Management System: Environment, Safety, and Health
Subject Area: Implementing the National Environmental Policy Act (NEPA) Within the Office of Science (SC)
Procedure 5. Following the Environmental Assessment (EA) Process
Subject Matter Expert: | PETER SIEBACH |
---|---|
Management System Owner: | PATRICK SMITH |
Secondary Management System Owner: | KARL MORO |
Issue Date: 12/11/2012
SCMS Revision: 2.0
1.0 Applicability
This Procedure applies to Office of Science (SC) Staff who prepare, review, or approve National Environmental Policy Act (NEPA) Environmental Assessment Determinations (EADs), Environmental Assessments (EAs), or Findings of No Significant Impact (FONSIs) for SC actions. This includes the Secretarial Officer (SO) (i.e., the Director of the Office of Science), Heads of Field Organizations (HFOs) (i.e., SC Site Office Managers and SC Integrated Support Center [ISC] Managers), Line Program/Project Managers, NEPA Compliance Officers (NCOs), NEPA Document Managers (NDMs), Legal Counsel, and Public Affairs/Communications Specialists.
2.0 Required Procedure
The EA process is laid out in the Environmental Assessment Flowchart. Additionally the Environmental Assessment/Environmental Impact Statement Flowchart Comparison illustrates the similarities and differences of the EA and EIS processes
Step 1 | If either the Supplement Analysis Process or Procedure 2, Establishing the Level of National Environmental Policy Act (NEPA) Review and Documentation, results in an NCO recommendation to prepare an EA, the NCO, with the assistance of the responsible Line Organization, prepares an EAD memorandum to facilitate a formal determination by the SO/HFO. The EAD includes:
See the Environmental Assessment Determination and Cover Memorandum (Example). NOTE: For complex actions, the NCO may initiate early internal scoping prior to the EAD. |
Step 2 | Following approval of the EAD, the NCO, with the assistance of the NDM, obtains an EA document number from the U.S. Department of Energy (DOE) Headquarters (HQ) Office of NEPA Policy and Compliance (GC‑54). The following information is to be provided:
|
Step 3 | The NCO instructs the NDM concerning the duties of that position. See (1) Designating and Supporting NEPA Document Managers; and (2) National Environmental Policy Act Document Managers’ Guidance, U.S. DOE Office of Science and Chicago Office. |
Step 4 | The NDM, in consultation with the NCO and Legal Counsel, commences maintenance of the official administrative record. See Procedure 14, Maintaining Administrative Records for the National Environmental Policy Act (NEPA) Process. |
Step 5 | The NDM commences routine reporting per Procedure 3, Preparing National Environmental Policy Act (NEPA) Annual Planning Summaries and Monthly Reports. |
Step 6 | The NCO, in accordance with Procedure 9, Conducting Public Participation Under the National Environmental Policy Act (NEPA), initiates the public participation process by notifying host state(s) and tribe(s) in writing the intent to prepare an EA. The NCO should also commence outreach to other Federal and local government officials, and other appropriate stakeholders (if any) |
Step 7 | The NDM seeks the cooperation of other potentially involved/interested agencies, including Federal, state, local, tribal, and nongovernmental entities, as needed. In consultation with the SO/HFO, Legal Counsel, and Program/Project Management, these other organizations are to be invited to be cooperating agencies on the NEPA document. |
Step 8 | The NDM, in consultation with the NCO, assembles the NEPA Project Team. The members of the NEPA Project Team could (depending on the complexity, degree of public concern, or the level of controversy regarding the action) include the following:
|
Step 9 | Although not required, in consultation with the NCO, the NDM may prepare, in accordance with Procedure 9, Conducting Public Participation Under the National Environmental Policy Act (NEPA), and Procedure 10, Preparing Quality Assurance (QA) Plans for the National Environmental Policy Act (NEPA) Process, specific QA plans and public participation plans. The NDM may also prepare an implementation plan. |
Step 10 | The NDM, with support from the NCO and DOE Program Manager/Project Director, designates the NEPA Document Preparer. See Procedure 12, Obtaining a National Environmental Policy Act (NEPA) Document Preparer. |
Step 11 | The NDM, with the support of the NCO, leads the NEPA Project Team in internal scoping to identify the issues and alternatives to be evaluated and the depth of analysis required. The NDM and NEPA Document Preparer minimally provide the NEPA Project Team Members with the following information at or prior to the first internal scoping meeting:
The number and format of the internal scoping meetings are to be commensurate with the complexity of the action and the degree of public concern. The internal scoping process for an EA is considered complete when the NEPA Project Team reaches a consensus on the scope of the EA, the technical approach to the NEPA process, document organization, and for a data call necessary for NEPA document preparation. NOTE: If at any time during the scoping process information and analysis indicate the potential for significant impacts, the EA process may be suspended and a Notice of Intent (NOI) to prepare an EIS issued in accordance with Procedure 6, Following the Environmental Impact Statement (EIS) Process. |
Step 12 | The NEPA Document Preparer commences preparation of the EA. |
Step 13 | The NDM and NCO, with the assistance of the NEPA Document Preparer, transmit official requests for consultation to other Federal Agencies with jurisdiction over the proposed action, including the State and U.S. Fish and Wildlife Service (FWS) (under Section 7 of the Endangered Species Act, As Amended); the U.S. Army Corps of Engineers and appropriate state agencies (under Section 404 of the Clean Water Act, As Amended); and the State/Tribal Historic Preservation Officer (under Section 106, National Historic Preservation Act, As Amended). See Procedure 7, Complying with Floodplain and Wetland Requirements; Procedure 8, Managing Historic and Cultural Resources; and Procedure 11, Complying with the Endangered Species Act. The NDM ensures that these requirements are met, with few exceptions, prior to release of the Final Draft EA. |
Step 14 | During document preparation, the NDM, with support from the NCO and Legal Counsel, ensures that the Final Draft NEPA Document is prepared in accordance with the DOE NEPA Guidance: Revised Recommendations for the Preparation of Environmental Assessments and Environmental Impact Statements (The Green Book), 2nd Edition, and other relevant guidance. |
Step 15 |
|
Step 16 | The NEPA Document Preparer, as necessary, reworks the EA until an adequate Final Draft is obtained. If the NEPA Document Preparer is unable to produce an adequate product, the NDM, in coordination with the DOE Project Director and DOE Contracting Officer, obtains a new NEPA Document Preparer. |
Step 17 | The NDM arranges for a classification review of the Final Draft EA prior to public release. |
Step 18 | In accordance with Procedure 9, Conducting Public Participation Under the National Environmental Policy Act (NEPA), and with the support of Legal Counsel and Local Public Affairs/Communications Staff, the NDM prepares letters to the host state(s), tribe(s), and other Federal and local government stakeholders to request comment. At HFO/SO discretion, the signing of these letters may be delegated Consistent with internal scoping, notification of availability of the Final Draft EA for comment may be placed in the local media and public comment solicited. |
Step 19 | The NDM ensures that states, tribes, other Federal and local government agencies, and potentially the public have at least 14 to 30 calendar days to review and comment on the Final Draft EA. |
Step 20 | The NDM, NCO, and the SC NCO provide two paper copies of the Final Draft EA, an electronic file for posting on‑line, and a completed DOE NEPA Document Certification and Transmittal Form to the Office of NEPA Policy and Compliance. If public comment is not being solicited, the NDM instructs the Office of NEPA Policy and Compliance not to post the EA on‑line. |
Step 21 | The NDM may hold a public hearing in accordance with Procedure 9, Conducting Public Participation Under the National Environmental Policy Act (NEPA). |
Step 22 |
|
Step 23 | The NEPA Document Preparer makes necessary changes to the Final Draft EA and prepares a comment/response appendix that is included in the Preliminary Final EA. |
Step 24 |
|
Step 25 | The NDM, as necessary, repeats the preceding two steps until an adequate Preliminary Final EA is obtained. |
Step 26 | The NDM ensures that a security review of the Preliminary Final EA is conducted prior to public release. |
Step 27 | If the EA will not support a FONSI, the EA process terminates and the NCO prepares an EISD recommendation to the SO or HFO. Procedure 6, Following the Environmental Impact Statement (EIS) Process, commences. |
Step 28 | If the EA supports a FONSI, the NCO prepares a recommendation to the SO/HFO to approve the EA. It may take the form of an action memorandum (with a copy of the EA attached), signed by the NCO with an approval line for the SO/HFO. The memorandum can also be used to transmit the FONSI to the SO/HFO for signature. Alternatively, EA approval may occur in a memorandum signed directly by the SO/HFO. See Environmental Assessment Approval Memorandum (Example). The concurrence chain minimally includes the NDM, Chief Counsel, Staff Counsel, Line Program/Project Manager, and the Local Public Affairs/Communications Manager. |
