Site-Specific Advisory Board Final Guidance

FINAL - JANUARY 1996

THE UNITED STATES DEPARTMENT OF ENERGY
AND
THE UNITED STATES ENVIRONMENTAL
PROTECTION AGENCY

WASHINGTON, D.C.

JAN 18 1996

SUBJECT: - Site-Specific Advisory Board Final Guidance

In June 1994, the Department of Energy (DOE) established a Site-Specific Advisory Board (SSAB) to provide DOE's Assistant Secretary for Environmental Management and the appropriate DOE Environmental Management field managers advice and recommendations concerning environmental restoration, waste management, and technology development activities. The SSAB also provides a forum to share information and develop partnerships among citizens, the site, and regulators, including the Environmental Protection Agency (EPA) and State environmental agencies. Most importantly, it offers an opportunity for communities to influence cleanup decisions. The SSAB consists of members from eleven DOE sites.

Interim guidance for establishing and operating the board was issued in November 1994. Attached is the final guidance document entitled "Office of Environmental Management Site-Specific Advisory Board Guidance." It provides recommended procedures for establishing and maintaining the SSAB at the site-level. Several topics are addressed in the guidance including: Federal Advisory Committee Act compliance, SSAB mission statements and operating procedures, funding and budget proposals, roles and responsibilities. operational requirements, and SSAB evaluation plans. This information should clarify some of the difficult issues surrounding advisory board operation and management.

Many individuals contributed to the content of this document -- program office managers at DOE Headquarters, SSAB contacts and public participation coordinators at DOE Operations Offices, and representatives from EPA. By working together, they have produced a document that will help both DOE and EPA achieve their public participation objectives. If you have any questions or comments, please contact Cindy Kelly at DOE's Office of Intergovernmental and Public Accountability (202) 586-5944.

Thomas P. Grumbly
Assistant Secretary for
Environmental Management
U.S. Department of Energy

Elliott P. Laws
Assistant Administrator
Office of Solid Waste and Emergency Response
U.S. Environmental Protection Agency

1.0 Purpose and Background

In the last four years, there has been a growing demand from the public for the Department of Energy (DOE) to establish a site-specific advisory board (SSAB) at each major DOE facility to assist the Department in dealing with Environmental Management program issues. In 1991, the Office of Technology Assessment published Complex Cleanup, which argued that there was a "... need for a decision making process - acceptable to all interested parties - through which public concerns can be addressed and resolved" to ensure public acceptance of cleanup-related activities. Advisory boards were suggested as an answer to this need - a way to develop meaningful roles for affected community members to contribute in site-specific policy and technical decisions.

The Federal Facilities Environmental Restoration Dialogue Committee (FFER or Keystone Committee) issued an Interim Report in February, 1993, specifically recommending the creation of SSABs as a means to involve stakeholders more directly in agency cleanup decisions.

As a result of this report and the recent successes of several DOE advisory groups, the Office of Environmental Management (EM) is establishing SSABs at major EM sites throughout the DOE complex. This EM SSAB Guidance document focuses on advisory groups established to specifically address environmental restoration and waste management issues. It is intended to provide assistance to individuals and organizations on the basic principles for:

  • Establishing a SSAB;
  • Conducting activities in compliance with the Federal Advisory Committee Act;
  • Drafting a SSAB mission statement and operating procedures;
  • Obtaining Board funding and preparing budgets;
  • Selecting Board members;
  • Understanding the roles and responsibilities of the SSABs and DOE; and
  • Operating and evaluating SSABs.

2.0 Basic Principles for Establishing Site-Specific Advisory Boards

Advisory boards have great potential to effectively involve the public in the Federal decision-making process. SSABs can prove effective mechanisms for improving the DOE decision-making process. A number of basic principles for establishing SSABs are:

  • SSABs do not constitute a complete public participation program, and may not satisfy specific statutory or regulatory requirements for public participation. Advisory boards comprise only one facet of a total public participation program at a site, which should also include public outreach, development of public information materials, and establishment of relationships with stakeholders.
  • The process by which SSAB members are selected is crucial to the credibility of the group and the credibility of agency decisions. The selection process will be highly visible, and members must be selected through a fair and open process.
  • It is important to be attentive to details in the board formation process. This will ensure that the entire stakeholder community has an opportunity to be included in the creation process. For this reason, it is recommended that when choosing between forming the board quickly and slowing down to address existing concerns, DOE and the stakeholder community should err on the side of thoroughness.
  • To be effective, a SSAB should endeavor to be representative of all persons and groups who see themselves as affected or potentially affected by the environmental restoration and waste management issues and other issues that, in the board's view, are relevant to environmental quality at the site.
  • Sites may choose to hire an independent convener, a facilitator, or both. A convener would assist the board with possible strategies and approaches for drafting a mission statement, establishing operating procedures, drafting goals and objectives, and selecting major policy issues to address. A facilitator would attempt to ensure that board members set and reach meeting objectives, maintain focus, work as a team, reach consensus, and operate at optimum efficiency.
  • The senior DOE management responsible for environmental clean-up and, as appropriate, their clean-up contractor senior staff should be present at, and participate in, SSAB meetings. This will ensure that the SSABs are being heard first-hand by people with genuine authority. This interaction is essential in building a relationship of trust between DOE managers and affected groups and regulators.

3.0 Steps in Establishing a Site-Specific Advisory Board

EM has committed to generally following the steps outlined in the Federal Facilities Environmental Restoration Dialogue Interim Report (the Keystone Report).(1) EM suggests that the affected site/field office manager, working closely with stakeholders should take the following steps:

  1. Educate advisory committee staff and potential advisory committee members (stakeholders) on the SSAB Concept and the Federal Advisory Committee Act (FACA). This can be accomplished by holding an initial SSAB information meeting prior to the formation of the board.

