[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2000 Edition]
[From the U.S. Government Printing Office]
[[Page i]]
40
Part 1 to 49
Revised as of July 1, 2000
Protection of Environment
Containing a Codification of documents of general
applicability and future effect
As of July 1, 2000
With Ancillaries
Published by
Office of the Federal Register
National Archives and Records
Administration
As a Special Edition of the Federal Register
[[Page ii]]
U.S. GOVERNMENT PRINTING OFFICE
WASHINGTON : 2000
For sale by U.S. Government Printing Office
Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328
[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 40:
Chapter I--Environmental Protection Agency 3
Finding Aids:
Table of CFR Titles and Chapters........................ 651
Alphabetical List of Agencies Appearing in the CFR...... 669
List of CFR Sections Affected........................... 679
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Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 40 CFR 1.1 refers
to title 40, part 1,
section 1.
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[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
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name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
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LEGAL STATUS
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OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires
Federal agencies to display an OMB control number with their information
collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
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OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on
the cover of each volume are not carried. Code users may find the text
of provisions in effect on a given date in the past by using the
appropriate numerical list of sections affected. For the period before
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For
the period beginning January 1, 1986, a ``List of CFR Sections
Affected'' is published at the end of each CFR volume.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a
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The Federal Register Index is issued monthly in cumulative form.
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the revision dates of the 50 CFR titles.
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The full text of the Code of Federal Regulations, the LSA (List of
CFR Sections Affected), The United States Government Manual, the Federal
Register, Public Laws, Public Papers, Weekly Compilation of Presidential
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[[Page vii]]
The Office of the Federal Register also offers a free service on the
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Raymond A. Mosley,
Director,
Office of the Federal Register.
July 1, 2000.
[[Page ix]]
THIS TITLE
Title 40--Protection of Environment is composed of twenty-four
volumes. The parts in these volumes are arranged in the following order:
parts 1-49, parts 50-51, part 52 (52.01-52.1018), part 52 (52.1019-End),
parts 53-59, part 60, parts 61-62, part 63 (63.1-63.1199), part 63
(63.1200-End), parts 64-71, parts 72-80, parts 81-85, part 86, parts 87-
135, parts 136-149, parts 150-189, parts 190-259, parts 260-265, parts
266-299, parts 300-399, parts 400-424, parts 425-699, parts 700-789, and
part 790 to End. The contents of these volumes represent all current
regulations codified under this title of the CFR as of July 1, 2000.
Chapter I--Environmental Protection Agency appears in all twenty-
four volumes. A Pesticide Tolerance Commodity/Chemical Index and Crop
Grouping Commodities Index appear in parts 150-189. A Toxic Substances
Chemical--CAS Number Index appears in parts 700-789 and part 790 to End.
Redesignation Tables appear in the volumes containing parts 50-51, parts
150-189, and parts 700-789. Regulations issued by the Council on
Environmental Quality appear in the volume containing part 790 to End.
The OMB control numbers for title 40 appear in Sec. 9.1 of this chapter.
For this volume, Jonn V. Lilyea was Chief Editor. The Code of
Federal Regulations publication program is under the direction of
Frances D. McDonald, assisted by Alomha S. Morris.
[[Page x]]
[[Page 1]]
TITLE 40--PROTECTION OF ENVIRONMENT
(This book contains parts 1 to 49)
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Part
chapter i--Environmental Protection Agency.................. 1
[[Page 3]]
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY
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SUBCHAPTER A--GENERAL
Part Page
1 Statement of organization and general
information............................. 5
2 Public information.......................... 23
4 Uniform relocation assistance and real
property acquisition for Federal and
federally assisted programs............. 72
6 Procedures for implementing the requirements
of the Council on Environmental Quality
on the National Environmental Policy Act 72
7 Nondiscrimination in programs receiving
Federal assistance from the
Environmental Protection Agency......... 112
8 Environmental impact assessment of
nongovernmental activities in Antarctica 124
9 OMB approvals under the Paperwork Reduction
Act..................................... 131
10 Administrative claims under Federal Tort
Claims Act.............................. 152
11 Security classification regulations pursuant
to Executive Order 11652................ 155
12 Nondiscrimination on the basis of handicap
in programs or activities conducted by
the Environmental Protection Agency..... 159
13 Claims collection standards................. 165
14 Employee personal property claims........... 182
16 Implementation of Privacy Act of 1974....... 185
17 Implementation of the Equal Access to
Justice Act in EPA administrative
proceedings............................. 197
19 Adjustment of civil monetary penalties for
inflation............................... 203
20 Certification of facilities................. 205
21 Small business.............................. 213
22 Consolidated rules of practice governing the
administrative assessment of civil
penalties and the revocation termination
or suspension of permits................ 222
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23 Judicial review under EPA--Administered
statutes................................ 247
24 Rules governing issuance of and
administrative hearings on interim
status corrective action orders......... 249
25 Public participation in programs under the
Resource Conservation and Recovery Act,
the Safe Drinking Water Act, and the
Clean Water Act......................... 257
26 Protection of human subjects................ 266
27 Program fraud civil remedies................ 277
29 Intergovernmental review of Environmental
Protection Agency programs and
activities.............................. 294
SUBCHAPTER B--GRANTS AND OTHER FEDERAL ASSISTANCE
30 Uniform administrative requirements for
grants and agreements with institutions
of higher education, hospitals, and
other non-profit organizations.......... 298
31 Uniform administrative requirements for
grants and cooperative agreements to
State and local governments............. 325
32 Governmentwide debarment and suspension
(nonprocurement) and governmentwide
requirements for drug-free workplace
(grants); Clean Air Act and Clean Water
Act ineligibility of facilities in
performance of Federal contracts, grants
and loans............................... 360
34 New restrictions on lobbying................ 381
35 State and local assistance.................. 393
40 Research and demonstration grants........... 623
45 Training assistance......................... 632
46 Fellowships................................. 635
47 National Environmental Education Act grants. 638
49 Tribal Clean Air Act authority.............. 640
[[Page 5]]
SUBCHAPTER A--GENERAL
PART 1--STATEMENT OF ORGANIZATION AND GENERAL INFORMATION--Table of Contents
Subpart A--Introduction
Sec.
1.1 Creation and authority.
1.3 Purpose and functions.
1.5 Organization and general information.
1.7 Location of principal offices.
Subpart B--Headquarters
1.21 General.
1.23 Office of the Administrator.
1.25 Staff Offices.
1.27 Offices of the Associate Administrators.
1.29 Office of Inspector General.
1.31 Office of General Counsel.
1.33 Office of Administration and Resources Management.
1.35 Office of Enforcement and Compliance Monitoring.
1.37 Office of External Affairs.
1.39 Office of Policy, Planning and Evaluation.
1.41 Office of Air and Radiation.
1.43 Office of Prevention, Pesticides and Toxic Substances.
1.45 Office of Research and Development.
1.47 Office of Solid Waste and Emergency Response.
1.49 Office of Water.
Subpart C--Field Installations
1.61 Regional Offices.
Authority: 5 U.S.C. 552.
Source: 50 FR 26721, June 28, 1985, unless otherwise noted.
Subpart A--Introduction
Sec. 1.1 Creation and authority.
Reorganization Plan 3 of 1970, established the U.S. Environmental
Protection Agency (EPA) in the Executive branch as an independent
Agency, effective December 2, 1970.
Sec. 1.3 Purpose and functions.
The U.S. Environmental Protection Agency permits coordinated and
effective governmental action to assure the protection of the
environment by abating and controlling pollution on a systematic basis.
Reorganization Plan 3 of 1970 transferred to EPA a variety of research,
monitoring, standard setting, and enforcement activities related to
pollution abatement and control to provide for the treatment of the
environment as a single interrelated system. Complementary to these
activities are the Agency's coordination and support of research and
antipollution activities carried out by State and local governments,
private and public groups, individuals, and educational institutions.
EPA reinforces efforts among other Federal agencies with respect to the
impact of their operations on the environment.
Sec. 1.5 Organization and general information.
(a) The U.S. Environmental Protection Agency's basic organization
consists of Headquarters and 10 Regional Offices. EPA Headquarters in
Washington, DC maintains overall planning, coordination and control of
EPA programs. Regional Administrators head the Regional Offices and are
responsible directly to the Administrator for the execution of the
Agency's programs within the boundaries of their Regions.
(b) EPA's Directives System contains definitive statements of EPA's
organization, policies, procedures, assignments of responsibility, and
delegations of authority. Copies are available for public inspection and
copying at the Management and Organization Division, 401 M Street SW.,
Washington, DC 20460. Information can be obtained from the Office of
Public Affairs at all Regional Offices.
(c) EPA conducts procurement pursuant to the Federal Property and
Administrative Services Act, the Federal Procurement Regulations, and
implementing EPA regulations.
Sec. 1.7 Location of principal offices.
(a) The EPA Headquarters is in Washington, DC. The mailing address
is 401 M Street SW., Washington, DC 20460.
(b) The addresss of (and States served by) the EPA Regional Offices
(see Sec. 1.61) are:
[[Page 6]]
(1) Region I, U.S. Environmental Protection Agency, room 2203, John
F. Kennedy Federal Building, Boston, MA 02203. (Connecticut, Maine,
Massachusetts, New Hampshire, Rhode Island, and Vermont.)
(2) Region II, U.S. Environmental Protection Agency, Room 900, 26
Federal Plaza, New York, NY 10278. (New Jersey, New York, Puerto Rico,
and the Virgin Islands.)
(3) Region III, U.S. Environmental Protection Agency, 841 Chestnut
Street, Philadelphia, PA 19107. (Delaware, Maryland, Pennsylvania,
Virginia, West Virginia, and the District of Columbia.)
(4) Region IV, U.S. Environmental Protection Agency, 345 Courtland
Street NE., Atlanta, GA 30365. (Alabama, Florida, Georgia, Kentucky,
Mississippi, North Carolina, South Carolina, and Tennessee.)
(5) Region V, U.S. Environmental Protection Agency, 77 West Jackson
Boulevard, Chicago, IL 60604. (Illinois, Indiana, Michigan, Minnesota,
Ohio and Wisconsin.)
(6) Region VI, U.S. Environmental Protection Agency, 1201 Elm
Street, Dallas, TX 75270. (Arkansas, Louisiana, New Mexico, Oklahoma,
and Texas.)
(7) Region VII, U.S. Environmental Protection Agency, 726 Minnesota
Avenue, Kansas City, KS 66101. (Iowa, Kansas, Missouri, and Nebraska.)
(8) Region VIII, U.S. Environmental Protection Agency, 999 18th
street, One Denver Place, Denver, CO 80202. (Colorado, Montana, North
Dakota, South Dakota, Utah, and Wyoming.)
(9) Region IX, U.S. Environmental Protection Agency, 215 Fremont
Street, San Francisco, CA 94105. (Arizona, California, Hawaii, Nevada,
American Samoa, Trust Territories of the Pacific Islands, Guam, Wake
Islands, and the Northern Marianas.)
(10) Region X, U.S. Environmental Protection Agency, 1200 Sixth
Avenue, Seattle, WA 98101. (Alaska, Idaho, Oregon, and Washington.)
[50 FR 26721, June 28, 1985, as amended at 62 FR 1833, Jan. 14, 1997]
Subpart B--Headquarters
Sec. 1.21 General.
EPA Headquarters is comprised of:
(a) The Office of the Administrator;
(b) Two Associate Administrators and four staff offices which advise
the Administrator on cross-cutting Agency headquarters and regional
issues and conduct programs with respect to EPA's interface with other
national and international governmental organizations;
(c) The Office of Inspector General;
(d) The Office of General Counsel; and
(e) Nine operational offices, each headed by an Assistant
Administrator, responsible for carrying out EPA's major environmental
and administrative programs.
Sec. 1.23 Office of the Administrator.
The Environmental Protection Agency is headed by an Administrator
who is appointed by the President, by and with the consent of the
Senate. The Administrator is responsible to the President for providing
overall supervision to the Agency, and is assisted by a Deputy
Administrator also appointed by the President, by and with the consent
of the Senate. The Deputy Administrator assists the Administrator in the
discharge of Agency duties and responsibilities and serves as Acting
Administrator in the absence of the Administrator.
Sec. 1.25 Staff Offices.
(a) Office of Administrative Law Judges. The Office of
Administrative Law Judges, under the supervision of the Chief
Administrative Law Judge, is responsible for presiding over and
conducting formal hearings, and issuance of initial decisions, if
appropriate, in such proceedings. The Office provides supervision of the
Administrative Law Judges, who operate as a component of the Office of
Administrative Law Judges, in certain Agency Regional Offices. The
Office provides the Agency Hearing Clerk.
(b) Office of Civil Rights. The Office of Civil Rights, under the
supervision of a Director, serves as the principal adviser to the
Administrator with respect to EPA's civil rights programs. The Office
develops policies, procedures, and regulations to implement the Agency's
civil rights responsibilities, and provides direction to Regional and
field
[[Page 7]]
activities in the Office's area of responsibilities. The Office
implements and monitors the Agency's equal employment opportunity
program; provides advice and guidance to EPA program officials and
Regional Administrators on EEO matters; serves as advocate for
furthering career opportunities for minorities and women; and processes
complaints of discrimination for Agency disposition. The office assures:
(1) Maximum participation of minority business enterprises under EPA
contracts and grants;
(2) Equal employment opportunity under Agency service contracts,
construction contracts, and grants;
(3) Compliance with the Davis-Bacon Act and related acts;
(4) Compliance with the provisions of laws affecting Agency programs
requiring nondiscrimination on account of age and physical handicap and;
(5) Services or benefits are dispensed under any program or activity
receiving Agency financial assistance on a nondiscrimination basis.
(c) Science Advisory Board. The Science Advisory Board, under the
direction of a Director, provides expert and independent advice to the
Administrator on the scientific and technical issues facing the Agency.
The Office advises on broad, scientific, technical and policy matters;
assesses the results of specific research efforts; assists in
identifying emerging environmental problems; and advises the
Administrator on the cohesiveness and currency of the Agency's
scientific programs.
(d) Office of Small and Disadvantaged Business Utilization. The
Office of Small and Disadvantaged Business Utilization, under the
supervision of a Director, is responsible for developing policy and
procedures implementing the Agency's small and disadvantaged business
utilization responsibilities. The Office provides information and
assistance to components of the Agency's field offices responsible for
carrying out related activities. The Office develops and implements a
program to provide the maximum utilization of women-owned business
enterprises in all aspects of EPA contract work; in collaboration with
the Procurement and Contracts Management Division, develops programs to
stimulate and improve involvement of small and minority business
enterprises; and recommends the assignment of technical advisers to
assist designated Procurement Center Representatives of the Small
Business Administration in their duties. The Office represents EPA at
hearings, interagency meetings, conferences and other appropriate forums
on matters related to the advancement of these cited business
enterprises in EPA's Federal Contracting Program.
(e)(1) Environmental Appeals Board. The Environmental Appeals Board
is a permanent body with continuing functions composed of no more than
four Board Members designated by the Administrator. The Board shall
decide each matter before it in accordance with applicable statutes and
regulations. The Board typically shall sit on matters before it in
three-Member panels, and shall decide each matter by a majority vote. In
the event that absence or recusal prevents a three-Member panel, the
Board shall sit on a matter as a panel of two Members, and two Members
shall constitute a quorum under such circumstances. The Board in its
sole discretion shall establish panels to consider matters before it.
The Board's decisions regarding panel size and composition shall not be
reviewable. In the case of a tie vote, the matter shall be referred to
the Administrator to break the tie.
(2) Functions. The Environmental Appeals Board shall exercise any
authority expressly delegated to it in this title. With respect to any
matter for which authority has not been expressly delegated to the
Environmental Appeals Board, the Environmental Appeals Board shall, at
the Administrator's request, provide advice and consultation, make
findings of fact and conclusions of law, prepare a recommended decision,
or serve as the final decisionmaker, as the Administrator deems
appropriate. In performing its functions, the Environmental Appeals
Board may consult with any EPA employee concerning any matter governed
by the rules set forth in this title, provided such consultation does
not violate applicable ex parte rules in this title.
[[Page 8]]
(3) Qualifications. Each member of the Environmental Appeals Board
shall be a graduate of an accredited law school and a member in good
standing of a recognized bar association of any State or the District of
Columbia. Board Members shall not be employed by the Office of
Enforcement, the Office of the General Counsel, a Regional Office, or
any other office directly associated with matters that could come before
the Environmental Appeals Board. A Board Member shall recuse himself or
herself from deciding a particular case if that Board Member in previous
employment performed prosecutorial or investigative functions with
respect to the case, participated in the preparation or presentation of
evidence in the case, or was otherwise personally involved in the case.
[50 FR 26721, June 28, 1985, as amended at 57 FR 5323, Feb. 13, 1992; 63
FR 67780, Dec. 9, 1998]
Sec. 1.27 Offices of the Associate Administrators.
(a) Office of International Activities. The Office of International
Activities, under the supervision of an Associate Administrator,
provides direction to and supervision of the activities, programs, and
staff assigned to the Office of International Activities. All of the
functions and responsibilities of the Associate Administrator are
Agencywide, and apply to all international activities of the Agency. The
Office develops policies and procedures for the direction of the
Agency's international programs and activities, subject to U.S. foreign
policy, and assures that adequate program, scientific, and legal inputs
are provided. It conducts continuing evaluations of the Agency's
international activities and makes appropriate recommendations to the
Administrator. The Office advises the Administrator and principal Agency
officials on the progress and effect of foreign and international
programs and issues. The Office serves as the Administrator's
representative in contacts with the Department of State and other
Federal agencies concerned with international affairs. It negotiates
arrangements or understandings relating to international cooperation
with foreign organizations. The Office coordinates Agency international
contacts and commitments; serves as the focal point for responding to
requests for information relating to EPA international activities; and
provides an initial point of contact for all foreign visitors. The
Office maintains liaison with all relevant international organizations
and provides representation where appropriate. It establishes Agency
policy, and approves annual plans and modifications for travel abroad
and attendance at international conferences and events. It provides
administrative support for the general activities of the Executive
Secretary of the U.S. side of the US-USSR/PRC agreements on
environmental protection and of the U.S. Coordinator for the NATO
Committee on the Challenges of Modern Society. The Office supervises
these programs with respect to activities which are completely within
the purview of EPA.
(b) Office of Regional Operations. The Office of Regional
Operations, under the supervision of an Associate Administrator, reports
directly to the Administrator and Deputy Administrator. The Office
serves as the primary communications link between the Administrator/
Deputy Administrator and the Regional Administrators. It provides a
Headquarters focus for ensuring the involvement of Regions, or
consideration of Regional views and needs, in all aspects of the
Agency's work. The Office is responsible for assuring Regional
participation in Agency decision-making processes, assessing the impact
of Headquarters actions on Regional operations, and acting as ombudsman
to resolve Regional problems on behalf of the Administrator. The
Associate Administrator coordinates Regional issues, organizes Regional
Administrator meetings and work groups; and coordinates Regional
responses to specific issues. In addition, the Office is responsible for
working with the Regional Offices to further the consistent application
of national program policies by reinforcing existing administrative,
procedural, and program policy mechanisms as well as through initiation
of reviews of significant Regional issues of interest to the
Administrator. It continually monitors responsiveness
[[Page 9]]
and compliance with established policies and technical needs through
formal and informal contact and free dialogue. The Office initiates and
conducts on-site field visits to study, analyze, and resolve problems of
Regional, sectional, and national scale.
Sec. 1.29 Office of Inspector General.
The Office of Inspector General assumes overall responsibility for
audits and investigations relating to EPA programs and operations. The
Office provides leadership and coordination and recommends policies for
other Agency activities designed to promote economy and efficiency and
to prevent and detect fraud and abuse is such programs and operations.
The Office of the Inspector General informs the Administrator, Deputy
Administrator, and Congress of serious problems, abuses and deficiencies
relating to EPA programs and operations, and of the necessity for and
progress of corrective action; and reviews existing and proposed
legislation and regulations to assess the impact on the administration
of EPA's programs and operations. The Office recommends policies for,
and conducts or coordinates relationships between, the Agency and other
Federal, State and local government agencies, and nongovernmental
entities on all matters relating to the promotion of economy and
efficiency in the administration of, or the prevention and detection of
fraud and abuse in, programs and operations administered by the Agency.
Sec. 1.31 Office of General Counsel.
The Office of General Counsel is under the supervision of the
General Counsel who serves as the primary legal adviser to the
Administrator. The office provides legal services to all organizational
elements of the Agency with respect to all Agency programs and
activities and also provides legal opinions, legal counsel, and
litigation support; and assists in the formulation and administration of
the Agency's policies and programs as legal adviser.
Sec. 1.33 Office of Administration and Resources Management.
The Office of Administration and Resources Management is under the
supervision of the Assistance Administrator for Administration and
Resources Management who provides services to all of the programs and
activities of the Agency, except as may be specifically noted. In
addition, the Assistant Administrator has primary responsibility
Agencywide for policy and procedures governing the functional areas
outlined below. The major functions of the Office include resources
management and systems (including budget and financial management),
personnel services, occupational health and safety, administrative
services, organization and management analysis and systems development,
information management and services, automated data processing systems,
procurement through contracts and grants, and human resources
management. This Office is the primary point of contact and manages
Agencywide internal controls, audit resolution and follow up, and
government-wide management improvement initiatives. In the performance
of the above functions and responsibilities, the Assistant Administrator
for Administration and Resources Management represents the Administrator
in communications with the Office of Management and Budget, Office of
Personnel Management, General Accounting Office, General Services
Administration, Department of the Treasury, and other Federal agencies
prescribing requirements for the conduct of Government budget, fiscal
management and administrative activities.
(a) Office of Administration and Resources Management, Research
Triangle Park, North Carolina, (RTP). The Office of Administration and
Resources Management (OARM), RTP, under the supervision of a Director,
provides services to all of the programs and activities at RTP and
certain financial and automated data processing services Agencywide. The
major functions of the Office include personnel services, financial
management, procurement through contracts, library and other information
services, general services (including safety and security, property and
supply, printing, distribution, facilities and other administrative
services) and providing both local RTP and Agencywide automated data
processing systems services. The Director,
[[Page 10]]
OARM, RTP, supervises the Office of Administration, Financial Management
and Data Processing, RTP.
(b) Office of Administration, Cincinnati, Ohio. The Office of
Administration at Cincinnati, Ohio, under the supervision of a Director,
provides and administers personnel, procurement, safety and security,
property and supply, printing, distribution, facilities, and other
administrative service programs at Cincinnati and other specified
geographic locations.
(c) Office of the Comptroller. The Office of the Comptroller, under
the supervision of the Comptroller, is responsible for Agencywide
budget, resources management and financial management functions,
including program analysis and planning; budget formulation, preparation
and execution; funding allotments and allocations; and developing and
maintaining accounting systems, fiscal controls, and systems for payroll
and disbursements. The Assistant Administrator's resource systems
responsibilities are administered by this Office.
(d) Office of Administration. The Office of Administration, under
the supervision of a Director, is responsible for the development and
conduct of programs for personnel policies, procedures and operations;
organization and management systems, control, and services; facilities,
property and space management; personnel and property security;
policies, procedures, and operations related to procurement through
grants, contracts, and interagency agreements; and occupational health
and safety.
(e) Office of Information Resources Management. The Office of
Information Resources Management (OIRM), under the supervision of a
Director, provides for an information resource management program (IRM)
consistent with the provisions of Public Law 96-511. The Office
establishes policy, goals and objectives for implementation of IRM;
develops annual and long-range plans and budgets for IRM functions and
activities; and promotes IRM concepts throughout the Agency. The Office
coordinates IRM activities; plans, develops and operates information
systems and services in support of the Agency's management and
administrative functions, and other Agency programs and functions as
required. The Office oversees the performance of these activities when
carried out by other Agency components. The Office performs liaison for
interagency sharing of information and coordinates IRM activities with
OMB and GSA. The Office ensures compliance with requirements of Public
Law 96-511 and other Federal laws, regulations, and guidelines relative
to IRM; and chairs the Agency's IRM Steering Committee. The Office
develops Agency policies and standards; and administers or oversees
Agency programs for library systems and services, internal records
management, and the automated collection, processing, storage, retrieval
and transmission of data by or for Agency components and programs. The
Office provides national program policy and technical guidance for: The
acquisition of all information technology, systems and services by or
for Agency components and programs, inculding those systems and services
acquired by grantees and contractors using Agency funds; the operation
of all Agency computers and telecommunications hardware and facilities;
and the establishment and/or application of telecommunications and
Federal information processing standards. The Office reviews and
evaluates information systems and services, including office automation,
which are operated by other Agency components; and sets standards for
and approves the selection of Agency personnel who are responsible for
the technical management of these activities. The Office coordinates its
performance of these functions and activities with the Agency's
information collection policies and budgets managed by the Office of
Policy, Planning and Evaluation.
(f) The Office of Human Resources Management. The Office of Human
Resources Management (OHRM), under the supervision of a Director,
designs strategies, plans, and policies aimedat developing and training
all employees, revitalizing EPA organizations, and matching the right
people with the right jobs. The Office is responsible for developing and
assuring implementation of policies and practices necessary for EPA to
meet its present and future
[[Page 11]]
workforce needs. This includes consideration of the interrelationships
between the environmental protection workforce needs of EPA and State
governments. For Senior Executive Service (SES) personnel, SES
candidates, Presidential Executive Interchange Participants, and
Management Interns, OHRM establishes policies; assesses and projects
Agency executive needs and workforce capabilities; creates, establishes,
and implements training and development strategies and programs;
provides the full range of personnel functions; supports the Performance
Review Board (PRB) and the Executive Resources Board (ERB); and
reassigns SES personnel with the concurrence of the ERB. For the areas
of workforce management and employee and organizational development,
OHRM develops strategies, plans, and policies; coordinates Agencywide
implementation of those strategies, plans, and policies; and provides
technical assistance to operating personnel offices and States. OHRM, in
cooperation with the Office of the Comptroller, evaluates problems with
previous workyear use, monitors current workyear utilization, and
projects future workyear needs in coordination with the Agency's budget
process. The Office is the lead office for coordination of human
resources management with the Agency's Strategic Planning and Management
System. The Office develops methodologies and procedures for evaluations
of Agency human resources management activities; conducts evaluations of
human resources management activities Agencywide; and carries out human
resources management projects of special interest to Agency management.
The Office coordinates its efforts with the Office of Administration
(specifically the Personnel Management Division and the Management and
Organization Division), the Office of the Comptroller, the Office of
Information Resources Management, and the Office of Policy, Planning and
Evaluation.
Sec. 1.35 Office of Enforcement and Compliance Monitoring.
The Office of Enforcement and Compliance Monitoring, under the
supervision of the Assistant Administrator for Enforcement and
Compliance Monitoring, serves as the principal adviser to the
Administrator in matters concerning enforcement and compliance; and
provides the principal direction and review of civil enforcement
activities for air, water, waste, pesticides, toxics, and radiation. The
Assistant Administrator reviews the efforts of each Assistant and
Regional Administrator to assure that EPA develops and conducts a strong
and consistent enforcement and compliance monitoring program. The Office
manages the national criminal enforcement program; ensures coordination
of media office administrative compliance programs, and civil and
criminal enforcement activities; and provides technical expertise for
enforcement activities.
Sec. 1.37 Office of External Affairs.
(a) Office of Federal Activities. The Office of Federal Activities
is headed by a Director who reports to the Assistant Administrator for
External Affairs and supervises all the functions of the Office. The
Director acts as national program manager for five major programs that
include:
(1) The review of other agency environmental impact statements and
other major actions under the authority of Section 309 of the Clean Air
Act;
(2) EPA compliance with the National Environmental Policy Act (NEPA)
and related laws, directives, and Executive policies concerning special
environmental areas and cultural resources;
(3) Compliance with Executive policy on American Indian affairs and
the development of programs for environmental protection on Indian
lands; and
(4) The development and oversight of national programs and internal
policies, strategies, and procedures for implementing Executive Order
12088 and other administrative or statutory provisions concerning
compliance with environmental requirements by Federal facilities. The
Director chairs the Standing Committee on Implementation of Executive
Order 12088. The Office serves as the Environmental Protection Agency's
(EPA) principal point of contact and liaison with other Federal agencies
and provides consultation
[[Page 12]]
and technical assistance to those agencies relating to EPA's areas of
expertise and responsibility. The Office administers the filing and
information system for all Federal Environmental Impact Statements under
agreement with the Council on Environmental Quality (CEQ) and provides
liaison with CEQ on this function and related matters of NEPA program
administration. The Office provides a central point of information for
EPA and the public on environmental impact assessment techniques and
methodologies.
(b) Office of Public Affairs. The Office of Public Affairs is under
the supervision of a Director who serves as chief spokesperson for the
Agency and as a principal adviser, along with the Assistant
Administrator for External Affairs, to the Adminstrator, Deputy
Administrator, and Senior Management Officials, on public affairs
aspects of the Agency's activities and programs. The Office of Public
Affairs provides to the media adequate and timely information as well as
responses to queries from the media on all EPA program activities. It
assures that the policy of openness in all information matters, as
enunciated by the Administrator, is honored in all respects. Develops
publications to inform the general public of major EPA programs and
activities; it also develops informational materials for internal EPA
use in Headquarters and at the Regions, Labs and Field Offices. It
maintains clearance systems and procedures for periodicals and
nontechnical information developed by EPA for public distribution, and
reviews all publications for public affairs interests. The Office of
Public Affairs provides policy direction for, and coordination and
oversight of EPA's community relations program. It provides a system for
ensuring that EPA educates citizens and responds to their concerns about
all environmental issues and assures that there are opportunities for
public involvement in the resolution of problems. The Office supervises
the production of audio-visual materials, including graphics, radio and
video materials, for the general public and for internal audiences, in
support of EPA policies and programs. The Office provides program
direction and professional review of the performance of public affairs
functions in the Regional Offices of EPA, as well as at laboratories and
other field offices. The Office of Public Affairs is responsible for
reviewing interagency agreements and Headquarters purchase request
requisitions expected to result in contracts in the area of public
information and community relations. It develops proposals and reviews
Headquarters grant applications under consideration when public affairs
goals are involved.
(c) Office of Legislative Analysis. The Office of Legislative
Analysis, under the supervision of a Director who serves in the capacity
of Legislative Counsel, is responsible for legislative drafting and
liaison activities relating to the Agency's programs. It exercises
responsibility for legislative drafting; reports to the Office of
Management and Budget and congressional committees on proposed
legislation and pending and enrolled bills, as required by OMB Circular
No. A-19 and Bulletin No. 72-6; provides testimony on legislation and
other matters before congressional committees; and reviews transcripts
of legislative hearings. It maintains liaison with the Office of
Congressional Liaison on all Agency activities of interest to the
Congress. The Office works closely with the staffs of various Assistant
Administrators, Associate Administrators, Regional Administrators, and
Staff Office Directors in accordance with established Agency procedures,
in the development of the Agency's legislative program. The Office
assists the Assistant Administrator for External Affairs and the
Agency's senior policy officials in guiding legislative initiatives
through the legislative process. It advises the Assistant Administrator
for Administration and Resources Management in matters pertaining to
appropriations legislation. It works closely with the Office of Federal
Activities to assure compliance with Agency procedures for the
preparation of environmental impact statements, in relation to proposed
legislation and reports on legislation. The Office coordinates with the
Office of Management and Budget, other agencies, and congressional staff
members on matters within its area of responsibility; and develops
suggested
[[Page 13]]
State and local environmental legislative proposals, using inputs
provided by other Agency components. The Legislative Reference Library
provides legislative research services for the Agency. The Library
secures and furnishes congressional materials to all EPA employees and,
if available, to other Government agencies and private organizations;
and it also provides the service of securing, upon request, EPA reports
and materials for the Congress.
(d) Office of Congressional Liaison. The Office of Congressional
Liaison is under the supervision of a Director who serves as the
principal adviser to the Administrator with respect to congressional
activities. All of the functions and responsibilities of the Director
are Agencywide and apply to the provision of services with respect to
all of the programs and activities of the Agency. The Office serves as
the principal point of congressional contact with the Agency and
maintains an effective liaison with the Congress on Agency activities of
interest to the Congress and, as necessary, maintains liaison with
Agency Regional and field officials, other Government agencies, and
public and private groups having an interest in legislative matters
affecting the Agency. It assures the provision of prompt response to the
Congress on all inquiries relating to activities of the Agency; and
monitors and coordinates the continuing operating contacts between the
staff of the Office of the Comptroller and staff of the Appropriations
Subcommittees of Congress.
(e) Office of Community and Intergovernmental Relations. The Office
of Community and Intergovernmental Relations is under the supervision of
a Director who serves as the principal point of contact with public
interest groups representing general purpose State and local
governments, and is the principal source of advice and information for
the Administrator and the Assistant Administrator for External Affairs
on intergovernmental relations. The Office maintains liaison on
intergovernmental issues with the White House and Office of Management
and Budget (OMB); identifies and seeks solutions to emerging
intergovernmental issues; recommends and coordinates personal
involvement by the Administrator and Deputy Administrator in relations
with State, county, and local government officials; coordinates and
assists Headquarters components in their handling of broad-gauged and
issue-oriented intergovernmental problems. It works with the Regional
Administrators and the Office of Regional Operations to encourage the
adoption of improved methods for dealing effectively with State and
local governments on specific EPA program initiatives; works with the
Immediate Office of the Administrator, Office of Congressional Liaison,
Office of Public Affairs, and the Regional Offices to develop and carry
out a comprehensive liaison program; and tracks legislative initiatives
which affect the Agency's intergovernmental relations. It advises and
supports the Office Director in implementing the President's
Environmental Youth Awards program.
[50 FR 26721, June 28, 1985, as amended at 52 FR 30359, Aug. 14, 1987]
Sec. 1.39 Office of Policy, Planning and Evaluation.
The Assistant Administrator for Policy, Planning and Evaluation
services as principal adviser to the Administrator on Agency policy and
planning issues and as such is responsible for supervision and
management of the following: Policy analysis; standards and regulations;
and management strategy and evaluation. The Assistant Administrator
represents the Administrator with Congress and the Office of Management
and Budget, and other Federal agencies prescribing requirements for
conduct for Government management activities.
(a) Office of Policy Analysis. The Office of Policy Analysis is
under the supervision of a Director who performs the following functions
on an Agencywide basis: economic analysis of Agency programs, policies,
standards, and regulations, including the estimation of abatement costs;
research into developing new benefits models; benefit-cost analyses;
impact assessments; intermediate and long-range strategic studies;
consultation and analytical assistance in the areas described above to
senior policy and program officials and other offices in the Agency;
development and coordination proposals for
[[Page 14]]
major new Agency initiatives; liaison with other agencies; universities,
and interest groups on major policy issues and development of a
coordinated Agency position; and development of integrated pollution
control strategies for selected industrial and geographical areas.
