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Better Decisions through Consultation and Collaboration
TABLE OF CONTENTS
Front Cover (PDF) (1 pg, 804K)
Acknowledgments and Table of Contents (PDF) (4 pp, 59K)
INTRODUCTION (PDF) (18 pp, 233K) . .. . .. . .. . .. . .. . .. . .. . ... . .. . .. . .. . .. . .. . .1
A. Purpose of the Handbook. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
B. EPA’s Public Involvement Policy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
C. Involving the Public Helps You. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
D. Early Planning is IMPORTANT. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
E. Understanding the Continuum of Consultation and Collaboration. . 6
F. Introduction to the Range of Stakeholder Involvement Outcomes. . 7
STAGE 1: SITUATION ASSESSMENT — INTERNAL (PDF) (10 pp, 134K) . .. .19
A. Conducting an Internal Assessment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
B. Involving Other EPA Staff in Your Decision. . . . . . . . . . . . . . . . . . . . . . . . . . . 21
C. Determining if Agency Action Warrants Stakeholder Involvement. . . . . . . . . . 22
D. Making a Preliminary Decision. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Questions to Answer in the Internal Assessment Stage. . . 25
STAGE 2: SITUATION ASSESSMENT — EXTERNAL (PDF) (14 pp, 189K). .. . .29
A. What is External Situation Assessment. . 29
B. When to Start - Four General Tips. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
C. When to Use a Neutral Convener. . 31
D. Suggestions for Finding Stakeholders. . . 32
E. Conducting the External Assessment Process. . . 33
F. The Convener’s Report. . 37
G. The Results of the External Assessment Process. . . 38
Questions to Answer in the External Situation Assessment Stage. . 40
STAGE 3: DESIGNING THE PROCESS — WHAT, WHEN, WHO, HOW (PDF) (24 pp, 292K). .. . .43
A. inalizing the Process Choice: “What”. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
B. Process Structure: “When, Who, How”. . 45
C. Process Design. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
D. Integration with Other EPA Processes. . . 62
Design Consideration Questions. . . 63
STAGE 4: CONDUCTING THE PROCESS (PDF) (8 pp, 106K) .. . .. . .. . .. . .. . .. . .. .67
A. Five Roles for EPA Staff. . 67
B. How to Work Well with a Facilitator/Mediator. . . 68
C. Adapting Your Process to Changing Circumstances. . 69
D. Knowing When the Process is Over. . . 71
Questions to Consider in Conducting the Stakeholder Involvement Process. . . 68
STAGE 5: BENEFITING FROM THE RESULTS (PDF) (10 pp, 128K). .. . .. . .. . .. . .. .75
A. Incorporating the Results into Decisions. . .. . .75
B. Providing Appropriate Feedback. . .. . .. . .. . .. . .. . .. . .. . .. . .. . .. . .. . .. . .. . .78
C. Learning from Your Experience. . .. . .79
D. Telling Your Story. . .. . .81
Questions Regarding Benefiting from the Stakeholder Involvement Process. .83
APPENDICES (PDF) (52 pp, 375K)
APPENDIX I Collaboration and FACA at EPA. . 85
APPENDIX II Best Practices for Government Agencies: Guidelines for Using
Collaborative Agreement Seeking Processes . . . . . . . . . . . . . . . . . . . . . . . 91
APPENDIX III Choosing an Appropriate Facilitator. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
APPENDIX IV Ethical Standards of Professional Responsibility. . . . . . . . . . . . . . . . . . . . 109
APPENDIX V Case Studies. . . 113
Case Study A Information Exchange: On-line Dialogue on Public Involvement in EPA Decisions. . . 113
Case Study B Information Exchange: Listening Sessions for the Total Maximum
Daily Load Rulemaking. . . 115
Case Study C Information Exchange: Forum on Ritualistic Uses of Mercury. . . . . . . . . . 117
Case Study D Recommendations Process: Endocrine Disruptors Screening and
Testing Advisory Committee (EDSTAC). . . . . . . . . . . . . . . . . . . . . . . . . . . 119
Case Study E Recommendations Process: Murray Smelter Site-Specific Facilitated Discussion. . . 122
Case Study F Recommendations Process: Federal Facilities Environmental Restoration Dialogue Committee (FFERDC). . . 124
Case Study G Agreement Process: Negotiated Rulemaking On Performance Standards for Woodburning Stoves. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127
Case Study H Agreement Process: Washington Navy Yard Permit Mediation. . . . . . . . . . 129
Case Study I Agreement Process: McKin Superfund Site. . . . . . . . . . . . . . . . . . . . . . . . 131
Case Study J Agreement Process: Negotiated Rulemaking to Develop the All Appropriate Inquiry Standard Required under the Small Business Liability Relief and Brownfields Revitalization Act. . . 133
APPENDIX VI Selected Stakeholder Involvement References. . . . . . . . . . . . . . . . . . . . . . 135