monitoring results) that make  the Agency aware of the potential
35      problem.
             Iteration of Steps

       The steps listed for both national
programs and CBEP are suggestions.
Although some steps clearly need to come
before others, there is much flexibility in their
order.

       In addition, some iteration is usually
necessary. For example, in the national
program case, risk assessors must have at
least a general conceptual model in mind
before they can say which entities may be
susceptible to a stressor in step 2.

       Later, in step 6, they work out the
model more explicitly. At this point, they may
discover something that was not considered in
step 2 and need to revisit that step.  In CBEP,
the interested public may change during the
course of the planning stage, requiring an
early step to be revisited.
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      Table 5-1. Some Examples of Ecological Entities and Assessment Endpoints

Source of example
Water Quality
Criteria
(U.S. EPA, 1996c)



U.S. pesticide
registration3



EPA wetlands
program
Superfund (one of
several entities)


Great Lakes
initiative (Ryder and
Edwards, 1985)

Lake Washington
(Edmundson, 1991)

Waquoit Bay
watershed3
(U.S. EPA, 1996d)





Ecological entity
Aquatic
communities




North American
native and migratory
birds


Wetlands and their
services
Fish populations



Lake Superior,
oligotrophicb lake,
lake trout

Clarity and
appearance of Lake
Washington
Scallops and their
estuarine ecosystems





Objective
for entity
Protect 95 percent of
aquatic species




No unreasonable
effects on bird
survival or
maintenance of bird
populations
No net loss of
wetlands
Minimize
ecologically
significant impacts
on fish
Maintain as
oligotrophic lake
with lake trout as top
predator
Restore, maintain
water clarity

Reestablish a self-
sustaining scallop
population that can
support a viable
fishery


Assessment
endpoints
Survival,
development, and
reproduction offish,
aquatic
invertebrates, and
plants
Survival,
development, and
reproduction of
birds

Extent of wetland

Survival and
reproduction offish


Lake trout
abundance


Depth of visibility


Abundance and
distribution of eel
grass habitat;
diversity,
abundance, and
distribution of
benthic invertebrates

Measures of effect
Lab data on
mortality and
reproduction



Lab data on
mortality and
reproduction; field
observations of bird
kills
Extent of wetland
plants and soil
Lab data on
mortality growth and
reproduction

(partial list) Average
age and size;
percentage of fishing
harvest
Depth a white disc
can be seen

Eel grass (percent
cover and
distribution); benthic
index



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 Table 5-1. Some Examples of Ecological Entities and Assessment Endpoints (Continued)
Source of example
U.S. Forest Service
northern goshawk
guidelines (CEQ,
1993)
European Pesticide
Registration (one of
several entities)
Hubbard Brook
National
Experimental Forest
(N.Y. Times, 1996)
Ecological entity
Northern goshawk
and its old- growth
habitat
Soil communities
Forest plants
Objective
for entity
Sustain goshawk
population and
benefit old-growth
habitat
Protect soil
community to
maintain soil fertility
Maintain plant
abundance
Assessment
endpoints
Goshawk abundance
and several habitat
attributes
Survival and
reproduction of soil
invertebrates and
plants
Plant abundance,
soil nutrients
Measures of effect
Measures of
abundance and
habitat for goshawks
and prey
Lab data on
mortality and
reproduction
Total plant biomass,
soil calcium level
 aThe entity described is only one of several entities targeted by the program.
 bAn oligotrophic lake is one with low nutrient and high oxygen levels.
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 1      2.  Form Partnerships; Bring in the Public:  First, contact State and local agencies and involve
 2      them in the next decision-making step.  Then, identify and contact all stakeholders who may
 3      become a part of the CBEP effort.  Finally, convene a meeting for all to explain and discuss the
 4      problem and the CBEP process.
 5
 6      3.  Establish the Boundaries:  What are the geographic limits for the project? These may be
 7      political or natural boundaries.  They need to be broad enough to encompass all influential factors
 8      but narrow enough to retain the focus of the effort.
 9
10      4.  Inventory the Resources: What are the ecosystems within the area? What makes them
11      unique? What is the connection between organisms?  Where is the energy flow?  This results in a
12      list of potential entities. The proposed list in chapter 4 can be useful in making sure that
13      everything is considered, but the list for the individual project must include the resources in the
14      area concerned and may go well beyond what is listed in chapter 4.
15
16      5.  List the Local Values: The values and criteria that are most important to a community-based
17      project are those of the people in the area. However, the organizers should help the public
18      consider the variety of resources that might be important to them, as well as understand the
19      connections between the resources they value and others that may not be publicly recognized
20      (e.g., the eel grass in the Waquoit Bay project).
21
22      6.  Establish Goals and Objectives:  Goals and objectives should be based on the information
23      gathered  in steps 4  and 5 and should reflect the societal values of the partners and public.
24      Objectives should be explicit enough so that it will be possible to devise measures of them that
25      retain the societal values.
26
27      7.  Plan Analysis:  This can follow the risk paradigm as listed in steps 5-7 for national programs
28      or some other process.  In either case, the relationship between the goals and objectives and the
29      results  of the  analyses must be clear, unambiguous, and explicitly documented. More detailed
30      guidance for conducting these projects is available from the comparative-risk projects (U.S. EPA,
31      1993).  Soon there  will also be guidance available from watershed case studies, regional
32      initiatives, and the CBEP Handbook being prepared by the Office of Sustainable Ecosystems and
33      Communities in the Office of Policy, Planning, and Evaluation.
34
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 1      5.4. WAQUOITBAY
 2            The Waquoit Bay Watershed Ecological Risk Assessment Case Study is one of five
 3      watershed case studies sponsored jointly by the Office of Water and the Office of Research and
 4      Development. These case studies are designed to demonstrate the ecological risk assessment
 5      process in a community setting; therefore, the Waquoit Bay experience combines many features of
 6      both the risk-based national-program approach and CBEP.  A brief summary of Waquoit Bay
 7      planning and problem formulation is given here.  More detail is available in the case-study report
 8      (U.S. EPA, 1996d).
 9
10      1.  The Problem (corresponds to step 1  for both the national programs and CBEP):  Waquoit
11      Bay, on Cape Cod, has long been prized  for its natural beauty and recreational value and as a
12      habitat for a diversity of plant and animal life.  Lately it has been under heavy pressure from
13      residential development and recreational  industries.  Fish kills are occurring;  scallops no longer
14      inhabit the bay; the groundwater aquifer underlying the watershed is contaminated.  There is a
15      high level of public concern. Several Federal and State government agencies are studying or
16      working in the area.
17
18      2.  Relevant Ecological Entities (corresponds to step 2 for national programs and steps 2-4 for
19      CBEP): A State-Federal group, including EPA's Region I,  called the Waquoit Bay National
20      Estuarine Research Reserve initiated the  study and established risk management and risk
21      assessment teams of individuals from many interested organizations.  The boundaries of the
22      watershed and the inventory of potentially threatened ecological resources were summarized from
23      existing information. The summary emphasizes the diversity of species that are or have been
24      supported by the watershed's varied surface water systems.
25
26      3.  Goals and Objectives Based on Societal Values (covers steps 3 and 4 for national programs
27      and steps 5 and 6 for CBEP): The first step in establishing a goal was a public meeting at which
28      people were asked for their input on what was valuable to the public about the Waquoit Bay
29      watershed. A wide range of amenities were suggested, including scenic views, recreation, and
30      open space. Among those that would be considered ecological (i.e., they include some nonhuman
31      biological component), aquatic and wildlife habitats were the most frequently mentioned.
32      Examples were indigenous wildlife, flyway integrity, and fish and shellfish.
33            The following overall goal was based on the results of this meeting:
34
35            "Reestablish and maintain water quality and habitat conditions in Waquoit Bay and
36            associated wetlands, freshwater rivers, and ponds to (1) support diverse, self-sustaining
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 1            commercial, recreational, and native fish and shellfish populations and (2) reverse ongoing
 2            degradation of ecological resources in the watershed." (U.S. EPA, 1996d)
 3
 4      Note that this goal explicitly includes sustainability.
 5            Because this goal by itself was considered too general to serve as a basis for setting
 6      assessment endpoints, 10 more specific objectives were also established. These were based on the
 7      goals of 14 organizations working in the area.  Four of these objectives dealt with estuarine areas,
 8      three with freshwater areas, and three with both. Most of the objectives targeted entities that
 9      would be included in common ecological entity 1 from chapter 4, "Aquatic Communities in Lakes,
10      Streams, and Estuaries." An example is  one of those concerning estuarine areas: "Reestablish a
11      self-sustaining scallop population that can support  a viable fishery."
12            The entities that form the focus of these objectives are evidently based on concern for
13      particular groups of plants and animals, but the objectives do not focus on these alone. Most
14      types of aquatic ecosystems are included in the objectives, as are wetlands (for the water-
15      dependent wildlife).  Special places are represented by the endangered species habitat and, indeed,
16      by the bay itself.
17            The risk assessment team developed these more specific objectives, which were then
18      reviewed and approved by the risk managers.
19
20      4. Assessment Endpoints (corresponds to step 5  for national programs and step 7 for CBEP):
21      Eight assessment endpoints were selected based on three criteria:  how well they represent the
22      management goal and objectives (societal value), how well they represent ecological integrity in
23      the ecosystem (ecological relevance), and how likely they are to be exposed to and adversely
24      affected by known stressors (susceptibility).
25            The risk assessment team for Waquoit Bay selected assessment endpoints using the 10
26      specific objectives discussed above to guide them on what was of societal value; therefore, the
27      risk management team did not need to be so closely involved with this step as  with previous steps.
28      Ecological relevance and susceptibility were evaluated based on available information on the
29      ecosystems and known and predicted stressors. The Waquoit Bay problem formulation report
30      provides a complete justification of each of the eight assessment endpoints in terms of these three
31      criteria.
32            The assessment endpoints can be illustrated  by the two that relate most  directly to the
33      "reestablish scallops" objective stated above.  They are the abundance and distribution of eel grass
34      habitat and the diversity, abundance, and distribution of clams and other benthic invertebrates.
35      Although scallops are the focus, they were not explicitly made  an assessment endpoint.  Their