(b) Office of Standards and Regulations. The Office of Standards and
Regulations is under the supervision of a Director who is responsible
for: involving the Office of Policy, Planning and Evaluation (OPPE) in
regulatory review; conducting technical and statistical analyses of
proposed standards, regulations and guidelines; serving as the Agency
focal point for identifying, developing and implementing alternatives to
conventional ``command and control'' regulations; conducting analyses of
Agency activities related to chemical substances and providing
mechanisms for establishing regulatory priorities and resolving
scientific issues affecting rulemaking; ensuring Agency compliance with
the Paperwork Reduction Act; evaluating and reviewing all Agency
information collection requests and activities, and, in cooperation with
the Office of Administration and Resources Management and the Office of
Management Systems and Evaluation, evaluating Agency management and uses
of data for decision-making.
(c) Office of Management Systems and Evaluation. The Office of
Management Systems and Evaluation is under the supervision of a Director
who directs and coordinates the development, implementation and
administration of Agencywide systems for planning, tracking, and
evaluating the accomplishments of Agency programs. In consultation with
other offices, the Office develops a long-range policy framework for
Agency goals, and objectives, identifies strategies for achieving goals,
establishes timetables for objectives, and ensures that programs are
evaluated against their accomplishments of goals.
Sec. 1.41 Office of Air and Radiation.
The Office of Air and Radiation is under supervision of the
Assistant Administrator for Air and Radiation who serves as principal
adviser to the Administrator in matters pertaining to air and radiation
programs, and is responsible for the management of these EPA programs:
Program policy development and evaluation; environmental and pollution
sources' standards development; enforcement of standards; program policy
guidance and overview, technical support or conduct of compliance
activities and evaluation of Regional air and radiation program
activities; development of programs for technical assistance and
technology transfer; and selected demonstration programs.
(a) Office of Mobile Sources. The Office of Mobile Sources, under
the supervision of a Director, is responsible for the mobile source air
pollution control functions of the Office of Air and Radiation. The
Office is responsible for: Characterizing emissions from mobile sources
and related fuels; developing programs for their control, including
assessment of the status of control technology and in-use vehicle
emissions; for carrying out, in coordination with the Office of
Enforcement and Compliance Monitoring as appropriate, a regulatory
compliance program to ensure adherence of mobile sources to standards;
and for fostering the development of State motor vehicles emission
inspection and maintenance programs.
(b) Office of Air Quality Planning and Standards. The Office of Air
Quality Planning and Standards, under the supervision of a Director, is
responsible for the air quality planning and standards functions of the
Office of Air and Radiation. The Director for Air Quality Planning and
Standards is responsible for emission standards for new stationary
sources, and emission standards for hazardous pollutants; for developing
national programs, technical policies, regulations, guidelines, and
criteria for air pollution control; for assessing the national air
pollution control program and the success in achieving air quality
goals; for providing assistance to the States, industry and other
organizations through personnel training activities and technical
information; for providing technical direction and support to Regional
Offices and other organizations; for
[[Page 15]]
evaluating Regional programs with respect to State implementation plans
and strategies, technical assistance, and resource requirements and
allocations for air related programs; for developing and maintaining a
national air programs data system, including air quality, emissions and
other technical data; and for providing effective technology transfer
through the translation of technological developments into improved
control program procedures.
(c) Office of Radiation Programs. The Office of Radiation Programs,
under the supervision of a Director, is responsible to the Assistant
Administrator for Air and Radiation for the radiation activities of the
Agency, including development of radiation protection criteria,
standards, and policies; measurement and control of radiation exposure;
and research requirements for radiation programs. The Office provides
technical assistance to States through EPA Regional Offices and other
agencies having radiation protection programs; establishes and directs a
national surveillance and investigation program for measuring radiation
levels in the environment; evaluates and assesses the impact of
radiation on the general public and the environment; and maintains
liaison with other public and private organizations involved in
environmental radiation protection activities. The Office coordinates
with and assists the Office of Enforcement and Compliance Monitoring in
enforcement activities where EPA has jurisdiction. The Office provides
editorial policy and guidance, and assists in preparing publications.
Sec. 1.43 Office of Prevention, Pesticides and Toxic Substances.
The Assistant Administrator serves as the principal adviser to the
Administrator in matters pertaining to assessment and regulation of
pesticides and toxic substances and is responsible for managing the
Agency's pesticides and toxic substances programs under the Federal
Insecticide, Fungicide, and Rodenticide Act (FIFRA); the Federal Food,
Drug, and Cosmetic Act; the Toxic Substances Control Act (TSCA); and for
promoting coordination of all Agency programs engaged in toxic
substances activities. The Assistant Administrator has responsibility
for establishing Agency strategies for implementation and integration of
the pesticides and the toxic substances programs under applicable
Federal statutes; developing and operating Agency programs and policies
for assessment and control of pesticides and toxic substances;
developing recommendations for Agency priorities for research,
monitoring, regulatory, and information-gathering activities relating to
pesticides and toxic substances; developing scientific, technical,
economic, and social data bases for the conduct of hazard assessments
and evaluations in support of toxic substances and pesticides
activities; directing pesticides and toxic substances compliance
programs; providing toxic substances and pesticides program guidance to
EPA Regional Offices; and monitoring, evaluating, and assessing
pesticides and toxic substances program operations in EPA Headquarters
and Regional Offices.
(a) Office of Pesticide Programs. The Office of Pesticide Programs,
under the management of a Director and Deputy Director are responsible
to the Assistant Administrator for leadership of the overall pesticide
activities of the Agency under the authority of the Federal Insecticide,
Fungicide, and Rodenticide Act and several provisions of the Federal
Food, Drug, and Cosmetic Act, including the development of strategic
plans for the control of the national environmental pesticide situation.
Such plans are implemented by the Office of Pesticide Programs, other
EPA components, other Federal agencies, or by State, local, and private
sectors. The Office is also responsible for establishment of tolerance
levels for pesticide residues which occur in or on food; registration
and reregistration of pesticides; special review of pesticides suspected
of posing unreasonable risks to human health or the environment;
monitoring of pesticide residue levels in food, humans, and nontarget
fish and wildlife; preparation of pesticide registration guidelines;
development of standards for the registration and reregistration of
pesticide products; provision of program policy direction to
[[Page 16]]
technical and manpower training activities in the pesticides area;
development of research needs and monitoring requirements for the
pesticide program and related areas; review of impact statements dealing
with pesticides; and carrying out of assigned international activities.
(b) Office of Pollution Prevention and Toxics. The Office of
Pollution Prevention and Toxics (OPPT), under the management of a
Director and Deputy Director is responsible to the Assistant
Administrator for those activities of the Agency mandated by the Toxic
Substances Control Act. The Director is responsible for developing and
operating Agency programs and policies for new and existing chemicals.
In each of these areas, the Director is responsible for information
collection and coordination; data development; health, environmental and
economic assessment; and negotiated or regulatory control actions. The
Director provides operational guidance to EPA Regional Offices, reviews
and evaluates toxic substances activities at EPA Headquarters and
Regional Offices; coordinates TSCA activities with other EPA offices and
Federal and State agencies, and conducts the export notification
required by TSCA and provides information to importers. The Director is
responsible for developing policies and procedures for the coordination
and integration of Agency and Federal activities concerning toxic
substances. The Director is also responsible for coordinating
communication with the industrial community, environmental groups, and
other interested parties on matters relating to the implementation of
TSCA; providing technical support to international activities managed by
the Office of International Activities; and managing the joint planning
of toxic research and development under the auspices of the Pesticides/
Toxic Substances Research Committee.
(c) Office of Compliance Monitoring. The Office of Compliance
Monitoring, under the supervision of a Director, plans, directs, and
coordinates the pesticides and toxic substances compliance programs of
the Agency. More specifically, the Office provides a national pesticides
and toxic substances compliance overview and program policy direction to
the Regional Offices and the States, prepares guidance and policy on
compliance issues, establishes compliance priorities, provides technical
support for litigation activity, concurs on enforcement actions,
maintains liaison with the National Enforcement Investigations Center,
develops annual fiscal budgets for the national programs, and manages
fiscal and personnel resources for the Headquarters programs. The Office
directs and manages the Office of Prevention, Pesticides and Toxic
Substances' laboratory data integrity program which conducts laboratory
inspections and audits of testing data. The Office issues civil
administrative complaints and other administrative orders in cases of
first impression, overriding national significance, or violations by any
entity located in more than one Region. The office coordinates with the
Office of General Counsel and the Office of Enforcement and Compliance
Monitoring in an attorney-client relationship, with those Offices
providing legal support for informal and formal administrative
resolutions of violations; for conducting litigation; for interpreting
statutes, regulations and other legal precedents covering EPA's
activities; and for advising program managers on the legal implications
of alternative courses of action. The Office of Compliance Monitoring
coordinates with the Office of Pesticide Programs in the conduct of
pesticide enforcement compliance and registration programs under the
Federal Insecticide, Fungicide, and Rodenticide Act and participates in
decisions involving the cancellation or suspension of registration. The
Office establishes policy and operating procedures for pesticide
compliance activities including sampling programs, export certification,
monitoring programs to assure compliance with experimental use permits,
pesticide use restrictions, and recordkeeping requirements, and
determines when and whether compliance actions are appropriate. The
Office establishes policy and guidance for the State cooperative
enforcement agreement program and the applicator training and
certification program. The Office of
[[Page 17]]
Compliance Monitoring also coordinates with the Office of Pollution
Prevention and Toxics in the conduct of regulatory and compliance
programs under the Toxic Substances Control Act and participates in
regulation development for TSCA. The Office participates in the control
of imminent hazards under TSCA, inspects facilities subject to TSCA
regulation as a part of investigations which are national in scope or
which require specialized expertise, and samples and analyzes chemicals
to determine compliance with TSCA. The Office coordinates and provides
guidance to other TSCA compliance activities, including the State
cooperative enforcement agreement program and the preparation of
administrative suits.
[50 FR 26721, June 28, 1985, as amended at 57 FR 28087, June 24, 1992]
Sec. 1.45 Office of Research and Development.
The Office of Research and Development is under the supervision of
the Assistant Administrator for Research and Development who serves as
the principal science adviser to the Administrator, and is responsible
for the development, direction, and conduct of a national research,
development and demonstration program in: Pollution sources, fate, and
health and welfare effects; pollution prevention and control, and waste
management and utilization technology; environmental sciences; and
monitoring systems. The Office participates in the development of Agency
policy, standards, and regulations and provides for dissemination of
scientific and technical knowledge, including analytical methods,
monitoring techniques, and modeling methodologies. The Office serves as
coordinator for the Agency's policies and programs concerning
carcinogenesis and related problems and assures appropriate quality
control and standardization of analytical measurement and monitoring
techniques utilized by the Agency. The Office exercises review and
concurrence responsibilities on an Agencywide basis in all budgeting and
planning actions involving monitoring which require Heardquarters
approval.
(a) Office of Acid Deposition, Environmental Monitoring and Quality
Assurance. The Office of Acid Deposition, Environmental Monitoring and
Quality Assurance (OADEMQA), under the supervision of an Office
Director, is responsible for planning, managing and evaluating a
comprehensive program for:
(1) Monitoring the cause and effects of acid deposition;
(2) Research and development on the causes, effects and corrective
steps for the acid deposition phenomenon;
(3) Research with respect to the transport and fate of pollutants
which are released into the atmosphere;
(4) Development and demonstration of techniques and methods to
measure exposure and to relate ambient concentrations to exposure by
critical receptors;
(5) Research, development and demonstration of new monitoring
methods, systems, techniques and equipment for detection, identification
and characterization of pollutants at the source and in the ambient
environment and for use as reference or standard monitoring methods;
(6) Establishment, direction and coordination of Agencywide Quality
Assurance Program; and
(7) Development and provision of quality assurance methods,
techniques and material including validation and standardization of
analytical methods, sampling techniques, quality control methods,
standard reference materials, and techniques for data collection,
evaluation and interpretation. The Office identifies specific research,
development, demonstration and service needs and priorities; establishes
program policies and guidelines; develops program plans including
objectives and estimates of resources required to accomplish objectives;
administers the approved program and activities; assigns program
responsibility and resources to the laboratories assigned by the
Assistant Administrator; directs and supervises assigned laboratories in
program administration; and conducts reviews of program progress and
takes action as necessary to assure timeliness, quality and
responsiveness of outputs.
(b) Office of Environmental Engineering and Technology
Demonstration. The Office of Environmental Engineering and
[[Page 18]]
Technology Demonstration (OEETD) under the supervision of a Director, is
responsible for planning, managing, and evaluating a comprehensive
program of research, development, and demonstration of cost effective
methods and technologies to:
(1) Control Environmental impacts associated with the extraction,
processing, conversion, and transportation of energy, minerals, and
other resources, and with industrial processing and manufacturing
facilities;
(2) Control environmental impacts of public sector activities
including publicly-owned waste water and solid waste facilities;
(3) Control and manage hazardous waste generation, storage,
treatment, and disposal;
(4) Provide innovative technologies for response actions under
Superfund and technologies for control of emergency spills of oils and
hazardous waste;
(5) Improve drinking water supply and system operations, including
improved understanding of water supply technology and water supply
criteria;
(6) Characterize, reduce, and mitigate indoor air pollutants
including radon; and
(7) Characterize, reduce, and mitigate acid rain precursors from
stationary sources. Development of engineering data needed by the Agency
in reviewing premanufacturing notices relative to assessing potential
release and exposure to chemicals, treatability by waste treatment
systems, containment and control of genetically engineered organisms,
and development of alternatives to mitigate the likelihood of release
and exposure to existing chemicals. In carrying out these
responsibilities, the Office develops program plans and manages the
resources assigned to it; implements the approved programs and
activities; assigns objectives and resources to the OEETD laboratories;
conducts appropriate reviews to assure the quality, timeliness, and
responsiveness of outputs; and conducts analyses of the relative
environmental and socioeconomic impacts of engineering methods and
control technologies and strategies. The Office of Environmental
Engineering and Technology Demonstration is the focal point within the
Office of Research and Development for providing liaison with the rest
of the Agency and with the Department of Energy on issues associated
with energy development. The Office is also the focal point within the
Office of Research and Development for liaison with the rest of the
Agency on issues related to engineering reseach and development and the
control of pollution discharges.
(c) Office of Environmental Processes and Effects Research. The
Office of Environmental Processes and Effects Research, under the
supervision of the Director, is responsible for planning, managing, and
evaluating a comprehensive research program to develop the scientific
and technological methods and data necessary to understand ecological
processes, and predict broad ecosystems impacts, and to manage the
entry, movement, and fate of pollutants upon nonhuman organisms and
ecosystems. The comprehensive program includes:
(1) The development of organism and ecosystem level effect data
needed for the establishment of standards, criteria or guidelines for
the protection of nonhuman components of the environment and ecosystems
integrity and the prevention of harmful human exposure to pollutants;
(2) The development of methods to determine and predict the fate,
transport, and environmental levels which may result in human exposure
and exposure of nonhuman components of the environment, resulting from
the discharge of pollutants, singly or in combination into the
environment, including development of source criteria for protection of
environmental quality;
(3) The development and demonstration of methods for the control or
management of adverse environmental impacts from agriculture and other
rural nonprofit sources;
(4) The development and demonstration of integrated pest management
strategies for the management of agriculture and urban pests which
utilize alternative biological, cultural and chemical controls;
(5) The development of a laboratory and fieldscale screening tests
to provide data that can be used to predict the behavior of pollutants
in terms of
[[Page 19]]
movement in the environmental, accumulation in the food chain, effects
on organisms, and broad escosystem impacts;
(6) Coordination of interagency research activities associated with
the health and environmental impacts of energy production and use; and
(7) development and demonstration of methods for restoring degraded
ecosystem by means other than source control.
(d) Office of Health Research. The Office of Health Research under
the supervision of a Director, is responsible for the management of
planning, implementing, and evaluating a comprehensive, integrated human
health research program which documents acute and chronic adverse
effects to man from environmental exposure to pollutants and determines
those exposures which have a potentially adverse effect on humans. This
documentation is utilized by ORD for criteria development and scientific
assessments in support of the Agency's regulating and standard-setting
activities. To attain this objective, the program develops tests systems
and associated methods and protocols, such as predictive models to
determine similarities and differences among test organisms and man;
develops methodology and conducts laboratory and field research studies;
and develops interagency programs which effectively use pollutants. The
Office of Health Research is the Agency's focal point within the Office
of Research and Development for providing liaison relative to human
health effects and related human exposure issues (excluding issues
related to the planning and implementation of research on the human
health effects of energy pollutants that is conducted under the
Interagency Energy/Environment Program). It responds with recognized
authority to changing requirements of the Regions, program offices and
other offices for priority technical assistance. In close coordination
with Agency research and advisory committees, other agencies and
offices, and interaction with academic and other independent scientific
bodies, the Office develops health science policy for the Agency.
Through these relationships and the scientific capabilities of its
laboratories and Headquarters staffs, the Office provides a focal point
for matters pertaining to the effects of human exposure to environmental
pollutants.
(e) Office of Health and Environmental Assessment (OHEA). The Office
of Health and Environmental Assessment, under the supervision of a
Director, is the principal adviser on matters relating to the
development of health criteria, health affects assessment and risk
estimation, to the Assistant Administrator for Research and Development.
The Director's Office: Develops recommendations on OHEA programs
including the identification and development of alternative program
goals, priorities, objectives and work plans; develops recommendations
on overall office policies and means for their implementation; performs
the critical path planning necessary to assure a timely production of
OHEA information in response to program office needs; serves as an
Agency health assessment advocate for issue resolution and regulatory
review in the Agency Steering Committee, Science Advisory Board, and in
cooperation with other Federal agencies and the scientific and technical
community; and provides administrative support services to the
components of OHEA. The Director's Office provides Headquarters
coordination for the Environmental Criteria and Assessment Offices.
(f) Office of Exploratory Research. The Office of Exploratory
Research (OER), under the supervision of a Director, is responsible for
overall planning, administering, managing, and evaluating EPA's
anticipatory and extramural grant research in response to Agency
priorities, as articulated by Agency planning mechanisms and ORD's
Research Committees. The Director advises the Assistance Administrator
on the direction, scientific quality and effectiveness of ORD's long-
term scientific review and evaluation; and research funding assistance
efforts. The responsibilities of this office include: Administering
ORD's scientific review of extramural requests for research funding
assistance; developing research proposal solicitations; managing grant
projects; and ensuring project quality and optimum dissemination of
results.
[[Page 20]]
The OER is responsible for analyzing EPA's long-range environmental
research concerns; forecasting emerging and potential environmental
problems and manpower needs; identifying Federal workforce training
programs to be used by State and local governments; assuring the
participation of minority institutions in environmental research and
development activities; and conducting special studies in response to
high priority national environmental needs and problems. This office
serves as an ORD focal point for university relations and other Federal
research and development agencies related to EPA's extramural research
program.
[50 FR 26721, June 28, 1985, as amended at 52 FR 30360, Aug. 14, 1987]
Sec. 1.47 Office of Solid Waste and Emergency Response.
The Office of Solid Waste and Emergency Response (OSWER), under the
supervision of the Assistant Administrator for Solid Waste and Emergency
Response, provides Agencywide policy, guidance, and direction for the
Agency's solid and hazardous wastes and emergency response programs.
This Office has primary responsibility for implementing the Resource
Conservation and Recovery Act (RCRA) and the Comprehensive Environmental
Response, Compensation and Liability Act (CERCLA--``Superfund''). In
addition to managing those programs, the Assistant Administrator serves
as principal adviser to the Administrator in matters pertaining to them.
The Assistant Administrator's responsibilities include: Program policy
development and evaluation; development of appropriate hazardous waste
standards and regulations; ensuring compliance with applicable laws and
regulations; program policy guidance and overview, technical support,
and evaluation of Regional solid and hazardous wastes and emergency
response activities; development of programs for technical,
programmatic, and compliance assistance to States and local governments;
development of guidelines and standards for the land disposal of
hazardous wastes; analyses of the recovery of useful energy from solid
waste; development and implementation of a program to respond to
uncontrolled hazardous waste sites and spills (including oil spills);
long-term strategic planning and special studies; economic and long-term
environmental analyses; economic impact assessment of RCRA and CERCLA
regulations; analyses of alternative technologies and trends; and cost-
benefit analyses and development of OSWER environmental criteria.
(a) Office of Waste Programs Enforcement. The Office of Waste
Programs Enforcement (OWPE), under the supervision of a Director,
manages a national program of technical compliance and enforcement under
CERCLA and RCRA. The Office provides guidance and support for the
implementation of the CERCLA and RCRA compliance and enforcement
programs. This includes the development of program strategies, long-term
and yearly goals, and the formulation of budgets and plans to support
implementation of strategies and goals. The Office provides program
guidance through the development and issuance of policies, guidance and
other documents and through training and technical assistance. The
Office oversees and supports Regions and States in the implementation of
the CERCLA and RCRA enforcement programs. The Office may assume
responsibility for direct management of a limited number of CERCLA and
RCRA enforcement actions which are multi-regional in nature or are cases
of national significance. The Office serves as the national technical
expert for all matters relating to CERCLA and RCRA compliance and
enforcement. It represents the interest of the CERCLA and RCRA
enforcement programs to other offices of the Agency. In coordination
with the Office of External Affairs (OEA) and IO-OSWER, represents the
program to external organizations, including the Office of Management
and Budget (OMB), Congress, U.S. Department of Justice and other Federal
agencies, the media, public interest and industry groups, State and
local governments and their associations and the public.
(b) Office of Solid Waste. The Office of Solid Waste, under the
supervision of a Director, is responsible for the solid and hazardous
waste activities of the
[[Page 21]]
Agency. In particular, this Office is responsible for implementing the
Resource Conservation and Recovery Act. The Office provides program
policy direction to and evaluation of such activities throughout the
Agency and establishes solid and hazardous wastes research requirements
for EPA.
(c) Office of Emergency and Remedial Response. The Office of
Emergency and Remedial Response, under the supervision of a Director, is
responsible for the emergency and remedial response functions of the
Agency (i.e., CERCLA). The Office is specifically responsible for:
(1) Developing national strategy, programs, technical policies,
regulations, and guidelines for the control of abandoned hazardous waste
sites, and response to and prevention of oil and hazardous substance
spills;
(2) Providing direction, guidance, and support to the Environmental
Response Teams and overseeing their activities;
(3) Providing direction, guidance, and support to the Agency's non-
enforcement emergency and remedial response programs, including
emergency and remedial responses to hazardous waste sites;
(4) Developing national accomplishment plans and resources;
(5) Scheduling the guidelines for program plans;
(6) Assisting in the training of personnel;
(7) Monitoring and evaluating the performance, progress, and fiscal
status of the Regions in implementing emergency and remedial response
program plans;
(8) Maintaining liaison with concerned public and private national
organizations for emergency response;
(9) Supporting State emergency response programs; and
(10) Coordinating Office activities with other EPA programs.
(d) Office of Underground Storage Tanks. The Office of Underground
Storage Tanks, under the supervision of a Director, is responsible for
defining, planning, and implementing regulation of underground storage
tanks containing petroleum, petroleum products, and chemical products.
In particular, this Office is responsible for overseeing implementation
of Subtitle I of the Resource Conservation and Recovery Act (RCRA), as
amended. The Office develops and promulgates regulations and policies
including notification, tank design and installation, corrective action,
and State program approvals. It also plans for an oversees utilization
of the Underground Storage Tank Trust Fund established by the Superfund
Amendments and Reauthorization Act of 1986 (SARA).
[50 FR 26721, June 28, 1985, as amended at 52 FR 30360, Aug. 14, 1987]
Sec. 1.49 Office of Water.
The Office of Water, under the supervision of the Assistant
Administrator for Water who serves as the principal adviser to the
Administrator in matters pertaining to water programs, is responsible
for management of EPA's water programs. Functions of the Office include
program policy development and evaluation; environmental and pollution
source standards development; program policy guidance and overview;
technical support; and evaluation of Regional water activities; the
conduct of compliance and permitting activities as they relate to
drinking water and water programs; development of programs for technical
assistance and technology transfer; development of selected
demonstration programs; economic and long-term environmental analysis;
and marine and estuarine protection.
(a) Office of Water Enforcement and Permits. The Office of Water
Enforcement and Permits, under the supervision of a Director, develops
policies, strategies, procedures and guidance for EPA and State
compliance monitoring, evaluation, and enforcement programs for the
Clean Water Act and the Marine Protection Research and Sanctuaries Act.
The Office also provides national program direction to the National
Pollutant Discharge Elimination System permit program. The office has
overview responsibilities and provides technical assistance to the
regional activities in both enforcement and permitting programs.
(b) Office of Water Regulations and Standards. The Office of Water
Regulations and Standards, under the supervision of a Director, is
responsible for
[[Page 22]]
the Agency's water regulations and standards functions. The Office is
responsible for developing an overall program strategy for the
achievement of water pollution abatement in cooperation with other
appropriate program offices. The Office assures the coordination of all
national water-related activities within this water program strategy,
and monitors national progress toward the achievement of water quality
goals and is responsible for the development of effluent guidelines and
water quality standards, and other pollutant standards, regulations, and
guidelines within the program responsibilities of the Office. It
exercises overall responsibility for the development of effective State
and Regional water quality regulatory control programs. The Office is
responsible for the development and maintenance of a centralized water
programs data system including compatible water quality, discharger, and
program data files utilizing, but not displacing, files developed and
maintained by other program offices. It is responsible for developing
national accomplishment plans and resource and schedule guidelines for
monitoring and evaluating the performance, progress, and fiscal status
of the organization in implementing program plans. The Office represents
EPA in activities with other Federal agencies concerned with water
quality regulations and standards.
(c) Office of Municipal Pollution Control. The Office of Municipal
Pollution Control, under the supervision of a Director, is responsible
for the Agency's water program operations functions. The Office is
responsible for developing national strategies, program and policy
recommendations, regulations and guidelines for municipal water
pollution control; for providing technical direction and support to
Regional Offices and other organizations; and for evaluating Regional
and State programs with respect to municipal point source abatement and
control, and manpower development for water-related activities. The
Office assures that priority Headquarters and regional activities are
planned and carried out in a coordinated and integrated fashion,
including developing and implementing data submission systems.
(d) Office of Drinking Water. The Office of Drinking Water, under
the supervision of a Director, is responsible for water supply
activities of the Agency, including the development of an implementation
strategy which provides the national policy direction and coordination
for the program. This Office develops regulations and guidelines to
protect drinking water quality and existing and future underground
sources of drinking water, develops program policy and guidance for
enforcement and compliance activities, and recommends policy for water
supply protection activities. The office provides guidance and technical
information to State agencies, local utilities, and Federal facilities
through the Regional Offices on program planning and phasing; evaluates
the national level of compliance with the regulations; plans and
develops policy guidance for response to national, Regional, and local
emergencies; reviews and evaluates, with Regional Offices, technical
data for the designation of sole-source aquifers; designs a national
program of public information; provides program policy direction for
technical assistance and manpower training activities in the water
supply area; identifies research needs and develops monitoring
requirements for the national water supply program; develops national
accomplishments' plans and resource schedule guidelines for monitoring
and evaluating the program plans, and program performance, and fiscal
status; develops program plans, and budget and program status reports
for the water supply program; coordinates water supply activities with
other Federal agencies as necessary; and serves as liaison with the
National Drinking Water Advisory Council.
(e) Office of Ground-Water Protection. The Office of Ground-Water
Protection, under the supervision of a Director, oversees implementation
of the Agency's Ground-water Protection Strategy. This Office
coordinates support of Headquarters and regional activities to develop
stronger State government organizations and programs which foster
ground-water protection. The Office directs and coordinates Agency
analysis
[[Page 23]]
and approaches to unaddressed problems of ground-water contamination; is
principally responsible for establishing and implementing a framework
for decision-making at EPA on ground-water protection issues; and serves
as the focus of internal EPA policy coordination for ground-water.
(f) Office of Marine and Estuarine Protection. The Office of Marine
and Estuarine Protection, under the supervision of a Director, is
responsible for the development of policies and strategies and
implementation of a program to protect the marine/estuarine environment,
including ocean dumping. The Office provides national direction for the
Chesapeake Bay and other estuarine programs, and policy oversight of the
Great Lakes Program.
(g) Office of Wetlands Protection. The Office of Wetlands
Protection, under the supervision of a Director, administers the 404/
Wetlands Program and develops policies, procedures, regulations, and
strategies addressing the maintenance, enhancement, and protection of
the Nations Wetlands. The Office coordinates Agency issues related to
wetlands.
[50 FR 26721, June 28, 1985, as amended at 52 FR 30360, Aug. 14, 1987]
Subpart C--Field Installations
Sec. 1.61 Regional Offices.
Regional Administrators are responsible to the Administrator, within
the boundaries of their Regions, for the execution of the Regional
Programs of the Agency and such other responsibilities as may be
assigned. They serve as the Administrator's prinicipal representatives
in their Regions in contacts and relationships with Federal, State,
interstate and local agencies, industry, academic institutions, and
other public and private groups. Regional Administrators are responsible
for:
(a) Accomplishing national program objectives within the Regions as
established by the Administrator, Deputy Administrator, Assistant
Administrators, Associate Administrators, and Heads of Headquarters
Staff Offices;
(b) Developing, proposing, and implementing approved Regional
programs for comprehensive and integrated environmental protection
activities;
(c) Total resource management in their Regions within guidelines
provided by Headquarters;
(d) Conducting effective Regional enforcement and compliance
programs;
(e) Translating technical program direction and evaluation provided
by the various Assistant Administrators, Associate Administrators and
Heads of Headquarters Staff Offices, into effective operating programs
at the Regional level, and assuring that such programs are executed
efficiently;
(f) Exercising approval authority for proposed State standards and
implementation plans; and
(g) Providing for overall and specific evaluations of Regional
programs, both internal Agency and State activities.
PART 2--PUBLIC INFORMATION--Table of Contents
Subpart A--Requests for Information
Sec.
2.100 Definitions.
2.101 Policy on disclosure of EPA records.
2.102 [Reserved]
2.103 Partial disclosure of records.
2.104 Requests to which this subpart applies.
2.105 Existing records.
2.106 Where requests for agency records shall be filed.
2.107 Misdirected written requests; oral requests.
2.108 Form of request.
2.109 Requests which do not reasonably describe records sought.
2.110 Responsibilities of Freedom of Information Officers.
2.111 Action by office responsible for responding to request.
2.112 Time allowed for issuance of initial determination.
2.113 Initial denials of requests.
2.114 Appeals from initial denials; manner of making.
2.115 Appeal determinations; by whom made.
2.116 Contents of determination denying appeal.
2.117 Time allowed for issuance of appeal determination.
2.118 Exemption categories.
2.119 Discretionary release of exempt documents.
2.120 Fees; payment; waiver.
2.121 Exclusions.
[[Page 24]]
Subpart B--Confidentiality of Business Information
2.201 Definitions.
2.202 Applicability of subpart; priority where provisions conflict;
records containing more than one kind of information.
2.203 Notice to be included in EPA requests, demands, and forms; method
of asserting business confidentiality claim; effect of failure
to assert claim at time of submission.
2.204 Initial action by EPA office.
2.205 Final confidentiality determination by EPA legal office.
2.206 Advance confidentiality determinations.
2.207 Class determinations.
2.208 Substantive criteria for use in confidentiality determinations.
2.209 Disclosure in special circumstances.
2.210 Nondisclosure for reasons other than business confidentiality or
where disclosure is prohibited by other statute.
2.211 Safeguarding of business information; penalty for wrongful
disclosure.
2.212 Establishment of control offices for categories of business
information.
2.213 Designation by business of addressee for notices and inquiries.
2.214 Defense of Freedom of Information Act suits; participation by
affected business.
2.215 Confidentiality agreements.
2.216-2.300 [Reserved]
2.301 Special rules governing certain information obtained under the
Clean Air Act.
2.302 Special rules governing certain information obtained under the
Clean Water Act.
2.303 Special rules governing certain information obtained under the
Noise Control Act of 1972.
2.304 Special rules governing certain information obtained under the
Safe Drinking Water Act.
2.305 Special rules governing certain information obtained under the
Solid Waste Disposal Act, as amended.
2.306 Special rules governing certain information obtained under the
Toxic Substances Control Act.
2.307 Special rules governing certain information obtained under the
Federal Insecticide, Fungicide and Rodenticide Act.
2.308 Special rules governing certain information obtained under the
Federal Food, Drug and Cosmetic Act.
2.309 Special rules governing certain information obtained under the
Marine Protection, Research and Sanctuaries Act of 1972.
2.310 Special rules governing certain information obtained under the
Comprehensive Environmental Response, Compensation, and
Liability Act of 1980, as amended.
2.311 Special rules governing certain information obtained under the
Motor Vehicle Information and Cost Savings Act.
Subpart C--Testimony by Employees and Production of Documents in Civil
Legal Proceedings Where the United States Is Not a Party
2.401 Scope and purpose.
2.402 Policy on presentation of testimony and production of documents.
2.403 Procedures when voluntary testimony is requested.
2.404 Procedures when an employee is subpoenaed.
2.405 Subpoenas duces tecum.
2.406 Requests for authenticated copies of EPA documents.
Authority: 5 U.S.C. 301, 552 (as amended), 553; secs. 114, 205, 208,
301, and 307, Clean Air Act, as amended (42 U.S.C. 7414, 7525, 7542,
7601, 7607); secs. 308, 501 and 509(a), Clean Water Act, as amended (33
U.S.C. 1318, 1361, 1369(a)); sec. 13, Noise Control Act of 1972 (42
U.S.C. 4912); secs. 1445 and 1450, Safe Drinking Water Act (42 U.S.C.
300j-4, 300j-9); secs. 2002, 3007, and 9005, Solid Waste Disposal Act,
as amended (42 U.S.C. 6912, 6927, 6995); secs. 8(c), 11, and 14, Toxic
Substances Control Act (15 U.S.C. 2607(c), 2610, 2613); secs. 10, 12,
and 25, Federal Insecticide, Fungicide, and Rodenticide Act, as amended
(7 U.S.C. 136h, 136j, 136w); sec. 408(f), Federal Food, Drug and
Cosmetic Act, as amended (21 U.S.C. 346(f)); secs. 104(f) and 108,
Marine Protection Research and Sanctuaries Act of 1972 (33 U.S.C.
1414(f), 1418); secs. 104 and 115, Comprehensive Environmental Response,
Compensation, and Liability Act of 1980, as amended (42 U.S.C. 9604 and
9615); sec. 505, Motor Vehicle Information and Cost Savings Act, as
amended (15 U.S.C. 2005).
Source: 41 FR 36902, Sept. 1, 1976, unless otherwise noted.
Subpart A--Requests for Information
Sec. 2.100 Definitions.
For the purposes of this part:
(a) EPA means the United States Environmental Protection Agency.
