Supporting Statement A and B_Assessment Services 33200003_02 03 2012

SUPPORTING STATEMENT
(PART A AND B)
INFORMATION COLLECTION REQUEST
for the
Evaluation of the Conflict Assessment Services
(Control Number 3320-0003, Expiring 12/31/2011)

The U.S. Institute for Environmental Conflict Resolution

November 14, 2011

Table of Contents
A. Justification .................................................................................................................... 3
1. Circumstances that Make the Collection of Information Necessary. ....................... 3
2. How, by Whom, and for What Purpose the Information is to Be Used. .................. 5
3. Collection Technology.............................................................................................. 5
4. Duplication................................................................................................................ 5
5. Impact on Small Businesses or Other Small Entities................................................ 5
6. Consequences of Not Conducting Collection ........................................................... 6
8. Federal Register Notice............................................................................................. 7
9. Payment/Gifts to Respondents.................................................................................. 7
10. Confidentiality Protocols .......................................................................................... 7
11. Justification of Questions of a Sensitive Nature ....................................................... 8
12. Hours Burden of the Collection of Information........................................................ 8
13. Estimate of Total Annual Cost Burden..................................................................... 9
14. Annualized Costs to the Federal Government ........................................................ 10
14a. Total Capital and Start-Up Costs ..................................................................... 10
14b. Total Operational and Maintenance and Purchase of Services Component.... 11
15. Reasons for Program Changes/Adjustments........................................................... 11
16. Plans for Tabulation and Publication...................................................................... 12
17. Display of Expiration Date For OMB Approval..................................................... 12
18. Explanations to "Certification for Paperwork Reduction Act Submissions".......... 12
B. Collections of Information Employing Statistical Methods......................................... 12
1. Respondent Universe and Sample Size/Selection Methods.................................... 12
2. Procedures for the Collection of Information ......................................................... 13
2a. Statistical Methodology for Stratification and Sample Selection ....................... 13
2b. Estimation Procedure ......................................................................................... 13
2c. Degree of Accuracy Needed for the Purpose Described in the Justification...... 13
2d. Unusual Problems Requiring Specialized Sampling Procedures ....................... 13
2e. Periodic Data Collection to Reduce Burden....................................................... 13
3. Testing Procedures.................................................................................................. 13
4. Statistical Consultants............................................................................................. 13
Appendix A. Statutes and Regulations Authorizing the Collection of Information ......... 15
Appendix B. Situation/Conflict Assessment Evaluation Design Overview ..................... 26
Appendix C. Public Comments in Response to the First Federal Register Notice........... 30

2

A. Justification
1. Circumstances that Make the Collection of Information Necessary.
The U.S. Institute for Environmental Conflict Resolution (the U.S. Institute) is a
federal program established by the U. S. Congress to assist parties in resolving
environmental, natural resource, and public lands conflicts. The U.S. Institute was
created by the Environmental Policy and Conflict Resolution Act of 1998 (P.L. 105156) and is part of the Morris K. Udall and Stewart L. Udall Foundation, an
independent federal agency of the executive branch overseen by a board of trustees
appointed by the President (A copy of P.L. 105-106 is included Attachment A1). The
U.S. Institute serves as an impartial, non-partisan institution providing professional
expertise, services, and resources to all parties involved in such disputes, regardless of
who initiates or pays for assistance. The U.S. Institute helps parties determine
whether collaborative problem solving is appropriate for specific environmental
conflicts, how and when to bring all the parties to the table, and whether a third-party
facilitator or mediator might be helpful in assisting the parties in their efforts to reach
consensus or to resolve the conflict. In addition, the U.S. Institute maintains a roster
of qualified facilitators and mediators with substantial experience in environmental
conflict resolution, and can help parties in selecting an appropriate neutral. (See
www.ecr.gov for more information about the U.S. Institute.)
Program evaluation is necessary for the achievement of the U.S. Institute’s goals – to
resolve federal environmental disputes in a timely and constructive manner; to
increase the appropriate use of ECR; to improve the ability of federal agencies and
other interested parties to engage in ECR effectively; and to promote collaborative
problem solving and consensus building during the design and implementation of
federal environmental policies so as to prevent and reduce the incidence of future
environmental disputes. Effective program evaluation will provide information on
how well these functions are performed, and will stimulate improvement in
performance as needed. Furthermore, the Government Performance and Reporting
Act (GPRA) requires all Federal agencies to report annually on their performance by,
in essence, answering the following questions: What is your program or organization
trying to achieve? How will its effectiveness be measured? How well is it meeting its
objectives? (A copy of the relevant part of GPRA is included in Attachment A2.)
The U.S. Institute began the program evaluation process by articulating its mission in
terms of desired outcomes for its programs. Standards are being established for each
outcome, and information will be collected and interpreted to measure performance in
relation to the standards. Achievement of the standards can then be tied to activities
and staff responsibilities. This is the framework envisioned by GPRA for all federal
agencies. Properly designed and implemented, program evaluation will assist the U.S.
Institute in continually improving the delivery of its services and products.
The U.S. Institute’s evaluation plan focuses on measuring the articulated program
outcomes. Information will be collected from a variety of sources for use in judging
the degree to which the outcomes are achieved. Key sources of information are users