  2. Agree on a process for membership selection that will guarantee that the group is balanced and representative of the diverse interests within the local community. EM recommends that the size of a local board be between 15-30 and not include alternates. The FACA requires the DOE to approve and officially appoint all EM SSAB members.

  3. Select the community and government members in an open and fair manner in accordance with the FACA. The board members should select their chairperson and a vice-chairperson.

  4. Develop and reach group agreement on a mission statement for the group that is consistent with the EM SSAB charter (see Attachments).

  5. Reach group agreement on ground rules for operating the board.

  6. Conduct orientation, education, and training on environmental restoration and waste management activities for board members as necessary.

4.0 Compliance with the Federal Advisory Committee Act<

4.1 Background

In 1972, Congress enacted FACA to provide standards and uniform procedures to govern the establishment, operation, administration and duration of any "advisory committee." The FACA defines the term "advisory committee" broadly to include "any committee, board, commission, council, conference, panel, task force, or other similar group, or any subcommittee or other subgroup thereof" which is established or utilized by an executive department.

Under this Act, an executive department must comply with legal requirements with respect to establishing any group that falls within the definition of an "advisory committee," such as (1) chartering the committee in consultation with the Administrator of the General Services Administration (GSA), (2) publishing timely public notice of and detailed minutes for all meetings and (3) making records, reports, memoranda, and other documents available for public inspection.

4.2 The Environmental Management Site-Specific Advisory Board and FACA

On May 16,1994, the Office of Management and Budget (OMB) and GSA approved a charter that establishes an EM SSAB.

Only one FACA-chartered EM SSAB exists. This board will consist of all board members from each local EM board throughout the DOE complex. Therefore, all local board meetings are considered EM SSAB meetings. For instance, all Savannah River Site Citizen Advisory Board meetings are considered EM SSAB meetings, although only those board members who are concerned with the Savannah River Site are expected to attend.

This strategy will allow each local board authority to meet and provide direct advice and recommendations to local DOE officials in compliance with the FACA. Separate SSAB charters are not required for the local boards because local board activities fall under the overall EM SSAB charter. Individual boards are encouraged to write mission statements and operating procedures that complement what is found in the EM SSAB charter (see Section 6.0).

The entire EM SSAB may meet once a year; however, local board meetings should be held as frequently as needed, within budget limitations.

4.2.1 The Designated Federal Officer

Each Federal advisory board is required by the FACA to have a Designated Federal Officer (DFO). The DFO is the DOE employee who will work closely with the local board. The official DFO for the EM SSAB is the Director of the Office of Intergovernmental and Public Accountability (EM-22); the Acting Deputy Director of EM-22 will serve as Deputy Designated Federal Official (DDFO). Given the unique nature of our FACA charter, the DFO has appointed additional DDFOs at each SSAB site based on site recommendations. The DDFOs are the local DOE officials responsible for ensuring that FACA requirements are met. If a local board is in the early stages of formation, the respective site must recommend a DDFO to the Director of EM-22 as soon as possible.

Under the FACA, the DFO [or DDFO at each site] is required to:

  • Call, attend, and adjourn meetings;
  • Approve agendas;
  • Maintain required records on costs and membership.

Furthermore, the Department has determined that the DDFO will have these additional responsibilities:

  • Ensure efficient operations;
  • Maintain records for availability to the public;
  • Provide copies of committee reports to DOE's Advisory Committee Management Office (ACMO) for forwarding to the Library of Congress;
  • Ensure that conflict of interest requirements are being met.

It is not DOE's intention, however, to have the DFO or DDFOs infringe on any activities that are appropriately being handled by a board's chairperson or members. For instance, an EM DDFO will not arbitrarily adjourn a meeting but could do so if it were in the public's best interest (for example, weather emergencies).

The DFO and DDFO, in consultation with the Assistant General Counsel for General Law, shall have the primary responsibility for ensuring compliance with the membership conflict-of-interest provisions. Also, the DFO and DDFO will ensure that the advice and recommendations of boards are not influenced inappropriately by special interests, but are the result of the board's independent judgement.

4.2.2 Board Renewal or Termination

The only board which will require renewal of its charter is the EM SSAB. Unless the charter is renewed, it will automatically terminate no later than two years after establishment (or last renewal). In order to renew the Board, the DFO must transmit to the Secretary an action memorandum that justifies and recommends the renewal to the EM SSAB 90 days prior to its expiration date. Alternately, the DFO can determine that the advisory board no longer serves its original purpose and can submit a recommendation and rationale to the Secretary for the termination of the board. The renewal will "automatically" preserve the active status of each local board.

4.2.3 Membership Selection

As stated in the EM SSAB charter, all board members must be officially appointed b the Assistant Secretary for EM. Once a site has a complete list of nominations, this list and appropriate information regarding the nominees' qualifications should be Provided to and will be considered by EM-22. An example membership package is included in this guidance in the Attachments. Authority to replace SSAB members o an individual basis will be delegated to the sites. Once this has taken place, site/field designees will officially appoint replacement members to the board. A provision ha been made such that DOE Contractor employees may serve as members of the boar under an exemption granted by the DOE Advisory Committee Management Officer and the Assistant Secretary. An example of an exemption memorandum is included the Attachments.

Advisory board members will usually be appointed for a period of two years. Membership terms should be staggered so that at least one-third of the membership is retained for continuity.

5.0 Roles and Responsibilities

5.1 Expectations of the Site-Specific Advisory Boards

Experience shows that local boards have the greatest impact when they are able to focus their efforts on major policy issues. Developing the mission statement can help an individual board clarify its direction. For example, a local board may choose to define its mission as determining the priority of various clean-up actions and minimizing bureaucratic obstacles to accomplishing cleanup. At Fernald, the local SSAB has chosen to focus on the future use of the site and not to review every interim report developed for submittal to EPA and the State for specific cleanup units at the site.