(b) EPA Record or, simply record means any document, writing,
photograph, sound or magnetic recording, drawing, or other similar thing
by which information has been preserved, from which the information can
be retrieved and copied, and over which EPA has possession or control.
It may
[[Page 25]]
include copies of the records of other Federal agencies (see
Sec. 2.111(d)). The term includes informal writings (such as drafts and
the like), and also includes information preserved in a form which must
be translated or deciphered by machine in order to be intelligible to
humans. The term includes documents and the like which were created or
acquired by EPA, its predecessors, its officers, and its employees by
use of Government funds or in the course of transacting official
business. However, the term does not include materials which are the
personal records of an EPA officer or employee. Nor does the term
include materials published by non-Federal organizations which are
readily available to the public, such as books, journals, and
periodicals available through reference libraries, even if such
materials are in EPA's possession.
(c) Request means a request to inspect or obtain a copy of one or
more records.
(d) Requestor means any person who has submitted a request to EPA.
(e) The term commercial use request refers to a request from or on
behalf of one who seeks information for a use or purpose that furthers
the commercial, trade or profit interests of the requestor or the person
on whose behalf the request is made. In determining whether a requestor
properly belongs in this category, EPA must determine the use to which a
requestor will put the documents requested. Moreover, where EPA has
reasonable cause to doubt the use to which a requestor will put the
records sought, or where that use is not clear from the request itself,
EPA may seek additional clarification before assigning the request to a
specific category.
(f) The term non-commercial scientific institution refers to an
institution that is not operated on a commercial basis as that term is
referenced in paragraph (e) of this section, and which is operated
solely for the purpose of conducting scientific research the results of
which are not intended to promote any particular product or industry.
(g) The term educational institution refers to a preschool, a public
or private elementary or secondary school, an institution of graduate
higher education, an institution of undergraduate higher education, an
institution or professional education, and an institution of vocational
education, which operates a program or programs of scholarly research.
(h) The term representative of the news media refers to any person
actively gathering news for an entity that is organized and operated to
publish or broadcast news to the public. The term news means information
that is about current events or that would be of current interest to the
public. Examples of news media entities include television or radio
stations broadcasting to the public at large, and publishers of
periodicals (but only in those instances when they can qualify as
disseminators of news) who make their products available for purchase or
subscription by the general public. These examples are not intended to
be all-inclusive. Moreover, as traditional methods of news delivery
evolve (e.g., electronic dissemination of newspapers through
telecommunications services), such alternative media would be included
in this category. In the case of freelance journalists, they may be
regarded as working for a news organization if they can demonstrate a
solid basis for expecting publication through that organization, even
though not actually employed by it. A publication contract would be the
clearest proof, but EPA may also look to the past publication record of
a requestor in making this determination.
(i) The term search includes all time spent looking for material
that is responsive to a request, including page-by-page or line-by-line
identification of material within documents. Searching for material must
be done in the most efficient and least expensive manner so as to
minimize costs for both the EPA and the requestor. For example, EPA will
not engage in line-by-line search when merely duplicating an entire
document would prove the less expensive and quicker method of complying
with a request. Search will be distinguished, moreover, from review of
material in order to determine whether the material is exempt from
disclosure (see paragraph (j) of this section). Searches may be done
manually or by computer using existing programming.
[[Page 26]]
(j) The term review refers to the process of examining documents
located in response to a request that is for a commercial use (see
paragraph (e) of this section) to determine whether any portion of any
document located is permitted to be withheld. It also includes
processing any documents for disclosure, e.g., doing all that is
necessary to excise them and otherwise prepare them for release. Review
does not include time spent resolving legal or policy issues regarding
the application of exemptions. (Documents must be reviewed in responding
to all requests; however, review time may only be charged to Commercial
Use Requesters.)
(k) The term duplication refers to the process of making a copy of a
document necessary to respond to an FOIA request. Such copies can take
the form of paper copy, microform, audio-visual materials, or machine
readable documentation (e.g., magnetic tape or disk), among others. The
copy provided must be in a form that is reasonably usable by requesters.
[41 FR 36902, Sept. 1, 1976, as amended at 50 FR 51658, Dec. 18, 1985;
53 FR 216, Jan. 5, 1988]
Sec. 2.101 Policy on disclosure of EPA records.
(a) EPA will make the fullest possible disclosure of records to the
public, consistent with the rights of individuals to privacy, the rights
of persons in business information entitled to confidential treatment,
and the need for EPA to promote frank internal policy deliberations and
to pursue its official activities without undue disruption.
(b) All EPA records shall be available to the public unless they are
exempt from the disclosure requirements of 5 U.S.C 552.
(c) All nonexempt EPA records shall be available to the public upon
request regardless of whether any justification or need for such records
has been shown by the requestor.
(d) When documents responsive to a request are maintained for
distribution by agencies operating statutory-based fee schedule
programs, such as, but not limited to, the Government Printing Office or
the National Technical Information Service, EPA will inform the
requester of the steps necessary to obtain records from the sources.
[41 FR 36902, Sept. 1, 1976, as amended at 53 FR 216, Jan. 5, 1988]
Sec. 2.102 [Reserved]
Sec. 2.103 Partial disclosure of records.
If a requested record contains both exempt and nonexempt material,
the nonexempt material shall be disclosed, after the exempt material has
been deleted in accordance with Sec. 2.119.
Sec. 2.104 Requests to which this subpart applies.
(a) This subpart applies to any written request (other than a
request made by another Federal agency) received by any EPA office,
whether or not the request cites the Freedom of Information Act, 5
U.S.C. 552. See Secs. 2.107(a) and 2.112(b) regarding the treatment of
requests which are directed by the requestor to offices other than those
listed in Sec. 2.106.
(b) Any written request to EPA for existing records prepared by EPA
for routine public distribution, e.g., pamphlets, copies of speeches,
press releases, and educational materials, shall be honored. No
individual determination under Sec. 2.111 is necessary in such cases,
since preparation of the records for routine public distribution itself
constitutes a determination that the records are available to the
public.
Sec. 2.105 Existing records.
(a) The Freedom of Information Act, 5 U.S.C. 552, does not require
the creation of new records in response to a request, nor does it
require EPA to place a requestor's name on a distribution list for
automatic receipt of certain kinds of records as they come into
existence. The Act establishes requirements for disclosure of existing
records.
(b) All existing EPA records are subject to routine destruction
according to standard record retention schedules.
Sec. 2.106 Where requests for agency records shall be filed.
(a) A request for records may be filed with the EPA Freedom of
Information Officer, A-101, 401 M Street, SW., Washington, DC 20460.
[[Page 27]]
(b) Should the requestor have reason to believe that the records
sought may be located in an EPA regional office, he may transmit his
request to the appropriate regional Freedom of Information Office
indicated below:
(1) Region I (Massachusetts, Connecticut, Maine, New Hampshire,
Rhode Island, Vermont):
U.S. Environmental Protection Agency, Freedom of Information Officer,
Room 2303, John F. Kennedy Federal Building, Boston, MA 02203.
(2) Region II (New Jersey, New York, Puerto Rico, Virgin Islands):
U.S. Environmental Protection Agency, Freedom of Information Officer,
Room 1005, 26 Federal Plaza, New York, NY 10007.
(3) Region III (Delaware, Maryland, Pennsylvania, Virginia, West
Virginia, District of Columbia):
U.S. Environmental Protection Agency, Freedom of Information Officer,
841 Chestnut Street, Philadelphia, PA 19107.
(4) Region IV (Alabama, Florida, Georgia, Kentucky, Mississippi,
North Carolina, South Carolina, Tennessee):
U.S. Environmental Protection Agency, Freedom of Information Officer,
345 Courtland Street, NE., Atlanta, GA 30365.
(5) Region V (Illinois, Indiana, Michigan, Minnesota, Ohio,
Wisconsin):
U.S. Environmental Protection Agency, Freedom of Information Officer, 77
West Jackson Boulevard, Chicago, IL 60604.
(6) Region VI (Arkansas, Louisiana, New Mexico, Oklahoma, Texas):
U.S. Environmental Protection Agency, Freedom of Information Officer
(6M-MC), 1201 Elm Street, Dallas, TX 75270.
(7) Region VII (Iowa, Kansas, Missouri, Nebraska):
U.S. Environmental Protection Agency, Freedom of Information Officer,
726 Minnesota Avenue, Kansas City, KS 66101.
(8) Region VIII (Colorado, Montana, North Dakota, South Dakota,
Utah, Wyoming):
U.S. Environmental Protection Agency, Freedom of Information Officer,
One Denver Place, 999 18th Street, Suite 1300, Denver, CO 80202-2413.
(9) Region IX (Arizona, California, Hawaii, Nevada, American Samoa,
Guam, Trust Territory of Pacific Islands):
U.S. Environmental Protection Agency, Freedom of Information Officer,
215 Fremont Street, San Francisco, CA 94105.
(10) Region X (Alaska, Idaho, Oregon, Washington):
U.S. Environmental Protection Agency, Freedom of Information Officer,
1200 Sixth Avenue, Seattle, WA 98101.
[41 FR 36902, Sept. 1, 1976, as amended at 50 FR 51659, Dec. 18, 1985;
62 FR 1833, Jan. 14, 1997]
Sec. 2.107 Misdirected written requests; oral requests.
(a) EPA cannot assure that a timely or satisfactory response under
this subpart will be given to written requests that are addressed to EPA
offices, officers, or employees other than the Freedom of Information
Officers listed in Sec. 2.106. Any EPA officer or employee who receives
a written request for inspection or disclosure of EPA records shall
promptly forward a copy of the request to the appropriate Freedom of
Information Officer, by the fastest practicable means, and shall, if
appropriate, commence action under Sec. 2.111. For purposes of
Sec. 2.112, the time allowed with respect to initial determinations
shall be computed from the day on which the appropriate Freedom of
Information Officer receives the request.
(b) While EPA officers and employees will attempt in good faith to
comply with requests for inspection or disclosure of EPA records made
orally, by telephone or otherwise, such oral requests are not required
to be processed in accordance with this subpart.
[41 FR 36902, Sept. 1, 1976, as amended at 50 FR 51659, Dec. 18, 1985]
Sec. 2.108 Form of request.
A request shall be made in writing, shall reasonably describe the
records sought in a way that will permit their identification and
location, and should be addressed to one of the addresses set forth in
Sec. 2.106, but otherwise need not be in any particular form.
Sec. 2.109 Requests which do not reasonably describe records sought.
(a) If the description of the records sought in the request is not
sufficient
[[Page 28]]
to allow EPA to identify and locate the requested records, the EPA
office taking action under Sec. 2.111 will notify the requestor (by
telephone when practicable) that the request cannot be further processed
until additional information is furnished.
(b) EPA will make every reasonable effort to assist in the
identification and description of records sought and to assist the
requestor in formulating his request. If a request is described in
general terms (e.g., all records having to do with a certain area), the
EPA office taking action under Sec. 2.111 may communicate with the
requestor (by telephone when practicable) with a view toward reducing
the administrative burden of processing a broad request and minimizing
the fees payable by the requestor. Such attempts will not be used as a
means to discourage requests, but rather as a means to help identify
with more specificity the records actually sought.
Sec. 2.110 Responsibilities of Freedom of Information Officers.
(a) Upon receipt of a written request, the Freedom of information
Officer (whether at EPA Headquarters or at an EPA region) shall mark the
request with the date of receipt, and shall attach to the request a
control slip indicating the date of receipt, the date by which response
is due, a unique Request Identification Number, and other pertinent
administrative information. The request and control slip shall then be
forwarded immediately to the EPA office believed to be responsible for
maintaining the records requested. (If the records requested are
believed to be located at two or more EPA offices, each such office
shall be furnished a copy of the request and control slip, with
instructions concerning which office shall serve as the lead office for
coordinating the response.) The Freedom of Information Officer shall
retain a file copy of the request and control slip, and shall monitor
the handling of the request to ensure a timely response.
(b) The Freedom of Information Officer shall maintain a file
concerning each request received, which shall contain a copy of the
request, initial and appeal determinations, and other pertinent
correspondence and records.
(c) The Freedom of Information officer shall collect and maintain
the information necessary to compile the reports required by 5 U.S.C.
552(d).
Sec. 2.111 Action by office responsible for responding to request.
(a) Whenever an EPA office becomes aware that it is responsible for
responding to a request, the office shall:
(1) Take action under Sec. 2.109, if required, to obtain a better
description of the records requested;
(2) Locate the records as promptly as possible, or determine that
the records are not known to exist, or that they are located at another
EPA office, or that they are located at another Federal agency and not
possessed by EPA;
(3) When appropriate, take action under Sec. 2.120(c) to obtain
payment or assurance of payment;
(4) If any located records contain business information, as defined
in Sec. 2.201(c), comply with subpart B of this part;
(5) Determine which of the requested records legally must be
withheld, and why (see Sec. 2.119(b));
(6) Of the requested records which are exempt from mandatory
disclosure but which legally may be disclosed (see Sec. 2.119(a)),
determine which records will be withheld, and why;
(7) Issue all initial determination within the allowed period (see
Sec. 2.112), specifying (individually or by category) which records will
be disclosed and which will be withheld, and signed by a person
authorized to issue the determination under Sec. 2.113(b). Denials of
requests shall comply with Sec. 2.113; and
(8) Furnish the appropriate Freedom of Information Officer a copy of
the determination. If the determination denied a request for one or more
existing, located records, the responding office shall also furnish the
Freedom of Information officer the name, address, and telephone number
of the EPA employee(s) having custody of the records, and shall maintain
the records in a manner permitting their prompt forwarding to the
General Counsel upon request if an appeal from the initial denial is
filed. See also Sec. 2.204(f).
[[Page 29]]
(b) If it appears that some or all of the requested records are not
in the possession of the EPA office which has been assigned
responsibility for responding to the request but may be in the
possession of some other EPA office, the Freedom of Information officer
who is monitoring the request shall be so informed immediately.
(c) In determining which records are responsive to a request, the
EPA office responding shall ordinarily include those records within the
Agency's possession as of the date of the Agency's receipt of the
request.
(d) When a request for EPA records encompasses records of another
Federal agency, the EPA office shall either: (1) Respond to the request
after consulting with the originating agency when appropriate or; (2)
promptly transfer responsibility for responding to the request to the
originating agency provided that the other agency is subject to the
FOIA. Whenever the EPA office refers a request to another agency, it
shall notify the requestor of the referral.
[41 FR 36902, Sept. 1, 1976, as amended at 50 FR 51659, Dec. 18, 1985]
Sec. 2.112 Time allowed for issuance of initial determination.
(a) Except as otherwise provided in this section, not later than the
tenth working day after the date of receipt by a Freedom of Information
Office of a request for records, the EPA office responsible for
responding to the request shall issue a written determination to the
requestor stating which of the requested records will, and which will
not, be released and the reason for any denial of a request. If the
records are not known to exist or are not in EPA's possession, the EPA
office shall so inform the requestor. To the extent requested records
which are in EPA's possession are published by the Federal Government,
the response may inform the requestor that the records are available for
inspection and where copies can be obtained.
(b) The period of 10 working days shall be measured from the date
the request is first received and logged in by the Headquarters or
regional Freedom of Information Office.
(c) There shall be excluded from the period of 10 working days (or
any extension thereof) any time which elapses between the date that a
requestor is notified by EPA under Sec. 2.109 that his request does not
reasonably identify the records sought, and the date that the requestor
furnishes a reasonable identification.
(d) There shall be excluded from the period of 10 working days (or
any extension thereof) any time which elapses between the date that a
requestor is notified by EPA under Sec. 2.120 that prepayment or
assurance of payment of fees is required, and the date that the
requestor pays (or makes suitable arrangements to pay) such charges.
(e) The EPA office taking action under Sec. 2.111, after notifying
the appropriate Freedom of Information Office, may extend the basic 10-
day period established under subsection (a) of this section by a period
not to exceed 10 additional working days, by furnishing written notice
to the requestor within the basic 10-day period stating the reasons for
such extension and the date by which the office expects to be able to
issue a determination. The period may be so extended only when
absolutely necessary, only for the period required, and only when one or
more of the following unusual circumstances require the extension:
(1) There is a need to search for and collect the requested records
from field facilities or other establishments that are separate from the
office processing the request:
(2) There is a need to search for, collect, and appropriately
examine a voluminous amount of separate and distinct records which are
demanded in a single request; or
(3) There is a need for consultation, which shall be conducted with
all practicable speed, with another agency having a substantial interest
in the determination of the request or among two or more components of
EPA.
(f) Failure of EPA to issue a determination within the 10-day period
or any authorized extension shall constitute final agency action which
authorizes the requestor to commence an
[[Page 30]]
action in an appropriate Federal district court to obtain the records.
[41 FR 36902, Sept. 1, 1976, as amended at 50 FR 51659, Dec. 18, 1985]
Sec. 2.113 Initial denials of requests.
(a) An initial denial of a request may be issued only for the
following reasons:
(1) A statutory provision, provision of this part, or court order
requires that the information not be disclosed;
(2) The record is exempt from mandatory disclosure under 5 U.S.C.
552(b) and EPA has decided that the public interest would not be served
by disclosure; or
(3) Section 2.204(d)(1) requires initial denial because a third
person must be consulted in connection with a business confidentiality
claim.
(b) The Deputy Administrator, Assistant Administrators, Regional
Administrators, the General Counsel, the Inspector General, Associate
Administrators, and heads of headquarters staff offices are delegated
the authority to issue initial determinations This authority may be
redelegated; Provided, That the authority to issue initial denials of
requests for existing, located records (other than denials based solely
on Sec. 2.204(d)(1)) may be redelegated only to persons occupying
positions not lower than division director or equivalent.
(c) [Reserved]
(d)(1) Each initial determination to deny a request shall be
written, signed, and dated, and, except as provided in paragraph (d)(2),
shall contain a reference to the Request Identification Number, shall
identify the records that are being withheld (individually, or, if the
denial covers a large number of similar records, by described category),
and shall state the basis for denial for each record or category of
records being withheld.
(2) No initial determination shall reveal the existence or
nonexistence of records if identifying the mere fact of the existence or
nonexistence of those records would reveal confidential business
information, confidential personal information or classified national
security information. Instead of identifying the existence or
nonexistence of the records, the initial determination shall state that
the request is denied because either the records do not exist or they
are exempt from mandatory disclosure under the applicable provision of 5
U.S.C. 552(b). No such determination shall be made without the
concurrence of the General Counsel or his designee. The General Counsel
has designated the Contracts and Information Law Branch to act on these
requests for concurrence. See Sec. 2.121 for guidance on initial
determinations denying, in limited circumstances, the existence of
certain law enforcement records or information.
(e) If the decision to deny a request is made by an authorized EPA
employee other than the person signing the determination letter, that
other person's identity and position shall be stated in the
determination letter.
(f) Each initial determination which denies, in whole or in part, a
request for one or more existing, located EPA records (including
determinations described in Sec. 2.113(d)(2) of this section) shall
state that the requester may appeal the initial denial by sending a
written appeal to the address shown in Sec. 2.106(a) within 30 days
after receipt of the determination. An initial determination which only
denies the existence of records, however, will not include a notice of
appeal rights.
(g) A determination shall be deemed issued on the date the
determination letter is placed in EPA mailing channels for first class
mailing to the requestor, delivered to the U.S. Postal Service for
mailing, or personally delivered to the requestor, whichever date first
occurs.
[41 FR 36902, Sept. 1, 1976, as amended at 50 FR 51659, Dec. 18, 1985;
53 FR 216, Jan. 5, 1988]
Sec. 2.114 Appeals from initial denials; manner of making.
(a) Any person whose request for one or more existing, located EPA
records has been denied in whole or in part by an initial determination
may appeal that denial by addressing a written appeal to the address
shown in Sec. 2.106(a).
(b) An appeal should be mailed no later than 30 calendar days after
the date the requestor received the initial determination on the
request. An untimely appeal may be treated either as a timely appeal or
as a new request, at
[[Page 31]]
the option of the Freedom of Information Officer.
(c) The appeal letter shall contain a reference to the Request
Identification Number (RIN), the date of the initial determination, and
the name and address of the person who issued the initial denial. The
appeal letter shall also indicate which of the records to which access
was denied are the subjects of the appeal.
[41 FR 36902, Sept. 1, 1976, as amended at 50 FR 51659, Dec. 18, 1985]
Sec. 2.115 Appeal determinations; by whom made.
(a) The General Counsel shall make one of the following legal
determinations in connection with every appeal from the initial denial
of a request for an existing, located record:
(1) The record must be disclosed;
(2) The record must not be disclosed, because a statute or a
provision of this part so requires; or
(3) The record is exempt from mandatory disclosure but legally may
be disclosed as a matter of Agency discretion.
(b) Whenever the General Counsel has determined under paragraph
(a)(3) of this section that a record is exempt from mandatory disclosure
but legally may be disclosed, and the record has not been disclosed by
EPA under 5 U.S.C. 552, the matter shall be referred to the Assistant
Administrator for External Affairs. If the Assistant Administant
Administrator determines that the public interest would not be served by
disclosure, a determination denying the appeal shall be issued by the
General Counsel. If the Assistant Administrator determines that the
public interest would be served by disclosure, the record shall be
disclosed unless the Administrator (upon a review of the matter
requested by the appropriate Assistant Administrator, Associate
Administrator, Regional Administrator, the General Counsel, or the head
of a headquarters staff office) determines that the public interest
would not be served by disclosure, in which case the General Counsel
shall issue a determination denying the appeal. This review by the
Assistant Administrator for External Affairs shall not apply to appeals
from initial determinations by the Office of Inspector General to deny
requests.
(c) The General Counsel may delegate his authority under paragraph
(a) of this section to a Regional Counsel, or to any other attorney
employed on a full-time basis by EPA, in connection with any category of
appeals or any individual appeal.
(d) The Assistant Administrator for External Affairs may delegate
the authority under paragraph (b) of this section to the Deputy
Assistant Administrator for External Affairs.
[41 FR 36902, Sept. 1, 1976, as amended at 50 FR 51659, Dec. 18, 1985]
Sec. 2.116 Contents of determination denying appeal.
(a) Except as provided in paragraph (b) of this section, each
determination denying an appeal from an initial denial shall be in
writing, shall state which of the exemptions in 5 U.S.C. 552(b) apply to
each requested existing record, and shall state the reason(s) for denial
of the appeal. A denial determination shall also state the name and
position of each EPA officer or employee who directed that the appeal be
denied. Such a determination shall further state that the person whose
request was denied may obtain de novo judicial review of the denial by
complaint filed with the district court of the United States in the
district in which the complainant resides, or has his principal place of
business, or in which the Agency records are situated, or in the
District of Columbia, pursuant to 5 U.S.C. 552(a)(4).
(b) No determination denying an appeal shall reveal the existence or
nonexistence of records if identifying the mere fact of the existence or
nonexistence of those records would reveal confidential business
information, confidential personal information or classified national
security information. Instead of identifying the existence or
nonexistence of the records, the determination shall state that the
appeal is denied because either the records do not exist or they are
exempt from mandatory disclosure under the applicable provision of 5
U.S.C. 552(b).
[53 FR 217, Jan. 5, 1988]
[[Page 32]]
Sec. 2.117 Time allowed for issuance of appeal determination.
(a) Except as otherwise provided in this section, not later than the
twentieth working day after the date of receipt by the Freedom of
Information Officer at EPA Headquarters of an appeal from an initial
denial of a request for records, the General Counsel shall issue a
written determination stating which of the requested records (as to
which an appeal was made) shall be disclosed and which shall not be
disclosed.
(b) The period of 20 working days shall be measured from the date an
appeal is first received by the Freedom of Information Officer at EPA
Headquarters, except as otherwise provided in Sec. 2.205(a).
(c) The Office of General Counsel, after notifying the Freedom of
Information Officer at EPA Headquarters, may extend the basic 20-day
period established under subsection (a) of this section by a period not
to exceed 10 additional working days, by furnishing written notice to
the requestor within the basic 20-day period stating the reasons for
such extension and the date by which the office expects to be able to
issue a determination. The period may be so extended only when
absolutely necessary, only for the period required, and only when one or
more of the following unusual circumstances require the extension:
(1) There is a need to search for and collect the records from field
facilities or other establishments that are separate from the office
processing the appeal;
(2) There is a need to search for, collect, and appropriately
examine a voluminous amount of separate and distinct records which are
demanded in a single request; or
(3) There is a need for consultation, which shall be conducted with
all practicable speed, with another agency having a substantial interest
in the determination of the request or among two or more components of
EPA.
(d) No extension of the 20-day period shall be issued under
subsection (c) of this section which would cause the total of all such
extensions and of any extensions issued under Sec. 2.112(e) to exceed 10
working days.
Sec. 2.118 Exemption categories.
(a) 5 U.S.C. 552(b) establishes nine exclusive categories of matters
which are exempt from the mandatory disclosure requirements of 5 U.S.C.
552(a). No request under 5 U.S.C. 552 for an existing, located record in
EPA's possession shall be denied by any EPA office or employee unless
the record contains (or its disclosure would reveal) matters that are--
(1) Specifically authorized under criteria established by an
Executive Order to be kept secret in the interest of national defense or
foreign policy and are in fact properly classified pursuant to such
Executive Order;
(2) Related solely to the internal personnel rules and practices of
an agency;
(3) Specifically exempted from disclosure by statute (other than 5
U.S.C. 552(b)): Provided, That such statute:
(i) Requires that the matters be withheld from the public in such a
manner as to leave no discretion on the issue, or
(ii) Establishes particular criteria for withholding or refers to
particular types of matters to be withheld;
(4) Trade secrets and commercial or financial information obtained
from a person and privileged or confidential (see subpart B);
(5) Interagency or intra-agency memorandums or letters which would
not be available by law to a party other than an agency in litigation
with the agency;
(6) Personnel and medical files and similar files the disclosure of
which would constitute a clearly unwarranted invasion of personal
privacy;
(7)(i) Records or information compiled for law enforcement purposes,
but only to the extent that the production of such law enforcement
records or information:
(A) Could reasonably be expected to interfere with enforcement
proceedings;
(B) Would deprive a person of a right to a fair trial or an
impartial adjudication;
(C) Could reasonably be expected to constitute an unwarranted
invasion of personal privacy;
(D) Could reasonably be expected to disclose the identity of a
confidential
[[Page 33]]
source, including a State, local, or foreign agency or authority or any
private institution which furnished information on a confidential basis,
and, in the case of a record or information compiled by a criminal law
enforcement authority in the course of a criminal investigation, or by
an agency conducting a lawful national security intelligence
investigation, information furnished by a confidential source;
(E) Would disclose techniques and procedures for law enforcement
investigations or prosecutions, or would disclose guidelines for law
enforcement investigations or prosecutions if such disclosure could
reasonably be expected to risk circumvention of the law; or
(F) Could reasonably be expected to endanger the life or physical
safety of any individual.
(ii) [Reserved]
(8) Contained in or related to examination, operating, or condition
reports prepared by, on behalf of, or for the use of an agency
responsible for the regulation or supervision of finanical institutions;
or
(9) Geological and geophysical information and data, including maps,
concerning wells.
(b) The fact that the applicability of an exemption permits the
withholding of a requested record (or portion thereof) does not
necessarily mean that the record must or should be withheld. See
Sec. 2.119.
[41 FR 36902, Sept. 1, 1976, as amended at 43 FR 40000, Sept. 8, 1978;
53 FR 217, Jan. 5, 1988]
Sec. 2.119 Discretionary release of exempt documents.
(a) An EPA office may, in its discretion, release requested records
despite the applicability of one or more of the exemptions listed in
Sec. 2.118 (a)(2), (a)(5), or (a)(7). Disclosure of such records is
encouraged if no important purpose would be served by withholding the
records.
(b) As a matter of policy, EPA will not release a requested record
if EPA has determined that one or more of the exemptions listed in
Sec. 2.118(a) (1), (3), (4), (6), (8), or (9), applies to the record,
except when ordered to do so by a Federal court or in exceptional
circumstances under appropriate restrictions with the approval of the
Office of General Counsel or a Regional Counsel.
Sec. 2.120 Fees; payment; waiver.
(a) Fee schedule. Requesters shall be charged the full allowable
direct costs incurred by the Agency in responding to a FOIA request.
However, if EPA uses a contractor to search for, reproduce or
disseminate records responsive to a request, the cost to the requester
shall not exceed the cost of the Agency itself performing the service.
(1) There are four categories of requests. Fees for each of the
categories will be charged as follows:
(i) Commercial use requests. If the request seeks disclosure of
records for a commercial use, the requester shall be charged for the
time spent searching for the requested record, reviewing the record to
determine whether it should be disclosed and for the cost of each page
of duplication. Commercial use requesters should note that EPA also may
charge fees to them for time spent searching for and/or reviewing
records, even if EPA fails to locate the records or if the records
located are determined to be exempt from disclosure.
(ii) Requests from an educational or non-commercial scientific
institution whose purpose is scholarly or scientific research, involving
a request which is not for a commercial use and seeks disclosure of
records. In the case of such a request, the requester shall be charged
only for the duplication cost of the records, except that the first 100
pages of duplication shall be furnished without charge.
(iii) Requests from a representative of the news media, involving a
request which is not for a commercial use and seeks disclosure of
records. In the case of such a request, the requester shall be charged
only for the duplication cost of the records, except that the first 100
pages of duplication shall be furnished without charge.
(iv) All other requests. If the request seeks disclosure of records
other than as described in paragraphs (a)(1)(i), (ii), and (iii) of this
section, the requester shall be charged the full cost of search and
duplication. However, the first two hours of search time (or its cost
equivalent) and the first 100 pages of duplication (or their cost
equivalent) shall
[[Page 34]]
be furnished without charge. Requesters in the ``all other requests''
category should note that EPA also may charge fees to them for time
spent searching for records, even if EPA fails to locate the records or
if the records located are determined to be exempt from disclosure.
(2) The determination of a requester's fee category will be based on
the following:
(i) Commercial use requesters: The use to which the requester will
put the documents requested;
(ii) Educational and non-commercial scientific institution
requestors: Identity of the requester and the use to which the requestor
will put the documents requested;
(iii) Representatives of the news media requesters: The identity of
the requester and the use to which the requestor will put the documents
requested.
(3) Fees will be charged to requesters, as appropriate, for search,
duplication and review of requested records in accordance with the
following schedule:
(i) Manual search for records.
(A) EPA Employees: For each \1/2\ hour or portion thereof:
(1) GS-8 and below: $4.00.
(2) GS-9 and above: $10.00.
(B) Contractor employees: The requestor will be charged for actual
charges up to but not exceeding the rate which would have been charged
had EPA employees conducted the search.
(ii) Computer search for records charges will consist of:
(A) EPA employee operators: For each \1/2\ hour or portion thereof:
(1) GS-8 and below: $4.00.
(2) GS-9 and above: $10.00, plus.
(B) Contractor operators: Requestors will be charged for the actual
charges up to but not exceeding the rate which would have been charged
had EPA employees conducted the search (see paragraph (a)(3)(i)(A) of
this section), plus.
(C) Actual computer resource usage charges for this search.
(iii) Review of records. For each \1/2\ hour or portion thereof (EPA
employees):
(A) GS-8 and below: $4.00.
(B) GS-9 and above: $10.00.
(iv) Duplication or reproduction of records.
(A) Duplication or reproduction of documents by EPA employees (paper
copy of paper original): $.15 per page.
(B) Computer printouts (other than those calculated in a direct-cost
billing--see paragraph (a)(3)(ii) of this section ``Computer search for
records'') $.15 per page.
(C) Other methods of duplication or reproduction, including, but not
limited to, duplication of photographs, microfilm and magnetic tape,
will be charged at the actual direct cost to EPA.
(4) Other charges.
(i) Other charges incurred in responding to a request including but
not limited to, special handling or transportation of records, will be
charged at the actual direct cost to EPA.
(ii) Certification or authentication of records: $25.00 per
certification or authentication.
(5) No charge shall be made--
(i) For the cost of preparing or reviewing letters of response to a
request or appeal;
(ii) For time spent resolving legal or policy issues concerning the
application of exemptions;
(iii) For search time and the first 100 pages of duplication for
requests described in Sec. 2.120(a)(1)(ii) and (iii) of this section;
(iv) For the first two hours of search time (or its cost equivalent)
and for the first 100 pages of duplication for requests described in
Sec. 2.120(a)(1)(iv) of this section;
(v) If the total fee in connection with a request is less than
$25.00, or if the costs of collecting the fee would otherwise exceed the
amount of the fee. However, when EPA reasonably believes that a
requester or group of requesters is attempting to break a request down
into a series of requests for the purpose of avoiding the assessment of
fees, EPA will aggregate such requests to determine the total fee, and
will charge accordingly;
(vi) For responding to a request by an individual for one copy of a
record retrievable by the requesting individual's name or personal
identifier from a Privacy Act system of records;
[[Page 35]]
(vii) For furnishing records requested by either House of Congress,
or by a duly authorized committee or subcommittee of Congress, unless
the records are requested for the benefit of an individual Member of
Congress or for a constituent;
(viii) For furnishing records requested by and for the official use
of other Federal agencies; or
(ix) For furnishing records needed by an EPA contractor,
subcontractor, or grantee to perform the work required by the EPA
contract or grant.
(b) Method of payment. All fee payments shall be in the form of a
check or money order payable to the ``U.S. Environmental Protection
Agency'' and shall be sent (accompanied by a reference to the pertinent
Request Identification Number(s)) to the appropriate Headquarters or
Regional Office lock box address:
(1) EPA--Washington Headquarters, P.O. Box 360277M, Pittsburgh, PA
15251;
(2) EPA--Region 1, P.O. Box 360197M, Pittsburgh, PA 15251;
(3) EPA--Region 2, P.O. Box 360188M, Pittsburgh, PA 15251;
(4) EPA--Region 3, P.O. Box 360515M, Pittsburgh, PA 15251;
(5) EPA--Region 4, P.O. Box 100142, Atlanta, GA. 30384;
(6) EPA--Region 5, P.O. Box 70753, Chicago, IL 60673;
(7) EPA--Region 6, P.O. Box 360582M, Pittsburgh, PA 15251;
(8) EPA--Region 7, P.O. Box 360748M, Pittsburgh, PA 15251;
(9) EPA--Region 8, P.O. Box 360859M, Pittsburgh, PA 15251;
(10) EPA--Region 9, P.O. Box 360863M, Pittsburgh, PA 15251;
(11) EPA--Region 10, P.O. Box 360903M, Pittsburgh, PA 15251;
Under the Debt Collection Act of 1982 (Pub. L. 97-365), payment (except
for prepayment) shall be due within thirty (30) calendar days after the
date of billing. If payment is not received at the end of thirty
calendar days, interest and a late payment handling charge will be
assessed. In addition, under this Act, a penalty charge will be applied
on any principal amount not paid within ninety (90) calendar days after
the due date for payment. By the authority of the Debt Collection Act of
1982, delinquent amounts due may be collected through administrative
offset or referred to private collection agencies. Information related
to delinquent accounts may also be reported to the appropriate credit
agencies.