3

of the U.S. Institute’s services and others involved in U.S. Institute projects.
Gathering information on observations and experiences of these people and their
satisfaction with the U.S. Institute’s services is accomplished by administering
questionnaires. Some information about the U.S. Institute’s programs can be obtained
without administering questionnaires (e.g., the number of ECR cases handled by the
U.S. Institute). However, to evaluate the quality of the U.S. Institute’s services and
the many aspects of success in building consensus or resolving disputes (reaching
agreements being but one), administering questionnaires is essential.
The U.S. Institute has partnered with several agencies to allow the benefits of the
program evaluation system to be realized more broadly. In 2008, the Department of
Interior, Office of Collaborative Action and Dispute Resolution (CADR) was granted
the approval of the Office of Management and Budget (OMB) to act as a named
administrator of the U.S. Institute’s currently approved information collections for
evaluation. The CPRC, CADR, and the U.S. Institute are seeking approval as part of
this proposed collection to continue this evaluation partnership. In addition, the U.S.
Institute is seeking to add the United States Army Corps of Engineers, Conflict
Resolution and Public Participation Center (CPC) as a third named administrator
under this proposed collection. Other agencies have approached the U.S. Institute
seeking (a) evaluation services and (b) assistance in establishing their own internal
evaluation systems. Therefore, the U.S. Institute is requesting OMB approval to
administer the evaluation questionnaires on behalf of other agencies. The U.S.
Institute is seeking approval to make minor conforming revisions to questionnaires to
allow for the broader application of the instruments (e.g., change return address on
cover).
The burden estimates in this information collection request (ICR) take into
consideration the multi-agency usage of the evaluation instruments. The broad interest
in the U.S. Institute's evaluation system has fostered an evaluation collaborative
among several state and federal agencies. The sharing of evaluation resources and
expertise is advantageous on several fronts: (a) design and development efforts are not
duplicated across agencies; (b) common methods for evaluating collaborative
processes are established; (c) knowledge, expertise and resources are shared, realizing
cost-efficiencies for the collaborating agencies; and (d) learning and improvement on a
broader scale will be facilitated through the sharing of comparable multi-agency
findings.
Situation/conflict assessment services are provided to help participants resolve
specified types of environmental conflicts (e.g., those involving a federal agency or
interest and affecting the environment, natural resources or public lands). Consensus
building or dispute resolution services are typically provided following a conflict
assessment, and include assistance with convening the appropriate parties and
providing an appropriate neutral assessor (facilitator or mediator) to help the
participants work toward and reach an agreement. These services are provided by
agency staff alone or, more typically, in concert with third-party neutrals under
contract to the agency. The evaluation of Situation/Conflict Assessment program area
will provide the basis for improving and enhancing assessment services.

4

2. How, by Whom, and for What Purpose the Information is to Be Used.
As part of the evaluation process for the Conflict Assessment services, two
questionnaires will be administered. The questionnaires will go to: (1) the key
initiating organizations/participants that initiated the request for the conflict
assessment at the conclusion of the process (once), and (2) the assessor (neutral) who
conducted the conflict assessment at the conclusion of the process (once). Design
details of the program evaluation system are contained in Attachment B.
The information collected by the U.S. Institute to-date has been used to comply with
the Government Performance and Results Act. The U.S. Institute is required to
produce an Annual Performance Plan (Performance Budget), linked directly to the
goals and objectives outlined in the U.S. Institute’s five-year Strategic Plan. The U.S.
Institute is also required to produce an Annual Performance and Accountability
Report, evaluating progress toward achieving its performance commitments. Results
of evaluating each of the U.S. Institute’s program areas have and will be included in
its Annual Performance Reports. Simple summaries and tabulations of information
will be used. In addition, the evaluation results have and will continue to be made
available to wide audiences of program administrators, users, practitioners, and
researchers who are interested in learning what factors most influence successful
outcomes in specific situations. The U.S. Institute's evaluation partners will make
similar use of the evaluation information collected.
3. Collection Technology
To the extent possible, the Situation/Conflict Assessment questionnaires will be
administered in electronic form. The assessors who conduct the assessments and
representatives of the initiating organizations/key participants are all expected to have
access to the Internet. In the few cases where these assumptions may not hold,
transmission will be via U.S. Postal Service.
4. Duplication
No other source currently exists that can be used to obtain information on the quality
of assessment services.

5. Impact on Small Businesses or Other Small Entities
Although some of the respondents will be small entities, most will be government
employees and individuals. Moreover, the total number of expected respondents per
year is estimated to be relatively small – less than 430 per year – and the financial
burden to be modest – less than $3.95 per respondent.

5

6. Consequences of Not Conducting Collection
Evaluation of the assessment services would not be possible without the information
that can be obtained only by administering questionnaires to users. Only descriptive
information about the assessment services is available from other sources (e.g., the
number of assessments conducted and the number of participants). Such information
cannot be used as a surrogate for program/service quality, and cannot substitute for
information obtained through surveys of users and participants.
With respect to the frequency of information collection, the information will be
collected only once for each event.

7. Special Circumstances of Information Collection
This ICR does not require respondents to:





report information to the Agency more often than quarterly,
prepare a written response to a collection of information in fewer than 30 days
after receipt of a request,
submit more than an original and two copies of any document, or
retain records, other than health, medical, government contract, grant-in-aid or
tax records, for more than three years.

