Solving Environmental  Problems Through  Collaboration
                                                                                          A Case Study
                               For EPA personnel and partners who wish to implement collaborative problem solving projects effectively.
Clean Air  Nonroad  Diesel  Rule
Agency's close interaction with concerned stakeholders greatly assists
with the formation of Nonroad Diesel rule:  Effort reduces toxic emissions,
while providing a wide range of health benefits.
Background

Recent air quality data shows that about
115 million people live in counties that
violate health-based air quality
standards for ground-level ozone, or
smog.  About 65 million people live in
counties that violate health-based air
quality standards for airborne
pollution—also known as  particulate
matter (PM).  Nonroad diesel engines
(such as compressors) contribute
greatly to air pollution in many of our
nation's cities and towns.  Nonroad
diesel engines account for 47  percent
of diesel particulate matter and 25
percent of nitrogen oxides (NOx) from
mobile sources, both of which
contribute to serious  national public
health problems.

Nonroad diesel presented several
technological, manufacturing,  and
market-based challenges in
comparison  to the highway diesel
engine programs.  The number of
engine  and  equipment manufacturers
was far larger and, from a technical
standpoint,  nonroad diesel engines
encompassed a much wider
performance range and faced more
diverse operating conditions.
Furthermore, many diesel equipment
manufacturers had overseas markets
just as large as the U.S. domestic
market, so it was important to
"harmonize  the new requirements in key
segments of the (global) marketplace"
to the greatest extent possible.
Why The Clean Air
Nonroad Diesel Rule
Worked

The nonroad rule represents an
unprecedented commitment and
collaboration  that included the White
House, EPA,  the Office of Management
and Budget, the environmental
community, states and local
governments, engine and equipment
manufacturers, refiners, technology
companies, and other groups and
associations.   The emergence of the
rule was built on the foundation of
relationships  forged  during previous
collaborations.  Since the mid-1990s,
many of these parties worked with EPA's
Office of Transportation and Air Quality
(OTAQ) on earlier regulations and
collaborative  efforts.

EPA's strategy for the collaborative
process required intensive stakeholder
outreach,  involving one-on-one
interaction with individual companies
and groups.  This approach was
effective for fostering a sense of trust for
the collaboration, and, moreover, the
stakeholders  claimed ownership of the
rule, and were able to see their efforts in
the final product.

What Made the  Clean Air
Nonroad Diesel Rule
Unique

The Nonroad Diesel Rule was
distinguished by the level and manner of
public involvement that went into
creating it. EPA took time to actively
engage industry stakeholders early and
all throughout the process.  In contrast
to standard practice, the Office of
Management and Budget (OMB) was
also involved early in the process. The
collaboration between OMB and  EPA
allowed the rulemaking effort to
proceed on an expedited basis.
Additionally, EPA employed a shuttle
diplomacy  approach. Essentially, the
Agency communicated directly with the
broadly represented individual stake-
holders rather than convening large
groups from disparate sectors.  Past
experience demonstrated that large
gatherings impeded open communica-
tion because stakeholders were
concerned about revealing-thus
compromising-competitive advantage.

Lessons  Learned

Lessons recorded from the collabora-
tion for the Nonroad Diesel Rule point to
some salient advice for similar ventures:
•  Engage  political leadership to actively
  demonstrate their support to stakehold-
  ers through personal involvement.
•  Assess the likelihood that a collabora-
  tive process will result in a workable
  regulation.
 The process they used was unlike any
 other process I've ever seen. They
 opened the door, let everybody in and
 made us all feel like the favorite child of
 the parent."