(c) Assurance of payment. (1) If an EPA office estimates that the
fees for processing a request (or aggregated requests as described in
Sec. 2.120(a)(5)(vi) of this section) will exceed $25.00, that office
need not search for, duplicate or disclose records in response to the
request(s) until the requester assures payment of the total amount of
fees estimated to become due under this section. In such cases, the EPA
office will promptly inform the requester (by telephone it practicable)
of the need to make assurance of payment.
(2) An EPA office may not require a requester to make an advance
payment, i.e. payment before work is commenced or continued on a
request, unless:
(i) A requester has previously failed to pay a fee charged in a
timely fashion (i.e., within 30 days after the date of the billing), or
(ii) The EPA office estimates or determines that the allowable
charges that a requester may be required to pay are likely to exceed
$250.00. Then the EPA office will notify the requester of the likely
cost and obtain satisfactory assurance of full payment where the
requester has a history of prompt payment of FOIA fees, or require an
advance payment of an amount up to the full estimated charges in the
case of requesters with no history of payment. If such advance payment
is not received within 30 days after EPA's billing, the request will not
be processed and the request will be closed. See also Sec. 2.112(d).
(d) Reduction or waiver of fee. (1) The fee chargeable under this
section shall be reduced or waived by EPA if the Agency determines that
disclosure of the information:
(i) Is in the public interest because it is likely to contribute
significantly to public understanding of the operations or activities of
the government; and
(ii) Is not primarily in the commercial interest of the requestor.
(2) Both of these requirements must be satisfied before fees
properly assessable can be waived or reduced.
[[Page 36]]
(3) The Agency will employ the following four factors in determining
whether the first requirement has been met:
(i) The subject of the request: Whether the subject of the requested
records concerns ``the operations or activities of the government'';
(ii) The informative value of the information to be disclosed:
Whether the disclosure is ``likely to contribute to an understanding of
government operations or activities'';
(iii) The contribution to an understanding of the subject by the
general public likely to result from disclosure: Whether disclosure of
the requested information will contribute to ``public understanding'';
and
(iv) The significance of the contribution to public understanding:
Whether disclosure is likely to contribute ``significantly'' to public
understanding of government operations or activities.
(4) The Agency will employ the following factors in determining
whether the second requirement has been met:
(i) The existence and magnitude of a commercial interest: Whether
the requester has a commercial interest that would be furthered by the
requested disclosure; and, if so
(ii) The primary interest in disclosure: Whether the magnitude of
the identified commercial interest of the requester is sufficiently
large, in comparison with the public interest in disclosure, that
disclosure is ``primarily in the commercial interest of the requester.''
(5) In all cases, the burden shall be on the requester to present
information in support of a request for a waiver of fees. A request for
reduction or waiver of fees should include:
(i) A clear statement of the requester's interest in the requested
documents;
(ii) The use proposed for the documents and whether the requester
will derive income or other benefit from such use;
(iii) A statement of how the public will benefit from such use and
from the release of the requested documents; and
(iv) If specialized use of the documents or information is
contemplated, a statement of the requester's qualifications that are
relevant to the specialized use.
(6) A request for reduction or waiver of fees shall be addressed to
the appropriate Freedom of Information Officer. The requester shall be
informed in writing of the Agency's decision whether to grant or deny
the fee waiver or fee reduction request. This decision may be appealed
by letter addressed to the EPA Freedom of Information Officer. The
General Counsel shall decide such appeals. The General Counsel may
redelegate this authority only to the Deputy General Counsel or the
Associate General Counsel for Grants, Contracts and General Law.
(e) The Financial Management Office shall maintain a record of all
fees charged requesters for searching for, reviewing and reproducing
requested records under this section. If after the end of 60 calendar
days from the date on which request for payment was made the requester
has not submitted payment to the appropriate EPA billing address (as
listed in Sec. 2.120(b)), the Financial Management Division shall place
the requester's name on a delinquent list which is sent to the EPA
Freedom of Information Officer. If a requester whose name appears on the
delinquent list makes a request under this part, the EPA Freedom of
Information Officer shall inform the requester that EPA will not process
the request until the requester submits payment of the overdue fee from
the earlier request. Any request made by an individual who specifies an
affiliation with or representation of a corporation, association, law
firm, or other organization shall be deemed to be a request by the
corporation, association, law firm, or other organization. If an
organization placed on the delinquent list can show that the person who
made the request for which payment was overdue did not make the request
on behalf of the organization the organization will be removed from the
delinquent list but the name of the individual shall remain on the list.
A requester shall not be placed on the delinquent list if a request for
a reduction or for a waiver is pending under paragraph (d) of this
section.
[53 FR 217, Jan. 5, 1988]
[[Page 37]]
Sec. 2.121 Exclusions.
(a) Whenever a request is made which involves access to records
described in Sec. 2.118(a)(7)(i)(A), and
(1) The investigation or proceeding involves a possible violation of
criminal law; and
(2) There is reason to believe that the subject of the investigation
or proceeding is not aware of its pendency, and disclosure of the
existence of such records could reasonably be expected to interfere with
enforcement proceedings, EPA shall, during only such time as the
circumstances continue, treat the records as not subject to the
requirements of 5 U.S.C. 552 and this subpart.
(b) Whenever informant records maintained by the Agency under an
informant's name or personal identifier are requested by a third party
according to the informant's name or personal identifier and the
informant's status as an informant has not been officially confirmed,
EPA shall treat the records as not subject to the requirements of 5
U.S.C. 552 and this subpart.
(c) No determination relying on this section shall be issued without
the concurrence of the General Counsel or his designee. The General
Counsel has designated the Contracts and Information Law Branch to act
on these requests for concurrence.
(d) An initial determination which only relies on this section will
not include notice of appeal rights.
[53 FR 219, Jan. 5, 1988]
Subpart B--Confidentiality of Business Information
Sec. 2.201 Definitions.
For the purposes of this subpart:
(a) Person means an individual, partnership, corporation,
association, or other public or private organization or legal entity,
including Federal, State or local governmental bodies and agencies and
their employees.
(b) Business means any person engaged in a business, trade,
employment, calling or profession, whether or not all or any part of the
net earnings derived from such engagement by such person inure (or may
lawfully inure) to the benefit of any private shareholder or individual.
(c) Business information (sometimes referred to simply as
information) means any information which pertains to the interests of
any business, which was developed or acquired by that business, and
(except where the context otherwise requires) which is possessed by EPA
in recorded form.
(d) Affected business means, with reference to an item of business
information, a business which has asserted (and not waived or withdrawn)
a business confidentiality claim covering the information, or a business
which could be expected to make such a claim if it were aware that
disclosure of the information to the public was proposed.
(e) Reasons of business confidentiality include the concept of trade
secrecy and other related legal concepts which give (or may give) a
business the right to preserve the confidentiality of business
information and to limit its use or disclosure by others in order that
the business may obtain or retain business advantages it derives from
its rights in the information. The definition is meant to encompass any
concept which authorizes a Federal agency to withhold business
information under 5 U.S.C. 552(b)(4), as well as any concept which
requires EPA to withhold information from the public for the benefit of
a business under 18 U.S.C. 1905 or any of the various statutes cited in
Sec. 2.301 through Sec. 2.309.
(f) [Reserved]
(g) Information which is available to the public is information in
EPA's possession which EPA will furnish to any member of the public upon
request and which EPA may make public, release or otherwise make
available to any person whether or not its disclosure has been
requested.
(h) Business confidentiality claim (or, simply, claim) means a claim
or allegation that business information is entitled to confidential
treatment for reasons of business confidentiality, or a request for a
determination that such information is entitled to such treatment.
(i) Voluntarily submitted information means business information in
EPA's possession--
[[Page 38]]
(1) The submission of which EPA had no statutory or contractual
authority to require; and
(2) The submission of which was not prescribed by statute or
regulation as a condition of obtaining some benefit (or avoiding some
disadvantage) under a regulatory program of general applicability,
including such regulatory programs as permit, licensing, registration,
or certification programs, but excluding programs concerned solely or
primarily with the award or administration by EPA of contracts or
grants.
(j) Recorded means written or otherwise registered in some form for
preserving information, including such forms as drawings, photographs,
videotape, sound recordings, punched cards, and computer tape or disk.
(k) [Reserved]
(l) Administrator, Regional Administrator, General Counsel, Regional
Counsel, and Freedom of Information Officer mean the EPA officers or
employees occupying the positions so titled.
(m) EPA office means any organizational element of EPA, at any level
or location. (The terms EPA office and EPA legal office are used in this
subpart for the sake of brevity and ease of reference. When this subpart
requires that an action be taken by an EPA office or by an EPA legal
office, it is the responsibility of the officer or employee in charge of
that office to take the action or ensure that it is taken.)
(n) EPA legal office means the EPA General Counsel and any EPA
office over which the General Counsel exercises supervisory authority,
including the various Offices of Regional Counsel. (See paragraph (m) of
this section.)
(o) A working day is any day on which Federal Government offices are
open for normal business. Saturdays, Sundays, and official Federal
holidays are not working days; all other days are.
Sec. 2.202 Applicability of subpart; priority where provisions conflict; records containing more than one kind of information.
(a) Sections 2.201 through 2.215 establish basic rules governing
business confidentiality claims, the handling by EPA of business
information which is or may be entitled to confidential treatment, and
determinations by EPA of whether information is entitled to confidential
treatment for reasons of business confidentiality.
(b) Various statutes (other than 5 U.S.C. 552) under which EPA
operates contain special provisions concerning the entitlement to
confidential treatment of information gathered under such statutes.
Sections 2.301 through 2.311 prescribe rules for treatment of certain
categories of business information obtained under the various statutory
provisions. Paragraph (b) of each of those sections should be consulted
to determine whether any of those sections applies to the particular
information in question.
(c) The basic rules of Secs. 2.201 through 2.215 govern except to
the extent that they are modified or supplanted by the special rules of
Secs. 2.301 through 2.311. In the event of a conflict between the
provisions of the basic rules and those of a special rule which is
applicable to the particular information in question, the provision of
the special rule shall govern.
(d) If two or more of the sections containing special rules apply to
the particular information in question, and the applicable sections
prescribe conflicting special rules for the treatment of the
information, the rule which provides greater or wider availability to
the public of the information shall govern.
(e) For most purposes, a document or other record may usefully be
treated as a single unit of information, even though in fact the
document or record is comprised of a collection of individual items of
information. However, in applying the provisions of this subpart, it
will often be necessary to separate the individual items of information
into two or more categories, and to afford different treatment to the
information in each such category. The need for differentiation of this
type may arise, e.g., because a business confidentiality claim covers
only a portion of a record, or because only a portion of the record is
eligible for confidential treatment. EPA offices taking action under
this subpart must be alert to this problem.
(f) In taking actions under this subpart, EPA offices should
consider
[[Page 39]]
whether it is possible to obtain the affected business's consent to
disclosure of useful portions of records while protecting the
information which is or may be entitled to confidentiality (e.g., by
withholding such portions of a record as would identify a business, or
by disclosing data in the form of industry-wide aggregates, multi-year
averages or totals, or some similar form).
(g) This subpart does not apply to questions concerning entitlement
to confidential treatment or information which concerns an individual
solely in his personal, as opposed to business, capacity.
[41 FR 36902, Sept. 1, 1976, as amended at 43 FR 40000, Sept. 8, 1978;
50 FR 51661, Dec. 18, 1985]
Sec. 2.203 Notice to be included in EPA requests, demands, and forms; method of asserting business confidentiality claim; effect of failure to assert claim at
time of submission.
(a) Notice to be included in certain requests and demands for
information, and in certain forms. Whenever an EPA office makes a
written request or demand that a business furnish information which, in
the office's opinion, is likely to be regarded by the business as
entitled to confidential treatment under this subpart, or whenever an
EPA office prescribes a form for use by businesses in furnishing such
information, the request, demand, or form shall include or enclose a
notice which--
(1) States that the business may, if it desires, assert a business
confidentiality claim covering part or all of the information, in the
manner described by paragraph (b) of this section, and that information
covered by such a claim will be disclosed by EPA only to the extent, and
by means of the procedures, set forth in this subpart;
(2) States that if no such claim accompanies the information when it
is received by EPA, it may be made available to the public by EPA
without further notice to the business; and
(3) Furnishes a citation of the location of this subpart in the Code
of Federal Regulations and the Federal Register.
(b) Method and time of asserting business confidentiality claim. A
business which is submitting information to EPA may assert a business
confidentiality claim covering the information by placing on (or
attaching to) the information, at the time it is submitted to EPA, a
cover sheet, stamped or typed legend, or other suitable form of notice
employing language such as trade secret, proprietary, or company
confidential. Allegedly confidential portions of otherwise non-
confidential documents should be clearly identified by the business, and
may be submitted separately to facilitate identification and handling by
EPA. If the business desires confidential treatment only until a certain
date or until the occurrence of a certain event, the notice should so
state.
(c) Effect of failure to assert claim at time of submission of
information. If information was submitted by a business to EPA on or
after October 1, 1976, in response to an EPA request or demand (or on an
EPA-prescribed form) which contained the substance of the notice
required by paragraph (a) of this section, and if no business
confidentiality claim accompanied the information when it was received
by EPA, the inquiry to the business normally required by
Sec. 2.204(c)(2) need not be made. If a claim covering the information
is received after the information itself is received, EPA will make such
efforts as are administratively practicable to associate the late claim
with copies of the previously-submitted information in EPA files (see
Sec. 2.204(c)(1)). However, EPA cannot assure that such efforts will be
effective, in light of the possibility of prior disclosure or widespread
prior dissemination of the information.
Sec. 2.204 Initial action by EPA office.
(a) Situations requiring action. This section prescribes procedures
to be used by EPA offices in making initial determinations of whether
business information is entitled to confidential treatment for reasons
of business confidentiality. Action shall be taken under this section
whenever an EPA office:
(1) Learns that it is responsible for responding to a request under
5 U.S.C. 552 for the release of business information; in such a case,
the office shall
[[Page 40]]
issue an initial determination within the period specified in
Sec. 2.112;
(2) Desires to determine whether business information in its
possession is entitled to confidential treatment, even though no request
for release of the information has been received; or
(3) Determines that it is likely that EPA eventually will be
requested to disclose the information at some future date and thus will
have to determine whether the information is entitled to confidential
treatment. In such a case this section's procedures should be initiated
at the earliest practicable time, in order to increase the time
available for preparation and submission of comments and for issuance of
determinations, and to make easier the task of meeting response
deadlines if a request for release of the information is later received
under 5 U.S.C. 552.
(b) Previous confidentiality determination. The EPA office shall
first ascertain whether there has been a previous determination, issued
by a Federal court or by an EPA legal office acting under this subpart,
holding that the information in question is entitled to confidential
treatment for reasons of business confidentiality.
(1) If such a determination holds that the information is entitled
to confidential treatment, the EPA Office shall furnish any person whose
request for the information is pending under 5 U.S.C. 552 an initial
determination (see Sec. 2.111 and Sec. 2.113) that the information has
previously been determined to be entitled to confidential treatment, and
that the request is therefore denied. The office shall furnish such
person the appropriate case citation or EPA determination. If the EPA
office believes that a previous determination which was issued by an EPA
legal office may be improper or no longer valid, the office shall so
inform the EPA legal office, which shall consider taking action under
Sec. 2.205(h).
(2) With respect to all information not known to be covered by such
a previous determination, the EPA office shall take action under
paragraph (c) of this section.
(c) Determining existence of business confidentiality claims. (1)
Whenever action under this paragraph is required by paragraph (b)(2) of
this section, the EPA office shall examine the information and the
office's records to determine which businesses, if any, are affected
businesses (see Sec. 2.201(d)), and to determine which businesses if
any, have asserted business confidentiality claims which remain
applicable to the information. If any business is found to have asserted
an applicable claim, the office shall take action under paragraph (d) of
this section with respect to each such claim.
(2)(i) If the examination conducted under paragraph (c)(1) of this
section discloses the existence of any business which, although it has
not asserted a claim, might be expected to assert a claim if it knew EPA
proposed to disclose the information, the EPA office shall contact a
responsible official of each such business to learn whether the business
asserts a claim covering the information. However, no such inquiry need
be made to any business--
(A) Which failed to assert a claim covering the information when
responding to an EPA request or demand, or supplying information on an
EPA form, which contained the substance of the statements prescribed by
Sec. 2.203(a);
(B) Which otherwise failed to assert a claim covering the
information after being informed by EPA that such failure could result
in disclosure of the information to the public; or
(C) Which has otherwise waived or withdrawn a claim covering the
information.
(ii) If a request for release of the information under 5 U.S.C. 552
is pending at the time inquiry is made under this paragraph (c)(2), the
inquiry shall be made by telephone or equally prompt means, and the
responsible official contacted shall be informed that any claim the
business wishes to assert must be brought to the EPA office's attention
no later than the close of business on the third working day after such
inquiry.
(iii) A record shall be kept of the results of any inquiry under
this paragraph (c)(2). If any business makes a claim covering the
information, the EPA office shall take further action under paragraph
(d) of this section.
(3) If, after the examination under paragraph (c)(1) of this
section, and
[[Page 41]]
after any inquiry made under paragraph (c)(2) of this section, the EPA
office knows of no claim covering the information and the time for
response to any inquiry has passed, the information shall be treated for
purposes of this subpart as not entitled to confidential treatment.
(d) Preliminary determination. Whenever action under this paragraph
is required by paragraph (c)(1) or (2) of this section on any business's
claim, the EPA Office shall make a determination with respect to each
such claim. Each determination shall be made after consideration of the
provisions of Sec. 2.203, the applicable substantive criteria in
Sec. 2.208 or elsewhere in this subpart, and any previously-issued
determinations under this subpart which are applicable.
(1) If, in connection with any business's claim, the office
determines that the information may be entitled to confidential
treatment, the office shall--
(i) Furnish the notice of opportunity to submit comments prescribed
by paragraph (e) of this section to each business which is known to have
asserted an applicable claim and which has not previously been furnished
such notice with regard to the information in question;
(ii) Furnish, to any person whose request for release of the
information is pending under 5 U.S.C. 552, a determination (in
accordance with Sec. 2.113) that the information may be entitled to
confidential treatment under this subpart and 5 U.S.C. 552(b)(4), that
further inquiry by EPA pursuant to this subpart is required before a
final determination on the request can be issued, that the person's
request is therefore initially denied, and that after further inquiry a
final determination will be issued by an EPA legal office; and
(iii) Refer the matter to the appropriate EPA legal office,
furnishing the information required by paragraph (f) of this section
after the time has elapsed for receipt of comments from the affected
business.
(2) If, in connection with all applicable claims, the office
determines that the information clearly is not entitled to confidential
treatment, the office shall take the actions required by Sec. 2.205(f).
However, if a business has previously been furnished notice under
Sec. 2.205(f) with respect to the same information, no further notice
need be furnished to that business. A copy of each notice furnished to a
business under this paragraph (d)(2) and Sec. 2.205(f) shall be
forwarded promptly to the appropriate EPA legal office.
(e) Notice to affected businesses; opportunity to comment. (1)
Whenever required by paragraph (d)(1) of this section, the EPA office
shall promptly furnish each business a written notice stating that EPA
is determining under this subpart whether the information is entitled to
confidential treatment, and affording the business an opportunity to
comment. The notice shall be furnished by certified mail (return receipt
requested), by personal delivery, or by other means which allows
verification of the fact and date of receipt. The notice shall state the
address of the office to which the business's comments shall be
addressed (the EPA office furnishing the notice, unless the General
Counsel has directed otherwise), the time allowed for comments, and the
method for requesting a time extension under Sec. 2.205(b)(2). The
notice shall further state that EPA will construe a business's failure
to furnish timely comments as a waiver of the business's claim.
(2) If action under this section is occasioned by a request for the
information under 5 U.S.C. 552, the period for comments shall be 15
working days after the date of the business's receipt of the written
notice. In other cases, the EPA office shall establish a reasonable
period for comments (not less than 15 working days after the business's
receipt of the written notice). The time period for comments shall be
considered met if the business's comments are postmarked or hand
delivered to the office designated in the notice by the date specified.
In all cases, the notice shall call the business's attention to the
provisions of Sec. 2.205(b).
(3) At or about the time the written notice is furnished, the EPA
office shall orally inform a responsible representative of the business
(by telephone or otherwise) that the business should expect to receive
the written notice, and shall request the business
[[Page 42]]
to contact the EPA office if the written notice has not been received
within a few days, so that EPA may furnish a duplicate notice.
(4) The written notice required by paragraph (e)(1) of this section
shall invite the business's comments on the following points (subject to
paragraph (e)(5) of this section):
(i) The portions of the information which are alleged to be entitled
to confidential treatment;
(ii) The period of time for which confidential treatment is desired
by the business (e.g., until a certain date, until the occurrence of a
specified event, or permanently);
(iii) The purpose for which the information was furnished to EPA and
the approximate date of submission, if known;
(iv) Whether a business confidentiality claim accompanied the
information when it was received by EPA;
(v) Measures taken by the business to guard against undesired
disclosure of the information to others;
(vi) The extent to which the information has been disclosed to
others, and the precautions taken in connection therewith;
(vii) Pertinent confidentiality determinations, if any, by EPA or
other Federal agencies, and a copy of any such determination, or
reference to it, if available;
(viii) Whether the business asserts that disclosure of the
information would be likely to result in substantial harmful effects on
the business' competitive position, and if so, what those harmful
effects would be, why they should be viewed as substantial, and an
explanation of the causal relationship between disclosure and such
harmful effects; and
(ix) Whether the business asserts that the information is
voluntarily submitted information as defined in Sec. 2.201(i), and if
so, whether and why disclosure of the information would tend to lessen
the availability to EPA of similar information in the future.
(5) To the extent that the EPA office already possesses the relevant
facts, the notice need not solicit responses to the matters addressed in
paragraphs (e)(4) (i) through (ix) of this section, although the notice
shall request confirmation of EPA's understanding of such facts where
appropriate.
(6) The notice shall refer to Sec. 2.205(c) and shall include the
statement prescribed by Sec. 2.203(a).
(f) Materials to be furnished to EPA legal office. When a matter is
referred to an EPA legal office under paragraph (d)(1) of this section,
the EPA office taking action under this section shall forward promptly
to the EPA legal office the following items:
(1) A copy of the information in question, or (where the quantity or
form of the information makes forwarding a copy of the information
impractical) representative samples, a description of the information,
or both;
(2) A description of the circumstances and date of EPA's acquisition
of the information;
(3) The name, address, and telephone number of the EPA employee(s)
most familiar with the information;
(4) The name, address and telephone number of each business which
asserts an applicable business confidentiality claim;
(5) A copy of each applicable claim (or the record of the assertion
of the claim), and a description of when and how each claim was
asserted;
(6) Comments concerning each business's compliance or noncompliance
with applicable requirements of Sec. 2.203;
(7) A copy of any request for release of the information pending
under 5 U.S.C. 552;
(8) A copy of the business's comments on whether the information is
entitled to confidential treatment;
(9) The office's comments concerning the appropriate substantive
criteria under this subpart, and information the office possesses
concerning the information's entitlement to confidential treatment; and
(10) Copies of other correspondence or memoranda which pertain to
the matter.
[41 FR 36902, Sept. 1, 1976, as amended at 43 FR 40000, Sept. 8, 1978;
50 FR 51661, Dec. 18, 1985]
[[Page 43]]
Sec. 2.205 Final confidentiality determination by EPA legal office.
(a) Role of EPA legal office. (1) The appropriate EPA legal office
(see paragraph (i) of this section) is responsible for making the final
administrative determination of whether or not business information
covered by a business confidentiality claim is entitled to confidential
treatment under this subpart.
(2) When a request for release of the information under 5 U.S.C. 552
is pending, the EPA legal office's determination shall serve as the
final determination on appeal from an initial denial of the request.
(i) If the initial denial was issued under Sec. 2.204(b)(1), a final
determination by the EPA legal office is necessary only if the requestor
has actually filed an appeal.
(ii) If the initial denial was issued under Sec. 2.204(d)(1),
however, the EPA legal office shall issue a final determination in every
case, unless the request has been withdrawn. (Initial denials under
Sec. 2.204(d)(1) are of a procedural nature, to allow further inquiry
into the merits of the matter, and a requestor is entitled to a decision
on the merits.) If an appeal from such a denial has not been received by
the EPA Freedom of Information Officer on the tenth working day after
issuance of the denial, the matter shall be handled as if an appeal had
been received on that day, for purposes of establishing a schedule for
issuance of an appeal decision under Sec. 2.117 of this part.
(b) Comment period; extensions; untimeliness as waiver of claim. (1)
Each business which has been furnished the notice and opportunity to
comment prescribed by Sec. 2.204(d)(1) and Sec. 2.204(e) shall furnish
its comments to the office specified in the notice in time to be
postmarked or hand delivered to that office not later than the date
specified in the notice (or the date established in lieu thereof under
this section).
(2) The period for submission of comments may be extended if, before
the comments are due, a request for an extension of the comment period
is made by the business and approved by the EPA legal office. Except in
extraordinary circumstances, the EPA legal office will not approve such
an extension without the consent of any person whose request for release
of the information under 5 U.S.C. 552 is pending.
(3) The period for submission of comments by a business may be
shortened in the manner described in paragraph (g) of this section.
(4) If a business's comments have not been received by the specified
EPA office by the date they are due (including any approved extension),
that office shall promptly inquire whether the business has complied
with paragraph (b)(1) of this section. If the business has complied with
paragraph (b)(1) but the comments have been lost in transmission,
duplicate comments shall be requested.
(c) Confidential treatment of comments from business. If information
submitted to EPA by a business as part of its comments under this
section pertains to the business's claim, is not otherwise possessed by
EPA, and is marked when received in accordance with Sec. 2.203(b), it
will be regarded by EPA as entitled to confidential treatment and will
not be disclosed by EPA without the business's consent, unless its
disclosure is duly ordered by a Federal court, notwithstanding other
provisions of this subpart to the contrary.
(d) Types of final determinations; matters to be considered. (1) If
the EPA legal office finds that a business has failed to furnish
comments under paragraph (b) of this section by the specified due date,
it shall determine that the business has waived its claim. If, after
application of the preceding sentence, no claim applies to the
information, the office shall determine that the information is not
entitled to confidential treatment under this subpart and, subject to
Sec. 2.210, is available to the public.
(2) In all other cases, the EPA legal office shall consider each
business's claim and comments, the various provisions of this subpart,
any previously-issued determinations under this subpart which are
pertinent, the materials furnished it under Sec. 2.204(f), and such
other materials as it finds appropriate. With respect to each claim, the
office shall determine whether or not the information is entitled to
confidential treatment for the benefit of the business that asserted the
claim, and the period of any such entitlement (e.g.,
[[Page 44]]
until a certain date, until the occurrence of a specified event, or
permanently), and shall take further action under paragraph (e) or (f)
of this section, as appropriate.
(3) Whenever the claims of two or more businesses apply to the same
information, the EPA legal office shall take action appropriate under
the particular circumstances to protect the interests of all persons
concerned (including any person whose request for the information is
pending under 5 U.S.C. 552).
(e) Determination that information is entitled to confidential
treatment. If the EPA legal office determines that the information is
entitled to confidential treatment for the full period requested by the
business which made the claim, EPA shall maintain the information in
confidence for such period, subject to paragraph (h) of this section,
Sec. 2.209, and the other provisions of this subpart which authorize
disclosure in specified circumstances, and the office shall so inform
the business. If any person's request for the release of the information
is then pending under 5 U.S.C. 552, the EPA legal office shall issue a
final determination denying that request.
(f) Determination that information is not entitled to confidential
treatment; notice; waiting period; release of information. (1) Notice of
denial (or partial denial) of a business confidentiality claim, in the
form prescribed by paragraph (f)(2) of this section, shall be
furnished--
(i) By the EPA office taking action under Sec. 2.204, to each
business on behalf of which a claim has been made, whenever
Sec. 2.204(d)(2) requires such notice; and
(ii) By the EPA legal office taking action under this section, to
each business which has asserted a claim applicable to the information
and which has furnished timely comments under paragraph (b) of this
section, whenever the EPA legal office determines that the information
is not entitled to confidential treatment under this subpart for the
benefit of the business, or determines that the period of any
entitlement to confidential treatment is shorter than that requested by
the business.
(2) The notice prescribed by paragraph (f)(1) of this section shall
be written, and shall be furnished by certified mail (return receipt
requested), by personal delivery, or by other means which allows
verification of the fact of receipt and the date of receipt. The notice
shall state the basis for the determination, that it constitutes final
agency action concerning the business confidentiality claim, and that
such final agency action may be subject to judicial review under Chapter
7 of Title 5, United States Code. With respect to EPA's implementation
of the determination, the notice shall state that (subject to
Sec. 2.210) EPA will make the information available to the public on the
tenth working day after the date of the business's receipt of the
written notice (or on such later date as is established in lieu thereof
by the EPA legal office under paragraph (f)(3) of this section), unless
the EPA legal office has first been notified of the business's
commencement of an action in a Federal court to obtain judicial review
of the determination, and to obtain preliminary injunctive relief
against disclosure. The notice shall further state that if such an
action is timely commenced, EPA may nonetheless make the information
available to the public (in the absence of an order by the court to the
contrary), once the court has denied a motion for a preliminary
injunction in the action or has otherwise upheld the EPA determination,
or whenever it appears to the EPA legal office, after reasonable notice
to the business, that the business is not taking appropriate measures to
obtain a speedy resolution of the action. If the information has been
found to be temporarily entitled to confidential treatment, the notice
shall further state that the information will not be disclosed prior to
the end of the period of such temporary entitlement to confidential
treatment.
(3) The period established in a notice under paragraph (f)(2) of
this section for commencement of an action to obtain judicial review may
be extended if, before the expiration of such period, a request for an
extension is made by the business and approved by the EPA legal office.
Except in extraordinary circumstances, the EPA legal office
[[Page 45]]
will not approve such an extension without the consent of any person
whose request for release of the information under 5 U.S.C. 552 is
pending.
(4) After the expiration of any period of temporary entitlement to
confidential treatment, a determination under this paragraph (f) shall
be implemented by the EPA legal office by making the information
available to the public (in the absence of a court order prohibiting
disclosure) whenever--
(i) The period provided for commencement by a business of an action
to obtain judicial review of the determination has expired without
notice to the EPA legal office of commencement of such an action;
(ii) The court, in a timely-commenced action, has denied the
business' motion for a preliminary injunction, or has otherwise upheld
the EPA determination; or
(iii) The EPA legal office, after reasonable notice has been
provided to the business, finds that the business is not taking
appropriate measures to obtain a speedy resolution of the timely-
commenced action.
(5) Any person whose request for release of the information under 5
U.S.C. 552 is pending at the time notice is given under paragraph (f)(2)
of this section shall be furnished a determination under 5 U.S.C. 552
stating the circumstances under which the information will be released.
(g) Emergency situations. If the General Counsel finds that
disclosure of information covered by a claim would be helpful in
alleviating a situation posing an imminent and substantial danger to
public health or safety, he may prescribe and make known to interested
persons such shorter comment period (paragraph (b) of this section),
post-determination waiting period (paragraph (f) of this section), or
both, as he finds necessary under the circumstances.
(h) Modification of prior determinations. A determination that
information is entitled to confidential treatment for the benefit of a
business, made under this subpart by an EPA legal office, shall continue
in effect in accordance with its terms until an EPA legal office taking
action under this section, or under Sec. 2.206 or Sec. 2.207, issues a
final determination stating that the earlier determination no longer
describes correctly the information's entitlement to confidential
treatment because of change in the applicable law, newly-discovered or
changed facts, or because the earlier determination was clearly
erroneous. If an EPA legal office tentatively concludes that such an
earlier determination is of questionable validity, it shall so inform
the business, and shall afford the business an opportunity to furnish
comments on pertinent issues in the manner described by Sec. 2.204(e)
and paragraph (b) of this section. If, after consideration of any timely
comments submitted by the business, the EPA legal office makes a revised
final determination that the information is not entitled to confidential
treatment, or that the period of entitlement to such treatment will end
sooner than it would have ended under the earlier determination, the
office will follow the procedure described in paragraph (f) of this
section. Determinations under this section may be made only by, or with
the concurrence of, the General Counsel.
(i) Delegation and redelegation of authority. Unless the General
Counsel otherwise directs, or this subpart otherwise specifically
provides, determinations and actions required by this subpart to be made
or taken by an EPA legal office shall be made or taken by the
appropriate Regional counsel whenever the EPA office taking action under
Sec. 2.204 or Sec. 2.206(b) is under the supervision of a Regional
Administrator, and by the General Counsel in all other cases. The
General Counsel may redelegate any or all of his authority under this
subpart to any attorney employed by EPA on a full-time basis under the
General Counsel's supervision. A Regional Counsel may redelegate any or
all of his authority under this subpart to any attorney employed by EPA
on a full-time basis under the Regional counsel's supervision.
[41 FR 36902, Sept. 1, 1976, as amended at 50 FR 51661, Dec. 18, 1985]
[[Page 46]]
Sec. 2.206 Advance confidentiality determinations.
(a) An advance determination under this section may be issued by an
EPA legal office if--
(1) EPA has requested or demanded that a business furnish business
information to EPA;
(2) The business asserts that the information, if submitted, would
constitute voluntarily submitted information under Sec. 2.201(i);
(3) The business will voluntarily submit the information for use by
EPA only if EPA first determines that the information is entitled to
confidential treatment under this subpart; and
(4) The EPA office which desires submission of the information has
requested that the EPA legal office issue a determination under this
section.
(b) The EPA office requesting an advance determination under this
section shall--
(1) Arrange to have the business furnish directly to the EPA legal
office a copy of the information (or, where feasible, a description of
the nature of the information sufficient to allow a determination to be
made), as well as the business's comments concerning the matters
addressed in Sec. 2.204(e)(4), excluding, however, matters addressed in
Sec. 2.204 (e)(4)(iii) and (e)(4)(iv); and
(2) Furnish to the EPA legal office the materials referred to in
Sec. 2.204(f) (3), (7), (8), and (9).
(c) In making a determination under this section, the EPA legal
office shall first determine whether or not the information would
constitute voluntarily submitted information under Sec. 2.201(i). If the
information would constitute voluntarily submitted information, the
legal office shall further determine whether the information is entitled
to confidential treatment.
(d) If the EPA legal office determines that the information would
not constitute voluntarily submitted information, or determines that it
would constitute voluntarily submitted information but would not be
entitled to confidential treatment, it shall so inform the business and
the EPA office which requested the determination, stating the basis of
the determination, and shall return to the business all copies of the
information which it may have received from the business (except that if
a request under 5 U.S.C. 552 for release of the information is received
while the EPA legal office is in possession of the information, the
legal office shall retain a copy of the information, but shall not
disclose it unless ordered by a Federal court to do so). The legal
office shall not disclose the information to any other EPA office or
employee and shall not use the information for any purpose except the
determination under this section, unless otherwise directed by a Federal
court.
