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waiver decisions provided in this report; these statements have also been verified by
cognizant EPA officials. To ensure our efforts were not duplicated, we coordinated
our work with the EPA Office of Inspector General.4 We conducted this engagement
from June 2008 to December 2008 in accordance with all sections of GAO's Quality
Assurance Framework that are relevant to our objectives. The framework requires
that we plan and perform the engagement to obtain sufficient and appropriate
evidence to meet our stated objectives and to discuss any limitations in our work. We
believe that the information and data obtained, and the analysis conducted, provide a
reasonable basis for any findings and conclusions.
EPA's Process for Reviewing California Requests for Waivers of Federal Pre-
emption under the Clean Air Act, and Outcomes of Past Requests
EPA's process for responding to waiver requests has typically consisted of an
informal five-step process, through which staff evaluate the waiver request and
review its adherence to criteria laid out in section 209(b) of the Clean Air Act.
According to EPA officials, the agency
* receives and begins review of the waiver request;
* issues a notice in the Federal Register about the waiver request, including the
opportunity for a hearing;
* holds a hearing, if interest is expressed, and accepts public comments on the
proposed waiver;
* holds internal discussions and conducts internal analysis on the waiver
request, including consideration of public comments; and
* prepares a decision document and publishes the decision in the Federal
Register.
EPA officials said that as the draft decision document is routed through the approval
chain at EPA, it is typically accompanied by a draft Federal Register notice, which
lays out the decision and the three statutory criteria in section 209(b) and
summarizes the analysis behind the decision. The draft decision document is also
usually accompanied by an "action memorandum" that identifies the issues, examines
the three Clean Air Act section 209(b) criteria, summarizes public comments,
discusses anticipated reaction from external parties and potential for litigation, and
provides a recommendation for action. A one-page summary of the action memo is
also typically provided. For the past 15 years, several officials in EPA's Office of
Transportation and Air Quality have been the primary staff involved in reviewing
waiver requests and preparing documents supporting decisions. Typically, EPA's
Office of General Counsel then reviews these documents before a final decision is
made by EPA's Assistant Administrator for Air and Radiation. According to the EPA
Office of Transportation and Air Quality officials involved in the process over the past
15 years, the approving official's decisions have generally aligned with staff
recommendations to approve waivers, whether in full or in part.
4EPA Office of Inspector General, EPA's California Waiver Decision on Greenhouse Gas Automobile
Emissions Met Statutory Procedural Requirements, Report No. 09-P-0056 (Washington, D.C., Dec. 9,
2008).
GAO-09-249R
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