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 1      numbers fluctuate so widely in nature that their absence cannot be interpreted to mean that their
 2      environmental requirements are not being met.
 3
 4      5.  Conceptual Model (corresponds to step 6 for national programs and step 8 for CBEP): The
 5      conceptual model for Waquoit Bay describes the relationship of various sources and stressors to
 6      each of the eight assessment endpoints. It also indicates what measures of effect will be used  for
 7      each assessment endpoint.
 8            For example, the abundance and distribution of eel grass can be affected by toxic
 9      chemicals, disease, nutrients, suspended sediments, and physical alteration of its habitat.  These
10      stressors in turn can come from various sources.  For example, toxic chemicals are released from
11      industrial,  agricultural, and residential sources.
12            The Waquoit Bay problem formulation diagrams and discusses the overall relationship of
13      sources, stressors, assessment endpoints,  and  measures. It also provides detailed diagrams and
14      discussions for some of the assessment endpoints; others are under development (U.S. EPA,
15      1996d).
16
17      6.  Analysis Plan, Including Limitations (corresponds to step 7 for national programs and step
18      9 for CBEP): The Waquoit Bay risk assessment will not be able to assess most of the risk paths
19      laid out in the conceptual model because the resources for the analysis are extremely limited.  The
20      analysis will  concentrate on nutrient loading, which is thought to be the most important stressor
21      for most of the assessment endpoints.
22            The Waquoit Bay problem formulation provides a thorough justification of this choice.  It
23      also gives  considerable detail about the stressors and risk hypotheses.  These will not be included
24      in the analysis plan but should be completed at some time.
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 1                                          6.  NEXT STEPS
 2
 3            Since it was formed after the first Earth Day in 1970, EPA has made a great deal of
 4      progress in addressing environmental concerns.  As we have discussed, EPA initially focused most
 5      of its efforts on protecting human health, but we are expanding our efforts to protect ecological
 6      concerns.  Many EPA decision makers have made an effort to consider ecological concerns in the
 7      decision-making process and would like to expand their efforts. Others have not considered
 8      ecological concerns in the past, but are interested in expanding their decision making.  We support
 9      the efforts of all of these risk managers and hope that this document will not only initiate
10      discussion on the topic, but encourage more managers to consider ecological issues.
11            In this discussion document, we have reviewed Federal laws and environmental protection
12      actions to determine common values and trends, encouraged consideration of ecosystem integrity,
13      made recommendations for decisions makers who are setting ecological objectives for their
14      programs or projects, and proposed processes for setting those objectives. We hope that the
15      recommendations will lead to agreement on the entities that should be considered in all Agency
16      activities and on other principles of ecological protection.
17            A common list of entities and ecological principles for the entire Agency can provide many
18      advantages: It can promote consistency among  our programs, make our actions more
19      understandable to the public, provide structure for those programs that do not yet have much
20      experience with ecological risk, aid in research planning, and focus risk-communication efforts.
21            A workshop held in July 1996 concluded  that one of the most important barriers to
22      including ecological endpoints in decisions is the lack of a common set of Agency ecological goals
23      and objectives. The Agency decision makers who participated in this workshop proposed that the
24      Agency develop a set of specific ecological objectives including not only the entities to be
25      protected,  but also the aspects of those entities and the degree of protection desired (U.S. EPA,
26      1996e).
27            Even before the Agency agrees on the common ecological objectives, we believe the
28      information and suggestions in this document can be of immediate use to Agency decision makers.
29      In particular, we urge that Agency decision makers set specific objectives for each  program or
30      project by:
31            •   Following processes similar to those  suggested in chapter 5
32            •   Using the common entities in chapter 4 as a checklist
33            •   Incorporating ecological integrity as  suggested at the end of chapter 3
34            Above  all, we hope that Agency decision  makers will use these suggestions and
35      recommendations and share their experiences with other offices, including the Office of Research
36      and Development and the Office of Policy, Planning, and Evaluation. Only by learning from
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1      actual experience can we develop the processes and principles that will provide a sound and useful
2      EPA approach for the protection of valued ecological entities.
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 1                                             GLOSSARY
 2
 3      Assessment Endpoint: The Framework (U.S. EPA, 1992a) defines an assessment endpoint as
 4      "an explicit expression of the environmental value to be protected." Thus, assessment endpoints
 5      are those attributes of entities that are the focus of protection.  They are the parameters by which
 6      success is measured.  They should be theoretically measurable, although it may not be practical to
 7      measure them directly. Examples of assessment endpoints are shown in table 5-1.
 8
 9      Community:  This term has two meanings at EPA,  and it is used both ways in this document.
10      First, it is used to mean the human community, as in community-based environmental protection.
11      In this context, it means all the people who live in, work in, or visit an area. Second, it is used to
12      mean an ecological community,  that is, "an assemblage of populations of different species within
13      a specified location." The second definition is from U.S.  EPA (1996a).
14
15      Conceptual Model:  In problem formulation, a conceptual model is a written description and
16      visual representation of predicted responses by ecological components to stressors to which they
17      are exposed.  It includes ecosystem processes that influence these responses.  Conceptual models
18      developed  for ecological risk assessments require three basic elements:  stressor, exposure, and
19      predicted effect on an ecological entity.  Depending on why a risk assessment is initiated, one or
20      more of these three elements is known at the outset; the unknown elements must be  identified and
21      characterized (based on discussion in U.S. EPA, 1996c).
22
23      Entity (also ecological entity or valued ecological entity):  This is the valued resource to be
24      protected.  It can be a species, a group of species, an ecosystem function or characteristic, or a
25      specific place or habitat.2 Entity is a more general concept than the assessment endpoint (see
26      above) in that it only specifies the valued resource, not particular attributes of the valued
27      resource. Thus, native fish are an ecological entity,  and their survival and reproduction may be
28      assessment endpoints. Examples of entities are shown in tables 4-1 and 5-1.
29
30      Measures: There are three categories of measures. Measures of effect evaluate the response of
31      the assessment endpoint when exposed to a stressor (formerly measurement endpoints).
32      Measures of exposure describe how exposure may be occurring, including how a stressor moves
               2This definition is based on the definition provided in the Guidelines (U.S. EPA, 1996c) but differs from it slightly. The
        definition given here includes places as entities, whereas that given in the Guidelines would not describe a place such as a national
        park as an entity in itself, but as containing entities. This difference is mentioned here to avoid confusion among risk assessors who
        use both documents; it is not likely to make any difference to other readers.

