EPA POLICY CONCERNING DELEGATION
T° STATE AND LOCAL GOVERNMENTS
PURPOSE
. The purpose of this delegation policy is to guide EPA
employees as they participate in making the many individual
decisions that affect future delegations to states.. This
statement cannot, by itself, settle all issues surrounding
delegation approvals, many of which are complex matters of law
and interpretation. However, it does identify the general
approach which the Agency will take in resolving such issues.
Federal environmental programs were designed by Congress
to be administered'at the state and local levels wherever
"\? possible. The clear intent of this design is to use the
wv strengths of federal, state, and local governments in a
^ partnership to protect public health and the nation's air,
^ water, and land. State and local governments are expected^
™ to assume primary responsibility for the implementation of
national programs, while EPA is to provide national environ-
mental leadership, develop general program frameworks, establish
standards as. required by 'the legislation, conduct research and -,
national information collection, assist'states in preparing to
assume responsibility, for program operations, -provide technical.
support to states in maintaining high quality .programs, -and.
ensure national compliance with environmental quality ;standards.
EPA's .policy has .been to transfer the administration of
national programs to state and local governments to- the fullest
extent, possible, consistent with statutory intent and good .
management practice. With continuing advances in state and
local capabilities to administer expanding environmental programs,
it is less and less appropriate for EPA to continue to directly.
carry out day-to-day operations which overlap state and local
activities. Of course, difficult arid emerging -environmental
issues remain, such as toxics and acid rain, which must be
adequately addressed and translated by EPA into operational
programs that can be delegated to states. But as a general
approach, EPA recognizes, as did Congress, .the wisdom of state
and local management of day-to-day .operations. > Delegation of •'..
responsibilities to state and local governments is more than a
means to avoid duplication in the provision of government services,
It is also an opportunity to return.decision-making authority to
a level of government closer to the people-whose lives are
actually touched by these decisions in order to deliver more
effective environmental protection. . . ....'.
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SCOPE AND-DEFINITION
Delegation of environmental programs has the same meaning
as "authorization" or "approval": the assumption by a competent
and willing state or local government of operational responsibi-
lities which, in the absence of such action, would rest with the
federal government. Since delegation usually involves state
governments, most of the discussion in this statement refers to
states. However, in the few cases of delegation to local
governments, as in the air program, references to states will
apply to local governments- as well. .
ROLES AND RESPONSIBILITIES UNDER DELEGATION
The relationship between EPA and the states under delegation
is intended to be a partnership. Both,EPA and the states have
continuing roles and responsibilities under delegated programs
that are most effectively planned and executed together. States
are best placed to address specific problems as they arise on a
day-to-day basis, and EPA should strive to strengthen and assist
state programs. .
EPA remains responsible and accountable to the President,
Congress and the public for progress toward meeting national
environmental goals and statutes, including assurance that these
laws are adequately enforced. Thus, EPA's policy to delegate
management responsibilities for environmental programs to
state and local agencies carries with it a corresponding. EPA
responsibility to oversee.the conduct of delegated environmental
programs under federal statute. EPA will work with states
to develop and maintain high quality ^environmental programs
and to ensure progress toward environmental results. States,
in assuming delegation, accept responsibility for operating
strong state programs which support national statutory goals,
and .for reporting to EPA information necessary for assessing
the progress of programs nationwide. The specifics of post-
delegation' responsibilities and EPA's oversight approach are
detailed, in a companion oversight .policy issued in conjunction
with, this delegation .policy. . , . .
PRINCIPLES FOR REVIEW AND APPROVAL OF DELEGATION APPLICATIONS
To carry cut this policy, EPA will use the following prin-
ciples for review and approval of future delegation applications.
1) . Treat Delegation Requests As Made In Good Faith •"'..•
In reviewing applications for delegation, the legislative'
intent of delegation will be given fullest-and highest
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.. priority. Delegation requests will be deferred only
when a state or local agency clearly lacks the legal
authority or technical capability for program assumption.
When these requirements are met, EPA will assume that the
state can implement a sound environmental.program in
which the state makes independent decisions within the
bounds of national interest and consistency.
2) Provide Direct Helpin DevelopingState Programs
Where a state or local agency is. interested in or is
moving to achieve delegation but lacks the authority or
technical capacity to assume a delegable program, EPA will
work with states to provide direct support and assistance.