What the Department and its regulatory partners need from the boards is a clear articulation of stakeholder principles, priorities, and values. For example, the Hanford Future Site Uses Working Group and Tank Waste Task Force were both successful in clearly defining priorities that had major impacts on the shaping of the revised Hanford Tri-Party Agreement.

The success and effectiveness of the SSABs depends largely upon the interest, commitment, input, and integrity of its members. To assist the members in understanding their responsibilities, a list of what is expected of them follows. In general, SSAB members are expected to:

  1. Attend meetings.

  2. Participate in an open and constructive manner.

  3. Provide advice and comment on environmental management issues to the decision makers.

  4. Represent and communicate community interests and concerns to the SSAB.

  5. Act as a conduit for the exchange of information between the community, DOE, and environmental oversight agencies regarding the facility's program.

  6. Review, evaluate, and comment on documents and other materials related to facility environmental management.

5.2 Expectations of the Department of Energy

DOE must outline how it uses the EM SSAB's recommendations. The Department must inform the EM SSAB of what actions result from their recommendations and communicate to the Board what portions of their recommendations were not accepted and why. Senior EM management at HQ and in the field should be responsible for providing feedback to the board. Responsible senior managers should be made known to the Board members well in advance of formal board deliberations.

DOE Operations (or Field) Offices should:

  1. Participate in an open and constructive manner.

  2. Ensure that the SSAB has the opportunity to offer advice in the environmental management decision-making process.

  3. Define and clearly communicate DOE's decision-making process to the board.

  4. Provide timely access to information pertinent to environmental management decision-making and ensure that documents distributed to the SSAB are also made available to the general public.

  5. Inform the EM SSAB members of Departmental processes, programs, projects and activities directly affecting the Board's mission and purpose.

  6. Review Board recommendations within a pre-determined amount of time. Explain the rationale for the Department's decisions and how and when accepted recommendations will be implemented.

  7. Nominate a senior DOE official to serve as the Deputy Designated Federal Official to attend Board meetings and participate in discussions.

  8. Provide suggestions to the EM SSAB regarding activities at the site and major policy issues on which the Board's input would be useful.

  9. Ensure that community issues and concerns related to environmental management are addressed when raised and establish protocol for requesting and receiving advice and/or recommendations. Refer issues not related to environmental management to appropriate officials to address.

  10. Encourage the Board to make every attempt to reach consensus.

  11. Ensure compliance with FACA in conducting EM SSAB meetings, keeping records, and making such records available to interested members of the public (see section 8.0).

  12. Ensure that adequate administrative support is provided to the SSAB, including a DOE point-of-contact.

EPA should be encouraged to:

  1. Attend all SSAB meetings.

  2. Participate in an open and constructive manner.

  3. Assist with the identification and interpretation of Federal environmental standards and regulations.

  4. Serve as an information, referral, and resource bank for community installations and agencies regarding environmental management.

  5. Assist in education and training for the SSAB members.

State, Tribal and Local Governments should be encouraged to:

  1. Attend all SSAB meetings.

  2. Participate in an open and constructive manner.

  3. Assist with the identification and interpretation of State, Tribal, and local environmental standards and regulations.

  4. Serve as an information, referral, and resource bank for community installations, and agencies regarding environmental management.

  5. Assist in education and training for the SSAB members.

DOE Headquarters should:

  1. Formally recognize and thank Board members for their service.

  2. Establish a methodology for Board members to obtain information about the experiences of other sites' boards. One example would be an electronic bulletin board to enable board members across the nation to communicate effectively and learn from each other.

  3. Ensure compliance with membership conflict-of-interest provisions and FACA requirements through the DFO.

  4. Renew or terminate the EM SSAB Charter as appropriate.

  5. Officially appoint all Board members, except in cases in which field designees reappoint SSAB members.

  6. Process and obtain approval of SSAB new membership packages.

  7. Respond to SSAB recommendations as necessary and appropriate.

  8. Survey all Board and ex-officio members; DOE site and Area/Field Office representatives; regulator staff; and selected members of the public as part of the SSAB Initiative Evaluation process.

  9. Review local SSAB budget proposals and action plans and incorporate into the EM budget development process.

  10. Manage and maintain a library of SSAB information for each site including reports, recommendations, meeting minutes, and correspondence.

  11. Process Federal Register notices for SSAB public meetings.

6.0 Board Operations

6.1 Member Selection

The SSAB should be comprised of members from the local community, local and governments, and ex officio representatives from DOE, EPA, and state governments. Community members selected for SSAB membership should reflect the diverse interests within the local community. SSAB members should live or work in the affected community or be impacted by the environmental management program. The SSAB charter discusses membership, and provides examples of interests to be considered. The following list of potential interests should be considered for representation on the SSAB. This list is illustrative and not all inclusive:

  • Local residents/community members (including minorities and low income communities)
  • Local reuse committees
  • Technical Assistance Grant (TAG) recipients
  • Local government officials and agencies
  • Business community
  • School districts and universities
  • Facility employees (DOE or contractor)
  • Local environmental groups and activists
  • Civic and public interest organizations
  • Religious community
  • Local homeowners
  • Medical community
  • Native American Tribes
  • Labor organizations

While it is anticipated that other members of the facility and regulatory agencies will regularly attend and participate in SSAB meetings, the majority of SSAB members should be from the local community.