     - Bill Becker, State and Territorial Air
       Pollution Program Administrators
   (STAPPA) and the Association of Local
  Air Pollution Control Officials (ALAPCO)

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 •  Dedicate sufficient human capital
    resources to the task. Stakeholders
    respect the agency when experts talk to
    experts.
 •  Be firm on clearly-defined environmen-
    tal objectives, but flexible on implemen-
    tation strategies.
 •  Invest substantial time and energy in
    laying the groundwork for trust between
    stakeholders and the agency.
 •  Share data and analysis openly to
    frame the issues and drive the process.
 •  Listen and learn about the specific
    issues facing stakeholders.  Make site
    visits when possible.
 •  Expend every effort to see the situation
    from the stakeholders' point of view and
    demonstrate that you understand their
    point of view.
 •  Empower stakeholders by soliciting
    input and encouraging strategic
    opportunities for  public
    communication.

 What Were the  Results
 of the  Rule

 The stakeholders believe that the rule
 developed through the collaborative
 process was superior to any that would
 have been developed otherwise. EPA
 officials and stakeholders also concur
 that the Nonroad Diesel Rule is better
 because EPA learned  through the
 process, and the Agency was effective in
 understanding the needs of each
 stakeholder.

 Reducing NOx and PM emissions from
 nonroad diesel engines by more than
 90 percent will provide a wide range of
 public health benefits.  EPA estimated
 that by 2030 controlling those emissions
 would annually prevent about:
 •  Twelve thousand  (12,000) premature
    deaths;
 •  Eighty-nine hundred (8,900)
    hospitalizations;
 •  One million (1,000,000) work days lost;
 •  Fifteen thousand (15,000) heart
    attacks;
•  Six thousand (6,000) children's
  asthma-related emergency room visits;
  and,
•  Two hundred eighty thousand
  (280,000) cases of respiratory
  problems in children.

Once all older engines are replaced,
the health  benefits of this rule are
estimated  to be $80 billion annually.
Estimated  costs for the engine and fuel
requirements  are many times less,
amounting to  about $2 billion annually
in that time frame.

Keys to Collaboration
Exemplified

Six keys for collaborative problem
solving were demonstrated in the Clean
Air Nonroad Diesel Rule development
process.  In this instance, the air
pollution generated in the nation's cities
and towns by non-road diesel engines
represented the shared  problem.
Additionally, nonroad  engines currently
meet  relatively modest emissions
requirements  and therefore continue to
emit  large amounts of nitrogen  oxides
(NOx) and particulate matter (PM).

The convener of stature for the  rule is
embodied  by the high level support
extended by EPA, OMB,  and the White
House. The EPA Administrator's open
involvement and public support for the
rule helped establish  its  importance in
the eyes of the stakeholders. Also, EPA
and OMB  officials recognized the public
health benefits that curbing non-road
diesel pollution could achieve.

OTAQ assumed the role  of being  the
committed leader in the collaborative
process.  The OTAQ Director guided
the overall process, and  the Director of
the Assessments and Standards
Division for OTAQ also played a key
leadership role from start to finish.
The representatives of substance
included stakeholders from varying
sectors, primarily: engine and
equipment manufacturers; oil refiners;
environmental groups; and nonprofit
coalitions representing state and local
governments.

The clearly-defined purpose  for the
collaboration could be articulated in two
ways:  Symbolically,  the purpose is to
eliminate the dark, plume emissions
that are commonly associated with
non-road diesel engines; and,
specifically, the purpose is to cut
emissions from construction,
agricultural, and  industrial
diesel-powered equipment by more
than 90 percent as well as to remove 99
percent of the sulfur in diesel fuel by
2010.

Throughout this collaboration, EPA
spoke with high-level principals
individually, shared information,  and
heard positions in a continuous round of
ongoing conversations and  continuous
communications.  Stakeholders from all
sectors generally agree EPA attempted
to create a transparent process and a
common  information base.

For  More  Information
Assessment and Standards Division,
Office of Transportation and Air Quality
(734) 214-4636
http://www.epa.gov/innovation/collabora-
tion
or
OTAQ's nonroad page
http://www.epa.gov/nonroad/
United States
Environmental Protection
Agency
      Office of Policy,
      Economics and Innovation
      (1807T)
                           June 2006
                    EPA-231-F-06-004

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