If Procedure 2, Establishing the Level of National Environmental Policy Act (NEPA) Review and Documentation, results in an NCO recommendation to prepare an EA, EIS, or Floodplain or Wetland Assessment,or if a related analysis is needed, the NDM (in consultation with the NCO) has the responsibility to procure a NEPA Document Preparer. The NDM is the Program Manager of the effort. Regardless of how the NEPA document is procured, DOE retains ultimate responsibility for its content. Options for procuring NEPA documents include preparation by one of the following:

(1) The U.S. Department of Energy (DOE). Go to Step 2.

(2) DOE NEPA contractors. Go to Step 3.

(3) The Applicant, including both recipients of financial awards and management and operating (M&O) contractors. This does not apply to EISs. Go to Step 4.

(4) Cooperating Agencies. Go to Step 5.

If DOE prepares the NEPA document itself, the NDM can prepare it himself or recruit other DOE Staff prepare it. This option is often contemplated but rarely implemented because of the complexity and time/resource commitment.

The Procedure ends.

If DOE hires a contractor to prepare the NEPA document, the NDM serves as the NEPA Project Manager over the effort. Pursuant to Procedure 5, Following the Environmental Assessment (EA) Process, and Procedure 6, Following the Environmental Impact Statement (EIS) Process, the NDM, in consultation with their management and the NCO, has ultimate responsibility for the selection of the NEPA Document Preparer. He or she ensures that the NEPA Document Preparer(s) are experienced. Historically, use of less experienced NEPA Document Preparers has resulted in substantial cost and schedule overruns. Although the NDM can use any available contract vehicle, use of the DOE‑Wide NEPA Contracting Vehicle can facilitate the process.

The Procedure ends.

Per 10 CFR 1021.215(d), Applicant Process, the NDM can request that an Applicant prepare an EA—this is DOE’s option, not the Applicant's, and does not apply to EISs (see Step 6). These decisions are based upon whether the Applicant is experienced and has an effective track record in the preparation of DOE NEPA documents and successful cost and schedule management, not on any privilege that comes with their status as the Applicant.

Since there is no NEPA budget independent of general program/project or financial assistance award funding, the NDM works with DOE Program/Project or Financial Assistance Award Staff to budget (out of existing funds) for the preparation of the NEPA document.

If preparation by an Applicant is authorized but results in cost, schedule, or technical disagreements with DOE, the Applicant should be reminded that authorization to expend program/project or award funding is contingent upon successful completion of the NEPA process, which is inherently a DOE‑owned process that must have DOE’s ultimate approval. Failure of the Applicant to address DOE’s cost, schedule, or technical concerns can result in DOE withdrawing Applicant authorization and either canceling the Federal action or finding another NEPA Document Preparer. Note that if the Applicant is a financial assistance award recipient, only with their agreement can award funds be retained by DOE to directly hire/manage a dedicated NEPA contractor per Step 3. DOE cannot unilaterally re-direct award funds.

The NDM is to be sensitive to the fact that if an Applicant directly hires their own NEPA contractor, the contractor reports to the Applicant and not directly to DOE. In such cases, the NDM only provides guidance to the contractor through the Applicant. Every effort is to be made to encourage the Applicant to utilize an experienced NEPA contractor (especially one with familiarity with DOE procedures/requirements) such as those available through the DOE‑Wide NEPA Contracting Vehicle (although the Applicant would be able to access them using their own contracting vehicle).

NOTE:  Per 40 CFR 1506.5, Agency Responsibility, there can be no conflict of interest in the preparation of EISs. The contractor must be chosen and managed solely by DOE SC (together with Cooperating Agencies, if any). A Disclosure Statement to Avoid Conflict of Interest is to be used specifying that the contractor has no financial or other interest in the outcome of the project (See Question and Answer 17a, in 40 Most Asked Questions Concerning CEQ’s NEPA Regulations). There is no such requirement in EA preparation, although DOE should use its discretion when authorizing Applicants to prepare EAs.

The Procedure ends.

If DOE is a Cooperating Agency, as opposed to the Lead Agency, on actions involving more than one Federal agency, DOE has the obligation to procure the NEPA Document Preparer(s) consistent with any agreement with the other agency. Generally, the Lead Agency procures the NEPA Document Preparer. The Procedure ends.

Per 40 CFR 1506.5, Agency Responsibility, there can be no conflict of interest in the preparation of EISs. The contractor must be chosen and managed solely by SC-DOE (together with cooperating agencies, if any). A Disclosure Statement to Avoid Conflict of Interest is to be used specifying that the contractor has no financial or other interest in the outcome of the project (See Question and Answer 17a in NEPA’s Forty Most Asked Questions).