6.2 Selecting a Chairperson

The DFO hereby delegates to the SSAB members the responsibility of selecting a chairperson and vice-chairperson. The chairperson should have sufficient authority and ability to fully undertake SSAB chair responsibilities. The chairperson shall serve for a term of two years and may be reappointed for additional terms. Chairperson termination procedures should also be included in the SSAB operating procedures. SSABs should appoint a vice-chairperson to minimize disruption in the event of the resignation of the chairperson.

6.3 Mission Statement and Operating Procedures

In most cases, local board mission statements will be developed cooperatively by SSAB members, the relevant State regulatory agencies, . the regional Environmental Protection Agency office and the DOE Operations/Area Office through an ongoing dialogue. The mission statement should outline the purpose, scope, goals, and objectives of the local SSAB. A set of operating procedures should also be developed to address board policies, the process for public review and comment, methods for announcing local board meetings (in addition to Federal Register notices) procedures for public participation, and protocols for requesting and receiving advice and/or recommendations.

While each board's mission and operating procedures will be unique, care should be taken to ensure that SSAB members understand that they will likely be called upon to provide input into key DOE decisions (i.e., future land use, integrated risk management, resource allocation and priority-setting for EM).

Each DDFO will determine how often the local board should meet and at what time and place. The DDFOs are encouraged to schedule meetings to give most, if not all, interested parties an opportunity to participate. This will usually result in scheduling meetings in the evenings or on weekends in settings that are easily accessible (e.g. a local school or library).

6.4 Education and Training for SSAB Members

Once selected, SSAB members may need initial orientation to enable them to perform their duties. Additional education and training needs may arise during the operation of the SSAB. The DOE facility should work with the EPA, the State, and other groups to develop methods to inform and educate the SSAB members to promote the successful functioning of the SSAB. This may be accomplished at initial SSAB meetings or at special orientation sessions and may include the following related to environmental restoration/waste management activities:

  • Formal training sessions
  • Workshops
  • Informal briefings
  • Briefing booklets, fact sheets, maps
  • Site tours

Technical support staff from Federal, State, Tribal, and local agencies that are involved with environmental cleanup and reuse issues may be asked to attend SSAB meetings to provide information in their areas of expertise.

6.5 Public Notice of Meetings

It is the Department's policy that timely notice of the group's formation be published in the Federal Register. The notice should describe the nature and purpose of the board and how its membership reflects a balance of the interests in the community. A statement should be included addressing why the board is necessary to fulfill the public's interest.

The Federal Advisory Committee Act statute requires that "timely notice of each such meeting shall be published in the Federal Register..." Except under exceptional circumstances, which must be stated in the notice, the notice of the meeting must be published at least 15 calendar days prior to the date of the meeting. To allow sufficient time for internal Federal Register processing, it is recommended that the offices begin developing the notice five weeks before the meeting date. In addition to the notice, other forms of notification, such as press releases, newsletters, and/or local mailings (which may reach a broader audience), are recommended.

In addition to the requirements of FACA, each facility should conduct public outreach in conjunction with the formation and operation of the SSAB. The public outreach effort should be tailored to the individual community at each facility. This is especially important at facilities where there has been limited community involvement opportunities or where there has been minimal community interest in the facility.

6.6 Open Meetings

  1. Each meeting must be attended by a DFO (DDFO at the sites) who is a full-time or permanent part time Federal employee.

  2. Minutes must be kept of all local SSAB meetings. The DDFO or equivalent will forward minutes to EM-22 within 30 days following each meeting.

  3. Interested persons may 1) file written statements with any SSAB, 2) attend an SSAB meeting, and 3) appear before any SSAB.

  4. All documents prepared by a SSAB, including records, reports, transcripts, memoranda, and any other documents will be made available for public inspection and copying. One copy of each report, memorandum, or other document which is prepared by the SSABs will be forwarded by the DDFO or EM Operations Office/Site Public Participation Coordinator to their local reading room and the DOE Freedom of Information Public Reading Room (Washington D.C., Forrestal Building, Room 1E-190) for public use.

    The DDFO will also send the Advisory Committee Management Officer (ACMO) Management Practices and Assistance Group, HR-62) 10 copies of Board minutes, three copies of transcripts (if developed), and 10 copies of each report. From these copies, the ACMO will forward eight copies of the minutes, one copy of the transcript (if developed), and eight copies of any reports to the Library of Congress.

    In addition, the DDFO or EM Operations Office/Site Public Participation Coordinator needs to send EM-22 two copies of board transcripts, minutes, and reports. One copy will be kept in the files; the other copy will be forwarded to the EM Information Center for public access and distribution.

6.7 Other Advisory Bodies

While SSABs provide valuable opportunities for community involvement, they are only one vehicle for public input into decision-making. A facility may already have some form of an advisory board or other citizen oversight body, with commitments to those groups. In the future, facilities may find the need for additional ways to involve stakeholders in issues beyond environmental management. Each facility must design its mechanisms to suit the character and need of the affected community, particularly when the community has not traditionally been involved in the decision making process at the facility. Thus, at some facilities, it may be appropriate to merge preexisting bodies into the SSAB; other facilities may find it more appropriate to continue the activities of separate groups. In either case, the goal is to improve stakeholder involvement in environmental management decision-making.

7.0 Site-Specific Advisory Board Funding

The EM SSAB has been established by DOE and, therefore, EM is responsible for funding each local SSAB. Starting with the FY 1996 budget development process, EM SSAB funding requests and action plans should be submitted to EM-22 directly, described in Section 7.5.