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 1      through the environment and how it may co-occur with the assessment endpoint.  Measures of
 2      ecosystem and receptor characteristics portray the behavior and location of assessment
 3      endpoints, the distribution of a stressor, or the response of an assessment endpoint to the stressor.
 4      Two examples are water temperature and the age distribution of a population offish (U.S. EPA,
 5      1996c). Some measures are shown in table 5-1.
 6
 7      Objective: In this document, the term objective means an explicit statement of the desired state
 8      for the valued ecological entity (e.g., a viable fishery population). Thus,  an objective is a specific
 9      statement about what we would like to see happen with respect to the entity. The related term
10      goal is reserved here for more general aims, such as those expressed by most environmental
11      legislation (definition is based on and consistent with the discussion in U.S. EPA,  1996c).
12      Objectives need to be defined well  enough so that it is possible to measure progress toward them.
13      However, they do not have to be quantitative or based only on the risk to the valued resource.
14      For example, the Office of Pesticide Programs must weigh the risks of pesticides to human health
15      or entities against their benefits to agriculture and other use sectors.  The term no unreasonable
16      risk refers to any pesticidal risk that is not balanced or outweighed by the benefits of the pesticide
17      use.  Examples of objectives are shown in tables 4-1  and 5-1.
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 1       BIBLIOGRAPHY
 2
 3       Ad Hoc Committee on Ecosystem Management.  (1995)  The scientific basis for ecosystem management.  Washington,
 4       DC:  Ecological Society of America.
 5
 6       Cairns, J. (1995) The case for ecosystem services as toxicological endpoints. Hum Ecol Risk Assess 1(3): 171-174.
 7
 8       Conservation Foundation. (1988) Protecting America's wetlands—an action agenda: The final report of the national
 9       wetlands policy forum. Washington, DC: The Conservation Foundation.
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11       Council on Environmental Quality (CEQ). (1993) Incorporating biodiversity considerations into environmental impact
12       analysis under the National Environmental Policy Act. Washington, DC:  Council on Environmental Quality.
13
14       Edmundson, WT. (1991) The uses of ecology: Lake Washington and beyond. Seattle, WA:  University of Washington
15       Press.
16
17       Florida Department of Environmental Protection.  (1995)  Toward ecosystem management.  Tallahassee, FL.
18
19       Interagency Ecosystem Management Task Force.  (1995)  The ecosystem approach: Healthy ecosystems and sustainable
20       economies: Vol I. Overview; Vol II. Implementation issues. NTIS PB95-265583 and PB95-265591.
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22       Kempton, W; Boster, JS; Hartley, JA. (1996) Environmental values in American culture. Cambridge, MA: MIT Press.
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24       Levin, SA; Kimball, KD.  (1984) New perspectives in ecotoxicology. Environ Manag 8(5):375-442.
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26       New York Times News Service. (1996) Effects of acid rain on a New Hampshire forest. New York Times News
27       Service, April 15, 1996.
28
29       Norse, E. (1990) Threats to biological diversity in U.S.  Report prepared for EPA by Industrial Economics. Contract
30       No. 68-W8-0038, Work Assignment 115.
31
32       Noss, RP; LaRoe, ET; Scott, JM. (1995) Endangered ecosystems of the United States: A preliminary  assessment of
33       loss and degradation. Washington, DC: U.S. Department of the Interior, National Biological Service.
34
35       Russell, EP. (1995)  Lost among the parts per billion: Ecological protection at the United States Environmental
36       Protection Agency 1971-1993. Prepared for Office of Policy, Planning, and Evaluation, U.S. Environmental Protection
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38
39       Ryder, RA; Edwards, CJ.  (1985) A conceptual approach for the application of biological indicators of ecosystem
40       quality in the Great Lakes Basin. Great Lakes Fishery Commission.
41
42       Sarasota Bay National Estuary Program.  (1992) Framework for action. Sarasota, FL.
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44       Ueland, KM; Monahan, R; Zimmerman, J; Hsu, A. (1995) The New Hampshire Resource Protection  Project. U.S.
45       Environmental Protection Agency, Region I.
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47       U.S. Department of the Interior.  (1994) Ecosystem management in the National Park Service: Discussion draft.  U.S.
48       Department of the Interior, Washington, DC.
49
50       U.S. Environmental Protection Agency. (1976)  Quality criteria for water. Washington, DC: U.S. Environmental
51       Protection Agency. NTIS PB-263943.
52
53       U.S. Environmental Protection Agency. (1980)  Water quality criteria. Federal Register 45:79318.
54
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 1       U.S. Environmental Protection Agency.  (1983) Compilation of Federal laws, treaties, and conventions pertaining to the
 2       environment: 1785-1978. Prepared by RG Clements for Office of Toxic Substances, Health and Environmental Review
 3       Division, Ecological Effects Branch, U.S. Environmental Protection Agency, Washington, DC.
 4
 5       U.S. Environmental Protection Agency.  (1990a) Ecosystem services and their valuation. Prepared by RCG/Hagler,
 6       Bailly, Inc., for Office of Policy, Planning, and Evaluation, U.S. Environmental Protection Agency, Washington, DC.
 7
 8       U.S. Environmental Protection Agency.  (1990b) Biological criteria: National program guidance for surface waters.
 9       U.S. Environmental Protection Agency, Washington, DC.  EPA/440/5-90/004.
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11       U.S. Environmental Protection Agency.  (1990c) Reducing risk: Setting priorities and strategies for environmental
12       protection.  Report of Science Advisory Board's Relative Risk Reduction Strategies Committee to William K. Reilly,
13       Administrator.
14
15       U.S. Environmental Protection Agency.  (1990d) Remand decision relating to diazinon in the matter of Ciba-Geigy
16       Corporation et al. FIFRA Docket Nos. 562 et esq. (July 16).
17
18       U.S. Environmental Protection Agency.  (1991a) Targeting priority natural resource areas: A review of national lists.
19       Prepared by Dynamac Corporation for Office of Policy, Planning, and Evaluation, U.S. Environmental Protection
20       Agency, Washington, DC.
21
22       U.S. Environmental Protection Agency.  (1991b) The watershed protection approach framework document. Office of
23       Wetlands, Oceans, and Watersheds, U.S. Environmental Protection Agency, Washington, DC.
24
25       U.S. Environmental Protection Agency.  (1992a) Framework for ecological risk assessment.  Risk Assessment Forum,
26       U.S. Environmental Protection Agency, Washington, DC.  EPA/630/R-92/001.
27
28       U.S. Environmental Protection Agency.  (1992b) Tribes at risk: The Wisconsin Tribes Comparative Risk Project.
29       EPA/230/R-92/017.
30
31       U.S. Environmental Protection Agency.  (1993) A guidebook to comparing risks and setting environmental priorities.
32       U.S. Environmental Protection Agency. EPA/230/b-93/003.
33
34       U.S. Environmental Protection Agency.  (1994a) Managing ecological risks at EPA: Issues and recommendations for
35       progress. Prepared by ME Troyer and MS Brody, U.S. Environmental Protection Agency. EPA/600/R-94/183.
36
37       U.S. Environmental Protection Agency.  (1994b) Toward a place-driven approach: The Edgewater consensus on an
38       EPA strategy for ecosystem protection. Ecosystem Protection Workgroup, U.S. Environmental Protection Agency,
39       Washington, DC, March 15, 1994 (draft).
40
41       U.S. Environmental Protection Agency.  (1995a) Ecological risk: A primer for risk managers. Prepared by Agency
42       Ecological Risk Communication Group, U.S. Environmental Protection Agency. EPA/734/R-95/001.
43
44       U.S. Environmental Protection Agency.  (1995b) A phase I inventory of current EPA efforts to protect ecosystems.
45       Prepared by D Norton, U.S. Environmental Protection Agency. EPA/841/S-95/001.
46
47       U.S. Environmental Protection Agency.  (1995c) Whole effluent toxicity: Guidelines establishing test procedures for the
48       analysis of pollution. Federal Register 60:53529.
49
50       U.S. Environmental Protection Agency.  (1996a) Community-based environmental protection: A citizen's handbook for
51       protecting ecosystems and communities. Office of Sustainable Ecosystems and Communities, U.S. Environmental
52       Protection Agency (in preparation).
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54       U.S. Environmental Protection Agency.  (1996b) Proposed environmental goals for America with milestones for 2005:
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 1       U.S. Environmental Protection Agency. (1996c) Proposed guidelines for ecological risk assessment (September 1996
 2       public review draft). Risk Assessment Forum, U.S. Environmental Protection Agency, Washington, DC.
 3
 4       U.S. Environmental Protection Agency. (1996d) Waquoit Bay watershed ecological risk assessment problem
 5       formulation.  U.S. Environmental Protection Agency (review draft).
 6
 7       U.S. Environmental Protection Agency. (1996e) Workshop on ecological priorities for EPA decision makers.
 8       Workshop report prepared by Friday System Services for National Center for Environmental Assessment, U.S.
 9       Environmental Protection Agency.
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11       University of Hawai'i at Manoa. (1992) A community-based environmental risk ranking: rural and Hawai'ian quality
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13
14       Westman, WE. (1977) How much are nature's services worth? Science 1977:960-964.
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                    APPENDICES
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 1                                           APPENDIX A
 2                                    ECOSYSTEM CONCEPTS
 3
 4             This appendix attempts to introduce a few basic ecosystem concepts in straightforward
 5      nontechnical language. It does not repeat definitions provided in the main document.
 6             Definitions are from appendix A of Ecosystem Management in the National Park Service:
 7      Discussion Draft (U.S. Department of the Interior, 1994).
 8             Ecosystems refer to a system formed by the interaction of a group of organisms and their
 9      environment.  An ecosystem may be a pond or the entire globe.  It can be natural or artificial. All
10      ecosystems are composed of components, structure, and processes. Components are plants,
11      animals, soil, air, and water. Structure refers to spatial and temporal distribution of those
12      components. For example, the location and extent of typical wetland plant species is an aspect of
13      the structure of a wetland.  Processes are the flow or cycling of energy, materials, and nutrients
14      through space and time. For example, plants use water, elementary nutrients, and sunlight to
15      produce material that, in turn, provides food for other species.
16             All components, structures, and processes have various functions that can change over
17      time and space, from one ecosystem to another, as well as within ecosystems.
18             Ecosystems occur in geographic arrangements.  Smaller ecosystems exist within larger
19      ones.  The scale selected and the boundaries used to define an ecosystem depend on the problem
20      or question to be addressed. Spatial scales range from microbial activity to the entire biosphere.
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1                                      APPENDIX B
2                EPA PAST CONSIDERATION OF CONCERNS BY CONCERN
3                         CATEGORY AND MAJOR EPA OFFICE
4
5           This section provides background information for section 2.2.1 (Past Review of EPA
6     Programs) in the main document. It is adapted from table D-7 of'Managing Ecological Risk at
7     EPA (U.S. EPA, 1994a).
      1/23/97                               A-3              DISCUS SIGN DOCUMENT

