Management System: Environment, Safety, and Health
Subject Area: Implementing the National Environmental Policy Act (NEPA) Within the Office of Science (SC)
Point of Contact: | PETER SIEBACH |
Management System Owner: | PATRICK SMITH |
Secondary Management System Owner: | KARL MORO |
Issue Date: 12/11/2012
SCMS Revision: 2.0
1.0 Introduction
This Subject Area describes how to provide for informed decision-making by assessing the potential for Federal actions to impact the human environment. National Environmental Policy Act's (NEPA’s) implementing regulations, 40 CFR Part 1500 - 1508, Council on Environmental Quality (CEQ): Regulations for Implementing the Procedural Provisions of the National Environmental Policy Act (NEPA), and 10 CFR 1021, U.S. Department of Energy (DOE): National Environmental Policy Act (NEPA) Implementing Procedures, lay out the framework.
Compliance with NEPA is required whenever an agency proposes to take a “major Federal action.” Qualification as a “major Federal action” is two-pronged: (1) has the potential for “significant” impact to the human environment and (2) is “subject to Federal control and responsibility."
2.0 Contents
Procedures |
Procedure Content |
1. Implementing the National Environmental Policy Act (NEPA) Within the Office of Science (SC)
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2. Establishing the Level of National Environmental Policy Act (NEPA) Review and Documentation
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3. Preparing National Environmental Policy Act (NEPA) Annual Planning Summaries and Monthly Reports
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4. Implementing Generic Categorical Exclusion (CX) Determinations
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5. Following the Environmental Assessment (EA) Process
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6. Following the Environmental Impact Statement (EIS) Process
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7. Complying with Floodplain and Wetland Requirements
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8. Managing Historic and Cultural Resources
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9. Conducting Public Participation Under the National Environmental Policy Act (NEPA)
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10. Preparing Quality Assurance (QA) Plans for the National Environmental Policy Act (NEPA) Process
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11. Complying with the Endangered Species Act
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12. Obtaining a National Environmental Policy Act (NEPA) Document Preparer
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13. Following the Environmental Critique and Environmental Synopsis Processes (RESERVED)
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RESERVED |
14. Maintaining Administrative Records for the National Environmental Policy Act (NEPA) Process
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3.0 Exhibits/Forms
Delegations of Authority and NEPA Compliance Officer (NCO) Designations
Environmental Assessment Determination and Cover Memorandum (Example)
Environmental Assessment/Environmental Impact Statement Flowchart Comparison
Flowchart for Determining the Appropriate Level of NEPA Review
National Environmental Policy Act (NEPA) Environmental Evaluation Notification Form (Example)
Public Participation Activities, Responsibilities, and Timing
4.0 Related Information
Council on Environmental Quality (CEQ) Guidance
Appropriate Use of Mitigation and Monitoring and Clarifying the Appropriate Use of Mitigated Findings of No Significant Impact (Memorandum, 01/14/2011)
75 FR 75628, Council on Environmental Quality, 40 CFR Parts 1500 to 1508, Final Guidance for Federal Departments and Agencies on Establishing, Applying, and Revising Categorical Exclusions under the National Environmental Policy Act (12/06/2010)
A Citizen’s Guide to the NEPA: Having Your Voice Heard (12/2007)
Guidance on the Consideration of Past Actions in Cumulative Effects Analysis (Memorandum, 06/24/2005)
Memorandum from Council on Environmental Quality to Federal NEPA Contacts, Subject: Emergency Actions and NEPA (09/08/2005)
Reporting Cooperating Agencies in Implementing the Procedural Requirements of the National Environmental Policy Act (Memorandum, 12/23/2004)
Improving the NEPA Process Through Enhanced Tribal Capacity (Memorandum, 07/30/2004)
Purpose and Need: CEQ Exchange of Letters with Secretary of Transportation (Letters, 05/06/2003)
Cooperating Agencies in Implementing the Procedural Requirements of the National Environmental Policy Act (Memorandum, 01/30/2002)
