1. 1 Deborah Dalton, Elena Gonzalez, and Patrick Field EPA, DOI, CBI Overview - Negotiated Rulemaking

2. 2 Negotiated Rulemaking Act Purpose The purpose of this subchapter is to establish a framework for the conduct of negotiated rulemaking, consistent with section 553 of this title, to encourage agencies to use the process when it enhances the informal rulemaking process. Nothing in this subchapter should be construed as an attempt to limit innovation and experimentation with the negotiated rulemaking process or with other innovative rulemaking procedures otherwise authorized by law553

3. 3 Negotiated Rulemaking Act Determination of Need There is a need for a rule Limited # of identifiable interests significantly affected Balanced representation can be reasonably expected Reasonable expectation consensus can be reached within a timeframe Will not unreasonably delay promulgation of a rule The agency has the resources to support the process The agency, within legal obligations will use any consensus “as the basis for the rule”

4. 4 Negotiated Rulemaking Context Augments, does not replace, the Agency’s rulemaking process Rule must still go through normal Agency and administration review processes Rule must still comply with other applicable statutes and executive orders Draft rule is still subject to appropriate environmental and other reviews (GSA and FACA, OMB, and EIS or EIR requirements) Lead agency still required to fulfill consultation obligations with other agencies (i.e., FWS and ESA). Rule still is subject to public comment per the APA If agreement is not reached, agency proceeds with its own rule.

5. 5 Negotiated Rulemaking Governing Statutes and Policies Negotiated Rulemaking Act 1996 Administrative Dispute Resolution Act 1996 EPA Alternative Dispute Resolution Policy 2000 Federal Advisory Committee Act (FACA)

6. 6 History 1982 ACUS recommends agencies experiment with technique 1983 FAA and US EPA initiate pilots 1990 Congress enacts Negotiated Rulemaking Act 1996 Congress reauthorizes as part of APA

7. 7 DOI Rulemaking Process 1.Consult with bureau and Department regulatory contact in Exec. Sec. and SOL 2.Prepare regulatory alert form and record of compliance, add to semiannual agenda and OMB list 3.Develop draft rule and preamble in consultation with reg contacts and SOL 4.Circulate for review, surnaming, and signature (within bureau and to SOL and Exec. Sec. ) 5.Forward to Exec. Sec. to obtain Chief of Staff approval once rule is signed and ready to go forward to either OMB or Federal Register 6.Send to OMB, if necessary 7. Publish rule in Federal Register 8. Analyze public comments and repeat steps 3 through 7 to prepare final rule

8. 8 Program Office Steering Committee and AO Approval Workgroup (Tiers 1 & 2) Lead Office (Tier 3) Assign to Tier 1, 2, or 3 Analysis Alternatives Selection Rule writing Consultation (State, local, etc.) OMB Review (when necessary) Federal Register Publication Workgroup Analyzes Public Comment The Administrator Workgroup: Tier 1 & 2 If Tier 3 Final Agency Review Meeting ( Tiers 1 & 2) Or EPA Rulemaking Process

9. 9 Negotiated Rulemaking Process BeforeDuringAfter Agency interest in Reg Neg Select facilitator Conduct convening assessment Plan & organize the process Obtain FACA charter Identify & invite participants Assemble, analyze, agree on data Consult constituents Construct and analyze options Constituent ratification Finalize agreement Final Agency Review OMB Review Administrator signs NPRM Published Public comment

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11. 11 GENERAL REQUIREMENTS OF FACA Obtain a charter Maintain a balanced membership Hold open public meetings Allow the public to speak or file written statements Announce all meetings in the Federal Register Keep minutes or summaries Maintain all committee documents for public inspection Committees may form workgroups, however, workgroups cannot give advice and recommendations directly.

12. 12 Claims for Negotiated Rulemaking Avoids or reduces litigation Expands agency’s understanding of diverse interests and information Reduces the time for rulemaking Builds political support Produces more creative, tailored rules that are better understood Results in improved compliance or easier implementation

13. 13 Criticisms of Negotiated Rulemaking Usurps agency’s authority and responsibility to decide and act Leaves out under-represented or hard to represent constituents Is slow, complex, difficult to administer, and resource and time intensive Does not save time nor money Does not reduce litigation

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15. 15 Helpful Websites www.doi.gov/cadr (DOI Office of Collaborative Action and Dispute Resolution) www.doi.gov/nps/policy For the GSA final regulation implementing FACA: www.gsa.gov www.gsa.gov www.epa.gov/adr/regnegfactsheet (EPA Conflict Prevention & Resolution Center) www.epa.gov/publicinvolvement

16. 16 Useful References Negotiated Rulemaking Sourcebook, 1995, Administrative Conference of the U.S. (contact: dalton.deborah@epa.gov )dalton.deborah@epa.gov “Experienced Practitioner Offers Guidance to Participants in Negotiated Rulemaking” BNA’s Alternative Dispute Resolution Report, vol. 2, pp.62-64, 80-86. 1988 (also in Sourcebook, above.)