7.1 Unallowable Expenses

As a general rule, Federal agencies may not use appropriated funds to pay for at food meetings. However, the Department of Energy Act does provide specific authority to provide per diem expenses to Federal advisory committee members who are attending meetings or otherwise serving at the request of the Secretary of Energy while in an official travel status. 42 U.S.C. 7234. Additionally, decisions of the General Accounting Office do provide some very narrow exceptions to the general rule, and may provide authority to pay for food for advisory committee members who are not on travel status. Accordingly, each individual situation should be reviewed on a case-by-case basis by the local legal counsel at each site, to ensure compliance with federal appropriations laws.

7.2 A Graduated Funding Approach

EM-22 has determined that funding of local boards should generally reflect the size of the site, the nature and quantity of the issues involved (political and technical), the number of workers at the site, etc. For the smaller sites (e.g., Mound), we anticipate funding on the order of $50,000 to $100,000. Medium sized sites such as Fernald or Los Alamos could fall between the $100,000 to $250,000 range. Finally, larger sites such as Rocky Flats and the Savannah River Site may be in the $200,000 to $350,000 range. These funding ranges are guides for the field - as such, they should not be considered binding. Each site has different needs and circumstances; funding will be on a site-by-site basis.

This graduated funding approach will help the DOE respond positively to the growing number of requests we are receiving to form local SSABs. The following section outlines the types of needs that are eligible for funding.

7.3 Administrative Funding

The Department of Energy will provide funding to cover the routine administrative needs of the local boards (such as meeting space, document duplication, mailings, etc.) to enable them to operate efficiently and effectively. In accordance with Federal travel regulations, funding will be provided for per diem and travel expenses of board members who must travel to meetings.

As a general rule, SSAB advisory board members will not be compensated beyond travel and per diem expenses. Exceptions may be made if a member's participation is necessary to ensure the balance of a board (see Attachments).

7.4 Technical Assistance Funding

Boards may request that DOE fund independent technical review of key issues. This may be necessary to instill trust and confidence in the technical work undertaken by the EM program. Therefore, the local EM program should budget for these independent reviews. Designated funds could be used to support travel, per diem and compensation for technical experts and researchers from national public interest organizations, universities, or private consulting firms to attend one or more EM SSAB meetings and to assist the board in technical discussions and deliberations. These funds could also be used to provide local training courses to educate SSAB members on relevant regulatory processes. The work of any independent technical consultants must be coordinated with the on-going efforts of the DOE and its regulating agencies so as not to slow down or impede the cleanup process (example: compliance agreements in which DOE is required to clean up a location by a particular date to agreed-upon level). The Department will ensure that information is provided as needed to expedite the work of technical consultants.

Technical assistance funding should be used to complement, rather than duplicate, the technical programs of both the DOE and its regulating agencies. Field offices and DOE Headquarters should maintain communication to avoid duplication of efforts. When the board chooses to concentrate on a particular issue, care should be taken before the work begins to ensure that the work under consideration by the board is not being duplicated by another task force (at Headquarters or in the field) or public participation initiative.

7.5 Budget and Action Plan Development

Because the SSABs are being established and funded by DOE, funds must be budgeted, disbursed, and accounted for in accordance with DOE budget policies and procedures. The development of funding requests for EM SSABs should be part of the annual budget formulation process, in accordance with EM guidelines on this subject.

Each field office needs to develop and submit to EM Headquarters a complete funding proposal for their respective SSAB. These proposals should be developed in close consultation with local SSAB members and EM-22. Each funding proposal should be accompanied by a SSAB action plan. This plan should identify the goals, objectives, and activities for the appropriate fiscal year and describe the specific role of the SSAB, including specific decisions on which the SSAB is likely to provide advice, and the time frame of this involvement.

As with all EM public participation funding requests, local SSAB funding proposals and action plans should be approved by the proper Operations Office/Site Environmental Management Public Participation Coordinator and the DDFO. The proposal and plan should then be provided to the Assistant Manager for Environmental Management and/or the appropriate DOE Operations Office/Site Manager for review. Following the review, the funding proposal and action plan should be submitted to EM-22. EM-22 will review all of the SSAB funding proposals for a given fiscal year and, in coordination with the field, revise requests as necessary. EM-22 will then combine requested SSAB funding into a single activity data sheet for submission to the Office of Financial Management and for inclusion in the EM budget development process.

The local board members and DOE Operations/Area Office employees should work together to determine an appropriate mechanism for funding independent technical reviews and training courses. The Operations/Area Office EM Public Participation Coordinator should work closely with their respective budget office and Chief Counsel to ensure EM SSAB funds are dispersed in a manner consistent with DOE rules and regulations.

7.6 General Environmental Management Compensation Policy for EM SSAB Members

The Assistant Secretary for Environmental Management has established a general policy of no compensation for members of the Environmental Management Site-Specific Advisory Board (EM SSAB) except based on the need to ensure a balanced board as required by the Department of Energy Organization Act, (42 U.S.C. 7234 and the Federal Advisory Committee Act, (5 U.S.C. App. 2, 5(b)(2)). The following policy and procedures regarding the compensation process apply only to members who request compensation, and provide a certification stating that without compensation, such member is unable to participate on the board.

Compensation Criteria

EM-22 has established the following procedures to determine whether DOE should compensate members in specific cases based on the need to ensure the balance of the board.

The Deputy Designated Federal Officers (DDFO or alternates) must make reasonable attempts to attract candidates who are both willing to serve on the boards without compensation and whose contributions will maintain board diversity and cohesiveness. Once the Department determines that a particular individual's service are necessary to ensure a balanced board, compensation may be considered.

In order to compensate an individual, the Department must determine:

  1. That the individual:

    1. Represents a constituency or demographic group whose input is critical to ensure a balance of diverse backgrounds and viewpoints on the board; or

    2. Is representative of minority, economically disadvantaged, or ethnic communities; or

    3. Is representative of geographic regions critical to ensuring balanced recommendations to the DOE; and

  2. The individual must certify that he or she is unable to serve on the board unless compensated for his or her services and that he/she will not receive compensation from any source other than DOE for providing services as a Board member.