Nor will information be collected in a manner:
 connected with a statistical survey, that is not designed to produce valid and
reliable results that can be generalized to the universe of study,
 requiring use of a statistical data classification that has not been reviewed and
approved by OMB,
 requiring a pledge of confidentiality that is not supported by authority
established in statute or regulation, that is not supported by disclosure and
data security policies that are consistent with the pledge, or which
unnecessarily impedes sharing of data with other agencies for compatible
confidential use, or
 requiring proprietary, trade secret or other confidential information unless the
Agency can demonstrate that it has procedures to protect the information's
confidentiality to the extent permitted by law.

6

8. Federal Register Notice
A comprehensive Federal Register Notice was published at the end of July 2011. It
opened a 60-day public comment period. The notice described in detail the need for
and use of the information. The notice also provided access to copies of the proposed
questionnaires via the Institute’s website:
http://ecr.gov/Resources/EvaluationProgram.aspx
In mid-October 2011, a second Federal Register Notice was published to announce
that the U.S. Institute forwarded seven information collection requests to OMB. The
second notice opened a 30-day public comment period.
One comment was received in response to the 60-day public comment notice. This
comment expressed concern about the funding of the Morris K. Udall and Stewart L.
Udall Foundation and the U.S. Institute generally (Appendix C). This comment did
not provide any specific feedback on the evaluation instruments or the burden
estimates pertaining to the instruments.
9. Payment/Gifts to Respondents
The collection of information does not provide any payment or gift to respondents,
other than enumeration of contractors or grantees.
10. Confidentiality Protocols
It is U.S. Institute policy to disclose information collected from process participants
only in summary fashion (e.g., project-level reports); neither individual respondents
nor their answers to questions will be identified. Social Security numbers and
company tax identifiers will not be requested as part of the evaluation.
It is U.S. Institute policy to disclose project-level evaluation information provided by
and pertaining to project contractors (e.g., mediators or facilitators). The information
will be reported without directly identifying the name of the contractor(s). However,
project participants and others familiar with a particular project will know the identity
of the contractors to whom the evaluation information pertains. To this end, the U.S.
Institute does not perceive project-level indirect identification of contracted
mediators/facilitators neutrals as an unwarranted invasion of the person privacy of
individuals.
In the event of a Freedom of Information Act (FOIA) request, the U.S. Institute takes
the general position that names and other information that could lead to identification
of project participants, or the invasion of the personal privacy of individuals about
whom evaluation information is collected, are exempt from disclosure under the
personal privacy exemption (5. U.S.C. 552(b)(6)). The use of the personal privacy
exception is subject to passing a balancing test to determine if the public interest in

7

disclosure outweighs the personal privacy interest. FOIA requests will be evaluated
on a case-by-case basis.
11. Justification of Questions of a Sensitive Nature
This information collection request (ICR) does not involve collecting any information
of a sensitive nature or any information commonly considered private.
12. Hours Burden of the Collection of Information
Burden means the total time and financial resources expended by persons to generate,
maintain, retain, disclose or provide information to or for a federal agency. This
section focuses on the time to read instructions and answer questions on the
appropriate questionnaire. Hour burdens are then monetized using fully burdened
labor rates for appropriate occupations derived from Bureau of Labor Statistics tables
(U.S. Department of Labor, Bureau of Labor Statistics, “Employer Costs for
Employee Compensation”, Table 2: Civilian Workers, by Occupational and Industry
Group – March, 2011. http://www.bls.gov/news.release/ecec.t02.htm).
The following table is based on several assumptions:


75 assessments will be evaluated each year on average.



Each case will involve an average of five participants.



Each case will involve approximately one assessor.



The total number of responses will average 430 per year



The average cost per respondent is less than $4.00.

The time estimates to complete each questionnaire are based on experience with prior
information collection authorized under OMB control number 3320-0003 (Expiring
12/31/11).
U.S. Institute for Environmental Conflict Resolution
Respondent Burden and Cost (Annualized)
Conflict Assessment Services (3320-0003)
Agency

Annual
Number
of
Cases

Average
Number of
Respondents
per Case

Annual
Number
of
Responses

Average
Minutes
per
Response

Annual
Number
of
Minutes

Annual
Number
of
Hours

Labor
Rate Per
Hour
($)

Annual
Cost
($)

U.S. Institute for Environmental Conflict Resolution
Initiating
Organization
Representative
Assessors

5

175

5

875

15

47

685

1

35

5

175

3

47

137

35

U.S. EPA Conflict Prevention and Resolution Center

8

Initiating
Organization
Representative

5

100

5

500

8

47

392

n/a

n/a

n/a

n/a

n/a

n/a

n/a

20

Assessors

U.S. DOI Office of Collaborative Action and Dispute Resolution
Initiating
Organization
Representative

5

50

5

250

4

47

196

1

10

5

50

1

47

47

10

Assessors

U.S. Army Corps of Engineers, Conflict Resolution and Public Participation Center
Initiating
Organization
Representative

50

5

250

4

47

196

1

10

5

50

1

47

47

10

Assessors
Total

5

75

430

36

13. Estimate of Total Annual Cost Burden

There are no capital or start-up costs.