(e) If the EPA legal office determines that the information would
constitute voluntarily submitted information and that it is entitled to
confidential treatment, it shall so inform the EPA office which
requested the determination and the business which submitted it, and
shall forward the information to the EPA office which requested the
determination.
Sec. 2.207 Class determinations.
(a) The General Counsel may make and issue a class determination
under this section if he finds that--
(1) EPA possesses, or is obtaining, related items of business
information;
(2) One or more characteristics common to all such items of
information will necessarily result in identical treatment for each such
item under one or more of the provisions in this subpart, and that it is
therefore proper to treat all such items as a class for one or more
purposes under this subpart; and
(3) A class determination would serve a useful purpose.
(b) A class determination shall clearly identify the class of
information to which it pertains.
(c) A class determination may state that all of the information in
the class--
(1) Is, or is not, voluntarily submitted information under
Sec. 2.201(i);
(2) Is, or is not, governed by a particular section of this subpart,
or by a particular set of substantive criteria under this subpart;
(3) Fails to satisfy one or more of the applicable substantive
criteria, and is therefore ineligible for confidential treatment;
[[Page 47]]
(4) Satisfies one or more of the applicable substantive criteria; or
(5) Satisfies one or more of the applicable substantive criteria
during a certain period, but will be ineligible for confidential
treatment thereafter.
(d) The purpose of a class determination is simply to make known the
Agency's position regarding the manner in which information within the
class will be treated under one or more of the provisions of this
subpart. Accordingly, the notice of opportunity to submit comments
referred to in Sec. 2.204(d)(1)(ii) and Sec. 2.205(b), and the list of
materials required to be furnished to the EPA legal office under
Sec. 2.204(d)(1)(iii), may be modified to reflect the fact that the
class determination has made unnecessary the submission of materials
pertinent to one or more issues. Moreover, in appropriate cases, action
based on the class determination may be taken under Sec. 2.204(b)(1),
Sec. 2.204(d), Sec. 2.205(d), or Sec. 2.206. However, the existence of a
class determination shall not, of itself, affect any right a business
may have to receive any notice under Sec. 2.204(d)(2) or Sec. 2.205(f).
Sec. 2.208 Substantive criteria for use in confidentiality determinations.
Determinations issued under Secs. 2.204 through 2.207 shall hold
that business information is entitled to confidential treatment for the
benefit of a particular business if--
(a) The business has asserted a business confidentiality claim which
has not expired by its terms, nor been waived nor withdrawn;
(b) The business has satisfactorily shown that it has taken
reasonable measures to protect the confidentiality of the information,
and that it intends to continue to take such measures;
(c) The information is not, and has not been, reasonably obtainable
without the business's consent by other persons (other than governmental
bodies) by use of legitimate means (other than discovery based on a
showing of special need in a judicial or quasi-judicial proceeding);
(d) No statute specifically requires disclosure of the information;
and
(e) Either--
(1) The business has satisfactorily shown that disclosure of the
information is likely to cause substantial harm to the business's
competitive position; or
(2) The information is voluntarily submitted information (see
Sec. 2.201(i)), and its disclosure would be likely to impair the
Government's ability to obtain necessary information in the future.
Sec. 2.209 Disclosure in special circumstances.
(a) General. Information which, under this subpart, is not available
to the public may nonetheless be disclosed to the persons, and in the
circumstances, described by paragraphs (b) through (g) of this section.
(This section shall not be construed to restrict the disclosure of
information which has been determined to be available to the public.
However, business information for which a claim of confidentiality has
been asserted shall be treated as being entitled to confidential
treatment until there has been a determination in accordance with the
procedures of this subpart that the information is not entitled to
confidential treatment.)
(b) Disclosure to Congress or the Comptroller General. (1) Upon
receipt of a written request by the Speaker of the House, President of
the Senate, chairman of a committee or subcommittee, or the Comptroller
General, as appropriate, EPA will disclose business information to
either House of Congress, to a committee or subcommittee of Congress, or
to the Comptroller General, unless a statute forbids such disclosure.
(2) If the request is for business information claimed as
confidential or determined to be confidential, the EPA office processing
the request shall provide notice to each affected business of the type
of information disclosed and to whom it is disclosed. Notice shall be
given at least ten days prior to disclosure, except where it is not
possible to provide notice ten days in advance of any date established
by the requesting body for responding to the request. Where ten days
advance notice cannot be given, as much advance notice as
[[Page 48]]
possible shall be provided. Where notice cannot be given before the date
established by the requesting body for responding to the request, notice
shall be given as promptly after disclosure as possible. Such notice may
be given by notice published in the Federal Register or by letter sent
by certified mail, return receipt requested, or telegram. However, if
the requesting body asks in writing that no notice under this subsection
be given, EPA will give no notice.
(3) At the time EPA discloses the business information, EPA will
inform the requesting body of any unresolved business confidentiality
claim known to cover the information and of any determination under this
subpart that the information is entitled to confidential treatment.
(c) Disclosure to other Federal agencies. EPA may disclose business
information to another Federal agency if--
(1) EPA receives a written request for disclosures of the
information from a duly authorized officer or employee of the other
agency or on the initiative of EPA when such disclosure is necessary to
enable the other agency to carry out a function on behalf of EPA;
(2) The request, if any, sets forth the official purpose for which
the information is needed;
(3) When the information has been claimed as confidential or has
been determined to be confidential, the responsible EPA office provides
notice to each affected business of the type of information to be
disclosed and to whom it is to be disclosed. At the discretion of the
office, such notice may be given by notice published in the Federal
Register at least 10 days prior to disclosure, or by letter sent by
certified mail return receipt requested or telegram either of which must
be received by the affected business at least 10 days prior to
disclosure. However, no notice shall be required when EPA furnishes
business information to another Federal agency to perform a function on
behalf of EPA, including but not limited to--
(i) Disclosure to the Department of Justice for purposes of
investigation or prosecution of civil or criminal violations of Federal
law related to EPA activities;
(ii) Disclosure to the Department of Justice for purposes of
representing EPA in any matter; or
(iii) Disclosure to any Federal agency for purposes of performing an
EPA statutory function under an interagency agreement.
(4) EPA notifies the other agency of any unresolved business
confidentiality claim covering the information and of any determination
under this subpart that the information is entitled to confidential
treatment, and that further disclosure of the information may be a
violation of 18 U.S.C. 1905; and
(5) The other agency agrees in writing not to disclose further any
information designated as confidential unless--
(i) The other agency has statutory authority both to compel
production of the information and to make the proposed disclosure, and
the other agency has, prior to disclosure of the information to anyone
other than its officers and employees, furnished to each affected
business at least the same notice to which the affected business would
be entitled under this subpart;
(ii) The other agency has obtained the consent of each affected
business to the proposed disclosure; or
(iii) The other agency has obtained a written statement from the EPA
General Counsel or an EPA Regional Counsel that disclosure of the
information would be proper under this subpart.
(d) Court-ordered disclosure. EPA may disclose any business
information in any manner and to the extent ordered by a Federal court.
Where possible, and when not in violation of a specific directive from
the court, the EPA office disclosing information claimed as confidential
or determined to be confidential shall provide as much advance notice as
possible to each affected business of the type of information to be
disclosed and to whom it is to be disclosed, unless the affected
business has actual notice of the court order. At the discretion of the
office, subject to any restrictions by the court, such notice may be
given by notice in the Federal Register, letter sent by certified mail
return receipt requested, or telegram.
(e) Disclosure within EPA. An EPA office, officer, or employee may
disclose any business information to another
[[Page 49]]
EPA office, officer, or employee with an official need for the
information.
(f) Disclosure with consent of business. EPA may disclose any
business information to any person if EPA has obtained the prior consent
of each affected business to such disclosure.
(g) Record of disclosures to be maintained. Each EPA office which
discloses information to Congress, a committee or subcommittee of
Congress, the Comptroller General, or another Federal agency under the
authority of paragraph (b) or (c) of this section, shall maintain a
record of the fact of such disclosure for a period of not less than 36
months after such disclosure. Such a record, which may be in the form of
a log, shall show the name of the affected businesses, the date of
disclosure, the person or body to whom disclosure was made, and a
description of the information disclosed.
[41 FR 36902, Sept. 1, 1976, as amended at 43 FR 40000, Sept. 8, 1978;
50 FR 51661, Dec. 18, 1985]
Sec. 2.210 Nondisclosure for reasons other than business confidentiality or where disclosure is prohibited by other statute.
(a) Information which is not entitled to confidential treatment
under this subpart shall be made available to the public (using the
procedures set forth in Secs. 2.204 and 2.205) if its release is
requested under 5 U.S.C. 552, unless EPA determines (under subpart A of
this part) that, for reasons other than reasons of business
confidentiality, the information is exempt from mandatory disclosure and
cannot or should not be made available to the public. Any such
determination under subpart A shall be coordinated with actions taken
under this subpart for the purpose of avoiding delay in responding to
requests under 5 U.S.C. 552.
(b) Notwithstanding any other provision of this subpart, if any
statute not cited in this subpart appears to require EPA to give
confidential treatment to any business information for reasons of
business confidentiality, the matter shall be referred promptly to an
EPA legal office for resolution. Pending resolution, such information
shall be treated as if it were entitled to confidential treatment.
Sec. 2.211 Safeguarding of business information; penalty for wrongful disclosure.
(a) No EPA officer or employee may disclose, or use for his or her
private gain or advantage, any business information which came into his
or her possession, or to which he or she gained access, by virtue of his
or her official position or employment, except as authorized by this
subpart.
(b) Each EPA officer or employee who has custody or possession of
business information shall take appropriate measures to properly
safeguard such information and to protect against its improper
disclosure.
(c) Violation of paragraph (a) or (b) of this section shall
constitute grounds for dismissal, suspension, fine, or other adverse
personnel action. Willful violation of paragraph (a) of this section may
result in criminal prosecution under 18 U.S.C. 1905 or other applicable
statute.
(d) Each contractor or subcontractor with the United States
Government, and each employee of such contractor or subcontractor, who
is furnished business information by EPA under Secs. 2.301(h),
Sec. 2.302(h), 2.304(h), 2.305(h), 2.306(j), 2.307(h), 2.308(i), or
2.310(h) shall use or disclose that information only as permitted by the
contract or subcontract under which the information was furnished.
Contractors or subcontractors shall take steps to properly safeguard
business information including following any security procedures for
handling and safeguarding business information which are contained in
any manuals, procedures, regulations, or guidelines provided by EPA. Any
violation of this paragraph shall constitute grounds for suspension or
debarment of the contractor or subcontractor in question. A willful
violation of this paragraph may result in criminal prosecution.
[41 FR 36902, Sept. 1, 1976, as amended at 50 FR 51662, Dec. 18, 1985;
58 FR 461, Jan. 5, 1993]
Sec. 2.212 Establishment of control offices for categories of business information.
(a) The Administrator, by order, may establish one or more mutually
exclusive categories of business information,
[[Page 50]]
and may designate for each such category an EPA office (hereinafter
referred to as a control office) which shall have responsibility for
taking actions (other than actions required to be taken by an EPA legal
office) with respect to all information within such category.
(b) If a control office has been assigned responsibility for a
category of business information, no other EPA office, officer, or
employee may make available to the public (or otherwise disclose to
persons other than EPA officers and employees) any information in that
category without first obtaining the concurrence of the control office.
Requests under 5 U.S.C. 552 for release of such information shall be
referred to the control office.
(c) A control office shall take the actions and make the
determinations required by Sec. 2.204 with respect to all information in
any category for which the control office has been assigned
responsibility.
(d) A control office shall maintain a record of the following, with
respect to items of business information in categories for which it has
been assigned responsibility:
(1) Business confidentiality claims;
(2) Comments submitted in support of claims;
(3) Waivers and withdrawals of claims;
(4) Actions and determinations by EPA under this subpart;
(5) Actions by Federal courts; and
(6) Related information concerning business confidentiality.
Sec. 2.213 Designation by business of addressee for notices and inquiries.
(a) A business which wishes to designate a person or office as the
proper addressee of communications from EPA to the business under this
subpart may do so by furnishing in writing to the Freedom of Information
Officer (A-101), Environmental Protection Agency, 401 M St. SW.,
Washington, DC 20460, the following information: The name and address of
the business making the designation; the name, address, and telephone
number of the designated person or office; and a request that EPA
inquiries and communications (oral and written) under this subpart,
including inquiries and notices which require reply within deadlines if
the business is to avoid waiver of its rights under this subpart, be
furnished to the designee pursuant to this section. Only one person or
office may serve at any one time as a business's designee under this
subpart.
(b) If a business has named a designee under this section, the
following EPA inquiries and notices to the business shall be addressed
to the designee:
(1) Inquiries concerning a business's desire to assert a business
confidentiality claim, under Sec. 2.204(c)(2)(i)(A);
(2) Notices affording opportunity to substantiate confidentiality
claims, under Sec. 2.204(d)(1) and Sec. 2.204(e);
(3) Inquires concerning comments, under Sec. 2.205(b)(4);
(4) Notices of denial of confidential treatment and proposed
disclosure of information, under Sec. 2.205(f);
(5) Notices concerning shortened comment and/or waiting periods
under Sec. 2.205(g);
(6) Notices concerning modifications or overrulings of prior
determinations, under Sec. 2.205(h);
(7) Notices to affected businesses under Secs. 2.301(g) and 2.301(h)
and analogous provisions in Secs. 2.302, 2.303, 2.304, 2.305, 2.306,
2.307, and 2.308; and
(8) Notices to affected businesses under Sec. 2.209.
(c) The Freedom of Information Officer shall, as quickly as
possible, notify all EPA offices that may possess information submitted
by the business to EPA, the Regional Freedom of Information Offices, the
Office of General Counsel, and the offices of Regional Counsel of any
designation received under this section. Businesses making designations
under this section should bear in mind that several working days may be
required for dissemination of this information within EPA and that some
EPA offices may not receive notice of such designations.
[41 FR 36902, Sept. 1, 1976, as amended at 43 FR 40001, Sept. 8, 1978]
Sec. 2.214 Defense of Freedom of Information Act suits; participation by affected business.
(a) In making final confidentiality determinations under this
subpart, the EPA legal office relies to a large extent
[[Page 51]]
upon the information furnished by the affected business to substantiate
its claim of confidentiality. The EPA legal office may be unable to
verify the accuracy of much of the information submitted by the affected
business.
(b) If the EPA legal office makes a final confidentiality
determination under this subpart that certain business information is
entitled to confidential treatment, and EPA is sued by a requester under
the Freedom of Information Act for disclosure of that information, EPA
will:
(1) Notify each affected business of the suit within 10 days after
service of the complaint upon EPA;
(2) Where necessary to preparation of EPA's defense, call upon each
affected business to furnish assistance; and
(3) Not oppose a motion by any affected business to intervene as a
party to the suit under rule 24(b) of the Federal Rules of Civil
Procedure.
(c) EPA will defend its final confidentiality determination, but EPA
expects the affected business to cooperate to the fullest extent
possible in this defense.
[43 FR 40001, Sept. 8, 1978]
Sec. 2.215 Confidentiality agreements.
(a) No EPA officer, employee, contractor, or subcontractor shall
enter into any agreement with any affected business to keep business
information confidential unless such agreement is consistent with this
subpart. No EPA officer, employee, contractor, or subcontractor shall
promise any affected business that business information will be kept
confidential unless the promise is consistent with this subpart.
(b) If an EPA office has requested information from a State, local,
or Federal agency and the agency refuses to furnish the information to
EPA because the information is or may constitute confidential business
information, the EPA office may enter into an agreement with the agency
to keep the information confidential, notwithstanding the provisions of
this subpart. However, no such agreement shall be made unless the
General Counsel determines that the agreement is necessary and proper.
(c) To determine that an agreement proposed under paragraph (b) of
this section is necessary, the General Counsel must find:
(1) The EPA office requesting the information needs the information
to perform its functions;
(2) The agency will not furnish the information to EPA without an
agreement by EPA to keep the information confidential; and
(3) Either:
(i) EPA has no statutory power to compel submission of the
information directly from the affected business, or
(ii) While EPA has statutory power to compel submission of the
information directly from the affected business, compelling submission
of the information directly from the business would--
(A) Require time in excess of that available to the EPA office to
perform its necessary work with the information,
(B) Duplicate information already collected by the other agency and
overly burden the affected business, or
(C) Overly burden the resources of EPA.
(d) To determine that an agreement proposed under paragraph (b) of
this section is proper, the General Counsel must find that the agreement
states--
(1) The purpose for which the information is required by EPA;
(2) The conditions under which the agency will furnish the
information to EPA;
(3) The information subject to the agreement;
(4) That the agreement does not cover information acquired by EPA
from another source;
(5) The manner in which EPA will treat the information; and
(6) That EPA will treat the information in accordance with the
agreement subject to an order of a Federal court to disclose the
information.
(e) EPA will treat any information acquired pursuant to an agreement
under paragraph (b) of this section in accordance with the procedures of
this subpart except where the agreement specifies otherwise.
[43 FR 40001, Sept. 8, 1978]
[[Page 52]]
Secs. 2.216-2.300 [Reserved]
Sec. 2.301 Special rules governing certain information obtained under the Clean Air Act.
(a) Definitions. For the purpose of this section:
(1) Act means the Clean Air Act, as amended, 42 U.S.C. 7401 et seq.
(2)(i) Emission data means, with reference to any source of emission
of any substance into the air--
(A) Information necessary to determine the identity, amount,
frequency, concentration, or other characteristics (to the extent
related to air quality) of any emission which has been emitted by the
source (or of any pollutant resulting from any emission by the source),
or any combination of the foregoing;
(B) Information necessary to determine the identity, amount,
frequency, concentration, or other characteristics (to the extent
related to air quality) of the emissions which, under an applicable
standard or limitation, the source was authorized to emit (including, to
the extent necessary for such purposes, a description of the manner or
rate of operation of the source); and
(C) A general description of the location and/or nature of the
source to the extent necessary to identify the source and to distinguish
it from other sources (including, to the extent necessary for such
purposes, a description of the device, installation, or operation
constituting the source).
(ii) Notwithstanding paragraph (a)(2)(i) of this section, the
following information shall be considered to be emission data only to
the extent necessary to allow EPA to disclose publicly that a source is
(or is not) in compliance with an applicable standard or limitation, or
to allow EPA to demonstrate the feasibility, practicability, or
attainability (or lack thereof) of an existing or proposed standard or
limitation:
(A) Information concerning research, or the results of research, on
any project, method, device or installation (or any component thereof)
which was produced, developed, installed, and used only for research
purposes; and
(B) Information concerning any product, method, device, or
installation (or any component thereof) designed and intended to be
marketed or used commercially but not yet so marketed or used.
(3) Standard or limitation means any emission standard or limitation
established or publicly proposed pursuant to the Act or pursuant to any
regulation under the Act.
(4) Proceeding means any rulemaking, adjudication, or licensing
conducted by EPA under the Act or under regulations which implement the
Act, except for determinations under this subpart.
(5) Manufacturer has the meaning given it in section 216(1) of the
Act, 42 U.S.C. 7550(1).
(b) Applicability. (1) This section applies to business information
which was--
(i) Provided or obtained under section 114 of the Act, 42 U.S.C.
7414, by the owner or operator of any stationary source, for the purpose
(A) of developing or assisting in the development of any implementation
plan under section 110 or 111(d) of the Act, 42 U.S.C. 7410, 7411(d),
any standard of performance under section 111 of the Act, 42 U.S.C.
7411, or any emission standard under section 112 of the Act, 42 U.S.C.
7412, (B) of determining whether any person is in violation of any such
standard or any requirement of such a plan, or (C) of carrying out any
provision of the Act (except a provision of Part II of the Act with
respect to a manufacturer of new motor vehicles or new motor vehicle
engines);
(ii) Provided or obtained under section 208 of the Act, 42 U.S.C.
7542, for the purpose of enabling the Administrator to determine whether
a manufacturer has acted or is acting in compliance with the Act and
regulations under the Act, or provided or obtained under section 206(c)
of the Act, 42 U.S.C. 7525(c); or
(iii) Provided in response to a subpoena for the production of
papers, books, or documents issued under the authority of section 307(a)
of the Act, 42 U.S.C. 7607(a).
(2) Information will be considered to have been provided or obtained
under section 114 of the Act if it was provided in response to a request
by EPA made for any of the purposes stated in section 114, or if its
submission could have
[[Page 53]]
been required under section 114, regardless of whether section 114 was
cited as the authority for any request for the information, whether an
order to provide the information was issued under section 113(a) of the
Act, 42 U.S.C. 7413(a), whether an action was brought under section
113(b) of the Act, 42 U.S.C. 7413(b), or whether the information was
provided directly to EPA or through some third person.
(3) Information will be considered to have been provided or obtained
under section 208 of the Act if it was provided in response to a request
by EPA made for any of the purposes stated in section 208, or if its
submission could have been required under section 208, regardless of
whether section 208 was cited as the authority for any request for the
information, whether an action was brought under section 204 of the Act,
42 U.S.C. 7523, or whether the information was provided directly to EPA
or through some third person.
(4) Information will be considered to have been provided or obtained
under section 206(c) of the Act if it was provided in response to a
request by EPA made for any of the purposes stated in section 206(c), or
if its submission could have been required under section 206(c)
regardless of whether section 206(c) was cited as authority for any
request for the information, whether an action was brought under section
204 of the Act, 42 U.S.C. 7523, or whether the information was provided
directly to EPA or through some third person.
(5) Information will be considered to have been provided or obtained
under section 307(a) of the Act if it was provided in response to a
subpoena issued under section 307(a), or if its production could have
been required by subpoena under section 307(a), regardless of whether
section 307(a) was cited as the authority for any request for the
information, whether a subpoena was issued by EPA, whether a court
issued an order under section 307(a), or whether the information was
provided directly to EPA or through some third person.
(c) Basic rules which apply without change. Sections 2.201 through
2.207, Sec. 2.209 and Secs. 2.211 through 2.215 apply without change to
information to which this section applies.
(d) [Reserved]
(e) Substantive criteria for use in confidentiality determinations.
Section 2.208 applies to information to which this section applies,
except that information which is emission data, a standard or
limitation, or is collected pursuant to section 211(b)(2)(A) of the Act
is not eligible for confidential treatment. No information to which this
section applies is voluntarily submitted information.
(f) Availability of information not entitled to confidential
treatment. Section 2.210 does not apply to information to which this
section applies. Emission data, standards or limitations, and any other
information provided under section 114 or 208 of the Act which is
determined under this subpart not to be entitled to confidential
treatment, shall be available to the public notwithstanding any other
provision of this part. Emission data and standards or limitations
provided in response to a subpoena issued under section 307(a) of the
Act shall be available to the public notwithstanding any other provision
of this part. Information (other than emission data and standards or
limitations) provided in response to a subpoena issued under section
307(a) of the Act, which is determined under this subpart not to be
entitled to confidential treatment, shall be available to the public,
unless EPA determines that the information is exempt from mandatory
disclosure under 5 U.S.C. 552(b) for reasons other than reasons of
business confidentiality and cannot or should not be made available to
the public.
(g) Disclosure of information relevant to a proceeding. (1) Under
sections 114, 208 and 307 of the Act, any information to which this
section applies may be released by EPA because of the relevance of the
information to a proceeding, notwithstanding the fact that the
information otherwise might be entitled to confidential treatment under
this subpart. Release of information because of its relevance to a
proceeding shall be made only in accordance with this paragraph (g).
(2) In connection with any proceeding other than a proceeding
involving a decision by a presiding officer after an evidentiary or
adjudicatory hearing,
[[Page 54]]
information to which this section applies which may be entitled to
confidential treatment may be made available to the public under this
paragraph (g)(2). No information shall be made available to the public
under this paragraph (g)(2) until any affected business has been
informed that EPA is considering making the information available to the
public under this paragraph (g)(2) in connection with an identified
proceeding, and has afforded the business a reasonable period for
comment (such notice and opportunity to comment may be afforded in
connection with the notice prescribed by Sec. 2.204(d)(1) and
Sec. 2.204(e)). Information may be made available to the public under
this paragraph (g)(2) only if, after consideration of any timely
comments submitted by the business, the General Counsel determines that
the information is relevant to the subject of the proceeding and the EPA
office conducting the proceeding determines that the public interest
would be served by making the information available to the public. Any
affected business shall be given at least 5 days' notice by the General
Counsel prior to making the information available to the public.
(3) In connection with any proceeding involving a decision by a
presiding officer after an evidentiary or adjudicatory hearing,
information to which this section applies which may be entitled to
confidential treatment may be made available to the public, or to one or
more parties of record to the proceeding, upon EPA's initiative, under
this paragraph (g)(3). An EPA office proposing disclosure of information
under this paragraph (g)(3), shall so notify the presiding officer in
writing. Upon receipt of such a notification, the presiding officer
shall notify each affected business that disclosure under this paragraph
(g)(3) has been proposed, and shall afford each such business a period
for comment found by the presiding officer to be reasonable under the
circumstances. Information may be disclosed under this paragraph (g)(3)
only if, after consideration of any timely comments submitted by the
business, the EPA office determines in writing that, for reasons
directly associated with the conduct of the proceeding, the contemplated
disclosure would serve the public interest, and the presiding officer
determines in writing that the information is relevant to a matter in
controversy in the proceeding. The presiding officer may condition
disclosure of the information to a party of record on the making of such
protective arrangements and commitments as he finds to be warranted.
Disclosure to one or more parties of record, under protective
arrangements or commitments, shall not, of itself, affect the
eligibility of information for confidential treatment under the other
provisions of this subpart. Any affected business shall be given at
least 5 days notice by the presiding officer prior to making the
information available to the public or to one or more of the parties of
record to the proceeding.
(4) In connection with any proceeding involving a decision by a
presiding officer after an evidentiary or adjudicatory hearing,
information to which this section applies may be made available to one
or more parties of record to the proceeding, upon request of a party,
under this paragraph (g)(4). A party of record seeking disclosure of
information shall direct his request to the presiding officer. Upon
receipt of such a request, the presiding officer shall notify each
affected business that disclosure under this paragraph (g)(4) has been
requested, and shall afford each such business a period for comment
found by the presiding officer to be reasonable under the circumstances.
Information may be disclosed to a party of record under this paragraph
(g)(4) only if, after consideration of any timely comments submitted by
the business, the presiding officer determines in writing that (i) the
party of record has satisfactorily shown that with respect to a
significant matter which is in controversy in the proceeding, the
party's ability to participate effectively in the proceeding will be
significantly impaired unless the information is disclosed to him, and
(ii) any harm to an affected business that would result from the
disclosure is likely to be outweighed by the benefit to the proceeding
and to the public interest that would result from the disclosure. The
presiding officer may condition disclosure of the information to a party
of
[[Page 55]]
record on the making of such protective arrangements and commitments as
he finds to be warranted. Disclosure to one or more parties of record,
under protective arrangements or commitments, shall not, of itself,
affect the eligibility of information to confidential treatment under
the other provisions of this subpart. Any affected business shall be
given at least 5 days notice by the presiding officer prior to making
the information available to one or more of the parties of record to the
proceeding.
(h) Disclosure to authorized representatives. (1) Under sections
114, 208 and 307(a) of the Act, EPA possesses authority to disclose to
any authorized representative of the United States any information to
which this section applies, notwithstanding the fact that the
information might otherwise be entitled to confidential treatment under
this subpart. Such authority may be exercised only in accordance with
paragraph (h) (2) or (3) of this section.
(2)(i) A person under contract or subcontract to the United States
government to perform work in support of EPA in connection with the Act
or regulations which implement the Act may be considered an authorized
representative of the United States for purposes of this paragraph (h).
For purposes of this section, the term ``contract'' includes grants and
cooperative agreements under the Environmental Programs Assistance Act
of 1984 (Pub. L. 98-313), and the term ``contractor'' includes grantees
and cooperators under the Environmental Programs Assistance Act of 1984.
Subject to the limitations in this paragraph (h)(2), information to
which this section applies may be disclosed:
(A) To a contractor or subcontractor with EPA, if the EPA program
office managing the contract first determines in writing that such
disclosure is necessary in order that the contractor or subcontractor
may carry out the work required by the contract or subcontract; or
(B) To a contractor or subcontractor with an agency other than EPA,
if the EPA program office which provides the information to that agency,
contractor, or subcontractor first determines in writing, in
consultation with the General Counsel, that such disclosure is necessary
in order that the contractor or subcontractor may carry out the work
required by the contract or subcontract.
(ii) No information shall be disclosed under this paragraph (h)(2),
unless this contract or subcontract in question provides:
(A) That the contractor or subcontractor and the contractor's or
subcontractor's employees shall use the information only for the purpose
of carrying out the work required by the contract or subcontract, shall
refrain from disclosing the information to anyone other than EPA without
the prior written approval of each affected business or of an EPA legal
office and shall return to EPA all copies of the information (and any
abstracts or extracts therefrom) upon request by the EPA program office,
whenever the information is no longer required by the contractor or
subcontractor for the performance of the work required under the
contract or subcontract, or upon completion of the contract or
subcontract (where the information was provided to the contractor or
subcontractor by an agency other than EPA, the contractor may disclose
or return the information to that agency);
(B) That the contractor or subcontractor shall obtain a written
agreement to honor such terms of the contract or subcontract from each
of the contractor's or subcontractor's employees who will have access to
the information, before such employee is allowed such access; and
(C) That the contractor or subcontractor acknowledges and agrees
that the contract or subcontract provisions concerning the use and
disclosure of business information are included for the benefit of, and
shall be enforceable by, both the United States government and any
affected business having an interest in information concerning it
supplied to the contractor or subcontractor by the United States
government under the contract or subcontract.
(iii) No information shall be disclosed under this paragraph (h)(2)
until each affected business has been furnished notice of the
contemplated disclosure by the EPA program office and has
[[Page 56]]
been afforded a period found reasonable by that office (not less than 5
working days) to submit its comments. Such notice shall include a
description of the information to be disclosed, the identity of the
contractor or subcontractor, the contract or subcontract number, if any,
and the purposes to be served by the disclosure.
(iv) The EPA program office shall prepare a record of each
disclosure under this paragraph (h)(2), showing the contractor or
subcontractor, the contract or subcontract number, the information
disclosed, the date(s) of disclosure, and each affected business. The
EPA program office shall maintain the record of disclosure and the
determination of necessity prepared under paragraph (h)(2)(i) of this
section for a period of not less than 36 months after the date of the
disclosure.
(3) A State or local governmental agency which has duties or
responsibilities under the Act, or under regulations which implement the
Act, may be considered an authorized representative of the United States
for purposes of this paragraph (h). Information to which this section
applies may be furnished to such an agency at the agency's written
request, but only if--
(i) The agency has first furnished to the EPA office having custody
of the information a written opinion from the agency's chief legal
officer or counsel stating that under applicable State or local law the
agency has the authority to compel a business which possesses such
information to disclose it to the agency, or
(ii) Each affected business is informed of those disclosures under
this paragraph (h)(3) which pertain to it, and the agency has shown to
the satisfaction of an EPA legal office that the agency's use and
disclosure of such information will be governed by State or local law
and procedures which will provide adequate protection to the interests
of affected businesses.
[41 FR 36902, Sept. 1, 1976, as amended at 43 FR 40002, Sept. 8, 1978;
43 FR 42251, Sept. 20, 1978; 50 FR 51662, Dec. 18, 1985; 58 FR 461, Jan.
5, 1993; 58 FR 5061, Jan 19, 1993; 58 FR 7189, Feb. 5, 1993]
Sec. 2.302 Special rules governing certain information obtained under the Clean Water Act.
(a) Definitions. For the purposes of this section:
(1) Act means the Clean Water Act, as amended, 33 U.S.C. 1251 et
seq.
(2)(i) Effluent data means, with reference to any source of
discharge of any pollutant (as that term is defined in section 502(6) of
the Act, 33 U.S.C. 1362 (6))--
(A) Information necessary to determine the identity, amount,
frequency, concentration, temperature, or other characteristics (to the
extent related to water quality) of any pollutant which has been
discharged by the source (or of any pollutant resulting from any
discharge from the source), or any combination of the foregoing;
(B) Information necessary to determine the identity, amount,
frequency, concentration, temperature, or other characteristics (to the
extent related to water quality) of the pollutants which, under an
applicable standard or limitation, the source was authorized to
discharge (including, to the extent necessary for such purpose, a
description of the manner or rate of operation of the source); and
(C) A general description of the location and/or nature of the
source to the extent necessary to identify the source and to distinguish
it from other sources (including, to the extent necessary for such
purposes, a description of the device, installation, or operation
constituting the source).
(ii) Notwithstanding paragraph (a)(2)(i) of this section, the
following information shall be considered to be effluent data only to
the extent necessary to allow EPA to disclose publicly that a source is
(or is not) in compliance with an applicable standard or limitation, or
to allow EPA to demonstrate the feasibility, practicability, or
attainability (or lack thereof) of an existing or proposed standard or
limitation:
(A) Information concerning research, or the results of research, on
any product, method, device, or installation (or any component thereof)
which was produced, developed, installed, and used only for research
purposes; and
[[Page 57]]
(B) Information concerning any product, method, device, or
installation (or any component thereof) designed and intended to be
marketed or used commercially but not yet so marketed or used.
(3) Standard or limitation means any prohibition, any effluent
limitation, or any toxic, pre-treatment or new source performance
standard established or publicly proposed pursuant to the Act or
pursuant to regulations under the Act, including limitations or
prohibitions in a permit issued or proposed by EPA or by a State under
section 402 of the Act, 33 U.S.C. 1342.
(4) Proceeding means any rulemaking, adjudication, or licensing
conducted by EPA under the Act or under regulations which implement the
Act, except for determinations under this part.
(b) Applicability. (1) This section applies only to business
information--
(i) Provided to or obtained by EPA under section 308 of the Act, 33
U.S.C. 1318, by or from the owner or operator of any point source, for
the purpose of carrying out the objective of the Act (including but not
limited to developing or assisting in the development of any standard or
limitation under the Act, or determining whether any person is in
violation of any such standard or limitation); or
(ii) Provided to or obtained by EPA under section 509(a) of the Act,
33 U.S.C. 1369(a).
(2) Information will be considered to have been provided or obtained
under section 308 of the Act if it was provided in response to a request
by EPA made for any of the purposes stated in section 308, or if its
submission could have been required under section 308, regardless of
whether section 308 was cited as the authority for any request for the
information, whether an order to provide the information was issued
under section 309(a)(3) of the Act, 33 U.S.C. 1319(a)(3), whether a
civil action was brought under section 309(b) of the Act, 33 U.S.C.
1319(b), and whether the information was provided directly to EPA or
through some third person.