An applicant who is currently employed is required to provide proof that he/she is not being compensated while participating in advisory committee matters. Such proof may be either:

  1. A statement from his/her employer that the applicant will not be compensated while participating in EM SSAB matters, or

  2. An earnings statement indicating he/she is not being compensated for periods of time spent participating in EM SSAB matters. (Note: any salary and/or personal information may be deleted from the earnings statement before submission.)

Payment Structure

If the EM-22 determines that a candidate's services are necessary for a balanced board, compensation will be set at a daily equivalent of a GS-6 for services performed for and at the request of the Department of Energy (DOE). The full daily amount will be payable for services of eight hours or more in one calendar day, including Saturdays, Sundays, or holidays. The rate payable for each hour or major fraction thereof for DOE service is one-eighth of the daily rate.

No additional pay is provided for service, including travel time, in excess of eight hours in any one calendar day and members are not given holidays off with pay, or paid a premium rate for work on a holiday or otherwise compensated at an overtime rate. No member will be compensated for more than 1040 hours per fiscal year.

When members receive compensation for their services, they will be considered special Government employees, as defined in 18 U.S.C. § 202, and will be subject to conflict of interest statutes and Federal regulations governing the conduct of such employees, including the requirement to disclose financial interests. (See SF 450, in the Attachments)

Members, whether or not compensated for services, are allowed travel and other expenses while away from their homes or regular places of business, including per diem in lieu of subsistence while en route and at the place of Departmental employment in accordance with Federal Travel Regulations. If a member's residence or regular place of business is in the same metropolitan commuting area as the official Departmental work place, the normal cost of commuting between the residence and place of business will not be reimbursable, nor will per them or other subsistence payments be made.

All Special Government employees who are expected to work more than 60 days in a calendar year are required to attend an annual one hour ethics training session. This training will be conducted by the local legal counsel.

Compensation Procedures

The attached information sheet (see Attachments) should be reviewed carefully by all advisory committee members requesting compensation.

8.0 Environmental Management Site Specific Advisory Board Evaluation

An independent evaluation of the EM SSAB will be conducted at least once a year. Once the boards are established, future/ongoing funding will be based on performance. While this performance evaluation will be annual, it will be based upon a pre-determined baseline so that board members can work towards continuous improvement. If a board has not been successful, adjustments in its strategy and budget may be necessary.

The evaluation criteria, schedule, baseline, and implementation plan were established by a team of representatives from the Board and EM-22, with input from DOE field staff, contractors, and other stakeholders. The guidance for self-evaluation was distributed to the Board in January 1996. It includes a list of SSAB goals/actions, suggested performance measures and indicators and example work plans. The evaluation will be completed by the end of each fiscal year.

Surveys of meeting attendees to assess various elements of each meeting may be conducted as a means for implementing continuous improvement. In addition, an independent evaluator may also be utilized. The experience of some SSAB members is that mailing surveys after meetings is the most effective mechanism for receiving constructive input.

Attachments

11. Members:

Appointments shall be made for 2 years to achieve continuity in membership and to make use of the acquired knowledge and experience with the developing EM programs. Board membership shall reflect the full diversity of views in the affected community and region and be composed primarily of people who are directly affected by site clean-up activities. Members may include, but will not be limited to, interested stakeholders from local governments, Indian Tribes, environmental and civic groups, labor organizations universities, waste management and environmental restoration firms, and other interested parties. Representatives from DOE, the Environmental Protection Agency, and state governments shall be ex-officio members of the board. Selection and appointment of group members shall be accomplished using procedures designed to ensure a diverse board membership and a balance of viewpoints.

b. Approximate number of members: 400. This number is based on 15 to 30 persons for each of the proposed DOE sites.

12. Chair:

The Chair shall be appointed by the Director of EM's Office of Public Accountability and shall serve for a period of 2 years, and may be reappointed for additional terms.

This Charter for the Advisory Board above is hereby approved on:

Date: June 10, 1994
Howard H. Raiken
Advisory Committee Management Officer
Date Filed: June 10, 1994

MEMORANDUM FOR: Thomas Grumbly, Assistant Secretary for Environmental Management

FROM: Cynthia C. Kelly, Director, Office of Public Accountability

SUBJECT: ACTION: Appointment of members to the Environmental Management Site-Specific Advisory Board, Idaho National Engineering Site.

ISSUE: Selection and maintenance of a balanced board membership.

  • In order to provide continuity in conducting committee business, the nominee(s) should be appointed for a two-year term.

  • The Environmental Management (EM) Site-Specific Advisory Board (SSAB)was established for a two-year term as an Advisory Committee to the Department of Energy on May 16, 1994. A copy of the Charter is attached (Tab A). The Board provides advice to the Department of Energy on EM decisions regarding future use, risk management, economic development, and budget prioritization activities. The membership of the Board has been carefully considered. Board members are representative of all groups that see themselves as potentially affected by the issues being addressed.

  • A copy of the proposed membership list (Tab B) and brief biographies of the proposed Board members (Tab C) are attached. A table detailing varied characteristics of the members of the Board (Tab D) is attached. Cynthia C. Kelly, Director of the Office of Public Accountability, will serve as the Designated Federal Officer (DFO) for the SSAB. Before the first official meeting, Ms. Kelly will, in turn, designate a local DFO to assist in the execution of her responsibilities with respect to the EM SSAB, Idaho Site.

  • Since the function of the Committee is to consider EM-related issues as they pertain to each of the Department's sites, members of the EM SSAB, Idaho Site, will not represent a varied geographical distribution. However, when national issues arise, a national Board may be convened consisting of representatives from each existing site board.