Identifying non‑Federal Cooperating Agencies in Implementing the Procedural Requirements of the National Environmental Policy Act (Memorandum, 09/25/2000)
Designation of non‑Federal Agencies as Cooperating Agencies in Implementing The Procedural Requirements of the National Environmental Policy Act (Memorandum, 07/28/1999)
Considering Cumulative Effects Under the National Environmental Policy Act (Report, 01/1997)
Environmental Justice: Guidance Under the National Environmental Policy Act (Report, 12/10/1997)
Incorporating Biodiversity Considerations into Environmental Impact Analysis under the National Environmental Policy Act (Report, 01/1993)
NEPA at 19: A Primer on an “Old” Law with Solutions to New Problems (Article, 1989)
40 Most Asked Questions Concerning CEQ’s NEPA Regulations (Memorandum PDF or Online Questions/Answers Web Page, 03/16/1981)
49 FR 49750, Council on Environmental Quality, 40 CFR Ch. V, National Environmental Policy Act (NEPA) Implementation Procedures; Appendices I, II, and III (12/21/1984)
Guidance Regarding NEPA Regulations (Memorandum, 07/22/1983)
Scoping Guidance in Memorandum from Council on Environmental Quality to General Counsels, NEPA Liaisons, and Participants in Scoping (Memorandum, 04/30/1981)
Guidance on Applying Section 404(r) of the Clean Water Act to Federal Projects Which Involve the Discharge of Dredged or Fill Materials into Waters of the U.S., Including Wetlands (Memorandum, 11/17/1980)
Analysis of Impacts on Prime or Unique Agricultural Lands in Implementing the National Environmental Policy Act (Memorandum, 08/11/1980)
U.S. Department of Energy (DOE) Guidance
Directory of Potential Stakeholders for DOE Action under NEPA, 29th Edition (07/2012; Revised 08/07/2012)
DOE, NEPA, and You Pamphlet (2011)
DOE Policy on Public Involvement in the Environmental Assessment Process (Memorandum, 07/16/2010)
Procedures for Submitting Documents for Posting on the DOE NEPA Website (www.gc.energy.gov/NEPA) (08/2008)
NEPA Guidance on EIS Distribution (Memorandum, 06/2006)
Need to Consider Intentional Destructive Acts in NEPA Documents (Memorandum, 12/01/2006)
NEPA Guidance: Recommendations for the Supplement Analysis Process (Memorandum, 07/20/2005)
The Environmental Style: Writing Environmental Assessments and Impact Statements (10/2005)
Using the National Environmental Policy Act Process to Further the Department’s Mission and Goals (Memorandum, 02/16/2005)
Mini-Guidance Articles from Lessons Learned Quarterly Reports, 12/1994 to 09/2005 (10/2005)
DOE NEPA Guidance: Revised Recommendations for the Preparation of Environmental Assessments and Environmental Impact Statements (The Green Book), 2nd Edition (Memorandum, 12/23/2004)
National Environmental Policy Act Document Managers’ Guidance, U.S. DOE Office of Science and Chicago Office (05/31/2000)
NEPA Guidance on the EIS Comment-Response Process (Memorandum, 10/08/2004)
Guidance Regarding Actions That May Proceed During the National Environmental Policy Act (NEPA) Process: Interim Actions (Memorandum, 06/17/2003)
Annual National Environmental Policy Act Planning Summaries (Memorandum, 12/19/2003)
67 FR 62446, Department of Energy, Final Report Implementing Office of Management and Budget Information Dissemination Quality Guidelines (10/07/2002)
Final Guidance: Recommendations for Analyzing Accidents Under the National Environmental Policy Act (Memorandum, 07/10/2002)
DOE/EM/NTP/HB-01, A Resource Handbook on DOE Transportation Risk Assessment (07/2002)
DOE Policies on Application of NEPA to CERCLA and RCRA Cleanup Actions (Memorandum, 07/11/2002)
Guidance on Clean Air Act General Conformity Requirements and the National Environmental Policy Act Process (Memorandum, 04/21/2000)
Guidance on Environmental Impact Statement Summary (Memorandum, 09/29/1998)
Effective Public Participation under the National Environmental Policy Act, 2nd Edition (08/1998)
Revised "Frequently Asked Questions on the Department of Energy's (DOE’s) National Environmental Policy Act (NEPA) Regulations" (Memorandum, 08/21/1998)
Guidance on National Environmental Policy Act (NEPA) Categorical Exclusion Determinations (Memorandum, 01/16/1998)
Designating and Supporting NEPA Document Managers (Memorandum, 11/24/1998)
Environmental Impact Statement Checklist (Memorandum, 11/12/1997)
Guidance for Compliance with the National Environmental Policy Act (NEPA) for Corrective Actions Conducted under the Resource Conservation and Recovery Act (RCRA) (Memorandum, 12/23/1997)
61 FR 36222, Preamble to Final Rulemaking, Department of Energy, 10 CFR Part 1021, National Environmental Policy Act Implementing Procedures; Final Rule (07/09/1996)