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^5
                                   Table B-l. Category I: Animals, Plants, and Their Habitats
Concern
Fish

Birds

Mammals

Amphibians
and reptiles
Wildlife
(unspecified)
Aquatic
invertebrates
Terrestrial
invertebrates
Plants

Unspecified
biota

Habitat


Wetlands

Comments/Specifics
"Individual" (avoid kills), populations, or species; sport, anadromous,
salmon, juvenile
"Individual" (avoid kills), population, or species; migratory or
resident; waterfowl, wading; suburban, special interest
"Individual" (avoid kills), population, or species; small or large;
predatory, plant-eating, fish-eating; terrestrial, aquatic; deer, bear
"Of special interest"

"Individual" (avoid kills), population, species; aquatic or terrestrial;
plant-eating, predatory
Populations, species, water column, benthic organisms or community
or community structure, commercial species
Bumblebees, honeybees, soil organisms

Aquatic, terrestrial; distribution and abundance; vegetative
succession, algae, crops
Aquatic, terrestrial species, or organisms or life, community structure,
community health, important organisms, commercially important
species, estuarine biota
Aquatic, terrestrial, remote, high quality, habitat corridors, breeding
areas, critical spawning area, habitat for unique communities, bird
habitat, fisheries, fish habitat
Maintain size, hydrology, habitat value, filtering and binding of
pollutants, wetland functions, special types, interconnected wetlands
A
A









A



A

A







N
N

N





N










N


N

P
P

P





P



P

P

P







R
R

R

R



R





R

R


R


R

S
S

S

S



S





S

S


S


S

T
T

T

T



T

T



T









W
w

W

w

w

w

w

w

w

w





w

>
U
HH
O
—
§
O
O
O

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                                Table B-l. Category I: Animals, Plants, and Their Habitats (Continued)
Concern
Other
ecosystem
types
Rare or
threatened
ecosystems
Ecosystem
functions
Comments/Specifics
Riparian habitat, streams, coastal barriers, subtidal habitats, upland
habitats, aquatic ecosystems, deltas, estuaries

Terrestrial, aquatic, sensitive, rare, exposed and valued, sage scrub


Function of aquatic or terrestrial community, function of plant
community, nutrient recycling
A








N
N


N




P






P

R
R





R

S
S


S




T








W
w


W




>
o
HH


O
      Key to major office areas and legislation: A: Air; N: NEPA; P: Pesticides; R: RCRA; S: Superfund; T: Toxics; W: Water.
o
o
o

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              Table B-2.  Category II:  Ecosystems, Their Functions and Services
Concern
Wetlands


Other
ecosystem
types
Rare or
threatened
ecosystems
Ecosystem
functions
Comments/Specifics
Maintain size, hydrology, habitat value, filtering
and binding of pollutants, wetland functions,
special types, interconnected wetlands
Riparian habitats, streams, coastal barriers, subtidal
habitats, upland habitats, aquatic ecosystems,
deltas, estuaries
Terrestrial, aquatic, sensitive, rare, exposed and
valued, sage scrub

Function of aquatic or terrestrial community,
function of plant community, nutrient recycling
A











N
N


N


N




P









P

R
r


r





r

S
s


S


S




T











W
W


W


W




Key to major office areas and legislation: A: Air; N: NEPA; P: Pesticides; R: RCRA; S:  Superfund; T: Toxics; W:
Water.

Note: Uppercase letters refer to concerns that have been used (or in a few cases were about to be used) at the time of the
interview in a documented decision. Lowercase letters indicate concerns that were reported as of interest in an interview or
were inferred from measures used in the assessment but not contained in a documented decision.
1/23/97
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                    Table B-3.  Category III:  Special Places and Species
Concern
Special
places



Special
species
Comments/Specifics
Wilderness Areas, National Forests, State
or Federal Refuges, National Estuaries,
National Parks, Wild and Scenic Rivers,
Wildlife Refuges, Great Lakes Vital
Habitats, Marine Sanctuaries
Endangered or threatened species, their
habitat or food
A
A