  • All meetings of the EM SSAB, Idaho Site will be announced in the Federal Register and will be open to the public.

  • To permit the appointment of properly qualified individuals, an exception for contractor employees has been granted by the Advisory Committee Management Officer. (Tab E).

  • The Office of Public Accountability proposes appointment of 15 members and three ex-officio representatives (Tab F).

RECOMMENDATION: Sign the letters inviting the proposed members to serve on the Board (Tab F).

Attachments:

Tab A Charter

Tab B Proposed Membership List

Tab C Biographies of Proposed Panel Members

Tab D Table - Membership Criteria

Tab E Exception Letter

Tab F Letters to Proposed New Members

APPROVE: ___________________

DISAPPROVE:___________________

DATE: ___________________

___________________
General Counsel

______________________
Assistant Secretary for Human Resources and Administration

__________________________
Advisory Committee Management Officer

ENVIRONMENTAL MANAGEMENT SITE-SPECIFIC ADVISORY

IDAHO NATIONAL ENGINEERING LABORATORY

1995 Membership

In a completed membership package, a membership list would be included here. To protect the privacy of the Individuals on the EM SSAB, Idaho National, Engineering Laboratory, this page has been left blank.

ENVIRONMENTAL MANAGEMENT SITE-SPECIFIC ADVISORY BOARD

IDAHO NATIONAL ENGINEERING LABORATORY

Biographies

In a completed membership package, biographies would be included here. To protect the privacy of the individuals on the EM SSAB, Idaho National Engineering Laboratory, this page has been left blank.

MEMBERSHIP CRITERIA FOR DOE ADVISORY COMMITTEES

FACA: "Fairly balanced in terms of points of view represented and functions performed."

NAME OF COMMITTEE: Environmental Management Site-Specific Advisory Board, Idaho National Engineering Laboratory.

DATE: April 12, 1995

DOE ORG. ACT- Section 624(b)

Candidates Residential Consumer Commercial Consumer Industry and Industrial Consumer State or Local Government State Regulatory Utility Commission
           
           
           
           
           
           
           
           
           

MEMBERSHIP CRITERIA FOR DOE ADVISORY COMMITTEES

(continued)

FACA: "Fairly balanced in terms of points of view represented and functions to be performed."

NAME OF COMMITTEE: Environmental Management Site Specific Advisory Board, Idaho National Engineering Laboratory

DATE: April 12, 1995

Are the candidates representative(s) of the following categories?

Candidates Minority Women's Organizations Black Colleges State or Region
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         

MEMBERSHIP CRITERIA FOR DOE ADVISORY COMMITTEES

(continued)

FACA: "Fairly balanced in terms of points of view represented and functions to be performed."

NAME OF COMMITTEE: Environmental Management Site-Specific Advisory Board, Idaho National Engineering Laboratory

Date: April 12, 1995

OTHER

Candidates Education Gender Occupation
       
       
       
       
       
       
       
       
       
       
       

MEMORANDUM FOR MARCIA MORRIS, ADVISORY COMMITTEE MANAGEMENT OFFICER

FROM: THOMAS GRUMBLY, ASSISTANT SECRETARY FOR ENVIRONMENTAL MANAGEMENT

SUBJECT: REQUEST FOR EXEMPTION FOR DEPARTMENT OF ENERGY ENVIRONMENTAL MANAGEMENT SITE-SPECIFIC ADVISORY BOARD, IDAHO NATIONAL ENGINEERING LABORATORY

The Department of Energy has been responsible for supporting a significant portion of environmental restoration and waste management research and implementation initiatives. Thus, many experts in these areas are Department of Energy contractors. In order to contribute technical advice, the following Department of Energy contractor employees must also be included on the Environmental Management Site-Specific Advisory Board. In all cases, the recommended individuals have been carefully considered and are deemed to be essential to the effective functioning of the Board.

I am hereby requesting an exception for:

Special care will be taken to ensure that appointment of these contractor employees will not result in a conflict of interest. Department of Energy contractor employees who are members of the Committee will be asked to recuse themselves from participation in any meeting, study, recommendation, report similar Committee activity, the result of which is likely to have a direct predictable effect on contractor employees. In the event of any conflict potential conflict of interest, a statement will be included in the Committee report or study detailing such potential conflict of interest and the action taken to remove it.

The Designated Federal Official, or her designee, of the Environmental Management Site-Specific Advisory Board, in consultation with the Assistant General Counsel for General Law, shall have primary responsibility for ensuring compliance with the conflict of interest provisions.

Approved:

_________________________
Marica L. Morris
Advisory Committee Management Officer

________________________
Date

Dear Ms. or Mr. X:
1 ABC Drive
Idaho Falls, ID 83402

I am writing to invite you to serve as an ex-officio representative of the Environmental Management (EM) Site Specific Advisory Board, Idaho National Engineering Laboratory, for up to a two-year period effective upon the date this letter.

The Advisory Board has been established in accordance with the Federal Advisory Committee Act (Public Law 92-463) to provide me with independent, outside advice and recommendations concerning EM decisions regarding future use, risk management, economic development, and budget prioritization activities. A copy of the Board's charter is enclosed for your information.

We are pleased to have the benefit of your unique qualifications and breadth of experience. You will be serving with other highly qualified individuals that are on the enclosed list. Selections were made on the basis of knowledge and expertise in one or more technical areas, experience in consensus building skills, level of current knowledge of EM issues, points of view represented and physical proximity to the site.

The Board meetings will be open to the public, and broad notification of the meetings should encourage public participation. As a Federal employee, you will serve as a member of the EM Site-Specific Advisory Board in your official capacity and therefore will not receive compensation for such service in addition to your Federal salary. Please make arrangements with your employ agency for reimbursement of authorized travel and per diem expenses which you incur while serving on the Committee.