Top EPA managers will meet on a regular basis with
their state counterparts to assess progress and identify
and resolve problems before state program applications
reach the final review and approval process. In particular,
it is important for EPA counsel to cooperate with state
attorneys general in assessing the adequacy of state
authority and any changes that might be necessary. Early
and active direct involvement will help EPA understand
state concerns with federal programs and assist both
parties in reaching mutually agreeable resolution of
differences.
3} Revise Regulations As Needed To Eliminate Unnecessary ..
Obstacles to Delegation . . ,
Existing EPA. regulations may, in some cases, unnecessarily
impede .delegation. The program offices, in consultation .
with the regions and states,, will examine existing EPA
regulations to determine where unnecessary impediments
to delegation exist. Once problems .are identified,
program-offices will propose and aggressively pursue
regulatory improvements which will allow greater flexibility,
consistent with statutory requirements and goals. In a
few cases.it,may be necessary to, propose statutory changes-.
EPA will involve' its state partners wherever, possible -
. as full participants in .decision-making affecting the
structure and direction of environmental programs.
4) Be Flexible In Defining State Program Equivalence By
Focusing On Results. - '
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While EPA must carry out its legal obligation to ensure
that statutory and regulatory requirements are met, the
Agency will adopt a more flexible approach t9 assessing
the adequacy of state authority to meet federal statutory
and. regulatory requirements' for delegation in cases
where there -is' ambiguity about, what these requirements
mean. EPA counsel will interpret the regulations,
wherever the law allows, to increase the flexibility
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.available to state and local governments. Determining.
the effectiveness of a state's program will focus on
results rather than procedures which are not legally
required. A reasonable amount of consistency across states
is essential to ensure that national objectives are met.
. However, EPA will not demand as a condition for delegation
that federal programs, once delegated to the states, be
administered in precisely the same way in each state. Nor
will the Agency expect states to adopt the same manner of
administering a program that EPA itself would choose.
5) Streamline Agency Review Procedures To Eliminate Unnecessary
Delays In Delegation
EPA will establish and adhere to review schedules in order
to avoid unnecessary delays. There will also be an internal
commitment between headquarters and regional offices to
improve communications, resolve conflicts, .and eliminate
duplicate review procedures. ' - .
EPA will speak with one voice, through the Regional
Administrators, when reviewing state applications for
delegation.- .Headquarters and regional offices will provide
a single set of comments to states at each stage of review
and negotiation. Resolution of disputes among"EPA offices
is a shared responsibility and will be-accomplished with
no unreasonable delays; Moreover, in reviewing delegation
applications, EPA will exercise appropriate judgment to .
ensure that our comments focus on truly important matters
and do not reopen previously resolved issues.
The easiest way to avoid needless delays is for all respon-
sible offices to he involved early in reviewing a state's
application with state officials. Early identification
of significant - issues is vital. Each headquarters program
office, as well as the legal office, will have specific, .
realistic deadlines for the review of delegation applica-
tions and will track them so they are- met. Once these
deadlines are set they will be observed., EPA needs' to
be able to tell.a state, at any point, where its delegation
;. . application stands, what issues are under consideration,' •
and when the Agency will' provide- a definitive answer.,
6) Use Assistance To Encourage Delegation Applications
From States .
EPA will provide available assistance to encourage states to
seek delegation. This may take such forms as assuring states.
of post-delegation,assistance in- difficult enforcement
..; -cases, providing technical .assistance to a state both
. before and after delegation using methods such as detailing
of personnel, and, using program grants, to encourage
• '. state assumption- of delegation •responsibilities...
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I expect this delegation policy to be carried out by all
headquarters and regional personnel. It will demonstrate
our commitment to building a productive partnership with the
states by pursuing responsible delegation of environmental
programs. In addition, .the accompanying oversight policy
addresses our responsibility to.ensure adequate enforcement
of federal statutes and to enable effective environmental
protection through sound delegated state programs..-The
success of our efforts to carry out our mission to protect
the environment will depend, to a great extent,.on the'success
of the state/EPA partnership. You will have my. full support
in your efforts to enhance this partnership and to carry out
the policy in this statement.
APR .4.1984
William D. Ruckelshaus Date
Administrator • ' '
U S T~- '
"libra- . " ; _>tlon
401 M - - - . "
Washington. DC 20460
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