N
N




N

P





P

R





R

S
S




S

T





T

W





w

Key to major office areas and legislation: A: Air; N: NEPA; P: Pesticides; R: RCRA; S:  Superfund; T: Toxics; W:
Water.
1/23/97
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 1                                           APPENDIX C
 2           RECENT POLICIES OF FEDERAL RESOURCE MANAGEMENT AGENCIES
 3
 4             This section provides more detail for the summary provided in section 2.3 of the main
 5      document.
 6             As the individual descriptions show, many agencies have modified their processes to
 7      include greater stakeholder involvement and consider multimedia and multipathway pollution
 8      exposures simultaneously with sound watershed and habitat management practices.  This, of
 9      course, is very similar to the community-based environmental protection approach of EPA.
10      Although the process and multistressor aspects are beyond the scope of this document, there are
11      also implications for environmental goals and assessment endpoints.  In addition to greater
12      concern with global issues (climate change, biodiversity, health of oceans), there is an overall
13      trend toward ecosystem sustainability to provide for longer term protection of valued resources.
14
15      C.I. FOREST SERVICE
16             The Forest Service has moved toward managing for sustainable ecosystems. According to
17      a 1995 Federal Register Notice: "[the] agency would retain the discretion to determine for each
18      plan area which conditions are indicative of sustainable ecosystems and how the plan area could
19      be managed to promote those conditions."  This indicates that the actual management goals are
20      established on a case-by-case basis for each area. However, the definition of "sustainable
21      ecosystem" gives some indication of the kinds of goals they will consider: "the ability to sustain
22      diversity, productivity, resilience to stress,  health, renewability and or yields or desired values,
23      resource uses, products or services, from an ecosystem while maintaining the integrity of the
24      ecosystem over time."  This combines concepts related to sustainability (diversity, resilience to
25      stress) with those related to human utility (yields, desired values, resource uses, products or
26      services).
27             The Forest Service also adopts a two-stage (course filter/fine filter) process that first
28      considers the ecosystem as a whole and then an additional consideration of species that may not
29      be protected by the general ecosystem protection.
30
31      C.2. BUREAU OF LAND MANAGEMENT (BLM)
32             BLM has also moved toward an ecosystem approach. Like the Forest Service, BLM sets
33      specific management goals on an area basis. Some of the BLM principles and definitions show
34      that, also like the Forest Service, ecosystem integrity and utility to humans are to be combined in
35      their goals:
36
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 1             •       Sustain the productivity and diversity of ecosystems and provide for human values,
 2                    products, and services
 3
 4             •       Determine desired future landscape functions based on historic, ecological,
 5                    economic, and social considerations
 6
 7             •       Sustainable development:  the use of land and water to sustain production
 8                    indefinitely without environmental deterioration, ideally without loss of native
 9                    biodiversity
10
11             •       Sustainable ecosystem:  management of ecosystems so that the desired mix of
12                    values and resources are tempered to ensure that their capabilities and suitabilities
13                    are not compromised for future generations.
14
15      C.3. SOIL CONSERVATION SERVICE (NOW THE NATURAL RESOURCE
16           CONSERVATION SERVICE)
17             This Agency has also moved toward ecosystem management that provides for human
18      utility.  It considers integrated resource, or ecosystem, management, a concept based on the self-
19      healing ability of viable ecosystems. Ecosystem management is also a means to establish or
20      maintain living systems that improve rather than degrade over time.
21
22      C.4. FISH AND WILDLIFE  SERVICE (FWS)
23             The FWS mission is "to conserve, protect and enhance the nation's fish and wildlife and
24      their habitats for the continuing benefit of the American people."
25             This clearly includes human use and also points to ecosystem protection.
26             More explicitly: "An ecosystem approach to fish and wildlife conservation means
27      protecting or restoring the function, structure and species composition of an ecosystem while
28      providing for its sustainable  socioeconomic use."
29             The FWS defines 52 geographically defined ecosystem units, closely corresponding to
30      watersheds in most cases. Specific goals are established for particular watershed units. However,
31      the FWS also prioritizes units based in part on the "significance of the resources present in the
32      ecosystem."  Highest priority is given to those ecosystem units most important to FWS's trust
33      resources (listed species, migratory birds, etc.). Other considerations beyond the scope of this
34      document (such as the ability of the service to address the resource need) are also considered.
35
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 1      C.5. NATIONAL PARK SERVICE (NFS) ECOSYSTEM MANAGEMENT
 2             The NFS is charged with managing specific places that are highly valued as natural
 3      resources. In NFS' words, these are "the Nation's most precious natural and cultural resources,
 4      which are important symbols of our rich and diverse heritage" (U.S. Department of the Interior,
 5      1994).
 6             The overall vision emphasizes ecosystem integrity: "NFS to lead by example through
 7      continuous improvement and excellence in direct stewardship efforts while actively assisting and
 8      educating other stakeholders to help them better manage resources for the goal of greater
 9      ecosystem integrity" (U.S. Department of the Interior, 1994).
10             Specific goals are established separately for each park. However, the principles indicate a
11      focus on biodiversity and resources valued for heritage reasons:  ".  . . It is imperative that the
12      NFS work to restore and/or maintain biological diversity (species, genetic, and ecosystem) and
13      the ecological patterns and processes that maintain that diversity. Viable populations of native
14      species and natural-disturbance regimes should be maintained. The overall objective is to
15      maintain ecosystems that are resilient to short-term stresses and receptive to long-term
16      evolutionary and ecological influences of change" (U.S. Department of the Interior, 1994).
17             "Preserving and maintaining significant resources and advocating or assisting others to
18      protect important archeological, historical, and ethnographic resources in their historic context"
19      (U.S. Department of the Interior, 1994).
        1/23/97                                   A-10               DISCUS SIGN DOCUMENT

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 1
 2
 3
 4
 5
 6
 7
 8
 9
10
11
12
13
14
                                    APPENDIX D
                          SOME COMMUNITY PROJECTS

       Section 2.4 of the main text discusses some community-based projects.  This section
provides information on the projects  and sources referred to in that section and adds brief
summaries of a few more projects.

D.I. EPA SUMMARY OF ECOSYSTEM PROJECTS
       In January 1995, EPA's Office of Water published^ Phase I Inventory of Current EPA
Efforts to Protect Ecosystems (U.S. EPA, 1995b). This included summaries of projects involving
EPA and its partners in place-based management and ecosystem protection. Although the
inventory did not specifically list the entities protected for each project, many summaries provided
information on this point. The following table summarizes the entities protected by projects in
this inventory, to the extent this information was provided.
               Table D-l. Ecosystem Protection Inventory: Entities Protected by Region
               (Number of Projects)
Region
Fish, fisheries
Shellfish
Birds
Wildlife
Aquatic life
Endangered or
native species
Biodiversity
Habitat or ecosystem
Aquatic habitat
(unspecified)
Estuaries
Lakes
1
5
2
1


2

1
4
2
1
2
10
2
4
5
1


O
5
3
7
3
2
1


1
2
1
5
1

1
4
7
3


1
2

O
1
3

5
5

3
3
3
1
1
O
O

2
6
1
3



1
1
O
1


7
8


1
1
2
2
7
4

2
8
4




1

2
1


9
1
1
1


3

5
1


10
8




2

1
5


La
3

2


3
5
4
O
3

Mb
6
2
1


2
2
2

1
1
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                Table D-l.  Ecosystem Protection Inventory:  Entities Protected by Region
                (Number of Projects) (Continued)
Region
Streams
Wetlands
Terrestrial habitat
Unique habitat
Soil
1
1
2



2





3

5


1
4
1
12

4

5

1
1


6

6
1
2
1
7
1
5
4
1

8
2

2

O
9
5
2
2
1
1
10
7
4
7

1
La
5
10
4
5
O
Mb
1
6



         aLarge-scale projects.
         bMultiregion projects.
        D.2. OTHER COMMUNITY-BASED PROJECTS
               This section summarizes projects from various sources, many from the Office of Policy,
        Planning, and Evaluation (OPPE) Comparative Risk Project (U.S. EPA, 1993).
 5
 6
 7
 8
 9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
1.  The Wisconsin Tribes Comparative Risk Project (U.S. EPA, 1992) ranked several
   natural resource issues as "high" under the ecological or quality-of-life categories.
   These included:

   •      The effects on fish from nonpoint source discharges to lakes and rivers

   •      Loss of wild rice habitat, fish spawning, cover habitat, and aesthetic value from
         physical degradation of water and wetland habitats

         Acid rain impacts on fish, birds, and mammals

         Abandoned hazardous waste  sites (regarded as an insult to the Tribes' respect
         for the earth).

2.  The Community-Based Environmental Risk, Ranking: Rural andHawai 'ion Quality of
   Life: Kahalu 'u O 'ahu (University of Hawai'i at Manoa, 1992) listed access to natural
   resources as one of the most important values of this community; respect for the land
   and for nature was also ranked high.