61 FR 64603, Preamble to Final Rulemaking, Department of Energy, 10 CFR Part 1021, National Environmental Policy Act Implementing Procedures; Final Rule (12/06/1996)
Guidance for Site‑Wide Environmental Impact Statements (Memorandum, 05/08/1995)
Questions and Answers on the Secretarial Policy Statement on the National Environmental Policy Act (07/1994)
Environmental Assessment Checklist (Memorandum, 08/16/1994)
Secretarial Policy Statement on the National Environmental Policy Act (Memorandum, 06/13/1994)
E. O. 12114, Environmental Effects Abroad of Major Federal Actions (01/04/1979) via 46 FR 1007, Implementation of Executive Order 12114 Environmental Effects Abroad of Major Federal Actions; Final Guideline (01/05/1981)
U.S. Environmental Protection Agency (EPA) Guidance
77 FR 51530, Environmental Protection Agency, Amended Environmental Impact Statement Filing System Guidance for Implementing 40 CFR 1506.9 and 1506.10 of the Council on Environmental Quality’s Regulations Implementing the National Environmental Policy Act (08/24/2012)
Reflecting the Revised Particulate Matter (PM)2.5 National Ambient Air Quality Standard in NEPA Evaluations (Memorandum, 06/25/2007)
EPA's Section 309 Review: The Clean Air Act and NEPA (Quick Reference Brochure, 07/1999)
EPA 315-R-99-002, Consideration of Cumulative Impacts in EPA Review of NEPA Documents (05/1999)
Final Guidance for Consideration of Environmental Justice in Clean Air Act 309 Reviews (07/1999)
Pollution Prevention – Environmental Impact Reduction Checklists for NEPA/309 Reviewers (01/1995)
Frequently Asked Questions on Filing EISs with EPA's Office of Federal Activities (Letter, 02/15/1994)
Guidance on Incorporating EPA’s Pollution Prevention Strategy into the Environmental Review Process (Memorandum, 02/24/1993)
Habitat Evaluation: Guidance for the Review of Environmental Impact Assessment Documents (01/1993)
Policy and Procedures for the Review of Federal Actions Impacting the Environment (10/03/1984)
Other Guidance
75 FR 885, Presidential Proclamation 8469, Presidential Proclamation on the 40th Anniversary of National Environmental Policy Act, 2010 (White House, 12/31/2009)
Managing NEPA at the Department of Energy (A Study/Report by the National Academy of Public Administration for the U.S. DOE, 07/1998)
The Application of NEPA to CERCLA Cleanups (U.S. Department of Justice, Memorandum, 01/23/1995)
- 44 FR 65560, Unified Procedures Applicable to Major Federal Actions Relating to Nuclear Activities Subject to Executive Order 12114 (U.S. Department of State, 11/13/1979)
Other Procedure References
Agency Recordkeeping Requirements: a Management Guide (National Archives and Records Administration, 1995)
Aligning National Environmental Policy Act Processes with Environmental Management Systems, A Guide for NEPA and EMS Practitioners (CEQ, 04/2007)
A Brief Guide: DOE‑Wide National Environmental Policy Act Contracts (Revised 05/2003)
36 CFR 60, National Register of Historic Places
36 CFR 63, Determination of Eligibility for Inclusion in the National Register
36 CFR 65, National Historic Landmarks Program
36 CFR 68, The Secretary of Interior’s Standards for the Treatment of Historic Properties
36 CFR 78, Waiver of Federal Agency Responsibilities Under Section 110 of the NHPA
36 CFR 79, Curation of Federally Owned and Administered Archaeological Resources
43 CFR 7, Protection of Archaeological Resources
43 CFR 10, Native American Graves Protection and Repatriation Regulations
50 CFR 402, Joint Regulations on Endangered Species: Interagency Cooperation – Endangered Species Act of 1973, As Amended
DOE O 243.1A, Records Management Program (11/07/2011)
DOE O 414.1D, Quality Assurance (04/25/2011)
DOE G 450.1-3, Environmental Guidelines for Development of Cultural Resource Management Plans (CANCELED)
DOE NEPA Document Certification and Transmittal Form (08/2012)
DOE Records Schedule for Environmental Records (08/25/2003)
E.O. 11593, Protection and Enhancement of the Cultural Environment (05/13/1971)
74 FR 52129, U.S. Department of Energy, 10 CFR Part 1021, Online Posting of Certain DOE Categorical Exclusion Determinations; Policy Statement (10/09/2009)
77 FR 14473, Council on Environmental Quality: Final Guidance on Improving the Process for Preparing Efficient and Timely Environmental Reviews Under the National Environmental Policy Act (03/12/2012)
Guidance to Federal Agencies on Compiling the Administrative Record (U.S. Department of Justice, 01/1999)
Memorandum from Carol M. Borgstrom, EH-25, to Distribution, Subject: Procedures for Compliance with Floodplain/Wetlands Environmental Review Requirements (10 CFR 1022) (Dated 10/16/1992; Modified 09/1994)
NEPA Lessons Learned Questionnaire, Revision IV (U.S. DOE Office of NEPA Policy and Compliance, 03/3009)