(3) Information will be considered to have been provided or obtained
under section 509(a) of the Act if it was provided in response to a
subpoena issued under section 509(a), or if its production could have
been required by subpoena under section 509(a), regardless of whether
section 509(a) was cited as the authority for any request for the
information, whether a subpoena was issued by EPA, whether a court
issued an order under section 307(a), or whether the information was
provided directly to EPA or through some third person.
(4) This section specifically does not apply to information obtained
under section 310(d) or 312(g)(3) of the Act, 33 U.S.C. 1320(d),
1322(g)(3).
(c) Basic rules which apply without change. Sections 2.201 through
2.207, 2.209, 2.211 through 2.215 apply without change to information to
which this section applies.
(d) [Reserved]
(e) Substantive criteria for use in confidentiality determinations.
Section 2.208 applies to information to which this section applies,
except that information which is effluent data or a standard or
limitation is not eligible for confidential treatment. No information to
which this section applies is voluntarily submitted information.
(f) Availability of information not entitled to confidential
treatment. Section 2.210 does not apply to information to which this
section applies. Effluent data, standards or limitations, and any other
information provided or obtained under section 308 of the Act which is
determined under this subpart not to be entitled to confidential
treatment, shall be available to the public notwithstanding any other
provision of this part. Effluent data and standards or limitations
provided in response to a subpoena issued under section 509(a) of the
Act shall be available to the public notwithstanding any other provision
of this part. Information (other than effluent data and standards or
limitations) provided in response to a subpoena issued under section
509(a) of the Act, which is determined under this subpart not to be
entitled to confidential treatment, shall be available to the public,
unless EPA determines that the information is exempt from mandatory
disclosure under 5 U.S.C. 552(b) for reasons other than reasons of
business confidentiality and cannot or should not be made available to
the public.
[[Page 58]]
(g) Disclosure of information relevant to a proceeding. (1) Under
sections 308 and 509(a) of the Act, any information to which this
section applies may be released by EPA because of the relevance of the
information to a proceeding, notwithstanding the fact that the
information otherwise might be entitled to confidential treatment under
this subpart. Release of information to which this section applies
because of its relevance to a proceeding shall be made only in
accordance with this paragraph (g).
(2)-(4) The provisions of Sec. 2.301(g) (2), (3), and (4) are
incorporated by reference as paragraphs (g) (2), (3), and (4),
respectively of this section.
(h) Disclosure to authorized representatives. (1) Under sections 308
and 509(a) of the Act, EPA possesses authority to disclose to any
authorized representative of the United States any information to which
this section applies, notwithstanding the fact that the information
might otherwise be entitled to confidential treatment under this
subpart. Such authority may be exercised only in accordance with
paragraph (h)(2) or (h)(3) of this section.
(2)-(3) The provisions of Sec. 2.301(h) (2) and (3) are incorporated
by reference as paragraphs (h) (2) and (3), respectively, of this
section.
[41 FR 36902, Sept. 1, 1976, as amended at 43 FR 40003, Sept. 8, 1978]
Sec. 2.303 Special rules governing certain information obtained under the Noise Control Act of 1972.
(a) Definitions. For the purposes of this section:
(1) Act means the Noise Control Act of 1972, 42 U.S.C. 4901 et seq.
(2) Manufacturer has the meaning given it in 42 U.S.C. 4902(6).
(3) Product has the meaning given it in 42 U.S.C. 4902(3).
(4) Proceeding means any rulemaking, adjudication, or licensing
conducted by EPA under the Act or under regulations which implement the
Act, except for determinations under this subpart.
(b) Applicability. This section applies only to information provided
to or obtained by EPA under section 13 of the Act, 42 U.S.C. 4912, by or
from any manufacturer of any product to which regulations under section
6 or 8 of the Act (42 U.S.C. 4905, 4907) apply. Information will be
deemed to have been provided or obtained under section 13 of the Act, if
it was provided in response to a request by EPA made for the purpose of
enabling EPA to determine whether the manufacturer has acted or is
acting in compliance with the Act, or if its submission could have been
required under section 13 of the Act, regardless of whether section 13
was cited as authority for the request, whether an order to provide such
information was issued under section 11(d) of the Act, 42 U.S.C.
4910(d), and whether the information was provided directly to EPA by the
manufacturer or through some third person.
(c) Basic rules which apply without change. Sections 2.201 through
2.207 and 2.209 through 2.215 apply without change to information to
which this section applies.
(d) [Reserved]
(e) Substantive criteria for use in confidentiality determinations.
Section 2.208 applies without change to information to which this
section applies; however, no information to which this section applies
is voluntarily submitted information.
(f) [Reserved]
(g) Disclosure of information relevant to a proceeding. (1) Under
section 13 of the Act, any information to which this section applies may
be released by EPA because of its relevance to a matter in controversy
in a proceeding, notwithstanding the fact that the information otherwise
might be entitled to confidential treatment under this subpart. Release
of information because of its relevance to a proceeding shall be made
only in accordance with this paragraph (g).
(2)-(4) The provisions of Sec. 2.301(g) (2), (3), and (4) are
incorporated by reference as paragraphs (g) (2), (3), and (4),
respectively, of this section.
[41 FR 36902, Sept. 1, 1976, as amended at 43 FR 40003, Sept. 8, 1978]
Sec. 2.304 Special rules governing certain information obtained under the Safe Drinking Water Act.
(a) Definitions. For the purposes of this section:
(1) Act means the Safe Drinking Water Act, 42 U.S.C. 300f et seq.
[[Page 59]]
(2) Contaminant means any physical, chemical, biological, or
radiological substance or matter in water.
(3) Proceeding means any rulemaking, adjudication, or licensing
process conducted by EPA under the Act or under regulations which
implement the Act, except for any determination under this part.
(b) Applicability. (1) This section applies only to information--
(i) Which was provided to or obtained by EPA pursuant to a
requirement of a regulation which was issued by EPA under the Act for
the purpose of--
(A) Assisting the Administrator in establishing regulations under
the Act;
(B) Determining whether the person providing the information has
acted or is acting in compliance with the Act; or
(C) Administering any program of financial assistance under the Act;
and
(ii) Which was provided by a person--
(A) Who is a supplier of water, as defined in section 1401(5) of the
Act, 42 U.S.C. 300f(5);
(B) Who is or may be subject to a primary drinking water regulation
under section 1412 of the Act, 42 U.S.C. 300g-1;
(C) Who is or may be subject to an applicable underground injection
control program, as defined in section 1422(d) of the Act, 42
U.S.C.300h-1(d);
(D) Who is or may be subject to the permit requirements of section
1424(b) of the Act, 42 U.S.C. 300h-3(b);
(E) Who is or may be subject to an order issued under section
1441(c) of the Act, 42 U.S.C. 300j(c); or
(F) Who is a grantee, as defined in section 1445(e) of the Act, 42
U.S.C. 300j-4(e).
(2) This section applies to any information which is described by
paragraph (b)(1) of this section if it was provided in response to a
request by EPA or its authorized representative (or by a State agency
administering any program under the Act) made for any purpose stated in
paragraph (b)(1) of this section, or if its submission could have been
required under section 1445 of the Act, 42 U.S.C. 300j-4, regardless of
whether such section was cited in any request for the information, or
whether the information was provided directly to EPA or through some
third person.
(c) Basic rules which apply without change. Sections 2.201 through
2.207, 2.209, and 2.211 through 2.215 apply without change to
information to which this section applies.
(d) [Reserved]
(e) Substantive criteria for use in confidentiality determinations.
Section 2.208 applies to information to which this section applies,
except that information which deals with the existence, absence, or
level of contaminants in drinking water is not eligible for confidential
treatment. No information to which this section applies is voluntarily
submitted information.
(f) Nondisclosure for reasons other than business confidentiality or
where disclosure is prohibited by other statute. Section 2.210 applies
to information to which this section applies, except that information
which deals with the existence, absence, or level of contaminants in
drinking water shall be available to the public notwithstanding any
other provision of this part.
(g) Disclosure of information relevant to a proceeding. (1) Under
section 1445(d) of the Act, any information to which this section
applies may be released by EPA because of the relevance of the
information to a proceeding, notwithstanding the fact that the
information otherwise might be entitled to confidential treatment under
this subpart. Release of information to which this section applies
because of its relevance to a proceeding shall be made only in
accordance with this paragraph (g).
(2)-(4) The provisions of Sec. 2.301(g) (2), (3), (4) are
incorporated by reference as paragraphs (g) (2), (3), and (4),
respectively, of this section.
(h) Disclosure to authorized representatives. (1) Under section
1445(d) of the Act, EPA possesses authority to disclose to any
authorized representative of the United States any information to which
this section applies, notwithstanding the fact that the information
otherwise might be entitled to confidential treatment under this
subpart. Such authority may be exercised only in accordance with
paragraph (h)(2) or (h)(3) of this section.
(2)-(3) The provisions of Sec. 2.301(h) (2) and (3) are incorporated
by reference as
[[Page 60]]
paragraphs (h) (2) and (3), respectively, of this section.
[41 FR 36902, Sept. 1, 1976, as amended at 43 FR 40003, Sept. 8, 1978]
Sec. 2.305 Special rules governing certain information obtained under the Solid Waste Disposal Act, as amended.
(a) Definitions. For purposes of this section:
(1) Act means the Solid Waste Disposal Act, as amended, including
amendments made by the Resource Conservation and Recovery Act of 1976,
as amended, 42 U.S.C. 6901 et seq.
(2) Person has the meaning given it in section 1004(15) of the Act,
42 U.S.C. 6903(15).
(3) Hazardous waste has the meaning given it in section 1004(5) of
the Act, 42 U.S.C. 6903(5).
(4) Proceeding means any rulemaking, adjudication, or licensing
conducted by EPA under the Act or under regulations which implement the
Act including the issuance of administrative orders and the approval or
disapproval of plans (e.g. closure plans) submitted by persons subject
to regulation under the Act, but not including determinations under this
subpart.
(b) Applicability. This section applies to information provided to
or obtained by EPA under section 3001(b)(3)(B), 3007, or 9005 of the
Act, 42 U.S.C 6921(b)(3)(B), 6927, or 6995. Information will be
considered to have been provided or obtained under sections
3001(b)(3)(B), 3007, or 9005 of the Act if it was provided in response
to a request from EDA made for any of the purposes stated in the Act or
if its submission could have been required under those provisions of the
Act regardless of whether a specific section was cited as the authority
for any request for the information or whether the information was
provide directly to EPA or through some third person.
(c) Basic rules which apply without change. Sections 2.201 through
2.207 and 2.209 through 2.215 apply without change to information to
which this section applies.
(d) [Reserved]
(e) Substantive criteria for use in confidentiality determinations.
Section 2.208 applies without change to information to which this
section applies; however, no information to which this section applies
is voluntarily submitted information.
(f) [Reserved]
(g) Disclosure of information relevant in a proceeding. (1) Under
sections 3007(b) and 9005(b) of the Act (42 U.S.C. 6927(b) and 6995(b)),
any information to which this section applies may be disclosed by EPA
because of the relevance of the information in a proceeding under the
Act, notwithstanding the fact that the information otherwise might be
entitled to confidential treatment under this subpart. Disclosure of
information to which this section applies because of its relevance in a
proceeding shall be made only in accordance with this paragraph (g).
(2)-(4) The provisions of Sec. 2.301(g) (2), (3), and (4) are
incorporated by reference as paragraphs (g) (2), (3), and (4),
respectively, of this section.
(h) Disclosure to authorized representatives. (1) Under sections
3001(b)(3)(B), 3007(b), and 9005(b) of the Act (42 U.S.C. 6921(b)(3)(B),
6927(b), and 6995(b)), EPA possesses authority to disclose to any
authorized representative of the United States any information to which
this section applies, notwithstanding the fact that the information
might otherwise be entitled to confidential treatment under this
subpart. Such authority may be exercised only in accordance with
paragraph (h)(2) or (h)(3) of this section.
(2)-(3) The provisions of Sec. 2.301(h) (2) and (3) are incorporated
by reference as paragraphs (h) (2) and (3), respectively, of this
section.
(4) At the time any information is furnished to a contractor,
subcontractor, or State or local government agency under this paragraph
(h), the EPA office furnishing the information to the contractor,
subcontractor, or State or local government agency shall notify the
contractor, subcontractor, or State or local government agency that the
information may be entitled to confidential treatment and that any
knowing and willful disclosure of the information may subject the
contractor, subcontractor, or State or local government agency and its
employees to penalties in section 3001(b)(3)(B), 3007(b)(2), or
9005(b)(1) of
[[Page 61]]
the Act (42 U.S.C. 6921(b)(3)(B), 6927(b), or 6995(b)).
[43 FR 40003, Sept. 8, 1978, as amended at 50 FR 51662, Dec. 18, 1985]
Sec. 2.306 Special rules governing certain information obtained under the Toxic Substances Control Act.
(a) Definitions. For the purposes of this section:
(1) Act means the Toxic Substances Control Act, 15 U.S.C. 2601 et
seq.
(2) Chemical substance has the meaning given it in section 3(2) of
the Act, 15 U.S.C. 2602(2).
(3)(i) Health and safety data means the information described in
paragraphs (a)(3)(i) (A), (B), and (C) of this section with respect to
any chemical substance or mixture offered for commercial distribution
(including for test marketing purposes and for use in research and
development), any chemical substance included on the inventory of
chemical substances under section 8 of the Act (15 U.S.C. 2607), or any
chemical substance or mixture for which testing is required under
section 4 of the Act (15 U.S.C. 2603) or for which notification is
required under section 5 of the Act (15 U.S.C. 2604).
(A) Any study of any effect of a chemical substance or mixture on
health, on the environment, or on both, including underlying data and
epidemiological studies; studies of occupational exposure to a chemical
substance or mixture; and toxicological, clinical, and ecological
studies of a chemical substance or mixture;
(B) Any test performed under the Act; and
(C) Any data reported to, or otherwise obtained by, EPA from a study
described in paragraph (a)(3)(i)(A) of this section or a test described
in paragraph (a)(3)(i)(B) of this section.
(ii) Notwithstanding paragraph (a)(3)(i) of this section, no
information shall be considered to be health and safety data if
disclosure of the information would--
(A) In the case of a chemical substance or mixture, disclose
processes used in the manufacturing or processing the chemical substance
or mixture or,
(B) In the case of a mixture, disclose the portion of the mixture
comprised by any of the chemical substances in the mixture.
(4) [Reserved]
(5) Mixture has the meaning given it in section 3(8) of the Act, 15
U.S.C. 2602(8).
(6) Proceeding means any rulemaking, adjudication, or licensing
conducted by EPA under the Act or under regulations which implement the
Act, except for determinations under this subpart.
(b) Applicability. This section applies to all information submitted
to EPA for the purpose of satisfying some requirement or condition of
the Act or of regulations which implement the Act, including information
originally submitted to EPA for some other purpose and either relied
upon to avoid some requirement or condition of the Act or incorporated
into a submission in order to satisfy some requirement or condition of
the Act or of regulations which implement the Act. Information will be
considered to have been provided under the Act if the information could
have been obtained under authority of the Act, whether the Act was cited
as authority or not, and whether the information was provided directly
to EPA or through some third person.
(c) Basic rules which apply without change. Sections 2.201 through
2.203, 2.206, 2.207, and 2.210 through 2.215 apply without change to
information to which this section applies.
(d) Initial action by EPA office. Section 2.204 applies to
information to which this section applies, except that the provisions of
paragraph (e)(3) of this section regarding the time allowed for seeking
judicial review shall be reflected in any notice furnished to a business
under Sec. 2.204(d)(2).
(e) Final confidentiality determination by EPA legal office. Section
2.205 applies to information to which this section applies, except
that--
(1) Notwithstanding Sec. 2.205(i), the General Counsel (or his
designee), rather than the regional counsel, shall make the
determinations and take the actions required by Sec. 2.205;
(2) In addition to the statement prescribed by the second sentence
of Sec. 2.205(f)(2), the notice of denial of a business confidentiality
claim shall state that under section 20(a) of the Act, 15 U.S.C. 2619,
the business may
[[Page 62]]
commence an action in an appropriate Federal district court to prevent
disclosure.
(3) The following sentence is substituted for the third sentence of
Sec. 2.205(f)(2): ``With respect to EPA's implementation of the
determination, the notice shall state that (subject to Sec. 2.210) EPA
will make the information available to the public on the thirty-first
(31st) calendar day after the date of the business' receipt of the
written notice (or on such later date as is established in lieu thereof
under paragraph (f)(3) of this section), unless the EPA legal office has
first been notified of the business' commencement of an action in a
Federal court to obtain judicial review of the determination and to
obtain preliminary injunctive relief against disclosure.''; and
(4) Notwithstanding Sec. 2.205(g), the 31 calendar day period
prescribed by Sec. 2.205(f)(2), as modified by paragraph (e)(3) of this
section, shall not be shortened without the consent of the business.
(f) [Reserved]
(g) Substantive criteria for use in confidentiality determinations.
Section 2.208 applies without change to information to which this
section applies, except that health and safety data are not eligible for
confidential treatment. No information to which this section applies is
voluntarily submitted information.
(h) Disclosure in special circumstances. Section 2.209 applies to
information to which this section applies, except that the following two
additional provisions apply to Sec. 2.209(c):
(1) The official purpose for which the information is needed must be
in connection with the agency's duties under any law for protection of
health or the environment or for specific law enforcement purposes; and
(2) EPA notifies the other agency that the information was acquired
under authority of the Act and that any knowing disclosure of the
information may subject the officers and employees of the other agency
to the penalties in section 14(d) of the Act (15 U.S.C. 2613(d)).
(i) Disclosure of information relevant in a proceeding. (1) Under
section 14(a)(4) of the Act (15 U.S.C. 2613(a)(4)), any information to
which this section applies may be disclosed by EPA when the information
is relevant in a proceeding under the Act, notwithstanding the fact that
the information otherwise might be entitled to confidential treatment
under this subpart. However, any such disclosure shall be made in a
manner that preserves the confidentiality of the information to the
extent practicable without impairing the proceeding. Disclosure of
information to which this section applies because of its relevance in a
proceeding shall be made only in accordance with this paragraph (i).
(2)-(4) The provisions of Sec. 2.301(g) (2), (3), and (4) are
incorporated by reference as paragraphs (i) (2), (3), and (4),
respectively, of this section.
(j) Disclosure of information to contractors and subcontractors. (1)
Under section 14(a)(2) of the Act (15 U.S.C. 2613(a)(2)), any
information to which this section applies may be disclosed by EPA to a
contractor or subcontractor of the United States performing work under
the Act, notwithstanding the fact that the information otherwise might
be entitled to confidential treatment under this subpart. Subject to the
limitations in this paragraph (j), information to which this section
applies may be disclosed:
(i) To a contractor or subcontractor with EPA, if the EPA program
office managing the contract first determines in writing that such
disclosure is necessary for the satisfactory performance by the
contractor or subcontractor of the contract or subcontract; or
(ii) To a contractor or subcontractor with an agency other than EPA,
if the EPA program office which provides the information to that agency,
contractor, or subcontractor first determines in writing, in
consultation with the General Counsel, that such disclosure is necessary
for the satisfactory performance by the contractor or subcontractor of
the contract or subcontract.
(2)-(4) The provisions of Sec. 2.301(h)(2) (ii), (iii), and (iv) are
incorporated by reference as paragraphs (j) (2), (3), and (4),
respectively, of this section.
(5) At the time any information is furnished to a contractor or
subcontractor under this paragraph (j), the EPA office furnishing the
information
[[Page 63]]
to the contractor or subcontractor shall notify the contractor or
subcontractor that the information was acquired under authority of the
Act and that any knowing disclosure of the information may subject the
contractor or subcontractor and its employees to the penalties in
section 14(d) of the Act (15 U.S.C. 2613(d)).
(k) Disclosure of information when necessary to protect health or
the environment against an unreasonable risk of injury. (1) Under
section 14(a)(3) of the Act (15 U.S.C 2613(a)(3)), any information to
which this section applies may be disclosed by EPA when disclosure is
necessary to protect health or the environment against an unreasonable
risk of injury to health or the environment. However, any disclosure
shall be made in a manner that preserves the confidentiality of the
information to the extent not inconsistent with protecting health or the
environment against the unreasonable risk of injury. Disclosure of
information to which this section applies because of the need to protect
health or the environment against an unreasonable risk of injury shall
be made only in accordance with this paragraph (k).
(2) If any EPA office determines that there is an unreasonable risk
of injury to health or the environment and that to protect health or the
environment against the unreasonable risk of injury it is necessary to
disclose information to which this section applies that otherwise might
be entitled to confidential treatment under this subpart, the EPA office
shall notify the General Counsel in writing of the nature of the
unreasonable risk of injury, the extent of the disclosure proposed, how
the proposed disclosure will serve to protect health or the environment
against the unreasonable risk of injury, and the proposed date of
disclosure. Such notification shall be made as soon as practicable after
discovery of the unreasonable risk of injury. If the EPA office
determines that the risk of injury is so imminent that it is
impracticable to furnish written notification to the General Counsel,
the EPA office shall notify the General Counsel orally.
(3) Upon receipt of notification under paragraph (k)(2) of this
section, the General Counsel shall make a determination in writing
whether disclosure of information to which this section applies that
otherwise might be entitled to confidential treatment is necessary to
protect health or the environment against an unreasonable risk of
injury. The General Counsel shall also determine the extent of
disclosure necessary to protect against the unreasonable risk of injury
as well as when the disclosure must be made to protect against the
unreasonable risk of injury.
(4) If the General Counsel determines that disclosure of information
to which this section applies that otherwise might be entitled to
confidential treatment is necessary to protect health or the environment
against an unreasonable risk of injury, the General Counsel shall
furnish notice to each affected business of the contemplated disclosure
and of the General Counsel's determination. Such notice shall be made in
writing by certified mail, return receipt requested, at least 15 days
before the disclosure is to be made. The notice shall state the date
upon which disclosure will be made. However, if the General Counsel
determines that the risk of injury is so imminent that it is
impracticable to furnish such notice 15 days before the proposed date of
disclosure, the General Counsel may provide notice by means that will
provide receipt of the notice by the affected business at least 24 hours
before the disclosure is to be made. This may be done by telegram,
telephone, or other reasonably rapid means.
[43 FR 40003, Sept. 8, 1978, as amended at 44 FR 17674, Mar. 23, 1979;
58 FR 462, Jan. 5, 1993]
Sec. 2.307 Special rules governing certain information obtained under the Federal Insecticide, Fungicide and Rodenticide Act.
(a) Definitions. For the purposes of this section;
(1) Act means the Federal Insecticide, Fungicide and Rodenticide
Act, as amended, 7 U.S.C. 136 et seq., and its predecessor, 7 U.S.C. 135
et seq.
(2) Applicant means any person who has submitted to EPA (or to a
predecessor agency with responsibility for administering the Act) a
registration
[[Page 64]]
statement or application for registration under the Act of a pesticide
or of an establishment.
(3) Registrant means any person who has obtained registration under
the Act of a pesticide or of an establishment.
(b) Applicability. This section applies to all information submitted
to EPA by an applicant or registrant for the purpose of satisfying some
requirement or condition of the Act or of regulations which implement
the Act, including information originally submitted to EPA for some
other purpose but incorporated by the applicant or registrant into a
submission in order to satisfy some requirement or condition of the Act
or of regulations which implement the Act. This section does not apply
to information supplied to EPA by a petitioner in support of a petition
for a tolerance under 21 U.S.C. 346a(d), unless the information is also
described by the first sentence of this paragraph.
(c) Basic rules which apply without change. Sections 2.201 through
2.203, 2.206, 2.207, and 2.210 through 2.215 apply without change to
information to which this section applies.
(d) Initial action by EPA office. Section 2.204 applies to
information to which this section applies, except that the provisions of
paragraph (e) of this section regarding the time allowed for seeking
judicial review shall be reflected in any notice furnished to a business
under Sec. 2.204(d)(2).
(e) Final confidentiality determination by EPA legal office. Section
2.205 applies to information to which this section applies, except
that--
(1) Notwithstanding Sec. 2.205(i), the General Counsel (or his
designee), rather than the Regional Counsel, shall make the
determinations and take the actions required by Sec. 2.205;
(2) In addition to the statement prescribed by the second sentence
of Sec. 2.205(f)(2), the notice of denial of a business confidentiality
claim shall state that under section 10(c) of the Act, 7 U.S.C. 136h(c),
the business may commence an action in an appropriate Federal district
court for a declaratory judgment;
(3) The following sentence is substituted for the third sentence of
Sec. 2.205(f)(2): ``With respect to EPA's implementation of the
determination, the notice shall state that (subject to Sec. 2.210) EPA
will make the information available to the public on the thirty-first
(31st) calendar day after the date of the business's receipt of the
written notice (or on such later date as is established in lieu thereof
under paragraph (f)(3) of this section), unless the EPA legal office has
first been notified of the business's commencement of an action in a
Federal court to obtain judicial review of the determination or to
obtain a declaratory judgment under section 10(c) of the Act and to
obtain preliminary injunctive relief against disclosure.''; and
(4) Notwithstanding Sec. 2.205(g), the 31 calendar day period
prescribed by Sec. 2.205(f)(2), as modified by paragraph (e)(3) of this
section, shall not be shortened without the consent of the business.
(f) [Reserved]
(g) Substantive criteria for use in confidentiality determinations.
Section 2.208 applies without change to information to which this
section applies; however, no information to which this section applies
is voluntarily submitted information.
(h) Disclosure in special circumstances. (1) Section 2.209 applies
without change to information to which this section applies. In
addition, under section 12(a)(2)(D) of the Act, 7 U.S.C. 136j(a)(2)(D),
EPA possesses authority to disclose any information to which this
section applies to physicians, pharmacists, and other qualified persons
needing such information for the performance of their duties,
notwithstanding the fact that the information might otherwise be
entitled to confidential treatment under this subpart. Such authority
under section 12(a)(2)(D) of the Act may be exercised only in accordance
with paragraph (h)(2) or (h)(3) of this section.
(2) Information to which this section applies may be disclosed
(notwithstanding the fact that it might otherwise be entitled to
confidential treatment under this subpart) to physicians, pharmacists,
hospitals, veterinarians, law enforcement personnel, or governmental
agencies with responsibilities for protection of public health, and to
[[Page 65]]
employees of any such persons or agencies, or to other qualified
persons, when and to the extent that disclosure is necessary in order to
treat illness or injury or to prevent imminent harm to persons,
property, or the environment, in the opinion of the Administrator or his
designee.
(3) Information to which this section applies may be disclosed
(notwithstanding the fact that it otherwise might be entitled to
confidential treatment under this subpart) to a person under contract to
EPA to perform work for EPA in connection with the Act or regulations
which implement the Act, if the EPA program office managing the contract
first determines in writing that such disclosure is necessary in order
that the contractor may carry out the work required by the contract. Any
such disclosure to a contractor shall be made only in accordance with
the procedure and requirements of Sec. 2.301(h)(2) (ii) through (iv).
(4) Information to which this section applies, and which relates to
formulas of products, may be disclosed at any public hearing or in
findings of fact issued by the Administrator, to the extent and in the
manner authorized by the Administrator or his designee.
[41 FR 36902, Sept. 1, 1976, as amended at 43 FR 40005, Sept. 8, 1978]
Sec. 2.308 Special rules governing certain information obtained under the Federal Food, Drug and Cosmetic Act.
(a) Definitions. For the purposes of this section:
(1) Act means the Federal Food, Drug and Cosmetic Act, as amended,
21 U.S.C. 301 et seq.
(2) Petition means a petition for the issuance of a regulation
establishing a tolerance for a pesticide chemical or exempting the
pesticide chemical from the necessity of a tolerance, pursuant to
section 408(d) of the Act, 21 U.S.C. 346a(d).
(3) Petitioner means a person who has submitted a petition to EPA
(or to a predecessor agency).
(b) Applicability. (1) This section applies only to business
information submitted to EPA (or to an advisory committee established
under the Act) by a petitioner, solely in support of a petition which
has not been acted on by the publication by EPA of a regulation
establishing a tolerance for a pesticide chemical or exempting the
pesticide chemical from the necessity of a tolerance, as provided in
section 408(d) (2) or (3) of the Act, 21 U.S.C. 346a(d) (2) or (3).
(2) Section 2.307, rather than this section, applies to information
described by the first sentence of Sec. 2.307(b) (material incorporated
into submissions in order to satisfy the requirements of the Federal
Insecticide, Fungicide and Rodenticide Act, as amended), even though
such information was originally submitted by a petitioner in support of
a petition.
(3) This section does not apply to information gathered by EPA under
a proceeding initiated by EPA to establish a tolerance under section
408(e) of the Act, 21 U.S.C. 346a(e).
(c) Basic rules which apply without change. Sections 2.201, 2.202,
2.206, 2.207, and 2.210 through 2.215 apply without change to
information to which this section applies.
(d) Effect of submission of information without claim. Section 2.203
(a) and (b) apply without change to information to which this section
applies. Section 2.203(c), however, does not apply to information to
which this section applies. A petitioner's failure to assert a claim
when initially submitting a petition shall not constitute a waiver of
any claim the petitioner may have.
(e) Initial action by EPA office. Section 2.204 applies to
information to which this section applies, except that--
(1) Unless the EPA office has on file a written waiver of a
petitioner's claim, a petitioner shall be regarded as an affected
business, a petition shall be treated as if it were covered by a
business confidentiality claim, and an EPA office acting under
Sec. 2.204(d) shall determine that the information in the petition is or
may be entitled to confidential treatment and shall take action in
accordance with Sec. 2.204(d)(1);
(2) In addition to other required provisions of any notice furnished
to a petitioner under Sec. 2.204(e), such notice shall state that--
(i) Section 408(f) of the Act, 21 U.S.C. 346a(f), affords absolute
confidentiality
[[Page 66]]
to information to which this section applies, but after publication by
EPA of a regulation establishing a tolerance (or exempting the pesticide
chemical from the necessity of a tolerance) neither the Act nor this
section affords any protection to the information;
(ii) Information submitted in support of a petition which is also
incorporated into a submission in order to satisfy a requirement or
condition of the Federal Insecticide, Fungicide and Rodenticide Act, as
amended, 7 U.S.C. 136 et seq., is regarded by EPA as being governed,
with respect to business confidentiality, by Sec. 2.307 rather than by
this section;
(iii) Although it appears that this section may apply to the
information at this time, EPA is presently engaged in determining
whether for any reason the information is entitled to confidential
treatment or will be entitled to such treatment if and when this section
no longer applies to the information; and
(iv) Information determined by EPA to be covered by this section
will not be disclosed for as long as this section continues to apply,
but will be made available to the public thereafter (subject to
Sec. 2.210) unless the business furnishes timely comments in response to
the notice.
(f) Final confidentiality determination by EPA legal office. Section
2.205 applies to information to which this section applies, except
that--
(1) Notwithstanding Sec. 2.205(i), the General Counsel or his
designee, rather than the Regional counsel, shall in all cases make the
determinations and take the actions required by Sec. 2.205;
(2) In addition to the circumstances mentioned in Sec. 2.205(f)(1),
notice in the form prescribed by Sec. 2.205(f)(2) shall be furnished to
each affected business whenever information is found to be entitled to
confidential treatment under section 408(f) of the Act but not otherwise
entitled to confidential treatment. With respect to such cases, the
following sentences shall be substituted for the third sentence of
Sec. 2.205(f)(2): ``With respect to EPA's implementation of the
determination, the notice shall state that (subject to Sec. 2.210) EPA
will make the information available to the public on the thirty-first
(31st) calendar day after the business's receipt of the written notice
(or on such later date as is established in lieu thereof under paragraph
(f)(3) of this section), unless the EPA legal office has first been
notified of the business's commencement of an action in a Federal court
to obtain judicial review of the determination and to obtain preliminary
injunctive relief against disclosure; provided, that the information
will not be made available to the public for so long as it is entitled
to confidential treatment under section 408(f) of the Federal Food, Drug
and Cosmetic Act, 21 U.S.C. 346a(f).''; and
(3) Notwithstanding Sec. 2.205(g), the 31 calendar day period
prescribed by Sec. 2.205(f)(2), as modified by paragraph (f)(2) of this
section, shall not be shortened without the consent of the business.
(g) [Reserved]
(h) Substantive criteria for use in confidentiality determinations.
Section 2.208 does not apply to information to which this section
applies. Such information shall be determined to be entitled to
confidential treatment for so long as this section continues to apply to
it.
(i) Disclosure in special circumstances. (1) Section 2.209 applies
to information to which this section applies. In addition, under Section
408(f) of the Act, 21 U.S.C. 346a(f), EPA is authorized to disclose the
information to other persons. Such authority under section 408(f) of the
Act may be exercised only in accordance with paragraph (i)(2) or (i)(3)
of this section.
(2) Information to which this section applies may be disclosed
(notwithstanding the fact that it otherwise might be entitled to
confidential treatment under this subpart) to a person under contract to
EPA to perform work for EPA in connection with the Act, with the Federal
Insecticide, Fungicide, and Rodenticide Act, as amended, or regulations
which implement either such Act, if the EPA program office managing the
contract first determines in writing that such disclosure is necessary
in order that the contractor may carry out the work required by the
contract. Any such disclosure to a
[[Page 67]]
contractor shall be made only in accordance with the procedures and
requirements of Sec. 2.301(h)(2) (ii) through (iv).
(3) Information to which this section applies may be disclosed by
EPA to an advisory committee in accordance with section 408(d) of the
Act, 21 U.S.C. 346a(d).
[41 FR 36902, Sept. 1, 1976, as amended at 43 FR 40005, Sept. 8, 1978]
Sec. 2.309 Special rules governing certain information obtained under the Marine Protection, Research and Sanctuaries Act of 1972.
(a) Definitions. For the purposes of this section:
(1) Act means the Marine Protection, Research and Sanctuaries Act of
1972, 33 U.S.C. 1401 et seq.
(2) Permit means any permit applied for or granted under the Act.
(3) Application means an application for a permit.
(b) Applicability. This section applies to all information provided
to or obtained by EPA as a part of any application or in connection with
any permit.
(c) Basic rules which apply without change. Sections 2.201 through
2.207 and 2.209 through 2.215 apply without change to information to
which this section applies.
(d) Substantive criteria for use in confidentiality determinations.
Section 2.208 does not apply to information to which this section
applies. Pursuant to section 104(f) of the Act, 33 U.S.C. 1414(f), no
information to which this section applies is eligible for confidential
treatment.
[41 FR 36902, Sept. 1, 1976, as amended at 43 FR 40005, Sept. 8, 1978]
Sec. 2.310 Special rules governing certain information obtained under the Comprehensive Environmental Response, Compensation, and Liability Act of 1980, as
amended.
(a) Definitions. For purposes of this section:
(1) Act means the Comprehensive Environmental Response,
Compensation, and Liability Act of 1980, as amended, including
amendments made by the Superfund Amendments and Reauthorization Act of
1986, 42 U.S.C. 9601, et seq.