3.  Issues rated high under Vermont's quality-of-life comparative risk assessment include
   alteration of Vermont's ecosystems,  the effects of acid rain on native species, and
   pollution of lakes, ponds, and  streams (U.S. EPA, 1993, section 2.4).
        1/23/97
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 1             4.  Louisiana listed various stressors of aquatic ecosystems and especially marine
 2                ecosystems as high in their comparative risk project; wetlands were also listed as high
 3                (U.S. EPA, 1993, section 2.4).
 4
 5             5.  Sarasota Bay National Estuary Program (Sarasota Bay National Estuary Program,
 6                1992) adopted a vision for a brighter future for the Sarasota Bay; this vision
 7                specifically mentions fish for recreational and commercial fishing and wetlands.
 8
 9             6.  Six ecosystem projects are used by the State of Florida as examples of its ecosystem
10                management approach (Florida Department of Environmental Protection, 1995). All
11                six are valued as habitat for a wide variety of species.  Native species of amphibians,
12                reptiles, fish, aquatic invertebrates, migratory and resident birds, and other wildlife are
13                mentioned for one or more of the areas; endangered, rare, or threatened species are
14                mentioned for nearly all of the six; and commercially important fish and shellfish are
15                mentioned for most. The project areas contain important rivers, estuaries, and
16                wetlands.  One has been designated a Wild and Scenic River.  Ecosystem functions and
17                services such as aquifer recharge, flood water storage, and prevention of saltwater
18                intrusion are also mentioned as deserving protection.
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1                                           APPENDIX E
2                                   LISTS OF SPECIAL PLACES
3
4            Many activities within Federal and State natural resource agencies and private
5      environmental organizations focus on identifying and ranking the most important natural
6      resources deserving special protection and management.  These institutions have produced lists of
7      specific areas characterized by their uniqueness, ecological significance or rarity, recreational
8      importance, or other special designation. A 1991 report (U.S. EPA, 1991) described many of
9      these lists, and the results are  summarized below.

        Table E-l.  Proposed Master Lists for EPA Use in Targeting Natural Resource Priorities
List
Sites with multiple designations from
different lists
Biosphere reserves
TNC last great places
Wetlands of international importance
World heritage sites
Areas of critical environmental concern
Experimental ecological reserves
National natural landmarks
Research natural areas
National conservation areas
National park system
National wilderness areas
National wildlife refuges
Total
Number of sites
43
46
8
10
10
448
96
587
375
7
152
488
492
2,762
Area
(xlOOO acres)
18,682
42,565
16,339
1,129
15,757
6,699
2,709
8,692
3,733
13,833
75,181
90,960
88273
384,552
U.S. coverage
(percentage)
0.82
1.86
0.71
0.05
0.69
0.29
0.12
0.38
0.16
0.60
3.28
3.97
3.85
16.79
       Source: U.S. EPA, 1991.
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 1                                        APPENDIX F
 2                   STATUTORY PROVISIONS THAT AUTHORIZE EPA TO
 3                              CONSIDER SPECIFIC CONCERNS
 4
 5            Existing laws direct EPA to consider a variety of general and specific ecological concerns.
 6     The following table summarizes some of the more specific provisions of the major laws governing
 7     EPA. Provisions of the Endangered Species Act (ESA) and National Environmental Policy Act
 8     (NEPA) are also included because ESA and NEPA address all Federal agencies and because their
 9     requirements may be  triggered by certain EPA activities. The table is not comprehensive, and
10     provisions of the laws are paraphrased or excerpted.
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                                 Table F-l. Specific Provisions of Major Laws Governing EPA
Law
Clean Air Act
(CAA) §103
CAA§108
CAA §109
CAA §111
CAA§112(a)(l)
CAA§112(b)(l)
Provision
Authorizes collection and dissemination of data on "chemical, physical, and biological effects of varying
air quality." Mandates interagency research on "ecosystems damage" from air pollutants, including
identification of "regionally representative and critical ecosystems" for research; evaluation of "risks to
ecosystems"; assessments of the "short-term and long-term ecological effects" of atmospheric
deposition on surface water and groundwater, and air pollution effects on "forests, . . . biological
diversity, soils, and other terrestrial and aquatic ecosystems"; and "associated economic costs of
ecological damage." Establishes biennial reporting requirements on "the status of ecosystems (including
forests and surface waters)" affected by acid deposition and "the occurrence and effects of episodic
acidification, particularly with respect to high elevation watersheds. ..."
Authorizes EPA to "assess the risks to ecosystems from exposure to criteria air pollutants. . . ."
Requires EPA to establish national ambient air quality standards for the protection of public health and
welfare. (Welfare is defined in CAA §302 to include effects on "soils, water, crops, vegetation, . . .
animals, wildlife, weather, visibility, and climate.")
Incorporates consideration of, among other things, "non-air quality . . . environmental impact" into
performance standard definition.
Authorizes EPA to designate sources emitting lesser quantity of hazardous air pollutants as "major" based
on the potential for bioaccumulation, among other factors.
Provides an initial list of hazardous air pollutants that may be revised by EPA; the criteria to add or delete
from the list include adverse environmental effects, defined as "any significant and widespread adverse
effect, which may reasonably be anticipated, to wildlife, aquatic life, or other natural resources,
including adverse impacts on populations of endangered or threatened species or significant
degradation of environmental quality over broad areas "
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                             Table F-l.  Specific Provisions of Major Laws Governing EPA (Continued)
       Law
                                                                       Provision
       CAA§112(m)
                           Requires EPA, in cooperation with NOAA, to conduct a hazardous air pollutant assessment program for
                           the Great Lakes, Chesapeake Bay, Lake Champlain, and coastal waters, including "sampling] for
                           such pollutants in biota, fish and wildlife," and investigating "the sources of air pollutants deposited in
                           the [Chesapeake Bay and Lake Champlain] watersheds. . . ."	
       CAA§160
                           Establishes as one of the purposes behind preventing deterioration of air quality "to .  . . enhance the air
                           quality in national parks, wildernesses, national monuments, national seashores, and other areas of
                           special national or regional natural, recreational, scenic, or historic value     	
       CAA§162
                           Designates international parks, national wilderness areas exceeding 5,000 acres in size, national
                           memorial parks exceeding 5,000 acres in size, and national parks exceeding 6,000 acres as of 1977
                           for permanent special air quality protection.	
       CAA§164
                           Authorizes special protection through State action for national monuments, primitive areas, preserves,
                           recreational areas, wild and scenic rivers, wildlife refuges, lakeshores, and seashores. Authorizes
                           special protection for national parks and wilderness areas exceeding 10,000 acres established after
                           1977. Authorizes similar action by federally recognized Indian tribes.  Directs Federal land managers to
                           review all national monuments, primitive areas, and national preserves and recommend appropriate
                           areas for special protection.	
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       CAA§165(d)
                           Places responsibility on Federal land managers to "protect the air quality related values (including
                           visibility)" in certain protected areas. Requires an analysis of "ambient air quality, climate and
                           meteorology, terrain, soils and vegetation," among other things, as part of the consideration of possible
                           adverse impacts of proposed major emitting facilities on protected areas.	
       CAA§173(a)(5)
                           Under the nonattainment New Source Review program, a State permitting authority may only issue a
                           permit if it determines that an analysis of alternatives "demonstrates that benefits of the proposed source
                           significantly outweigh the environmental [and other] costs imposed as a result of its location,
                           construction, or modification."
       CAA §302
                           Defines welfare to include effects on "soils, water, crops, vegetation,... animals, wildlife, weather,
                           visibility, and climate," among other things.	

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                             Table F-l.  Specific Provisions of Major Laws Governing EPA (Continued)
       Law
                                                                       Provision
       CAA §309
                            Directs EPA to review and comment on other Federal agency actions and, "[i]n the event the
                            Administrator determines that any such legislation, action, or regulation is unsatisfactory from the
                            standpoint of public health or welfare or environmental quality, ... the matter shall be referred to the
                            Council on Environmental Quality."	
       CAA §401
                            Congressional finding that acid deposition "represents a threat to natural resources [and] ecosystems,"
                            among other things.	
       CAA §401 note
                            Directed EPA to submit a report to Congress on the feasibility and effectiveness of acid deposition
                            standards "to protect sensitive and critically sensitive aquatic and terrestrial resources." The report
                            was to include identification of sensitive and critically sensitive aquatic and terrestrial resources in Canada
                            that may be affected by acid deposition.	
oo
       Clean Water Act
       (CWA) §101
                            "The objective of the [CWA] is to restore and maintain the chemical, physical, and biological integrity of
                            the Nation's waters."  Established national (interim) goal of "water quality which provides for [among
                            other things] the protection and propagation offish, shellfish, and wildlife. . . ."	
       CWA §102
                            Authorizes, upon State request, grants to planning agencies for comprehensive water quality control plans
                            for "a basin or portion thereof," defined to include "rivers and their tributaries, streams, coastal waters,
                            sounds, estuaries, bays, lakes, and portions thereof as well as the lands drained thereby."	
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       CWA §104
                            Authorizes, among other things, grants for "basic research into the structure and function of freshwater
                            aquatic ecosystems, and to improve understanding of the characteristics necessary to the maintenance of
                            the chemical, physical, and biological integrity of freshwater aquatic ecosystems" and "interdisciplinary
                            studies on the nature of river systems, including hydrology, biology, ecology, economics,     and the
                            effects of development within river basins on river systems and on the value of water resources and water
                            related activities."
       CWA §117
Continues the Chesapeake Bay Program to, among other things, address water quality impairment and
"determine the impact of natural and man-induced environmental changes on the living resources of the
Bay and the relationships among such changes, .  . . with special attention given to the impact of such
changes on striped bass."	