9

$1,700

14. Annualized Costs to the Federal Government
14a. Total Capital and Start-Up Costs
Evaluation of the Situation/Conflict Assessment Services
Agency Cost - Start-up (One-Time Costs)
Position
Management
Program Coordinator
Administrative Staff

Activity
Oversight
Design and
Management
Administrative
support

TOTAL

Total
Hours

Labor Rate
per Hour

5
20

$75
$42.50

$375
$850

6

$32.50

$195

31

Cost

$1,420

The costs above reflect total start-up costs for the U.S. Institute and its evaluation
partners (i.e., agencies acting as named administrators of the U.S. Institute's evaluation
instruments and agencies contracting with the U.S. Institute for evaluation services).

10

14b. Total Operational and Maintenance and Purchase of Services Component
Evaluation of the Situation/Conflict Assessment Services - Agency Cost (Annualized)
Questionnaire/Activity

Administer Questionnaires
Organization
Representatives/Key
Participants - End of
Process
Assessor End of Process
Questionnaire
Data Entry Verification
and Data Cleaning
Organization
Representatives/Key
Participants - End of
Process
Assessor End of Process
Questionnaire
Analysis and Reporting
Case-level Reporting
Program-level Reporting
Oversight
Program Manager
Management
Supplies
TOTAL

Minutes per
Questionnaire

Number of
Questionnaires

Total
Hours

Labor
Rate per
Hour

Cost

4

375

25.00

$32.50

$813

4

55

3.67

$32.50

$119

3

375

18.75

$32.50

$609

3

55

2.75

$32.50

$89

N/A

N/A

75
10

$32.50
$62.50

$2,438
$625

N/A
N/A

N/A
N/A

2
2

$62.50
$75

$125
$150
$100
$5,068

The costs in the table above are average annual operational and maintenance costs for
the next three years once the evaluation system is operational. The estimate includes
costs for the U.S. Institute and its evaluation partners (i.e., agencies acting as named
administrators of the U.S. Institute's evaluation instruments or agencies contracting
with the U.S. Institute for evaluation services).
15. Reasons for Program Changes/Adjustments
Burden change due to change in agency estimate based on the factors below.
For the assessor instrument the time estimate was revised downward. The total
number of questions remains the same, and the total number of responses remains
the same.
For the requestor instrument the time estimate was revised downward, and the total
number of responses was revised downward. Revisions to the instrument did not
change the overall total number of questions.
11

16. Plans for Tabulation and Publication
To comply with the Government Performance and Results Act, agencies are required
to produce an Annual Performance Plan (Performance Budget), linked directly to the
goals and objectives outlined in the agencies five-year Strategic Plan. The agencies
are also required to produce an Annual Performance and Accountability Report,
evaluating progress toward achieving its performance commitments. Results of
evaluating program areas, such as situation/conflict assessments, will be included in
the agencies Annual Performance and Accountability Report. Simple summaries and
tabulations of information will be used.
17. Display of Expiration Date For OMB Approval
The OMB approval number and expiration date will be displayed on each evaluation
questionnaires.
18. Explanations to "Certification for Paperwork Reduction Act Submissions"
This collection of information is in full compliance with the provisions of the
"Certificate for Paperwork Reduction Act Submissions"
B. Collections of Information Employing Statistical Methods
1. Respondent Universe and Sample Size/Selection Methods
All assessment services provided with the assistance of the U.S. Institute will be
evaluated. Since all (100%) of the U.S. Institute assessment services will be
evaluated, sample selection methods are not applicable. With respect to other
agencies acting as a named administrator of the U.S. Institute's information
collections (e.g., the EPA's Conflict Prevention and Resolution Center and DOI’s
Office of Collaborative Action and Dispute Resolution) no attempt will be made to
generalize the initial evaluation results. Professor Don Dillman’s “Total Tailored
Design Method”1 will be used to maximize response rates. An overall response rate
above 70% is expected.

1

Don A. Dillman, Mail and Internet Surveys: The Tailored Design Method (2nd Edition), John Wiley &
Sons, Inc., NY, 2000.

12

2. Procedures for the Collection of Information
2a. Statistical Methodology for Stratification and Sample Selection
2b. Estimation Procedure
2c. Degree of Accuracy Needed for the Purpose Described in the Justification
2d. Unusual Problems Requiring Specialized Sampling Procedures
2e. Periodic Data Collection to Reduce Burden
This section is not applicable as detailed in Section B(1) above.
3. Testing Procedures
Experience with the previously approved collection (3320-0003 expiring 12/31/2011)
provided the opportunity to extensively assess and improve on the previous version of
the evaluation design, instruments, administration, data entry and data processing
procedures.
4. Statistical Consultants
Agency Contact:
Patricia Orr
Director of Policy Planning and Budget
U.S. Institute for Environmental Conflict Resolution
520-901-8548

13

List of Appendices
Appendix A. Statutes and Regulations Authorizing the Collection of Information
Appendix B. Situation/Conflict Assessment Evaluation Design Overview
Appendix C. Public Comments in Response to the First Federal Register Notice

14

Appendix A. Statutes and Regulations Authorizing the Collection of Information
(1) Environmental Policy and Conflict Resolution Act
(2) Government Performance and Reporting Act

15

[DOCID: f:publ156.105]
[[Page 8]]
ENVIRONMENTAL POLICY AND CONFLICT RESOLUTION ACT OF 1998
[[Page 112 STAT. 9]]
Public Law 105-156
105th Congress
An Act

To amend the Morris K. Udall Scholarship and Excellence in National
Environmental and Native American Public Policy Act of 1992 to
establish
the United States Institute for Environmental Conflict Resolution to
conduct environmental conflict resolution and training, and for other
purposes. <>
Be it enacted by the Senate and House of Representatives of the
United States of America in Congress <> assembled,
SECTION 1. SHORT <>

TITLE.