(2) Person has the meaning given it in section 101(21) of the Act,
42 U.S.C. 9601(21).
(3) Facility has the meaning given it in section 101(9) of the Act,
42 U.S.C. 9601(9).
(4) Hazardous substance has the meaning given it in section 101(14)
of the Act, 42 U.S.C. 9601(14).
(5) Release has the meaning given it in section 101(22) of the Act,
42 U.S.C. 9601(22).
(6) Proceeding means any rulemaking or adjudication conducted by EPA
under the Act or under regulations which implement the Act (including
the issuance of administrative orders under section 106 of the Act and
cost recovery pre-litigation settlement negotiations under sections 107
or 122 of the Act), any cost recovery litigation under section 107 of
the Act, or any administrative determination made under section 104 of
the Act, but not including determinations under this subpart.
(b) Applicability. This section applies only to information provided
to or obtained by EPA under section 104 of the Act, 42 U.S.C. 9604, by
or from any person who stores, treats, or disposes of hazardous wastes;
or where necessary to ascertain facts not available at the facility
where such hazardous substances are located, by or from any person who
generates, transports, or otherwise handles or has handled hazardous
substances, or by or from any person who performs or supports removal or
remedial actions pursuant to section 104(a) of the Act. Information will
be considered to have been provided or obtained under section 104 of the
Act if it was provided in response to a request from EPA or a
representative of EPA made for any of the purposes stated in section
104, if it was provided pursuant to the terms of a contract, grant or
other agreement to perform work pursuant to section 104, or if its
submission could have been required under section 104, regardless of
whether section 104 was cited as authority for any request for the
information or whether the information was provided directly to EPA or
through some third person.
(c) Basic rules which apply without change. Sections 2.201 through
2.207 and
[[Page 68]]
Sec. Sec. 2.209 through 2.215 apply without change to information to
which this section applies.
(d) [Reserved]
(e) Substantive criteria for use in confidentiality determinations.
Section 2.208 applies without change to information to which this
section applies; however, no information to which this section applies
is voluntarily submitted information.
(f) [Reserved]
(g)(1) Under section 104(e)(7)(A) of the Act (42 U.S.C.
9604(e)(7)(A)) any information to which this section applies may be
disclosed by EPA because of the relevance of the information in a
proceeding under the Act, notwithstanding the fact that the information
otherwise might be entitled to confidential treatment under this
subpart. Disclosure of information to which this section applies because
of its relevance in a proceeding shall be made only in accordance with
this paragraph (g).
(2) The provisions of Sec. 2.301(g)(2) are to be used as paragraph
(g)(2) of this section.
(3) In connection with any proceeding involving a decision by a
presiding officer after an evidentiary or adjudicatory hearing, except
with respect to litigation conducted by a Federal court, information to
which this section applies which may be entitled to confidential
treatment may be made available to the public, or to one or more parties
of record to the proceeding, upon EPA's initiative, under this paragraph
(g)(3). An EPA office proposing disclosure of information under this
paragraph (g)(3) shall so notify the presiding officer in writing. Upon
receipt of such a notification, the presiding officer shall notify each
affected business that disclosure under this paragraph (g)(3) has been
proposed, and shall afford each such business a period for comment found
by the presiding officer to be reasonable under the circumstances.
Information may be disclosed under this paragraph (g)(3) only if, after
consideration of any timely comments submitted by the business, the EPA
office determines in writing that, for reasons directly associated with
the conduct of the proceeding, the contemplated disclosure would serve
the public interest, and the presiding officer determines in writing
that the information is relevant to a matter in controversy in the
proceeding. The presiding officer may condition disclosure of the
information to a party of record on the making of such protective
arrangements and commitments as he finds to be warranted. Disclosure to
one or more parties of record, under protective arrangements or
commitments, shall not, of itself, affect the eligibility of information
for confidential treatment under the other provisions of this subpart.
Any affected business shall be given at least 5 days notice by the
presiding officer prior to making the information available to the
public or to one or more of the parties of record to the proceeding.
(4) In connection with any proceeding involving a decision by a
presiding officer after an evidentiary or adjudicatory hearing, except
with respect to litigation conducted by a Federal court, information to
which this section applies which may be entitled to confidential
treatment may be made available to one or more parties of record to the
proceeding, upon request of a party, under this paragraph (g)(4). A
party of record seeking disclosure of information shall direct his
request to the presiding officer. Upon receipt of such a request, the
presiding officer shall notify each affected business that disclosure
under this paragraph (g)(4) has been requested, and shall afford each
such business a period for comment found by the presiding officer to be
reasonable under the circumstances. Information may be disclosed to a
party of record under this paragraph (g)(4) only if, after consideration
of any timely comments submitted by the business, the presiding officer
determines in writing that:
(i) The party of record has satisfactorily shown that with respect
to a significant matter which is in controversy in the proceeding, the
party's ability to participate effectively in the proceeding will be
significantly impaired unless the information is disclosed to him; and
(ii) Any harm to an affected business that would result from the
disclosure is likely to be outweighed by the benefit
[[Page 69]]
to the proceeding and the public interest that would result from the
disclosure.
The presiding officer may condition disclosure of the information to a
party of record on the making of such protective arrangements and
commitments as he finds to be warranted. Disclosure to one or more
parties of record, under protective arrangements or commitments, shall
not, of itself, affect the eligibility of information for confidential
treatment under the other provisions of this subpart. Any affected
business shall be given at least 5 days notice by the presiding officer
prior to making the information available to one or more of the parties
of record to the proceeding.
(5) In connection with cost recovery pre-litigation settlement
negotiations under sections 107 or 122 of the Act (42 U.S.C. 9607,
9622), any information to which this section applies that may be
entitled to confidential treatment may be made available to potentially
responsible parties pursuant to a contractual agreement to protect the
information.
(6) In connection with any cost recovery proceeding under section
107 of the Act involving a decision by a presiding officer after an
evidentiary or adjudicatory hearing, any information to which this
section applies that may be entitled to confidential treatment may be
made available to one or more parties of record to the proceeding, upon
EPA's initiative, under this paragraph (g)(6). Such disclosure must be
made pursuant to a stipulation and protective order signed by all
parties to whom disclosure is made and by the presiding officer.
(h) Disclosure to authorized representatives. (1) Under section
104(e)(7) of the Act (42 U.S.C. 9604(e)(7)), EPA possesses authority to
disclose to any authorized representative of the Untied States any
information to which this section applies, notwithstanding the fact that
the information might otherwise be entitled to confidential treatment
under this subpart. Such authority may be exercised only in accordance
with paragraph (h)(2) or (h)(3) of this section.
(2) The provisions of Sec. 2.301(h)(2) are to be used as paragraph
(h)(2) of this section.
(3) The provisions of Sec. 2.301(h)(3) are to be used as paragraph
(h)(3) of this section.
(4) At the time any information is furnished to a contractor,
subcontractor, or State or local government under this paragraph (h),
the EPA office furnishing the information to the contractor,
subcontractor, or State or local government agency shall notify the
contractor, subcontractor, or State or local government agency that the
information may be entitled to confidential treatment and that any
knowing and willful disclosure of the information may subject the
contractor, subcontractor, or State or local government agency and its
employees to penalties in section 104(e)(7)(B) of the Act (42 U.S.C.
9604(e)(7)(B)).
[50 FR 51663, Dec. 18, 1985, as amended at 58 FR 462, Jan. 5, 1993]
Sec. 2.311 Special rules governing certain information obtained under the Motor Vehicle Information and Cost Savings Act.
(a) Definitions. For the purposes of this section:
(1) Act means the Motor Vehicle Information and Cost Savings Act, as
amended, 15 U.S.C. 1901 et seq.
(2) Average fuel economy has the meaning given it in section 501(4)
of the Act, 15 U.S.C. 2001(4).
(3) Fuel economy has the meaning given it in section 501(6) of the
Act, 15 U.S.C. 2001(6).
(4) Fuel economy data means any measurement or calculation of fuel
economy for any model type and average fuel economy of a manufacturer
under section 503(d) of the Act, 15 U.S.C. 2003(d).
(5) Manufacturer has the meaning given it in section 501(9) of the
Act, 15 U.S.C. 2001(9).
(6) Model type has the meaning given it in section 501(11) of the
Act, 15 U.S.C. 2001(11).
(b) Applicability. This section applies only to information provided
to or obtained by EPA under Title V, Part A of the Act, 15 U.S.C. 2001
through 2012. Information will be considered to have been provided or
obtained under Title V, Part A of the Act if it was provided in response
to a request from EPA made for any purpose stated in Title V,
[[Page 70]]
Part A, or if its submission could have been required under Title V Part
A, regardless of whether Title V Part A was cited as the authority for
any request for information or whether the information was provided
directly to EPA or through some third person.
(c) Basic rules which apply without change. Sections 2.201 through
2.207 and Secs. 2.209 through 2.215 apply without change to information
to which this section applies.
(d) [Reserved]
(e) Substantive criteria for use in confidentiality determinations.
Section 2.208 applies without change to information to which this
section applies, except that information this is fuel economy data is
not eligible for confidential treatment. No information to which this
section applies is voluntarily submitted information.
(f) [Reserved]
(g) Disclosure of information relevant to a proceeding. (1) Under
section 505(d)(1) of the Act, any information to which this section
applies may be released by EPA because of the relevance of the
information to a proceeding under Title V, Part A of the Act,
notwithstanding the fact that the information otherwise might be
entitled to confidential treatment under this subpart. Release of
information to which this section applies because of its relevance to a
proceeding shall be made only in accordance with this paragraph (g).
(2) The provisions of Sec. 2.301(g)(2) are to be used as paragraph
(g)(2) of this section.
(3) The provisions of Sec. 2.301(g)(3) are to be used as paragraph
(g)(3) of this section.
(4) The provisions of Sec. 2.301(g)(4) are to be used as paragraph
(g)(3) of this section.
[50 FR 51663, Dec. 18, 1985]
Subpart C--Testimony by Employees and Production of Documents in Civil
Legal Proceedings Where the United States Is Not a Party
Authority: 5 U.S.C. 301; Reorganization Plan No. 3 of 1970, 5 U.S.C.
App.; 33 U.S.C. 361(a); 42 U.S.C. 300j-9; 42 U.S.C. 6911a, 42 U.S.C.
7601(a).
Source: 50 FR 32387, Aug. 9, 1985, unless otherwise noted.
Sec. 2.401 Scope and purpose.
This subpart sets forth procedures to be followed when an EPA
employee is requested or subpoenaed to provide testimony concerning
information acquired in the course of performing official duties or
because of the employee's official status. (In such cases, employees
must state for the record that their testimony does not necessarily
represent the official position of EPA. If they are called to state the
official position of EPA, they should ascertain that position before
appearing.) These procedures also apply to subpoenas duces tecum for any
document in the possession of EPA and to requests for certification of
copies of documents.
(a) These procedures apply to:
(1) State court proceedings (including grand jury proceedings);
(2) Federal civil proceedings, except where the United States, EPA
or another Federal agency is a party; and
(3) State and local legislative and administrative proceedings.
(b) These procedures do not apply:
(1) To matters which are not related to EPA;
(2) To Congressional requests or subpoenas for testimony or
documents;
(3) Where employees provide expert witness services as approved
outside activities in accordance with 40 CFR part 3, subpart E (in such
cases, employees must state for the record that the testimony represents
their own views and does not necessarily represent the official position
of EPA);
(4) Where employees voluntarily testify as private citizens with
respect to environmental matters (in such cases, employees must state
for the record that the testimony represents their own views and does
not necessarily represent the official position of EPA).
(c) The purpose of this subpart is to ensure that employees'
official time is used only for official purposes, to maintain the
impartiality of EPA among private litigants, to ensure that public funds
are not used for private purposes and to establish procedures for
approving testimony or production of documents when clearly in the
interests of EPA.
[[Page 71]]
Sec. 2.402 Policy on presentation of testimony and production of documents.
(a) With the approval of the cognizant Assistant Administrator,
Office Director, Staff Office Director or Regional Administrator or his
designee, EPA employees (as defined in 40 CFR 3.102 (a) and (b)) may
testify at the request of another Federal agency, or, where it is in the
interests of EPA, at the request of a State or local government or State
legislative committee.
(b) Except as permitted by paragraph (a) of this section, no EPA
employee may provide testimony or produce documents in any proceeding to
which this subpart applies concerning information acquired in the course
of performing official duties or because of the employee's official
relationship with EPA, unless authorized by the General Counsel or his
designee under Secs. 2.403 through 2.406.
Sec. 2.403 Procedures when voluntary testimony is requested.
A request for testimony by an EPA employee under Sec. 2.402(b) must
be in writing and must state the nature of the requested testimony and
the reasons why the testimony would be in the interests of EPA. Such
requests are immediately sent to the General Counsel or his designee
(or, in the case of employees in the Office of Inspector General, the
Inspector General or his designee) with the recommendations of the
employee's supervisors. The General Counsel or his designee, in
consultation with the appropriate Assistant Administrator, Regional
Administrator, or Staff Office Director (or, in the case of employees in
the Office of Inspector General, the Inspector General or his designee),
determines whether compliance with the request would clearly be in the
interests of EPA and responds as soon as practicable.
Sec. 2.404 Procedures when an employee is subpoenaed.
(a) Copies of subpoenas must immediately be sent to the General
Counsel or his designee with the recommendations of the employee's
supervisors. The General Counsel or his designee, in consultation with
the appropriate Assistant Administrator, Regional Administrator or Staff
Office Director, determines whether compliance with the subpoena would
clearly be in the interests of EPA and responds as soon as practicable.
(b) If the General Counsel or his designee denies approval to comply
with the subpoena, or if he has not acted by the return date, the
employee must appear at the stated time and place (unless advised by the
General Counsel or his designee that the subpoena was not validly issued
or served or that the subpoena has been withdrawn), produce a copy of
these regulations and respectfully refuse to provide any testimony or
produce any documents. United States ex rel. Touhy v. Ragen, 340 U.S.
462 (1951).
(c) Where employees in the Office of Inspector General are
subpoenaed, the Inspector General or his designee makes the
determination under paragraphs (a) and (b) of this section in
consultation with the General Counsel.
(d) The General Counsel will request the assistance of the
Department of Justice or a U.S. Attorney where necessary to represent
the interests of the Agency and the employee.
Sec. 2.405 Subpoenas duces tecum.
Subpoenas duces tecum for documents or other materials are treated
the same as subpoenas for testimony. Unless the General Counsel or his
designee, in consultation with the appropriate Assistant Administrator,
Regional Administrator or Staff Office Director (or, as to employees in
the Office of Inspector General, the Inspector General) determines that
compliance with the subpoena is clearly in the interests of EPA, the
employee must appear at the stated time and place (unless advised by the
General Counsel or his designee that the subpoena was not validly issued
or served or that the subpoena has been withdrawn) and respectfully
refuse to produce the subpoenaed materials. However, where a subpoena
duces tecum is essentially a written request for documents, the
requested documents will be provided or denied in accordance with
subparts A and B of this part where approval to respond to the subpoena
has not been granted.
[[Page 72]]
Sec. 2.406 Requests for authenticated copies of EPA documents.
Requests for authenticated copies of EPA documents for purposes of
admissibility under 28 U.S.C. 1733 and Rule 44 of the Federal Rules of
Civil Procedure will be granted for documents which would otherwise be
released pursuant to subpart A. For purposes of Rule 44 the person
having legal custody of the record is the cognizant Assistant
Administrator, Regional Administrator, Staff Office Director or Office
Director or his designee. The advice of the Office of General Counsel
should be obtained concerning the proper form of authentication.
PART 4--UNIFORM RELOCATION ASSISTANCE AND REAL PROPERTY ACQUISITION FOR FEDERAL AND FEDERALLY ASSISTED PROGRAMS--Table of Contents
Authority: Section 213, Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970, as amended by the Surface
Transportation and Uniform Relocation Assistance Act of 1987, Title IV
of Pub. L. 100-17, 101 Stat. 246-256 (42 U.S.C. 4601 note).
Sec. 4.1 Uniform relocation assistance and real property acquisition.
Effective April 2, 1989, regulations and procedures for complying
with the Uniform Relocation Assistance and Real Property Acquisition
Policies Act of 1970 (Pub. L. 91-646, 84 Stat. 1894, 42 U.S.C. 4601), as
amended by the Surface Transportation and Uniform Relocation Assistance
Act of 1987 (Pub. L. 100-17, 101 Stat. 246-255, 42 U.S.C. 4601 note) are
set forth in 49 CFR part 24.
[52 FR 48023, Dec. 17, 1987 and 54 FR 8912, Mar. 2, 1989]
PART 6--PROCEDURES FOR IMPLEMENTING THE REQUIREMENTS OF THE COUNCIL ON ENVIRONMENTAL QUALITY ON THE NATIONAL ENVIRONMENTAL POLICY ACT--Table of Contents
Subpart A--General
Sec.
6.100 Purpose and policy.
6.101 Definitions.
6.102 Applicability.
6.103 Responsibilities.
6.104 Early involvement of private parties.
6.105 Synopsis of environmental review procedures.
6.106 Deviations.
6.107 Categorical exclusions.
6.108 Criteria for initiating an EIS.
Subpart B--Content of EISs
6.200 The environmental impact statement.
6.201 Format.
6.202 Executive summary.
6.203 Body of EISs.
6.204 Incorporation by reference.
6.205 List of preparers.
Subpart C--Coordination With Other Environmental Review and Consultation
Requirements
6.300 General.
6.301 Landmarks, historical, and archeological sites.
6.302 Wetlands, floodplains, important farmlands, coastal zones, wild
and scenic rivers, fish and wildlife, and endangered species.
6.303 Air quality.
Subpart D--Public and Other Federal Agency Involvement
6.400 Public involvement.
6.401 Official filing requirements.
6.402 Availability of documents.
6.403 The commenting process.
6.404 Supplements.
Subpart E--Environmental Review Procedures for Wastewater Treatment
Construction Grants Program
6.500 Purpose.
6.501 Definitions.
6.502 Applicability and limitations.
6.503 Overview of the environmental review process.
6.504 Consultation during the facilities planning process.
6.505 Categorical exclusions.
6.506 Environmental review process.
6.507 Partitioning the environmental review process.
6.508 Findings of No Significant Impact (FNSI) determination.
6.509 Criteria for initiating Environmental Impact Statements (EIS).
6.510 Environmental Impact Statement (EIS) preparation.
6.511 Record of Decision (ROD) for EISs and identification of
mitigation measures.
6.512 Monitoring for compliance.
6.513 Public participation.
6.514 Delegation to States.
[[Page 73]]
Subpart F--Environmental Review Procedures for the New Source NPDES
Program
6.600 Purpose.
6.601 Definitions.
6.602 Applicability.
6.603 Limitations on actions during environmental review process.
6.604 Environmental review process.
6.605 Criteria for preparing EISs.
6.606 Record of decision.
6.607 Monitoring.
Subpart G--Environmental Review Procedures for Office of Research and
Development Projects
6.700 Purpose.
6.701 Definition.
6.702 Applicability.
6.703 General.
6.704 Categorical exclusions.
6.705 Environmental assessment and finding of no significant impact.
6.706 Environmental impact statement.
Subpart H--Environmental Review Procedures for Solid Waste Demonstration
Projects
6.800 Purpose.
6.801 Applicability.
6.802 Criteria for preparing EISs.
6.803 Environmental review process.
6.804 Record of decision.
Subpart I--Environmental Review Procedures for EPA Facility Support
Activities
6.900 Purpose.
6.901 Definitions.
6.902 Applicability.
6.903 Criteria for preparing EISs.
6.904 Environmental review process.
6.905 Record of decision.
Subpart J--Assessing the Environmental Effects Abroad of EPA Actions
6.1001 Purpose and policy.
6.1002 Applicability.
6.1003 Definitions.
6.1004 Environmental review and assessment requirements.
6.1005 Lead or cooperating agency.
6.1006 Exemptions and considerations.
6.1007 Implementation.
Appendix A to Part 6--Statement of Procedures on Floodplain Management
and Wetlands Protection
Authority: 42 U.S.C. 4321 et seq., 7401-7671q; 40 CFR part 1500.
Source: 44 FR 64177, Nov. 6, 1979, unless otherwise noted.
Subpart A--General
Sec. 6.100 Purpose and policy.
(a) The National Environmental Policy Act of 1969 (NEPA), 42 U.S.C.
4321 et seq., as implemented by Executive Orders 11514 and 11991 and the
Council on Environmental Quality (CEQ) Regulations of November 29, 1978
(43 FR 55978) requires that Federal agencies include in their decision-
making processes appropriate and careful consideration of all
environmental effects of proposed actions, analyze potential
environmental effects of proposed actions and their alternatives for
public understanding and scrutiny, avoid or minimize adverse effects of
proposed actions, and restore and enhance environmental quality as much
as possible. The Environmental Protection Agency (EPA) shall integrate
these NEPA factors as early in the Agency planning processes as
possible. The environmental review process shall be the focal point to
assure NEPA considerations are taken into account. To the extent
applicable, EPA shall prepare environmental impact statements (EISs) on
those major actions determined to have significant impact on the quality
of the human environment. This part takes into account the EIS
exemptions set forth under section 511(c)(1) of the Clean Water Act
(Pub. L. 92-500) and section 7(c)(1) of the Energy Supply and
Environmental Coordination Act of 1974 (Pub. L. 93-319).
(b) This part establishes EPA policy and procedures for the
identification and analysis of the environmental impacts of EPA-related
activities and the preparation and processing of EISs.
Sec. 6.101 Definitions.
(a) Terminology. All terminology used in this part will be
consistent with the terms as defined in 40 CFR part 1508 (the CEQ
Regulations). Any qualifications will be provided in the definitions set
forth in each subpart of this regulation.
(b) The term CEQ Regulations means the regulations issued by the
Council on Environmental Quality on November 29, 1978 (see 43 FR 55978),
which implement Executive Order 11991. The CEQ Regulations will often be
referred
[[Page 74]]
to throughout this regulation by reference to 40 CFR part 1500 et al.
(c) The term environmental review means the process whereby an
evaluation is undertaken by EPA to determine whether a proposed Agency
action may have a significant impact on the environment and therefore
require the preparation of the EIS.
(d) The term environmental information document means any written
analysis prepared by an applicant, grantee or contractor describing the
environmental impacts of a proposed action. This document will be of
sufficient scope to enable the responsible official to prepare an
environmental assessment as described in the remaining subparts of this
regulation.
(e) The term grant as used in this part means an award of funds or
other assistance by a written grant agreement or cooperative agreement
under 40 CFR chapter I, subpart B.
Sec. 6.102 Applicability.
(a) Administrative actions covered. This part applies to the
activities of EPA in accordance with the outline of the subparts set
forth below. Each subpart describes the detailed environmental review
procedures required for each action.
(1) Subpart A sets forth an overview of the regulation. Section
6.102(b) describes the requirements for EPA legislative proposals.
(2) Subpart B describes the requirements for the content of an EIS
prepared pursuant to subparts E, F, G, H, and I.
(3) Subpart C describes the requirements for coordination of all
environmental laws during the environmental review undertaken pursuant
to subparts E, F, G, H, and I.
(4) Subpart D describes the public information requirements which
must be undertaken in conjunction with the environmental review
requirements under subparts E, F, G, H, and I.
(5) Subpart E describes the environmental review requirements for
the wastewater treatment construction grants program under Title II of
the Clean Water Act.
(6) Subpart F describes the environmental review requirements for
new source National Pollutant Discharge Elimination System (NPDES)
permits under section 402 of the Clean Water Act.
(7) Subpart G describes the environmental review requirements for
research and development programs undertaken by the Agency.
(8) Subpart H describes the environmental review requirements for
solid waste demonstration projects undertaken by the Agency.
(9) Subpart I describes the environmental review requirements for
construction of special purpose facilities and facility renovations by
the Agency.
(b) Legislative proposals. As required by the CEQ Regulations,
legislative EISs are required for any legislative proposal developed by
EPA which significantly affects the quality of the human environment. A
preliminary draft EIS shall be prepared by the responsible EPA office
concurrently with the development of the legislative proposal and
contain information required under subpart B. The EIS shall be processed
in accordance with the requirements set forth under 40 CFR 1506.8.
(c) Application to ongoing activities--(1) General. The effective
date for these regulations is December 5, 1979. These regulations do not
apply to an EIS or supplement to that EIS if the draft EIS was filed
with the Office of External Affairs, (OEA) before July 30, 1979. No
completed environmental documents need be redone by reason of these
regulations.
(2) With regard to activities under subpart E, these regulations
shall apply to all EPA environmental review procedures effective
December 15, 1979. However, for facility plans begun before December 15,
1979, the responsible official shall impose no new requirements on the
grantee. Such grantees shall comply with requirements applicable before
the effective date of this regulation. Notwithstanding the above, this
regulation shall apply to any facility plan submitted to EPA after
September 30, 1980.
[44 FR 64177, Nov. 6, 1979, as amended at 47 FR 9829, Mar. 8, 1982]
Sec. 6.103 Responsibilities.
(a) General responsibilities. (1) The responsible official's duties
include:
[[Page 75]]
(i) Requiring applicants, contractors, and grantees to submit
environmental information documents and related documents and assuring
that environmental reviews are conducted on proposed EPA projects at the
earliest possible point in EPA's decision-making process. In this
regard, the responsible official shall assure the early involvement and
availability of information for private applicants and other non-Federal
entities requiring EPA approvals.
(ii) When required, assuring that adequate draft EISs are prepared
and distributed at the earliest possible point in EPA's decision-making
process, their internal and external review is coordinated, and final
EISs are prepared and distributed.
(iii) When an EIS is not prepared, assuring documentation of the
decision to grant a categorical exclusion, or assuring that findings of
no significant impact (FNSIs) and environmental assessments are prepared
and distributed for those actions requiring them.
(iv) Consulting with appropriate officials responsible for other
environmental laws set forth in subpart C.
(v) Consulting with the Office of External Affairs (OEA) on actions
involving unresolved conflicts concerning this part or other Federal
agencies.
(vi) When required, assuring that public participation requirements
are met.
(2) Office of External Affairs duties include: (i) Supporting the
Administrator in providing EPA policy guidance and assuring that EPA
offices establish and maintain adequate administrative procedures to
comply with this part.
(ii) Monitoring the overall timeliness and quality of the EPA effort
to comply with this part.
(iii) Providing assistance to responsible officials as required,
i.e., preparing guidelines describing the scope of environmental
information required by private applicants relating to their proposed
actions.
(iv) Coordinating the training of personnel involved in the review
and preparation of EISs and other associated documents.
(v) Acting as EPA liaison with the Council on Environmental Quality
and other Federal and State entities on matters of EPA policy and
administrative mechanisms to facilitate external review of EISs, to
determine lead agency and to improve the uniformity of the NEPA
procedures of Federal agencies.
(vi) Advising the Administrator and Deputy Administrator on projects
which involve more than one EPA office, are highly controversial, are
nationally significant, or pioneer EPA policy, when these projects have
had or should have an EIS prepared on them.
(vii) Carrying out administrative duties relating to maintaining
status of EISs within EPA, i.e., publication of notices of intent in the
Federal Register and making available to the public status reports on
EISs and other elements of the environmental review process.
(3) Office of an Assistant Administrator duties include: (i)
Providing specific policy guidance to their respective offices and
assuring that those offices establish and maintain adequate
administrative procedures to comply with this part.
(ii) Monitoring the overall timeliness and quality of their
respective office's efforts to comply with this part.
(iii) Acting as liaison between their offices and the OEA and
between their offices and other Assistant Administrators or Regional
Administrators on matters of agencywide policy and procedures.
(iv) Advising the Administrator and Deputy Administrator through the
OEA on projects or activities within their respective areas of
responsibilities which involve more than one EPA office, are highly
controversial, are nationally significant, or pioneer EPA policy, when
these projects will have or should have an EIS prepared on them.
(v) Pursuant to Sec. 6.102(b) of this subpart, preparing legislative
EISs as appropriate on EPA legislative initiatives.
(4) The Office of Policy, Planning, and Evaluation duties include:
responsibilities for coordinating the preparation of EISs required on
EPA legislative proposals in accordance with Sec. 6.102(b).
[[Page 76]]
(b) Responsibilities for subpart E--(1) Responsible official. The
responsible official for EPA actions covered by this subpart is the
Regional Administrator.
(2) Assistant Administrator. The responsibilities of the Assistant
Administrator, as described in Sec. 6.103(a)(3), shall be assumed by the
Assistant Administrator for Water for EPA actions covered by this
subpart.
(c) Responsibilities for subpart F--(1) Responsible official. The
responsible official for activities covered by this subpart is the
Regional Administrator.
(2) Assistant Administrator. The responsibilities of the Assistant
Administrator, as described in Sec. 6.103(a)(3), shall be assumed by the
Assistant Administrator for Enforcement and Compliance Monitoring for
EPA actions covered by this subpart.
(d) Responsibilities for subpart G. The Assistant Administrator for
Research and Development will be the responsible official for activities
covered by this subpart.
(e) Responsibilities for subpart H. The Assistant Administrator for
Solid Waste and Emergency Response will be the responsible official for
activities covered by this subpart.
(f) Responsibilities for subpart I. The responsible official for new
construction and modification of special purpose facilities is as
follows:
(1) The Chief, Facilities Engineering and Real Estate Branch,
Facilities and Support Services Division, Office of the Assistant
Administrator for Administration and Resource Management (OARM) shall be
the responsible official on all new construction of special purpose
facilities and on all new modification projects for which the Facilities
Engineering and Real Estate Branch has received a funding allowance and
for all other field components not covered elsewhere in paragraph (f) of
this section.
(2) The Regional Administrator shall be the responsible official on
all improvement and modification projects for which the regional office
has received the funding allowance.
[44 FR 64177, Nov. 6, 1979, as amended at 47 FR 9829, Mar. 8, 1982; 50
FR 26315, June 25, 1985; 51 FR 32609, Sept. 12, 1986]
Sec. 6.104 Early involvement of private parties.
As required by 40 CFR 1501.2(d) and Sec. 6.103(a)(3)(v) of this
regulation, responsible officials must ensure early involvement of
private applicants or other non-Federal entities in the environmental
review process related to EPA grant and permit actions set forth under
subparts E, F, G, and H. The responsible official in conjunction with
OEA shall:
(a) Prepare where practicable, generic guidelines describing the
scope and level of environmental information required from applicants as
a basis for evaluating their proposed actions, and make these guidelines
available upon request.
(b) Provide such guidance on a project-by-project basis to any
applicant seeking assistance.
(c) Upon receipt of an application for agency approval, or
notification that an application will be filed, consult as required with
other appropriate parties to initiate and coordinate the necessary
environmental analyses.
[44 FR 64177, Nov. 6, 1979, as amended at 47 FR 9829, Mar. 8, 1982]
Sec. 6.105 Synopsis of environmental review procedures.
(a) Responsible official. The responsible official shall utilize a
systematic, interdisciplinary approach to integrate natural and social
sciences as well as environmental design arts in planning programs and
making decisions which are subject to environmental review. The
respective staffs may be supplemented by professionals from other
agencies (see 40 CFR 1501.6) or consultants whenever in-house
capabilities are insufficiently interdisciplinary.
(b) Environmental information documents (EID). Environmental
information documents (EIDs) must be prepared by applicants, grantees,
or permittees and submitted to EPA as required in subparts E, F, G, H,
and I. EIDs will be of sufficient scope to enable the responsible
official to prepare an environmental assessment as described under
Sec. 6.105(d) of this part and subparts E through I. EIDs will not have
to be prepared for actions where a categorical exclusion has been
granted.
[[Page 77]]
(c) Environmental reviews. Environmental reviews shall be conducted
on the EPA activities outlined in Sec. 6.102 of this part and set forth
under subparts E, F, G, H and I. This process shall consist of a study
of the action to identify and evaluate the related environmental
impacts. The process shall include a review of any related environmental
information document to determine whether any significant impacts are
anticipated and whether any changes can be made in the proposed action
to eliminate significant adverse impacts; when an EIS is required, EPA
has overall responsibility for this review, although grantees,
applicants, permittees or contractors will contribute to the review
through submission of environmental information documents.
(d) Environmental assessments. Environmental assessments (i.e.,
concise public documents for which EPA is responsible) are prepared to
provide sufficient data and analysis to determine whether an EIS or
finding of no significant impact is required. Where EPA determines that
a categorical exclusion is appropriate or an EIS will be prepared, there
is no need to prepare a formal environmental assessment.
(e) Notice of intent and EISs. When the environmental review
indicates that a significant environmental impact may occur and
significant adverse impacts can not be eliminated by making changes in
the project, a notice of intent to prepare an EIS shall be published in
the Federal Register, scoping shall be undertaken in accordance with 40
CFR 1501.7, and a draft EIS shall be prepared and distributed. After
external coordination and evaluation of the comments received, a final
EIS shall be prepared and disseminated. The final EIS shall list any
mitigation measures necessary to make the recommended alternative
environmentally acceptable.
(f) Finding of no significant impact (FNSI). When the environmental
review indicates no significant impacts are anticipated or when the
project is altered to eliminate any significant adverse impacts, a FNSI
shall be issued and made available to the public. The environmental
assessment shall be included as a part of the FNSI. The FNSI shall list
any mitigation measures necessary to make the recommended alternative
environmentally acceptable.
(g) Record of decision. At the time of its decision on any action
for which a final EIS has been prepared, the responsible official shall
prepare a concise public record of the decision. The record of decision
shall describe those mitigation measures to be undertaken which will
make the selected alternative environmentally acceptable. Where the
final EIS recommends the alternative which is ultimately chosen by the
responsible official, the record of decision may be extracted from the
executive summary to the final EIS.
(h) Monitoring. The responsible official shall provide for
monitoring to assure that decisions on any action where a final EIS has
been prepared are properly implemented. Appropriate mitigation measures
shall be included in actions undertaken by EPA.
[44 FR 64177, Nov. 6, 1979, as amended at 50 FR 26315, June 25, 1985; 51
FR 32610, Sept. 12, 1986]
Sec. 6.106 Deviations.
(a) General. The Assistant Administrator, OEA, is authorized to
approve deviations from these regulations. Deviation approvals shall be
made in writing by the Assistant Administrator, OEA.
(b) Requirements. (1) Where emergency circumstances make it
necessary to take an action with significant environmental impact
without observing the substantive provisions of these regulations or the
CEQ Regulations, the responsible official shall notify the Assistant
Administrator, OEA, before taking such action. The responsible official
shall consider to the extent possible alternative arrangements; such
arrangements will be limited to actions necessary to control the
immediate impacts of the emergency; other actions remain subject to the
environmental review process. The Assistant Administrator, OEA, after
consulting CEQ, will inform the responsible official, as expeditiously
as possible of the disposition of his request.