Step 29 |
|
Step 30 | The NDM, with support from the NCO and other members of the NEPA Project Team, prepares as necessary a “mitigation action plan” and begins annual reporting. |
Step 31 | The NDM, with support from the NCO and other members of the NEPA Project Team, completes the Lessons Learned Questionnaire, Revision III. |
Step 32 | The administrative record is closed out and maintained in accordance with Procedure 14, Maintaining Administrative Records for the National Environmental Policy Act (NEPA) Process. |
3.0 References
-
Requirements
-
10 CFR Part 1021, U.S. Department of Energy (DOE): National Environmental Policy Act (NEPA) Implementing Procedures
-
Preamble: 10 CFR Part 1021, DOE NEPA Rulemaking Process
-
10 CFR 1021, Appendix D to Subpart D of Part 1021—Classes of Actions that Normally Require EISs
-
40 CFR Part 1500 - 1508, Council on Environmental Quality (CEQ): Regulations for Implementing the Procedural Provisions of the National Environmental Policy Act (NEPA)
-
DOE O 451.1B, Admin. Change 3, National Environmental Policy Act Compliance Program (01/19/2012)
- 16 U.S.C. 470, National Historic Preservation Act (NHPA) of 1966, As Amended
- Section 106, "16 U.S.C. 470f — Advisory Council on Historic Preservation, Comment on Federal Undertakings"
- 16 U.S.C. 1531 et. seq., Endangered Species Act of 1973, As Amended
- Section 7, "Interagency Cooperation"
- 33 U.S.C. 1251 et seq., Clean Water Act, As Amended
- Section 404, "Permits for Dredged or Fill Material"
-
42 U.S.C. 4321 et seq., National Environmental Policy Act (NEPA) of 1969, As Amended
-
42 U.S.C., Section 4371, Environmental Quality Improvement Act of 1970
- Guidance
-
DOE NEPA Document Certification and Transmittal Form (08/2012)
-
Designating and Supporting NEPA Document Managers (Memorandum, 11/24/1998)
-
Designation of non‑Federal Agencies as Cooperating Agencies in Implementing The Procedural Requirements of the National Environmental Policy Act (Memorandum, 07/28/1999)
-
Environmental Assessment Checklist (Memorandum, 08/16/1994)
-
Guidance on Environmental Impact Statement Summary (Memorandum, 09/29/1998)
-
The Environmental Style: Writing Environmental Assessments and Impact Statements (10/2005)
-
Frequently Asked Questions on Filing EISs with EPA's Office of Federal Activities (Letter, 02/15/1994)
-
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 for Site‑Wide Environmental Impact Statements (Memorandum, 05/08/1995)
-
NEPA Lessons Learned Questionnaire, Revision IV (U.S. DOE Office of NEPA Policy and Compliance, 03/3009)
-
Mini-Guidance Articles from Lessons Learned Quarterly Reports, 12/1994 to 09/2005 (10/2005)
-
National Environmental Policy Act Document Managers’ Guidance, U.S. DOE Office of Science and Chicago Office (05/31/2000)
-
Procedures for Submitting Documents for Posting on the DOE NEPA Website (www.gc.energy.gov/NEPA) (08/2008)
-
DOE Policy on Public Involvement in the Environmental Assessment Process (Memorandum, 07/16/2010)
-
DOE NEPA Guidance: Revised Recommendations for the Preparation of Environmental Assessments and Environmental Impact Statements (The Green Book), 2nd Edition (Memorandum, 12/23/2004)
-
Recommendations for the Supplement Analysis Process (07/2005)
-
Reporting Cooperating Agencies in Implementing the Procedural Requirements of the National Environmental Policy Act (Memorandum, 12/23/2004)
-
Scoping Guidance in Memorandum from Council on Environmental Quality to General Counsels, NEPA Liaisons, and Participants in Scoping (Memorandum, 04/30/1981)
-
Exhibits and Procedures
-
Environmental Assessment Determination and Cover Memorandum (Example)
-
Environmental Assessment/Environmental Impact Statement Flowchart Comparison
-
Flowchart for Determining the Appropriate Level of NEPA Review
-
Public Participation Activities, Responsibilities, and Timing
-
Procedure 2, Establishing the Level of National Environmental Policy Act (NEPA) Review and Documentation
-
Procedure 3, Preparing National Environmental Policy Act (NEPA) Annual Planning Summaries and Monthly Reports
-
Procedure 6, Following the Environmental Impact Statement (EIS) Process
-
Procedure 7, Complying with Floodplain and Wetland Requirements
-
Procedure 8, Managing Historic and Cultural Resources
-
Procedure 9, Conducting Public Participation Under the National Environmental Policy Act (NEPA)
-
Procedure 10, Preparing Quality Assurance (QA) Plans for the National Environmental Policy Act (NEPA) Process
-
Procedure 11, Complying with the Endangered Species Act
-
Procedure 12, Obtaining a National Environmental Policy Act (NEPA) Document Preparer
-
Procedure 14, Maintaining Administrative Records for the National Environmental Policy Act (NEPA) Process
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.
Send a question or comment to the
SCMS Help Desk.
Disclaimer
Last Major SCMS Revision: 12/11/2012