This Act may be cited as the ``Environmental Policy and Conflict
Resolution Act of 1998''.
SEC. 2. DEFINITIONS.
Section 4 of the Morris K. Udall Scholarship and Excellence in
National Environmental and Native American Public Policy Act of 1992
(20
U.S.C. 5602) is amended-(1) by redesignating paragraphs (4), (5), (6), and (7) as
paragraphs (5), (9), (7), and (8), respectively;
(2) by inserting after paragraph (3) the following:
``(4) the term `environmental dispute' means a dispute or
conflict relating to the environment, public lands, or natural
resources;'';
(3) by inserting after paragraph (5) (as redesignated by
paragraph (1)) the following:
``(6) the term `Institute' means the United States
Institute
for Environmental Conflict Resolution established pursuant to
section 7(a)(1)(D);'';
(4) in paragraph (7) (as redesignated by paragraph (1)), by
striking ``and'' at the end;
(5) in paragraph (8) (as redesignated by paragraph (1)), by
striking the period at the end and inserting ``; and''; and
(6) in paragraph (9) (as redesignated by paragraph (1))-(A) by striking ``fund'' and inserting ``Trust
Fund''; and
(B) by striking the semicolon at the end and

16

inserting a period.
SEC. 3. BOARD OF TRUSTEES.
Section 5(b) of the Morris K. Udall Scholarship and Excellence in
National Environmental and Native American Public Policy Act of 1992
(20
U.S.C. 5603(b)) is amended-(1) in the matter preceding paragraph (1) of the second
sentence, by striking ``twelve'' and inserting ``thirteen'';
and
(2) by adding at the end the following:
[[Page 112 STAT. 10]]
``(7) The chairperson of the President's Council on
Environmental Quality, who shall serve as a nonvoting, ex
officio member and shall not be eligible to serve as
chairperson.''.
SEC. 4. PURPOSE.
Section 6 of the Morris K. Udall Scholarship and Excellence in
National Environmental and Native American Public Policy Act of 1992
(20
U.S.C. 5604) is amended-(1) in paragraph (4), by striking ``an Environmental
Conflict Resolution'' and inserting ``Environmental Conflict
Resolution and Training'';
(2) in paragraph (6), by striking ``and'' at the end;
(3) in paragraph (7), by striking the period at the end and
inserting a semicolon; and
(4) by adding at the end the following:
``(8) establish as part of the Foundation the United States
Institute for Environmental Conflict Resolution to assist the
Federal Government in implementing section 101 of the National
Environmental Policy Act of 1969 (42 U.S.C. 4331) by providing
assessment, mediation, and other related services to resolve
environmental disputes involving agencies and instrumentalities
of the United States; and
``(9) complement the direction established by the President
in Executive Order No. 12988 (61 Fed. Reg. 4729; relating to
civil justice reform).''.
SEC. 5. AUTHORITY.
Section 7(a) of the Morris K. Udall Scholarship and Excellence in
National Environmental and Native American Public Policy Act of 1992
(20
U.S.C. 5605(a)) is amended-(1) in paragraph (1), by adding at the end the following:
``(D) Institute for environmental conflict
resolution.-``(i) In general.--The Foundation shall-``(I) establish the United States
Institute for Environmental Conflict
Resolution as part of the Foundation;

17

and
``(II) identify and conduct such
programs, activities, and services as
the Foundation determines appropriate
to
permit the Foundation to provide
assessment, mediation, training, and
other related services to resolve
environmental disputes.
``(ii) Geographic proximity of conflict
resolution provision.--In providing assessment,
mediation, training, and other related services
under clause (i)(II) to resolve environmental
disputes, the Foundation shall consider, to the
maximum extent practicable, conflict resolution
providers within the geographic proximity of the
conflict.''; and
(2) in paragraph (7), by inserting ``and Training '' after
``Conflict Resolution''.
SEC. 6. ENVIRONMENTAL DISPUTE RESOLUTION FUND.
(a) Redesignation.--Sections 10 and 11 of the Morris K. Udall
Scholarship and Excellence in National Environmental and Native
American
Public Policy Act of 1992 (20 U.S.C. 5608, 5609) are redesignated as
sections 12 and 13 of the Act, respectively.
[[Page 112 STAT. 11]]
(b) Environmental Dispute
Scholarship and Excellence in
American
Public Policy Act of 1992 (20
subsection (a)) is amended by

Resolution Fund.--The Morris K. Udall
National Environmental and Native
U.S.C. 5601 et seq.) (as amended by
inserting after section 9 the following:

``SEC. 10. ENVIRONMENTAL DISPUTE RESOLUTION <>
FUND.
``(a) Establishment.--There is established in the Treasury of the
United States an Environmental Dispute Resolution Fund to be
administered by the Foundation. The Fund shall consist of amounts
appropriated to the Fund under section 13(b) and amounts paid into the
Fund under section 11.
``(b) Expenditures.--The Foundation shall expend from the Fund such
sums as the Board determines are necessary to establish and operate the
Institute, including such amounts as are necessary for salaries,
administration, the provision of mediation and other services, and such
other expenses as the Board determines are necessary.
``(c) Distinction From Trust Fund.--The Fund shall be maintained
separately from the Trust Fund established under section 8.
``(d) Investment of Amounts.-``(1) In general.--The Secretary of the Treasury shall
invest such portion of the Fund as is not, in the judgment of
the Secretary, required to meet current withdrawals.
``(2) Interest-bearing obligations.--Investments may be
made

18

only in interest-bearing obligations of the United States.
``(3) Acquisition of obligations.--For the purpose of
investments under paragraph (1), obligations may be acquired-``(A) on original issue at the issue price; or
``(B) by purchase of outstanding obligations at the
market price.
``(4) Sale of obligations.--Any obligation acquired by the
Fund may be sold by the Secretary of the Treasury at the market
price.
``(5) Credits to fund.--The interest on, and the proceeds
from the sale or redemption of, any obligations held in the
Fund
shall be credited to and form a part of the Fund.''.
SEC. 7. USE OF THE INSTITUTE BY A FEDERAL AGENCY.
The Morris K. Udall Scholarship and Excellence in National
Environmental and Native American Policy Act of 1992 (20 U.S.C. 5601 et
seq.) (as amended by section 6) is amended by inserting after section
10
the following:
``SEC. 11. USE OF THE INSTITUTE BY A FEDERAL <>
AGENCY.
``(a) Authorization.--A Federal agency may use the Foundation and
the Institute to provide assessment, mediation, or other related
services in connection with a dispute or conflict related to the
environment, public lands, or natural resources.
``(b) Payment.-``(1) In general.--A Federal agency may enter into a
contract and expend funds to obtain the services of the
Institute.
``(2) Payment into environmental dispute resolution fund.-A
payment from an executive agency on a contract entered into
under paragraph (1) shall be paid into the Environmental
Dispute
Resolution Fund established under section 10.
``(c) Notification and Concurrence.-[[Page 112 STAT. 12]]
``(1) Notification.--An agency or instrumentality of the
Federal Government shall notify the chairperson of the
President's Council on Environmental Quality when using the
Foundation or the Institute to provide the services described
in
subsection (a).
``(2) Notification descriptions.--In a matter involving two
or more agencies or instrumentalities of the Federal
Government,
notification under paragraph (1) shall include a written
description of-``(A) the issues and parties involved;
``(B) prior efforts, if any, undertaken by the

19

agency to resolve or address the issue or issues;
``(C) all Federal agencies or instrumentalities
with
a direct interest or involvement in the matter and a
statement that all Federal agencies or
instrumentalities
agree to dispute resolution; and
``(D) other relevant information.
``(3) Concurrence.-``(A) In general.--In a matter that involves two or
more agencies or instrumentalities of the Federal
Government (including branches or divisions of a single
agency or instrumentality), the agencies or
instrumentalities of the Federal Government shall
obtain
the concurrence of the chairperson of the President's
Council on Environmental Quality before using the
Foundation or Institute to provide the services
described in subsection (a).
``(B) Indication of concurrence or nonconcurrence.The chairperson of the President's Council on
Environmental Quality shall indicate concurrence or
nonconcurrence under subparagraph (A) not later than 20
days after receiving notice under paragraph (2).
``(d) Exceptions.-``(1) Legal issues and enforcement.-``(A) In general.--A dispute or conflict involving
agencies or instrumentalities of the Federal Government
(including branches or divisions of a single agency or
instrumentality) that concern purely legal issues or
matters, interpretation or determination of law, or
enforcement of law by one agency against another agency
shall not be submitted to the Foundation or Institute.
``(B) Applicability.--Subparagraph (A) does not
apply to a dispute or conflict concerning-``(i) agency implementation of a program or
project;
``(ii) a matter involving two or more
agencies
with parallel authority requiring facilitation
and
coordination of the various Government agencies;
or
``(iii) a nonlegal policy or decisionmaking
matter that involves two or more agencies that
are
jointly operating a project.
``(2) Other mandated mechanisms or avenues.--A dispute or
conflict involving agencies or instrumentalities of the Federal
Government (including branches or divisions of a single agency
or instrumentality) for which Congress by law has mandated
another dispute resolution mechanism or avenue to address or
resolve shall not be submitted to the Foundation or
Institute.''.

