EPA’s Procedures for Processing Congressional Requests to the SAB Do Not Ensure Compliance with ERDDAA

EPA’s procedures for processing congressional requests for scientific  advice from the SAB do not ensure compliance with ERDDAA because  the procedures are incomplete and do not fully account for the statutory  access designated congressional committees have to the SAB. Specifically, EPA policy documents do not clearly outline how the EPA  Administrator, the SAB staff office, and members of the SAB panel are to  handle a congressional committee’s request for advice from the SAB. EPA’s written procedures for processing congressional committee  requests to the SAB are found in the SAB charter and in the following two  documents that establish general policies for how EPA’s federal advisory  committees are to interact with outside parties:
EPA Policy Regarding Communication Between Members of  Federal Advisory Committee Act Committees and Parties Outside  of the EPA (the April 2014 policy), and
Clarifying EPA Policy Regarding Communications Between  Members of Scientific and Technical Federal Advisory  Committees and Outside Parties (the November 2014 policy  clarification). Specifically, officials told us that EPA considers  whether the questions are science or policy driven, whether they are  important to science and the agency, and whether the SAB has already  undertaken a similar review. In addition, under ERDDAA, the SAB is  required to provide requested scientific advice to select committees,  regardless of EPA’s judgment. As EPA has not fully responded to the  committee’s two 2013 requests to the SAB, by clearly documenting its  procedures for reviewing congressional requests to determine which  questions should be taken up by the SAB and criteria for evaluating  requests, the agency can provide reasonable assurance that its staff  process these and other congressional committee requests consistently  and in accordance with both FACA and ERDDAA. Such specificity would be consistent with federal  standards of internal control that call for clearly documenting internal  controls. CASAC Has Provided Certain Types of Advice Related to Air Quality Standards

CASAC has provided certain types of advice related to the review of  NAAQS. The Clean Air Act requires CASAC to review air quality criteria  and existing NAAQS every 5 years and advise EPA of any adverse public  health, welfare, social, economic, or energy effects that may result from  various strategies for attainment and maintenance of NAAQS. According to a senior-level EPA official, CASAC has carried out its role in  reviewing the air quality criteria and the NAAQS, but has never provided  advice on adverse social, economic, or energy effects related to NAAQS  because to date EPA has not asked CASAC to do so. In a June 2014 letter to the EPA Administrator, CASAC indicated that, at  the agency’s request, it would review the impacts (e.g., the economic or  energy impacts) of strategies for attaining or maintaining the NAAQS but  stressed that such a review would be separate from reviews of the  scientific bases of NAAQS. EPA Has Policies and Guidance to Ensure That the SAB and CASAC Maintain Their Independence from the Agency

EPA has policies and guidance to help ensure that its federal advisory  committees maintain their independence from the agency when  performing their work. Under GSA regulations for implementing FACA,  agencies must develop procedures to ensure that the federal advisory  committees are independent from the agency when rendering  judgments. EPA policies and guidance to help ensure the independence  of its federal advisory committees include general discussions of FACA  requirements that apply to all of EPA’s federal advisory committees as  well as those specifically for the SAB. This policy states that EPA prohibits managers and other  agency leadership from intimidating or coercing scientists to alter  scientific data, findings, or professional opinions or to inappropriately  influence scientific advisory boards. Under ERDDAA, the SAB is also  required to provide scientific advice to designated congressional  committees when requested. Appendix I: Changes to the Science Advisory Board Charter

The Environmental Research, Development, and Demonstration  Authorization Act of 1978 (ERDDAA) mandated that EPA establish the  SAB and required the SAB to provide the EPA Administrator with  scientific advice as requested.
Why GAO Did This Study

EPA formulates rules to protect the environment and public health. To enhance the quality and credibility of such rules, EPA obtains advice and recommendations from the SAB and CASAC—two federal advisory committees that review the scientific and technical basis for EPA decision-making. ERDDAA requires the SAB to provide both the EPA Administrator and designated congressional committees with scientific advice as requested. Amendments to the Clean Air Act established CASAC to, among other things, provide advice to the Administrator on NAAQS.
GAO was asked to look into how the SAB and CASAC are fulfilling their statutory obligations in providing such advice. This report examines (1) the extent to which EPA procedures for processing congressional requests to the SAB ensure compliance with ERDDAA; (2) the extent to which CASAC has provided advice related to NAAQS; and (3) policies EPA has to ensure that the SAB and CASAC maintain their independence when performing their work. GAO reviewed relevant federal regulations and agency documents, and interviewed EPA, SAB, and other relevant officials.

What GAO Found

The Environmental Protection Agency's (EPA) procedures for processing congressional requests for scientific advice from the Science Advisory Board (SAB) do not ensure compliance with the Environmental Research, Development, and Demonstration Authorization Act of 1978 (ERDDAA) because these procedures are incomplete. For example, they do not clearly outline how the EPA Administrator, the SAB staff office, and others are to handle a congressional committee's request. While the procedures reflect EPA's responsibility to exercise general management controls over the SAB and all its federal advisory committees under the Federal Advisory Committee Act (FACA), including keeping such committees free from outside influence, they do not fully account for the specific access that designated congressional committees have to the SAB under ERDDAA. For example, EPA's policy documents do not establish how EPA will determine which questions would be taken up by the SAB. EPA officials told GAO that in responding to congressional requests, EPA follows the same process that it would apply to internal requests for questions to the SAB, including considering whether the questions are science or policy driven or are important to science and the agency. However, under ERDDAA, the SAB is required to provide requested scientific advice to select committees, regardless of EPA's judgment. By clearly documenting how to handle congressional requests received under ERDDAA consistent with federal standards of internal control, EPA can provide reasonable assurance that its staff process responses consistently and in accordance with the law.
The Clean Air Scientific Advisory Committee (CASAC) has provided certain types of advice related to the review of national ambient air quality standards (NAAQS), but has not provided others. Under the Clean Air Act, CASAC is to review air quality criteria and existing NAAQS every 5 years and advise EPA of any adverse public health, welfare, social, economic, or energy effects that may result from various strategies for attainment and maintenance of NAAQS. An EPA official stated that CASAC has carried out its role in reviewing the air quality criteria and the NAAQS, but CASAC has never provided advice on adverse social, economic, or energy effects related to NAAQS because EPA has never asked CASAC to do so. In a June 2014 letter to the EPA Administrator, CASAC indicated it would review such effects at the agency's request.
EPA has policies and guidance to help ensure that its federal advisory committees—including the SAB and CASAC—maintain their independence from the agency when the advisory committees perform their work. Under General Services Administration regulations for implementing FACA, an agency must develop procedures to ensure that its federal advisory committees are independent from the agency when rendering judgments. EPA policies and guidance to help ensure the independence of its federal advisory committees include guidance specifically for the SAB and general requirements that apply to all of EPA's federal advisory committees, including the SAB and CASAC. For example, EPA's Scientific Integrity Policy states that EPA prohibits managers and other agency leadership from intimidating or coercing scientists to alter scientific data, findings or professional opinions, or inappropriately influencing scientific advisory boards.

What GAO Recommends

GAO recommends that to better ensure compliance with ERDDAA, EPA take steps to improve its procedures for processing congressional committee requests to the SAB for advice. EPA agreed with GAO's recommendations.