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                             Table F-l.  Specific Provisions of Major Laws Governing EPA (Continued)
       Law
                                                                       Provision
       CWA§118
                           Establishes programs for the Great Lakes; directs or authorizes development of Lakewide Management
                           Plans and Remedial Action Plans, defined as "systematic and comprehensive ecosystem approaches] to
                           restoring and protecting the beneficial uses" of the Great Lakes' open waters and "areas of concern,"
                           respectively, in accordance with the Great Lakes Water Quality Agreement; required EPA to develop
                           water quality guidance, including specific protection for aquatic life and wildlife, to promote consistency
                           in controlling water pollution in Great Lakes States.	
       CWA§119
                           Continues Long Island Sound environmental restoration efforts and promotes implementation of its
                           Comprehensive Conservation and Management Plan.	
       CWA§120
                           Establishes Lake Champlain management efforts to address sources of pollution necessary "to restore and
                           maintain the chemical, physical and biological integrity of water quality, [and] a balanced, indigenous
                           population of shellfish, fish and wildlife," among other things.	
       CWA §302
                           Authorizes EPA to establish effluent limitations on discharges from point sources as necessary for the
                           protection and propagation of shellfish, fish, and wildlife, among other things.	
       CWA §303©
                           Authorizes States and EPA to establish and review, on a triennial basis, water quality standards to, among
                           other things, "enhance the quality of water and serve the purposes of the Act."	
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       CWA §304(a)
                           Gives EPA broad authority to develop and publish scientific information related to, among other things,
                           restoring and maintaining the chemical, physical, and biological integrity of navigable waters, ground
                           waters, and waters of the contiguous zones.	
       CWA §307(a)
                           Authorizes EPA to establish a national effluent standard for toxic pollutants applicable to certain point
                           sources that takes into account the effects of the pollutants on "affected organisms in any waters [and]
                           the importance of the affected organisms," among other things	
       CWA §311
                           Establishes mechanisms to prevent or minimize effects of oil and hazardous substance discharges on,
                           among other things, "fish, shellfish, and wildlife,... shorelines, beaches, habitat, and other living
                           and non-living resources."  Establishes contingency planning that includes procedures for protecting
                           "sensitive environmental areas, and ... fisheries and wildlife," and describes "areas of special...
                           environmental importance."	

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                             Table F-l.  Specific Provisions of Major Laws Governing EPA (Continued)
       Law
                                                                      Provision
       CWA§314
                           Establishes programs to address lake water quality issues, including a demonstration program. Specifies
                           priority lakes for demonstration projects.	
       CWA §320
                           Authorizes establishment of management conferences to develop comprehensive conservation and
                           management plans "to restore and maintain the chemical, physical, and biological integrity of the
                           estuary, including restoration and maintenance of water quality, [and] a balanced indigenous population
                           of shellfish, fish and wildlife," among other things. States are to develop implementation programs on a
                           watershed-by-watershed basis, to the maximum extent practicable.  Creates research programs, including a
                           long-term program of monitoring to measure variations in, among other things, "marine ecology";
                           "ecosystem assessment"; and the impact of nutrients, sediments, and pollutants on "water quality [and] the
                           ecosystem" of estuarine zones, among other things.  Defines estuarine zone to include "associated
                           aquatic ecosystems and those portions of tributaries draining into the estuary up to the historic
                           height of migration of anadromous fish or the historic head of tidal influence, whichever is higher."
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       CWA §402
                           Establishes permitting process for States and EPA to control discharges of pollutants from point sources in
                           an effort to achieve water quality standards.	
       CWA §404
                           Authorizes EPA to "veto" Corps or State authorization of a discharge of dredged or fill material into
                           waters of the United States where EPA finds that it will have an unacceptable adverse effect on "municipal
                           water supplies, shellfish beds and fishery areas (including spawning and breeding areas), wildlife, or
                           recreation areas "
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       Comprehensive
       Environmental
       Response,
       Compensation, and
       Liability Act
       (CERCLA) §101
                           Defines "environment" as the navigable waters, the waters of the contiguous zone, certain ocean
                           waters, and any other surface water, ground water, drinking water supply, land surface or
                           subsurface strata, or ambient air under U.S. jurisdiction. Defines "natural resources" as "land, fish,
                           wildlife, biota, air, ground water, drinking water supplies, and other such resources. . . ."
       CERCLA §102
                           Directs EPA to promulgate regulations designating as hazardous substances "substances which, when
                           released into the environment may present substantial danger to the public health or welfare or the
                           environment."

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                           Table F-l.  Specific Provisions of Major Laws Governing EPA (Continued)
Law
CERCLA§107
CERCLA§121
CERCLA §301
Endangered Species
Act (ESA) §2
ESA§3(16)
ESA §7(a)(l)
ESA §7(a)(2)
ESA §9
Provision
Establishes liability for damages for injury to, destruction of, or loss of natural resources from releases of
hazardous substances from facilities at which such substances were disposed of or treated. Establishes
trustees to assess natural resource damages for purposes of CERCLA and §311 of the CWA.
Specifies that remedial action for the treatment of hazardous substance shall be "protective of human health
and the environment."
Directs the President to promulgate natural resource damages assessment regulations that take into
consideration "factors including replacement value, use value, and ability of the ecosystem or
resource to recover ."
Congressional finding that at-risk species of fish, wildlife, and plants "are of aesthetic, ecological,
educational, historical, recreational, and scientific value to the Nation and its people ." Establishes
among the purposes of the Act "to provide a means whereby the ecosystems upon which endangered
species and threatened species depend may be conserved ." Establishes as congressional policy that
Federal agencies "shall seek to conserve endangered species and threatened species and shall utilize their
authorities in furtherance of the purposes of [the Act]."
Defines "species" as including "any subspecies of fish or wildlife or plant, and any distinct population
segment of any species of vertebrate fish or wildlife which interbreeds when mature."
Directs all Federal agencies, with the assistance of FWS and NMFS, to utilize their authorities in
furtherance of the purposes of the ESA "by carrying out programs for the conservation of endangered
and threatened species
Directs all Federal agencies, in consultation with FWS/NMFS, to insure that "any action authorized,
funded, or carried out" by them is not likely to jeopardize the continued existence of any endangered or
threatened species or result in the adverse modification of the designated critical habitat of such
species unless the agency has been granted an exemption from the Endangered Species Committee.
Prohibits any person (including EPA) from "taking" listed endangered species of fish or wildlife
without a permit." "Take" is defined to include "harm" or "kill" in ESA §3(19) Protects
endangered species of plants on areas under Federal jurisdiction or covered by State law.
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                           Table F-l.  Specific Provisions of Major Laws Governing EPA (Continued)
Law
Federal Insecticide,
Fungicide, and
Rodenticide Act
(FIFRA) §2G)
FIFRA §2(bb)
FIFRA §3(c)(5)
FIFRA §4
FIFRA §10
FIFRA §20
Marine Protection,
Research, and
Sanctuaries Act
(MPRSA) §2
Provision
"The term 'environment' includes water, air, land, and all plants and man and other animals living
therein, and the interrelationships which exist among these."
"The term 'unreasonable adverse effect on the environment' means any unreasonable risk to man or the
environment, taking into account the economic, social, and environmental costs and benefits of the use of
any pesticide."
Authorizes registration of a pesticide product only if it performs its intended pesticidal function without
causing "unreasonable adverse effects on the environment."
For purposes of the reregistration process, directs EPA to give priority to active ingredients that, among
other things, "may result in residues of potential toxicological concern in potable groundwater, edible fish,
or shellfish 	 "
Requires public availability of certain information concerning a pesticide's effects on "any organism or the
behavior of such pesticide in the environment, including, but not limited to, data on safety to fish and
wildlife, humans and other mammals, plants, animals, and soil, and studies on persistence,
translocation, and fate in the environment, and metabolism. ..."
Directs EPA to "undertake such monitoring activities, including, but not limited to monitoring in air, soil,
water, man, plants, and animals
Establishes as national policy the regulation of ocean dumping and to prevent or strictly limit ocean
dumping of any material "which would adversely affect human health, welfare, or amenities, or the
marine environment, ecological systems, or economic potentialities."
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                             Table F-l.  Specific Provisions of Major Laws Governing EPA (Continued)
       Law
                                                                     Provision
       MPRSA §102(a)
                           Authorizes EPA to issue permits for the transportation of material for ocean dumping if such dumping will
                           not unreasonably degrade or endanger, among other things, "the marine environment [and] ecological
                           systems." Directs EPA to establish permit application criteria that consider, among other things, "the
                           effect of such dumping on fisheries resources, plankton, fish, shellfish, wildlife, shore lines and
                           beaches ...  [and] marine ecosystems, particularly with respect to ... potential changes in marine
                           ecosystem diversity, productivity, and stability, and ... species and community population
                           dynamics"	
       MPRSA §102©
                           Authorizes EPA to designate sites and times within which certain materials may not be dumped if "[the
                           Administrator] finds it necessary to protect critical areas."	
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       MPRSA §103
                           Authorizes waivers "unless the Administrator finds that the dumping of the material will result in an
                           unacceptably adverse impact on     shell-fish beds, wildlife, fisheries (including spawning and
                           breeding areas), or recreational areas "	
       National
       Environmental
       Policy Act (NEPA)
       §2	
                           States that the Act's purpose includes declaring a national policy to, among other things, "promote efforts
                           which will prevent or eliminate damage to the environment and biosphere ...  [and] enrich the
                           understanding of the ecological systems and natural resources important to the Nation.  . .  ."
       NEPA §101
                           Sets forth congressional recognition of, among other things, "the profound impact of man's activity on the
                           interrelations of all components of the natural environment. .  . ." Provides that it is the continuing
                           responsibility of the Federal government to improve Federal programs "to the end that the Nation may
                           fulfill the responsibilities of each generation as trustee of the environment for succeeding generations. . .