20

[[Page 112 STAT. 13]]
SEC. 8. AUTHORIZATION OF APPROPRIATIONS.
(a) In General.--Section 13 of the Morris K. Udall Scholarship and
Excellence in National Environmental and Native American Public Policy
Act of 1992 (as redesignated by section 6(a)) is amended-(1) by striking ``There are authorized to be appropriated
to
the Fund'' and inserting the following:
``(a) Trust Fund.--There is authorized to be appropriated to the
Trust Fund''; and
(2) by adding at the end the following:
``(b) Environmental Dispute Resolution Fund.--There are authorized
to be appropriated to the Environmental Dispute Resolution Fund
established under section 10-``(1) $4,250,000 for fiscal year 1998, of which-``(A) $3,000,000 shall be for capitalization; and
``(B) $1,250,000 shall be for operation costs; and
``(2) $1,250,000 for each of the fiscal years 1999 through
2002 for operation costs.''.
SEC. 9. CONFORMING AMENDMENTS.
(a) The second sentence of section 8(a) of the Morris K. Udall
Scholarship and Excellence in National Environmental and Native
American
Public Policy Act of 1992 (20 U.S.C. 5606) is amended-(1) by striking ``fund'' and inserting ``Trust Fund''; and
(2) by striking ``section 11'' and inserting ``section
13(a)''.
(b) Sections 7(a)(6), 8(b), and 9(a) of the Morris K. Udall
Scholarship and Excellence in National Environmental and Native
American
Public Policy Act of 1992 (20 U.S.C. 5605(a)(6), 5606(b), and 5607(a))
are each amended by striking ``Fund'' and inserting ``Trust Fund'' each
place it appears.
Approved February 11, 1998.
LEGISLATIVE HISTORY--H.R. 3042 (S. 399):
-------------------------------------------------------------------------CONGRESSIONAL RECORD:
Vol. 143
(1997):
Nov. 13, considered and passed
House.
Vol. 144
(1998):
Jan. 29, considered and passed
Senate.

21

22

Government Performance and Reporting Act
(Relevant Portions)


United States Code
o TITLE 31 - MONEY AND FINANCE
 SUBTITLE II - THE BUDGET PROCESS
 CHAPTER 11 - THE BUDGET AND FISCAL, BUDGET,
AND PROGRAM INFORMATION

U.S. Code as of: 01/05/99
Section 1115. Performance plans
(a) In carrying out the provisions of section 1105(a)(29),
(FOOTNOTE 1) the Director of the Office of Management and Budget
shall require each agency to prepare an annual performance plan
covering each program activity set forth in the budget of such
agency. Such plan shall (FOOTNOTE 1) See References in Text note below.
(1) establish performance goals to define the level of
performance to be achieved by a program activity;
(2) express such goals in an objective, quantifiable, and
measurable form unless authorized to be in an alternative form
under subsection (b);
(3) briefly describe the operational processes, skills and
technology, and the human, capital, information, or other
resources required to meet the performance goals;
(4) establish performance indicators to be used in measuring or
assessing the relevant outputs, service levels, and outcomes of
each program activity;
(5) provide a basis for comparing actual program results with
the established performance goals; and
(6) describe the means to be used to verify and validate
measured values.
(b) If an agency, in consultation with the Director of the Office
of Management and Budget, determines that it is not feasible to
express the performance goals for a particular program activity in
an objective, quantifiable, and measurable form, the Director of
the Office of Management and Budget may authorize an alternative
form. Such alternative form shall (1) include separate descriptive statements of (A)(i) a minimally effective program, and
(ii) a successful program, or
(B) such alternative as authorized by the Director of the
Office of Management and Budget,
with sufficient precision and in such terms that would allow for
an accurate, independent determination of whether the program
activity's performance meets the criteria of the description; or
(2) state why it is infeasible or impractical to express a
performance goal in any form for the program activity.
(c) For the purpose of complying with this section, an agency may

23

aggregate, disaggregate, or consolidate program activities, except
that any aggregation or consolidation may not omit or minimize the
significance of any program activity constituting a major function
or operation for the agency.
(d) An agency may submit with its annual performance plan an
appendix covering any portion of the plan that (1) is specifically authorized under criteria established by an
Executive order to be kept secret in the interest of national
defense or foreign policy; and
(2) is properly classified pursuant to such Executive order.
(e) The functions and activities of this section shall be
considered to be inherently Governmental functions. The drafting
of performance plans under this section shall be performed only by
Federal employees.
(f) For purposes of this section and sections 1116 through 1119,
and sections 9703 (FOOTNOTE 2) and 9704 the term (FOOTNOTE 2) See References in Text note below.
(1) ''agency'' has the same meaning as such term is defined
under section 306(f) of title 5;
(2) ''outcome measure'' means an assessment of the results of a
program activity compared to its intended purpose;
(3) ''output measure'' means the tabulation, calculation, or
recording of activity or effort and can be expressed in a
quantitative or qualitative manner;
(4) ''performance goal'' means a target level of performance
expressed as a tangible, measurable objective, against which
actual achievement can be compared, including a goal expressed as
a quantitative standard, value, or rate;
(5) ''performance indicator'' means a particular value or
characteristic used to measure output or outcome;
(6) ''program activity'' means a specific activity or project
as listed in the program and financing schedules of the annual
budget of the United States Government; and
(7) ''program evaluation'' means an assessment, through
objective measurement and systematic analysis, of the manner and
extent to which Federal programs achieve intended objectives.