As a Committee member, you are subject to the same standards of conduct applicable to you as a full-time Federal employee. In this regard, section 208(a), title 18, United States Code prohibits you from personally and substantially participating as a committee member, in any particular matter which to your knowledge, your spouse, minor child, general partner, organization in which you serve as officer, director, trustee, general partner, or employee, or any person or organization with whom you are negotiating or have any arrangement concerning prospective employment, has a financial interest. Further, please note that section 219(a), title 18, United States Code makes it a criminal offense for a "public official" to be or to act, as an agent of a foreign principal required to register under the Foreign Agents Registration Act of 1938.

I would appreciate written confirmation of your acceptance of this appointment at your earliest convenience. If you have any questions regarding your appointment, or require additional information, please call Cynthia C. Kelly Director of the Office of Public Accountability on 202-586-9335.

Sincerely,

Thomas P. Grumbly
Assistant Secretary for
Environmental Management

Enclosure

Ms. or Mr. X
1 ABC Drive
Idaho Falls ID

Dear Ms. or Mr. X:

I am pleased to invite you to serve as a member of the Environmental Management (EM) Site Specific Advisory Board, Idaho National Engineering Laboratory, for up to a two-year period effective upon the date of this letter.

The Advisory Board has been established in accordance with the Federal Advisory Committee Act (Public Law 92-463) to provide me with independent, outside advice and recommendations concerning EM decisions regarding future use, risk management, economic development, and budget prioritization activities. A copy of the Board's charter is enclosed for your information.

You will be serving with other highly qualified individuals that are on the enclosed list. As a member of the Board, you will be asked to provide your views as a representative of farmers/businessmen. Selections were made on the basis of points of view represented, experience in consensus building skills, level of current knowledge of EM issues and physical proximity to the site.

The Board meetings will be open to the public, and broad notification of the meetings should encourage public participation. It is the Department's general policy that members of the EM Site Specific Advisory Board will not compensated. However, compensation may be provided on a case-by-case basis, if the Department determines that the individual's services are necessary to ensure a balanced board, and the individual signs a certification stating that he is unable to serve as a member unless he receives compensation, and that he will not receive compensation for service on the Board from any source other than the Department of Energy. If you desire further information on this matter, please contact your Deputy Designated Federal Official. Arrangement will be made for reimbursement of authorized travel and per diem expenses which you incur while serving on the board.

Members of the Committee are required to excuse themselves from participation in any meeting, study, recommendation, or other Committee activity that could have a direct and predictable effect on the companies, organizations, or agencies with which they are associated or in which they have a financial interest.

Please be advised that section 219(a), title 18, United States Code makes it criminal offense for a "public official" to be, or to act, as an agent of a foreign principal required to register under the Foreign Agents Registration Act of 1938. For this purpose the term "public official" has been interpreted to include members of Federal advisory committees.

I would appreciate written confirmation of your acceptance of this appointment at your earliest convenience. If you have any questions regarding your appointment, or require additional information, please call Cynthia C. Kelly, Director of the Office of Public Accountability, on 202-586-9335.

Sincerely,

Thomas P. Grumbly
Assistant Secretary for
Environmental Management

Enclosure

OFFICE OF ENVIRONMENTAL MANAGEMENT
EM SITE-SPECIFIC ADVISORY BOARD
INFORMATION SHEET

READ THE FOLLOWING INFORMATION BEFORE REQUESTING COMPENSATION:

No Compensation Policy: Assistant Secretary Tom Grumbly established a general policy of no compensation for members of the EM Site-Specific Advisory B except on a case-by-case basis based on the need to ensure a balanced board required by the Department of Energy Organization Act.

Applicability of Appeal Rights: No appeal rights of the Department's decision regarding compensation are granted in this process.

Privacy Act Statement: 5 U.S.C. app.2 § 7(d) authorizes the collection of information. The primary use of this information is by management in the Department of Energy to determine whether you should receive compensation your time on the EM SSAB. Furnishing this information is voluntary, but failure to do so may result in disapproval of this request due to a lack information DOE deems necessary to consider. Additional disclosures of the information may be to the General Services Administration in connection with its responsibilities for records management, and to a Federal, State, or law enforcement agency when the DOE becomes aware of a violation, or possible violation of civil or criminal law. If DOE uses the information furnished on this form for purposes other than these indicated, we may provide you with an additional statement reflecting those purposes.

CONFIDENTIAL FINANCIAL DISCLOSURE REPORT

When members receive compensation for their services, they will be considered Special Government Employees, as defined in 18 U.S.C. § 202, and will be subject to conflict of interest statutes and the Federal regulations governing the conduct of such employees. If the Department determines to compensate you, you will need to submit the attached "Confidential Financial Disclosure Report," Standard Form 450.

CERTIFICATION

As part of your request for compensation, please complete the attached certification form.

CERTIFICATION FOR MEMBERS OF ENVIRONMENTAL MANAGEMENT
SITE-SPECIFIC ADVISORY BOARD

I______________________________________ hereby certify that I am unable to serve as a member of the Department of Energy Environmental Management Site- Specific Advisory Board, unless I receive monetary compensation for services performed for, and at the request of, the Department of Energy. I further certify that I will not receive compensation from any source other than the Department of Energy for my services as a Board Member.

___________________________

(Signature)

___________________________

(Date)

Note

  1. It should be noted that the report stressed that "it is essential for the federal agencies to work closely with local communities to ensure that site-specific advisory boards reflect and are responsive to local community concerns.... The recommendation...will need to be tailored to meet the needs of each federal site and its local stakeholders." Return to Document

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