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                             Table F-l.  Specific Provisions of Major Laws Governing EPA (Continued)
       Law
                                                                      Provision
       NEPA§102
                           Congress "authorizes and directs that, to the fullest extent possible:  (1) the policies, regulations, and
                           public laws of the United States shall be interpreted and administered in accordance with the policies set
                           forth in [NEPA], and (2) all agencies of the Federal Government shall.  . . develop methods and procedures
                           . . . which will [e]nsure that presently unquantified environmental amenities and values may be given
                           appropriate consideration in decision making . .  . [and] include in every recommendation or report on
                           proposals for legislation and other major Federal actions .  . . [an environmental impact statement] . . . [and]
                           recognize the worldwide and long-range character of environmental problems . .  . [and] initiate and utilize
                           ecological information in the planning and development of resource-oriented projects . . .  ."	
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       NEPA §201
                           Directs the President to transmit to Congress an annual report on "the status and condition of the major
                           natural, manmade, or altered environmental classes of the Nation, including, but not limited to, the
                           air, the aquatic, including marine, estuarine, and fresh water, and the terrestrial environment,
                           including, but not limited to, the forest, dryland, wetland, range, urban, suburban, and rural
                           environment; ... [and] the adequacy of available natural resources for fulfilling human and
                           economic requirements of the Nation in light of expected population pressures. . . ."	
       NEPA §204
                           Establishes among the duties of the President's Council on Environmental Quality "to conduct
                           investigations, studies, surveys, research, and analyses relating to ecological systems and environmental
                           quality. . . ." This duty was delegated to EPA in Reorganization Plan No. 3 of 1970.	
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       Solid Waste
       Disposal Act
       (SWDA) §1003
                           Establishes as one of the Act's objectives "promoting . . . solid waste management, resource recovery, and
                           resource conservation systems which preserve and enhance the quality of air, water, and land resources."
                           Declares a national policy that any waste generated "should be treated, stored, or disposed of so as to
                           minimize the present and future threat to human health and the environment."	
       SWDA §3002
                           Directs EPA to promulgate standards applicable to generators of listed hazardous wastes "as may be
                           necessary to protect human health and the environment."	
       SWDA §3003
                           Directs EPA to promulgate standards applicable to transporters of listed hazardous wastes "as may be
                           necessary to protect human health and the environment."	

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                             Table F-l.  Specific Provisions of Major Laws Governing EPA (Continued)
       Law
                                                                      Provision
       SWDA §3004
                           Directs EPA to promulgate performance standards applicable to owners and operators of facilities for the
                           treatment, storage, or disposal of listed hazardous wastes "as may be necessary to protect human health
                           and the environment."
       SWDA §9003
                           Directs EPA to promulgate release detection, prevention, and correction regulations applicable to all
                           owners and operators of underground storage tanks, "as may be necessary to protect human health and the
                           environment."
       Toxic Substances
       Control Act
       (TSCA) §3
                           "The term 'environment' includes water, air, and land and the interrelationship which exists among
                           and between water, air, and land and all living things."
       TSCA §4
                           Authorizes the Agency to require testing of chemical substances or mixtures that may present an
                           unreasonable risk of injury to "health or the environment."	
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       TSCA §6
                           Authorizes action by EPA to protect against chemical substances or mixtures that present or will present
                           an unreasonable risk of injury to "health or the environment."  Requirements imposed may be limited to
                           "specified geographic areas."	
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       TSCA §8
                           Authorizes the Agency to require, among other things, submission of "health and safety data," defined as
                           "any study of any effect of a chemical substance or mixture on health or the environment or both, including
                               ecological studies."
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 1       REFERENCES FOR APPENDICES
 2
 3       Florida Department of Environmental Protection (1995). Toward ecosystem management.  Tallahassee, FL.
 4
 5       Sarasota Bay National Estuary Program (1992). Framework for action. Sarasota, FL.
 6
 7       U.S. Department of the Interior (1994). Ecosystem management in the National Park Service: Discussion draft. U.S.
 8       Department of the Interior, Washington, DC.
 9
10       U.S. Environmental Protection Agency (1983). Compilation of Federal laws, treaties, and conventions pertaining to the
11       environment: 1785-1978. Prepared by RG Clements for Office of Toxic Substances, Health and Environmental Review
12       Division, Ecological Effects Branch, U.S. Environmental Protection Agency, Washington, DC.
13
14       U.S. Environmental Protection Agency (1991). Targeting priority natural resource areas:  A review of national lists.
15       Prepared by Dynamac Corporation for Office of Policy, Planning, and Evaluation.  U.S. Environmental Protection
16       Agency,  Washington, DC.
17
18       U.S. Environmental Protection Agency (1992). Tribes at risk:  The Wisconsin Tribes Comparative Risk Project. U.S.
19       Environmental Protection Agency. EPA/230/R-92/017.
20
21       U.S. Environmental Protection Agency (1993). A guidebook to comparing risks and setting environmental priorities.
22       U.S. Environmental Protection Agency. EPA/230/B-93/003.
23
24       U.S. Environmental Protection Agency (1994) Managing ecological risks at EPA: Issues and recommendations for
25       progress. Prepared by ME Troyer and MS Brody, U.S. Environmental Protection Agency. EPA/600/R-94/183.
26
27       U.S. Environmental Protection Agency (1995). A phase I inventory of current EPA efforts to protect ecosystems.
28       Prepared by D Norton, U.S. Environmental Protection Agency.  EPA/841/S-95/001.
29
30       U.S. Environmental Protection Agency (1996). Waquoit Bay watershed ecological risk assessment problem formulation.
31       U.S. Environmental Protection Agency (review draft).
32
33       University of Hawai'i at Manoa (1992). A community-based environmental risk ranking: Rural and Hawai'ian quality
34       of life: Kahalu'u O'ahu.  University of Hawai'i at Manoa, Department of Urban and Regional Planning.
         1/23/97                                         A-26        DRAFT-DO NOT QUOTE OR CITE

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