U.S. Code as of: 01/05/99
Section 1116. Program performance reports
(a) No later than March 31, 2000, and no later than March 31 of
each year thereafter, the head of each agency shall prepare and
submit to the President and the Congress, a report on program
performance for the previous fiscal year.
(b)(1) Each program performance report shall set forth the
performance indicators established in the agency performance plan
under section 1115, along with the actual program performance
achieved compared with the performance goals expressed in the plan
for that fiscal year.
(2) If performance goals are specified in an alternative form
under section 1115(b), the results of such program shall be
described in relation to such specifications, including whether the
performance failed to meet the criteria of a minimally effective or
successful program.
(c) The report for fiscal year 2000 shall include actual results

24

for the preceding fiscal year, the report for fiscal year 2001
shall include actual results for the two preceding fiscal years,
and the report for fiscal year 2002 and all subsequent reports
shall include actual results for the three preceding fiscal years.
(d) Each report shall (1) review the success of achieving the performance goals of
the fiscal year;
(2) evaluate the performance plan for the current fiscal year
relative to the performance achieved toward the performance goals
in the fiscal year covered by the report;
(3) explain and describe, where a performance goal has not been
met (including when a program activity's performance is
determined not to have met the criteria of a successful program
activity under section 1115(b)(1)(A)(ii) or a corresponding level
of achievement if another alternative form is used) (A) why the goal was not met;
(B) those plans and schedules for achieving the established
performance goal; and
(C) if the performance goal is impractical or infeasible, why
that is the case and what action is recommended;
(4) describe the use and assess the effectiveness in achieving
performance goals of any waiver under section 9703 (FOOTNOTE 1)
of this title; and
(FOOTNOTE 1) See References in Text note below.
(5) include the summary findings of those program evaluations
completed during the fiscal year covered by the report.
(e) An agency head may include all program performance
information required annually under this section in an annual
financial statement required under section 3515 if any such
statement is submitted to the Congress no later than March 31 of
the applicable fiscal year.
(f) The functions and activities of this section shall be
considered to be inherently Governmental functions. The drafting
of program performance reports under this section shall be
performed only by Federal employees.

25

Appendix B. Situation/Conflict Assessment Evaluation Design Overview

26

Evaluating Conflict Assessment Services:
Design Document
Conflict assessments are conducted by a neutral party and include a series of confidential,
often structured interviews in person or on the telephone with individuals or groups of
parties. Through such assessments, assessors (neutral practitioners) identify and clarify
key issues and parties, and assess the appropriateness of a mediation/facilitation process
and its potential for helping the parties reach agreement. Assessment reports seek to
clarify and communicate in a neutral manner the issues and concerns of all parties, and
commonly conclude with process design recommendations intended to provide the
parties with one or more options for effectively collaborating to find a solution to their
conflict.
The U.S. Institute for Environmental Conflict Resolution has designed an evaluation
system to (a) measure and report on the performance of situation/conflict assessment
services, and (b) to facilitate continual learning and improvement when evaluation
information is gathered, analyzed, and shared with program managers/administrators,
assessors, users, and other appropriate audiences.

Design Elements and Data Collection
Following the conclusion of a conflict assessment process, the initiating
agencies/organization(s) and key participants will be surveyed once via questionnaire to
determine their views on a variety of issues. Topics to be investigated include: were all
the key issues explored; was input sought from key parties; would the respondents
recommend a conflict assessment again for similar situations; did the assessment services
help the respondent determine how best to proceed to solve the problem/resolve the

27

conflict? The voluntary questionnaire contains seven questions requiring respondents to
provide fill-in-the blank and open-ended responses. Information from the questionnaire
provides the opportunity to: (a) evaluate the performance for specific cases/projects; (b)
evaluate the performance of assessment programs; and (c) use the evaluation feedback as
a learning tool to improve the design of future assessment cases/projects. Affected
Entities: Entities potentially affected by this action are individuals in organizations that
participate in a conflict assessment.
Immediately following conclusion of a situation/conflict assessment, the selected
assessor(s) will be surveyed once via questionnaire to determine their views on a variety
of issues. Topics to be investigated include: was the conflict assessment approach well
suited to the nature of the issues in conflict; was assisted negotiation recommended; and,
was the recommendation followed? In most cases, it will be specified in the assessor’s
contract that the assessor will be required to complete the questionnaire. The assessor’s
questionnaire contains seven questions requiring respondents to provide fill-in-the blank
and open-ended responses. Information from the questionnaire will permit the agency
staff to evaluate the assessment process and outcomes, and learn from and improve the
design of future assessment projects. Affected Entities: Entities potentially affected by
this action are assessors who either are staff from or have been contracted by the agency.
Data Use and Audiences
Information from the questionnaire will permit the (a) measurement and reporting of
performance for specific situation/conflict assessments, (b) measurement and reporting of
program performance when the data are aggregated across all evaluated assessments, and
(c) learning and improvement when the feedback is used to design and execute future

28

assessments. The evaluation audiences include the project managers/administrators and
the Office of Management and Budget.

For more information contact:
Patricia Orr, Director of Policy, Planning, and Budget
The U.S. Institute for Environmental Conflict Resolution
130 South Scott Avenue
Tucson, Arizona 85701
Telephone (520) 901-8548 or Fax (520) 670-5530

29

Appendix C. Public Comments in Response to the First Federal Register Notice

IT IS TIME TO DOWNSIZE GOVT. I THINK IT IS TIME TO SUNSET THIS
BUDGET OF THIS FOUNDATION, ETC. TO ZERO. IT SEEMS LIKE A HUGE
BUREAUCRACY THAT IS NTO NEEDED. THIS IS A 1950 CREATION, THIS IS
2011. IT NEEDS TO BE SUNSET.
JEANPUBLIC ADDRESS IF REQUIRED
>Subject: PUBLIC COMMENT ON FEDERAL REGISTER W: cut budget of udall
bureaucracy to zero

30