Office of Science Integrated Support Center Service Plan (Updated Annually)
Preamble: 10 CFR Part 1021, DOE NEPA Rulemaking Process
Recommendations for the Supplement Analysis Process (07/2005)
Secretarial Policy Statement on the National Environmental Policy Act, signed by Hazel O’Leary (06/13/1994)
- Procedure 7, Transferring and Destroying Records
5 U.S.C. 552, Freedom of Information Act (FOIA)
16 U.S.C. 469-469C-2, Archaeological and Historic Preservation Act of 1974
16 U.S.C. 470aa-470mm, Archaeological Resources Protection Act (ARPA) of 1979, As Amended
16 U.S.C. 661-666c, Fish and Wildlife Coordination Act
16 U.S.C. 668-668d, Bald and Golden Eagle Protection Act
16 U.S.C. 703-711, Migratory Bird Treaty Act
16 U.S.C. 1361-1407, Marine Mammal Protection Act of 1972
25 U.S.C. 3001 et seq., Native American Graves Protection and Repatriation Act of 1990
- 42 U.S.C. 1996 and 1996a, American Indian Religious Freedom Act of 1978
5.0 Requirements
Document | Title | Requirement Decision Record |
10 CFR 1021 | National Environmental Policy Act Implementing Procedures | Completed |
10 CFR 1022 | Compliance with Floodplain and Wetland Environmental Review Requirements | Completed |
36 CFR 800 | Protection of Historic Properties | Completed |
40 CFR 1500 | Council on Environmental Quality; Purpose, Policy, and Mandate | Completed |
40 CFR 1501 | Council on Environmental Quality, NEPA and Agency Planning | Completed |
40 CFR 1502 | Council on Environmental Quality, Environmental Impact Statement | Completed |
40 CFR 1503 | Council on Environmental Quality, Commenting | Completed |
40 CFR 1504 | Council on Environmental Quality, Predecision Referrals to the Council of Proposed Federal Actions Determined to be Environmentally Unsatisfactory | Completed |
40 CFR 1505 | Council on Environmental Quality, NEPA and Agency Decision Making | Completed |
40 CFR 1506 | Council on Environmental Quality, Other Requirements of NEPA | Completed |
40 CFR 1507 | Council on Environmental Quality, Agency Compliance | Completed |
40 CFR 1508 | Council on Environmental Quality, Terminology and Index | Completed |
DOE P 141.1 | Department Of Energy Management Of Cultural Resources | Completed |
DOE O 451.1B, Admin. Change 3 | National Environmental Policy Act Compliance Program | Completed |
E.O. 11514 | Protection And Enhancement Of Environmental Quality (Amended by E.O. 11541 and E.O. 11991) | Completed |
E.O. 11988 | Floodplain Management (Amended by E.O. 12148) | Completed |
E.O. 11990 | Protection Of Wetlands (Amended by E.O. 12608) | Completed |
E.O. 12114 | Environmental Effects Abroad Of Major Federal Actions | Completed |
E.O. 12898 | Federal Actions To Address Environmental Justice In Minority Populations and Low-Income Populations (Amended by E.O. 12948) | Completed |
E.O. 13045 | Protection of Children From Environmental Health Risks and Safety Risks | Completed |
E.O. 13112 | Invasive Species (Amended by E.O. 13286) | Completed |
E.O. 13158 | Marine Protected Areas | Completed |
E.O. 13175 | Consultation And Coordination With Indian Tribal Governments | Completed |
E.O. 13186 | Responsibilities Of Federal Agencies To Protect Migratory Birds | Completed |
E.O. 13211 | Actions Concerning Regulations that Significantly Affect Energy, Supply, Distribution, or Use | Completed |
E.O. 13212 | Actions to Expedite Energy-Related Projects (Amended by E.O. 13286 and E.O. 13302) | Completed |
E.O. 13287 | Preserve America | Completed |
E.O. 13296 | Protection of Children From Environmental Health Risks and Safety Risks, Amendments to Executive Order 13045 | Completed |
E.O. 13423 | Strengthening Federal Environmental, Energy, And Transportation Management | Completed |
E.O. 13547 | Stewardship of the Ocean, Our Coasts, and the Great Lakes | Completed |
16 U.S.C., Section 1385 | Conservation and Protection of Marine Mammals; Dolphin Protection | Completed |
42 U.S.C., Section 4321 | National Environmental Policy Act of 1969 | Completed |
42 U.S.C., Section 4371 | Environmental Quality Improvement Act of 1970 | Completed |
42 U.S.C. 7401 | Clean Air Act, Section 309 | Completed |
6.0 Definitions
This is not the online OFFICIAL SCMS COPY of this file. Before using this printed copy, verify that it is the most current version by checking the Last Major Revision and Last Minor Revision dates (at the bottom of each document) on the SCMS Web site.
This is the online OFFICIAL SCMS COPY of this file. Before using a printed copy, verify that it is the most current version by checking the Last Major Revision and Last Minor Revision dates (at the bottom of each document) on the SCMS Web site.
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Last Major SCMS Revision: 12/11/2012