(2) Where circumstances make it necessary to take action without
observing procedural provisions of these regulations, the responsible
official shall notify the Assistant Administrator,
[[Page 78]]
OEA, before taking such action. If the Assistant Administrator, OEA,
determines such a deviation would be in the best interest of the
Government, he shall inform the responsible official, as soon as
possible, of his approval.
(3) The Assistant Administrator, OEA, shall coordinate his action on
a deviation under Sec. 6.106(b) (1) or (2) of this part with the
Director, Grants Administration Division, Office of Planning and
Management, for any required grant-related deviation under 40 CFR
30.1000, as well as the appropriate Assistant Administrator.
[44 FR 64177, Nov. 6, 1979, as amended at 47 FR 9829, Mar. 8, 1982]
Sec. 6.107 Categorical exclusions.
(a) General. Categories of actions which do not individually,
cumulatively over time, or in conjunction with other Federal, State,
local, or private actions have a significant effect on the quality of
the human environment and which have been identified as having no such
effect based on the requirements in Sec. 6.505, may be exempted from the
substantive environmental review requirements of this part.
Environmental information documents and environmental assessments or
environmental impact statements will not be required for excluded
actions.
(b) Determination. The responsible official shall determine whether
an action is eligible for a categorical exclusion as established by
general criteria in Sec. 6.107 (d) and (e) and any applicable criteria
in program specific subparts of part 6 of this title. A determination
shall be made as early as possible following the receipt of an
application. The responsible official shall document the decision to
issue or deny an exclusion as soon as practicable following review in
accordance with Sec. 6.400(f). For qualified actions, the documentation
shall include the application, a brief description of the proposed
action, and a brief statement of how the action meets the criteria for a
categorical exclusion without violating criteria for not granting an
exclusion.
(c) Revocation. The responsible official shall revoke a categorical
exclusion and shall require a full environmental review if, subsequent
to the granting of an exclusion, the responsible official determines
that: (1) The proposed action no longer meets the requirements for a
categorical exclusion due to changes in the proposed action; or (2)
determines from new evidence that serious local or environmental issues
exist; or (3) that Federal, State, local, or tribal laws are being or
may be violated.
(d) General categories of actions eligible for exclusion. Actions
consistent with any of the following categories are eligible for a
categorical exclusion:
(1) Actions which are solely directed toward minor rehabilitation of
existing facilities, functional replacement of equipment, or towards the
construction of new ancillary facilities adjacent or appurtenant to
existing facilities;
(2) Other actions specifically allowed in program specific subparts
of this regulation; or
(3) Other actions developed in accordance with paragraph (f) of this
section.
(e) General criteria for not granting a categorical exclusion. (1)
The full environmental review procedures of this part must be followed
if undertaking an action consistent with allowable categories in
paragraph (d) of this section may involve serious local or environmental
issues, or meets any of the criteria listed below:
(i) The action is known or expected to have a significant effect on
the quality of the human environment, either individually, cumulatively
over time, or in conjunction with other Federal, State, local, tribal or
private actions;
(ii) The action is known or expected to directly or indirectly
affect:
(A) Cultural resource areas such as archaeological and historic
sites in accordance with Sec. 6.301,
(B) Endangered or threatened species and their critical habitats in
accordance with Sec. 6.302 or State lists,
(C) Environmentally important natural resource areas such as
floodplains, wetlands, important farmlands, aquifer recharge zones in
accordance with Sec. 6.302, or
(D) Other resource areas identified in supplemental guidance issued
by the OEA;
(iii) The action is known or expected not to be cost-effective or to
cause significant public controversy; or
[[Page 79]]
(iv) Appropriate specialized program specific criteria for not
granting an exclusion found in other subparts of this regulation are
applicable to the action.
(2) Notwithstanding the provisions of paragraph (d) of this section,
if any of the conditions cited in paragraph (e)(1) of this section
exist, the responsible official shall ensure:
(i) That a categorical exclusion is not granted or, if previously
granted, that it is revoked according to paragraph (c) of this section;
(ii) That an adequate EID is prepared; and
(iii) That either an environmental assessment and FNSI or a notice
of intent for an EIS and ROD is prepared and issued.
(f) Developing new categories of excluded actions. The responsible
official, or other interested parties, may request that a new general or
specialized program specific category of excluded actions be created, or
that an existing category be amended or deleted. The request shall be in
writing to the Assistant Administrator, OEA, and shall contain adequate
information to support the request. Proposed new categories shall be
developed by OEA and published in the Federal Register as a proposed
rule, amending paragraph (d) of this section when the proposed new
category applies to all eligible programs or, amending appropriate
paragraphs in other subparts of this part when the proposed new category
applies to one specific program. The publication shall include a thirty
(30) day public comment period. In addition to criteria for specific
programs listed in other subparts of this part, the following general
criteria shall be considered in evaluating proposals for new categories:
(1) Any action taken seldom results in the effects identified in
general or specialized program specific criteria identified through the
application of criteria for not granting a categorical exclusion;
(2) Based upon previous environmental reviews, actions consistent
with the proposed category have not required the preparation of an EIS;
and
(3) Whether information adequate to determine if a potential action
is consistent with the proposed category will normally be available when
needed.
[50 FR 26315, June 25, 1985, as amended at 51 FR 32610, Sept. 12, 1986]
Sec. 6.108 Criteria for initiating an EIS.
The responsible official shall assure that an EIS will be prepared
and issued for actions under subparts E, G, H, and I when it is
determined that any of the following conditions exist:
(a) The Federal action may significantly affect the pattern and type
of land use (industrial, commercial, agricultural, recreational,
residential) or growth and distribution of population;
(b) The effects resulting from any structure or facility constructed
or operated under the proposed action may conflict with local, regional
or State land use plans or policies;
(c) The proposed action may have significant adverse effects on
wetlands, including indirect and cumulative effects, or any major part
of a structure or facility constructed or operated under the proposed
action may be located in wetlands;
(d) The proposed action may significantly affect threatened and
endangered species or their habitats identified in the Department of the
Interior's list, in accordance with Sec. 6.302, or a State's list, or a
structure or a facility constructed or operated under the proposed
action may be located in the habitat;
(e) Implementation of the proposed action or plan may directly cause
or induce changes that significantly:
(1) Displace population;
(2) Alter the character of existing residential areas;
(3) Adversely affect a floodplain; or
(4) Adversely affect significant amounts of important farmlands as
defined in requirements in Sec. 6.302(c), or agricultural operations on
this land.
(f) The proposed action may, directly, indirectly or cumulatively
have significant adverse effect on parklands, preserves, other public
lands or areas of recognized scenic, recreational, archaeological, or
historic value; or
(g) The Federal action may directly or through induced development
have a significant adverse effect upon local ambient air quality, local
ambient
[[Page 80]]
noise levels, surface water or groundwater quality or quantity, water
supply, fish, shellfish, wildlife, and their natural habitats.
[50 FR 26315, June 25, 1985, as amended at 51 FR 32611, Sept. 12, 1986]
Subpart B--Content of EISs
Sec. 6.200 The environmental impact statement.
Preparers of EISs must conform with the requirements of 40 CFR part
1502 in writing EISs.
Sec. 6.201 Format.
The format used for EISs shall encourage good analysis and clear
presentation of alternatives, including the proposed action, and their
environmental, economic and social impacts. The following standard
format for EISs should be used unless the responsible official
determines that there is a compelling reason to do otherwise:
(a) Cover sheet;
(b) Executive Summary;
(c) Table of contents;
(d) Purpose of and need for action;
(e) Alternatives including proposed action;
(f) Affected environment;
(g) Environmental consequences of the alternatives;
(h) Coordination (includes list of agencies, organizations, and
persons to whom copies of the EIS are sent);
(i) List of preparers;
(j) Index (commensurate with complexity of EIS);
(k) Appendices.
Sec. 6.202 Executive summary.
The executive summary shall describe in sufficient detail (10-15
pages) the critical facets of the EIS so that the reader can become
familiar with the proposed project or action and its net effects. The
executive summary shall focus on:
(a) The existing problem;
(b) A brief description of each alternative evaluated (including the
preferred and no action alternatives) along with a listing of the
environmental impacts, possible mitigation measures relating to each
alternative, and any areas of controversy (including issues raised by
governmental agencies and the public); and
(c) Any major conclusions.
A comprehensive summary may be prepared in instances where the EIS is
unusually long in nature. In accordance with 40 CFR 1502.19, the
comprehensive summary may be circulated in lieu of the EIS; however,
both documents shall be distributed to any Federal, State and local
agencies who have EIS review responsibilities and also shall be made
available to other interested parties upon request.
Sec. 6.203 Body of EISs.
(a) Purpose and need. The EIS shall clearly specify the underlying
purpose and need to which EPA is responding. If the action is a request
for a permit or a grant, the EIS shall clearly specify the goals and
objectives of the applicant.
(b) Alternatives including the proposed action. In addition to 40
CFR 1502.14, the EIS shall discuss:
(1) Alternatives considered by the applicant. This section shall
include a balanced description of each alternative considered by the
applicant. These discussions shall include size and location of
facilities, land requirements, operation and maintenance requirements,
auxiliary structures such as pipelines or transmission lines, and
construction schedules. The alternative of no action shall be discussed
and the applicant's preferred alternative(s) shall be identified. For
alternatives which were eliminated from detailed study, a brief
discussion of the reasons for their having been eliminated shall be
included.
(2) Alternatives available to EPA. EPA alternatives to be discussed
shall include: (i) Taking an action; or (ii) taking an action on a
modified or alternative project, including an action not considered by
the applicant; and (iii) denying the action.
(3) Alternatives available to other permitting agencies. When
preparing a joint EIS, and if applicable, the alternatives available to
other Federal and/or State agencies shall be discussed.
(4) Identifying preferred alternative. In the final EIS, the
responsible official shall signify the preferred alternative.
(c) Affected environment and environmental consequences of the
alternatives.
[[Page 81]]
The affected environment on which the evaluation of each alternative
shall be based includes, for example, hydrology, geology, air quality,
noise, biology, socioeconomics, energy, land use, and archeology and
historic subjects. The discussion shall be structured so as to present
the total impacts of each alternative for easy comparison among all
alternatives by the reader. The effects of a ``no action'' alternative
should be included to facilitate reader comparison of the beneficial and
adverse impacts of other alternatives to the applicant doing nothing. A
description of the environmental setting shall be included in the ``no
action'' alternative for the purpose of providing needed background
information. The amount of detail in describing the affected environment
shall be commensurate with the complexity of the situation and the
importance of the anticipated impacts.
(d) Coordination. The EIS shall include:
(1) The objections and suggestions made by local, State, and Federal
agencies before and during the EIS review process must be given full
consideration, along with the issues of public concern expressed by
individual citizens and interested environmental groups. The EIS must
include discussions of any such comments concerning our actions, and the
author of each comment should be identified. If a comment has resulted
in a change in the project or the EIS, the impact statement should
explain the reason.
(2) Public participation through public hearings or scoping meetings
shall also be included. If a public hearing has been held prior to the
publication of the EIS, a summary of the transcript should be included
in this section. For the public hearing which shall be held after the
publication of the draft EIS, the date, time, place, and purpose shall
be included here.
(3) In the final EIS, a summary of the coordination process and EPA
responses to comments on the draft EIS shall be included.
[44 FR 64177, Nov. 6, 1979, as amended at 50 FR 26316, June 25, 1985]
Sec. 6.204 Incorporation by reference.
In addition to 40 CFR 1502.21, material incorporated into an EIS by
reference shall be organized to the extent possible into a Supplemental
Information Document and be made available for review upon request. No
material may be incorporated by reference unless it is reasonably
available for inspection by potentially interested persons within the
period allowed for comment.
Sec. 6.205 List of preparers.
When the EIS is prepared by contract, either under direct contract
to EPA or through an applicant's or grantee's contractor, the
responsible official must independently evaluate the EIS prior to its
approval and take responsibility for its scope and contents. The EPA
officials who undertake this evaluation shall also be described under
the list of preparers.
Subpart C--Coordination With Other Environmental Review and Consultation
Requirements
Sec. 6.300 General.
Various Federal laws and executive orders address specific
environmental concerns. The responsible official shall integrate to the
greatest practicable extent the applicable procedures in this subpart
during the implementation of the environmental review process under
subparts E through I. This subpart presents the central requirements of
these laws and executive orders. It refers to the pertinent authority
and regulations or guidance that contain the procedures. These laws and
executive orders establish review procedures independent of NEPA
requirements. The responsible official shall be familiar with any other
EPA or appropriate agency procedures implementing these laws and
executive orders.
[44 FR 64177, Nov. 6, 1979, as amended at 50 FR 26316, June 25, 1985]
Sec. 6.301 Landmarks, historical, and archeological sites.
EPA is subject to the requirements of the Historic Sites Act of
1935, 16 U.S.C. 461 et seq., the National Historic Preservation Act of
1966, as amended, 16 U.S.C. 470 et seq., the Archaeological and Historic
Preservation Act of 1974,
[[Page 82]]
16 U.S.C. 469 et seq., and Executive Order 11593, entitled ``Protection
and Enhancement of the Cultural Environment.'' These statutes,
regulations and executive orders establish review procedures independent
of NEPA requirements.
(a) National natural landmarks. Under the Historic Sites Act of
1935, the Secretary of the Interior is authorized to designate areas as
national natural landmarks for listing on the National Registry of
Natural Landmarks. In conducting an environmental review of a proposed
EPA action, the responsible official shall consider the existence and
location of natural landmarks using information provided by the National
Park Service pursuant to 36 CFR 62.6(d) to avoid undesirable impacts
upon such landmarks.
(b) Historic, architectural, archeological, and cultural sites.
Under section 106 of the National Historic Preservation Act and
Executive Order 11593, if an EPA undertaking affects any property with
historic, architectural, archeological or cultural value that is listed
on or eligible for listing on the National Register of Historic Places,
the responsible official shall comply with the procedures for
consultation and comment promulgated by the Advisory Council on Historic
Preservation in 36 CFR part 800. The responsible official must identify
properties affected by the undertaking that are potentially eligible for
listing on the National Register and shall request a determination of
eligibility from the Keeper of the National Register, Department of the
Interior, under the procedures in 36 CFR part 63.
(c) Historic, prehistoric and archeological data. Under the
Archeological and Historic Preservation Act, if an EPA activity may
cause irreparable loss or destruction of significant scientific,
prehistoric, historic or archeological data, the responsible official or
the Secretary of the Interior is authorized to undertake data recovery
and preservation activities. Data recovery and preservation activities
shall be conducted in accordance with implementing procedures
promulgated by the Secretary of the Interior. The National Park Service
has published technical standards and guidelines regarding archeological
preservation activities and methods at 48 FR 44716 (September 29, 1983).
[44 FR 64177, Nov. 6, 1979, as amended at 50 FR 26316, June 25, 1985]
Sec. 6.302 Wetlands, floodplains, important farmlands, coastal zones, wild and scenic rivers, fish and wildlife, and endangered species.
The following procedures shall apply to EPA administrative actions
in programs to which the pertinent statute or executive order applies.
(a) Wetlands protection. Executive Order 11990, Protection of
Wetlands, requires Federal agencies conducting certain activities to
avoid, to the extent possible, the adverse impacts associated with the
destruction or loss of wetlands and to avoid support of new construction
in wetlands if a practicable alternative exists. EPA's Statement of
Procedures on Floodplain Management and Wetlands Protection (dated
January 5, 1979, incorporated as appendix A hereto) requires EPA
programs to determine if proposed actions will be in or will affect
wetlands. If so, the responsible official shall prepare a floodplains/
wetlands assessment, which will be part of the environmental assessment
or environmental impact statement. The responsible official shall either
avoid adverse impacts or minimize them if no practicable alternative to
the action exists.
(b) Floodplain management. Executive Order 11988, Floodplain
Management, requires Federal agencies to evaluate the potential effects
of actions they may take in a floodplain to avoid, to the extent
possible, adverse effects associated with direct and indirect
development of a floodplain. EPA's Statement of Procedures on Floodplain
Management and Wetlands Protection (dated January 5, 1979, incorporated
as appendix A hereto), requires EPA programs to determine whether an
action will be located in or will affect a floodplain. If so, the
responsible official shall prepare a floodplain/wetlands assessment. The
assessment will become part of the environmental assessment or
environmental impact statement. The responsible official shall either
avoid adverse impacts or minimize
[[Page 83]]
them if no practicable alternative exists.
(c) Important farmlands. It is EPA's policy as stated in the EPA
Policy To Protect Environmentally Significant Agricultural Lands, dated
September 8, 1978, to consider the protection of the Nation's
significant/important agricultural lands from irreversible conversion to
uses which result in its loss as an environmental or essential food
production resource. In addition the Farmland Protection Policy Act,
(FPPA) 7 U.S.C. 4201 et seq., requires Federal agencies to use criteria
developed by the Soil Conservation Service, U.S. Department of
Agriculture, to:
(1) Identify and take into account the adverse effects of their
programs on the preservation of farmlands from conversion to other uses;
(2) Consider alternative actions, as appropriate, that could lessen
such adverse impacts; and
(3) Assure that their programs, to the extent possible, are
compatible with State and local government and private programs and
policies to protect farmlands. If an EPA action may adversely impact
farmlands which are classified prime, unique or of State and local
importance as defined in the Act, the responsible official shall in all
cases apply the evaluative criteria promulgated by the U.S. Department
of Agriculture at 7 CFR part 658. If categories of important farmlands,
which include those defined in both the FPPA and the EPA policy, are
identified in the project study area, both direct and indirect effects
of the undertaking on the remaining farms and farm support services
within the project area and immediate environs shall be evaluated.
Adverse effects shall be avoided or mitigated to the extent possible.
(d) Coastal zone management. The Coastal Zone Management Act, 16
U.S.C. 1451 et seq., requires that all Federal activities in coastal
areas be consistent with approved State Coastal Zone Management
Programs, to the maximum extent possible. If an EPA action may affect a
coastal zone area, the responsible official shall assess the impact of
the action on the coastal zone. If the action significantly affects the
coastal zone area and the State has an approved coastal zone management
program, a consistency determination shall be sought in accordance with
procedures promulgated by the Office of Coastal Zone Management in 15
CFR part 930.
(e) Wild and scenic rivers. (1) The Wild and Scenic Rivers Act, 16
U.S.C. 1274 et seq., establishes requirements applicable to water
resource projects affecting wild, scenic or recreational rivers within
the National Wild and Scenic Rivers system as well as rivers designated
on the National Rivers Inventory to be studied for inclusion in the
national system. Under the Act, a Federal agency may not assist, through
grant, loan, license or otherwise, the construction of a water resources
project that would have a direct and adverse effect on the values for
which a river in the National System or study river on the National
Rivers Inventory was established, as determined by the Secretary of the
Interior for rivers under the jurisdiction of the Department of the
Interior and by the Secretary of Agriculture for rivers under the
jurisdiction of the Department of Agriculture. Nothing contained in the
foregoing sentence, however, shall:
(i) Preclude licensing of, or assistance to, developments below or
above a wild, scenic or recreational river area or on any stream
tributary thereto which will not invade the area or unreasonably
diminish the scenic, recreational, and fish and wildlife values present
in the area on October 2, 1968; or
(ii) Preclude licensing of, or assistance to, developments below or
above a study river or any stream tributary thereto which will not
invade the area or diminish the scenic, recreational and fish and
wildlife values present in the area on October 2, 1968.
(2) The responsible official shall:
(i) Determine whether there are any wild, scenic or study rivers on
the National Rivers Inventory or in the planning area, and
(ii) Not recommend authorization of any water resources project that
would have a direct and adverse effect on the values for which such
river was established, as determined by the administering Secretary in
request of appropriations to begin construction of any such project,
whether heretofore or
[[Page 84]]
hereafter authorized, without advising the administering Secretary, in
writing of this intention at least sixty days in advance, and without
specifically reporting to the Congress in writing at the time the
recommendation or request is made in what respect construction of such
project would be in conflict with the purposes of the Wild and Scenic
Rivers Act and would affect the component and the values to be protected
by the Responsible Official under the Act.
(3) Applicable consultation requirements are found in section 7 of
the Act. The Department of Agriculture has promulgated implementing
procedures, under section 7 at 36 CFR part 297, which apply to water
resource projects located within, above, below or outside a wild and
scenic river or study river under the Department's jurisdiction.
(f) Barrier islands. The Coastal Barrier Resources Act, 16 U.S.C.
3501 et seq., generally prohibits new Federal expenditures or financial
assistance for any purpose within the Coastal Barrier Resources System
on or after October 18, 1982. Specified exceptions to this prohibition
are allowed only after consultation with the Secretary of the Interior.
The responsible official shall ensure that consultation is carried out
with the Secretary of the Interior before making available new
expenditures or financial assistance for activities within areas covered
by the Coastal Barriers Resources Act in accord with the U.S. Fish and
Wildlife Service published guidelines defining new expenditures and
financial assistance, and describing procedures for consultation at 48
FR 45664 (October 6, 1983).
(g) Fish and wildlife protection. The Fish and Wildlife Coordination
Act, 16 U.S.C. 661 et seq., requires Federal agencies involved in
actions that will result in the control or structural modification of
any natural stream or body of water for any purpose, to take action to
protect the fish and wildlife resources which may be affected by the
action. The responsible official shall consult with the Fish and
Wildlife Service and the appropriate State agency to ascertain the means
and measures necessary to mitigate, prevent and compensate for project-
related losses of wildlife resources and to enhance the resources.
Reports and recommendations of wildlife agencies should be incorporated
into the environmental assessment or environmental impact statement.
Consultation procedures are detailed in 16 U.S.C. 662.
(h) Endangered species protection. Under the Endangered Species Act,
16 U.S.C. 1531 et seq., Federal agencies are prohibited from
jeopardizing threatened or endangered species or adversely modifying
habitats essential to their survival. The responsible official shall
identify all designated endangered or threatened species or their
habitat that may be affected by an EPA action. If listed species or
their habitat may be affected, formal consultation must be undertaken
with the Fish and Wildlife Service or the National Marine Fisheries
Service, as appropriate. If the consultation reveals that the EPA
activity may jeopardize a listed species or habitat, mitigation measures
should be considered. Applicable consultation procedures are found in 50
CFR part 402.
[44 FR 64177, Nov. 6, 1979, as amended at 50 FR 26316, June 25, 1985]
Sec. 6.303 Air quality.
(a) The Clean Air Act, as amended in 1990, 42 U.S.C. 7476(c),
requires Federal actions to conform to any State implementation plan
approved or promulgated under section 110 of the Act. For EPA actions,
the applicable conformity requirements specified in 40 CFR part 51,
subpart W, 40 CFR part 93, subpart B, and the applicable State
implementation plan must be met.
(b) In addition, with regard to wastewater treatment works subject
to review under subpart E of this part, the responsible official shall
consider the air pollution control requirements specified in section
316(b) of the Clean Air Act, 42 U.S.C. 7616, and Agency implementation
procedures.
(c)-(g) [Reserved]
[58 FR 63247, Nov. 30, 1993]
[[Page 85]]
Subpart D--Public and Other Federal Agency Involvement
Sec. 6.400 Public involvement.
(a) General. EPA shall make diligent efforts to involve the public
in the environmental review process consistent with program regulations
and EPA policies on public participation. The responsibile official
shall ensure that public notice is provided for in accordance with 40
CFR 1506.6(b) and shall ensure that public involvement is carried out in
accordance with EPA Public Participation Regulations, 40 CFR part 25,
and other applicable EPA public participation procedures.
(b) Publication of notices of intent. As soon as practicable after
his decision to prepare an EIS and before the scoping process, the
responsible official shall send the notice of intent to interested and
affected members of the public and shall request the OEA to publish the
notice of intent in the Federal Register. The responsible official shall
send to OEA the signed original notice of intent for Federal Register
publication purposes. The scoping process should be initiated as soon as
practicable in accordance with the requirements of 40 CFR 1501.7.
Participants in the scoping process shall be kept informed of
substantial changes which evolve during the EIS drafting process.
(c) Public meetings or hearings. Public meetings or hearings shall
be conducted consistent with Agency program requirements. There shall be
a presumption that a scoping meeting will be conducted whenever a notice
of intent has been published. The responsible official shall conduct a
public hearing on a draft EIS. The responsible official shall ensure
that the draft EIS is made available to the public at least 30 days in
advance of the hearing.
(d) Findings of no significant impact (FNSI). The responsible
official shall allow for sufficient public review of a FNSI before it
becomes effective. The FNSI and attendant publication must state that
interested persons disagreeing with the decision may submit comments to
EPA. The responsible official shall not take administrative action on
the project for at least thirty (30) calendar days after release of the
FNSI and may allow more time for response. The responsible official
shall consider, fully, comments submitted on the FNSI before taking
administrative action. The FNSI shall be made available to the public in
accordance with the requirements and all appropriate recommendations
contained in Sec. 1506.6 of this title.
(e) Record of Decision (ROD). The responsible official shall
disseminate the ROD to those parties which commented on the draft or
final EIS.
(f) Categorical exclusions. (1) For categorical exclusion
determinations under subpart E (Wastewater Treatment Construction Grants
Program), an applicant who files for and receives a determination of
categorical exclusion under Sec. 6.107(a), or has one rescinded under
Sec. 6.107(c), shall publish a notice indicating the determination of
eligibility or rescission in a local newspaper of community-wide
circulation and indicate the availability of the supporting
documentation for public inspection. The responsible official shall,
concurrent with the publication of the notice, make the documentation as
outlined in Sec. 6.107(b) available to the public and distribute the
notice of the determination to all known interested parties.
(2) For categorical exclusion determinations under other subparts of
this regulation, no public notice need be issued; however, information
regarding these determinations may be obtained by contacting the U.S.
Environmental Protection Agency's Office of Research Program Management
for ORD actions, or the Office of Federal Activities for other program
actions.
[44 FR 64177, Nov. 6, 1979, as amended at 51 FR 32611, Sept. 12, 1986;
56 FR 20543, May 6, 1991]
Sec. 6.401 Official filing requirements.
(a) General. OEA is responsible for the conduct of the official
filing system for EISs. This system was established as a central
repository for all EISs which serves not only as means of advising the
public of the availability of each EIS but provides a uniform method for
the computation of minimum time periods for the review of EISs. OEA
publishes a weekly notice in the Federal Register listing all EISs
received during a given week. The 45-
[[Page 86]]
day and 30-day review periods for draft and final EISs, respectively,
are computed from the Friday following a given reporting week. Pursuant
to 40 CFR 1506.9, responsible officials shall comply with the guidelines
established by OEA on the conduct of the filing system.
(b) Minimum time periods. No decision on EPA actions shall be made
until the later of the following dates:
(1) Ninety (90) days after the date established in Sec. 6.401(a) of
this part from which the draft EIS review time period is computed.
(2) Thirty (30) days after the date established in Sec. 6.401(a) of
this part from which the final EIS review time period is computed.
(c) Filing of EISs. All EISs, including supplements, must be
officially filed with OEA. Responsible officials shall transmit each EIS
in five (5) copies to the Director, Office of Environmental Review, EIS
Filing Section (A-104). OEA will provide CEQ with one copy of each EIS
filed. No EIS will be officially filed by OER unless the EIS has been
made available to the public. OEA will not accept unbound copies of EISs
for filing.
(d) Extensions or waivers. The responsible official may
independently extend review periods. In such cases, the responsible
official shall notify OEA as soon as possible so that adequate notice
may be published in the weekly Federal Register report. OEA upon a
showing of compelling reasons of national policy may reduce the
prescribed review periods. Also, OEA upon a showing by any other Federal
agency of compelling reasons of national policy may extend prescribed
review periods, but only after consultation with the responsible
official. If the responsible official does not concur with the extension
of time, OEA may not extend a prescribed review period more than 30 days
beyond the minimum prescribed review period.
(e) Rescission of filed EISs. The responsible official shall file
EISs with OEA at the same time they are transmitted to commenting
agencies and made available to the public. The responsible official is
required to reproduce an adequate supply of EISs to satisfy these
distribution requirements prior to filing an EIS. If the EIS is not made
available, OEA will consider retraction of the EIS or revision of the
prescribed review periods based on the circumstances.
[44 FR 64177, Nov. 6, 1979, as amended at 47 FR 9829, Mar. 8, 1982]
Sec. 6.402 Availability of documents.
(a) General. The responsible official will ensure sufficient copies
of the EIS are distributed to interested and affected members of the
public and are made available for further public distribution. EISs,
comments received, and any underlying documents should be available to
the public pursuant to the provisions of the Freedom of Information Act
(5 U.S.C. 552(b)), without regard to the exclusion for interagency
memoranda where such memoranda transmit comments of Federal agencies on
the environmental impact of the proposed actions. To the extent
practicable, materials made available to the public shall be provided
without charge; otherwise, a fee may be imposed which is not more than
the actual cost of reproducing copies required to be sent to another
Federal agency.
(b) Public information. Lists of all notices, determinations and
other reports/documentation, related to these notices and
determinations, involving CEs, EAs, FNSIs, notices of intent, EISs, and
RODs prepared by EPA shall be available for public inspection and
maintained by the responsible official as a monthly status report. OEA
shall maintain a comprehensive list of notices of intent and draft and
final EISs provided by all responsible officials for public inspection
including publication in the Federal Register. In addition, OEA will
make copies of all EPA-prepared EISs available for public inspection;
the responsible official shall do the same for any EIS he/she
undertakes.
[44 FR 64177, Nov. 6, 1979, as amended at 51 FR 32611, Sept. 12, 1986]
Sec. 6.403 The commenting process.
(a) Inviting comments. After preparing a draft EIS and before
preparing a final EIS, the responsible official shall obtain the
comments of Federal agencies, other governmental entities and the
[[Page 87]]
public in accordance with 40 CFR 1503.1.
(b) Response to comments. The responsible official shall respond to
comments in the final EIS in accordance with 40 CFR 1503.4.
Sec. 6.404 Supplements.
(a) General. The responsible official shall consider preparing
supplements to draft and final EISs in accordance with 40 CFR 1502.9(c).
A supplement shall be prepared, circulated and filed in the same fashion
(exclusive of scoping) as draft and final EISs.
(b) Alternative procedures. In the case where the responsible
official wants to deviate from existing procedures, OEA shall be
consulted. OEA shall consult with CEQ on any alternative arrangements.
[44 FR 64177, Nov. 6, 1979, as amended at 47 FR 9829, Mar. 8, 1982]
Subpart E--Environmental Review Procedures for Wastewater Treatment
Construction Grants Program
Source: 50 FR 26317, June 25, 1985, unless otherwise noted.
Sec. 6.500 Purpose.
This subpart amplifies the procedures described in subparts A
through D with detailed environmental review procedures for the
Municipal Wastewater Treatment Works Construction Grants Program under
Title II of the Clean Water Act.
Sec. 6.501 Definitions.
(a) Step 1 facilities planning means preparation of a plan for
facilities as described in 40 CFR part 35, subpart E or I.
(b) Step 2 means a project to prepare design drawings and
specifications as described in 40 CFR part 35, subpart E or I.
(c) Step 3 means a project to build a publicly owned treatment works
as described in 40 CFR part 35, subpart E or I.
(d) Step 2=3 means a project which combines preparation of design
drawings and specifications as described in Sec. 6.501(b) and building
as described in Sec. 6.501(c).
(e) Applicant means any individual, agency, or entity which has
filed an application for grant assistance under 40 CFR part 35, subpart
E or I.
(f) Grantee means any individual, agency, or entity which has been
awarded wastewater treatment construction grant assistance under 40 CFR
part 35, subpart E or I.
(g) Responsible Official means a Federal or State official
authorized to fulfill the requirements of this subpart. The responsible
Federal official is the EPA Regional Administrator and the responsible
State official is as defined in a delegation agreement under 205(g) of
the Clean Water Act. The responsibilities of the State official are
subject to the limitations in Sec. 6.514 of this subpart.
(h) Approval of the facilities plan means approval of the facilities
plan for a proposed wastewater treatment works pursuant to 40 CFR part
35, subpart E or I.
Sec. 6.502 Applicability and limitations.
(a) Applicability. This subpart applies to the following actions:
(1) Approval of a facilities plan or an amendment to the plan;
(2) Award of grant assistance for a project where signficant change
has occurred in the project or its impact since prior compliance with
this part; and
(3) Approval of preliminary Step 3 work prior to the award of grant
assistance pursuant to 40 CFR part 35, subpart E or I.
(b) Limitations. (1) Except as provided in Sec. 6.504(c), all
recipients of Step 1 grant assistance must comply with the requirements,
steps, and procedures described in this subpart.
(2) As specified in 40 CFR 35.2113, projects that have not received
Step 1 grant assistance must comply with the requirements of this
subpart prior to submission of an application for Step 3 or Step 2=3
grant assistance.
(3) Except as otherwise provided in Sec. 6.507, no step 3 or 2=3
grant assistance may be awarded for the construction of any component/
portion of a proposed wastewater treatment system(s) until the
responsible official has:
[[Page 88]]
(i) Completed the environmental review for all complete wastewater
treatment system alternatives under consideration for the facilities
planning area, or any larger study area identified for the purposes of
conducting an adequate environmental review as required under this
subpart; and
(ii) Recorded the selection of the preferred alternative(s) in the
appropriate decision document (ROD for EISs, FNSI for environmental
assessments, or written determination for categorical exclusions).
(4) In accord with Sec. 6.302(f), on or after October 18, 1982, no
new expenditures or financial assistance involving the construction
grants program can be made within the Coastal Barrier Resource System,
or for projects outside the system which would have the effect of
encouraging development in the system, other than specified exceptions
made by the EPA after consultation with the Secretary of the Interior.
[50 FR 26317, June 25, 1985, as amended at 51 FR 32611, Sept. 12, 1986]
Sec. 6.503 Overview of the environmental review process.
The process for conducting an environmental review of wastewater
treatment construction grant projects includes the following steps:
(a) Consultation. The Step 1 grantee or the potential Step 3 or Step
2=3 applicant is encouraged to consult with the State and EPA early in
project formulation or the facilities planning stage to determine
whether a project is eligible for a categorical exclusion from the
remaining substantive environmental review requirements of this part
(Sec. 6.505), to determine alternatives to the proposed project for
evaluation, to identify potential environmental issues and opportunities
for public recreation and open space, and to determine the potential
need for partitioning the environmental review process and/or the need
for an Environmental Impact Statement (EIS).
(b) Determining categorical exclusion eligibility. At the request of
a potential Step 3 or Step 2=3 grant applicant, or a Step 1 facilities
planning grantee, the responsible official will determine if a project
is eligible for a categorical exclusion in accordance with Sec. 6.505. A
Step 1 facilities planning grantee awarded a Step 1 grant on or before
December 29, 1981 may request a categorical exclusion at any time during
Step 1 facilities planning. A potential Step 3 or Step 2=3 grant
applicant may request a categorical exclusion at any time before the
submission of a Step 3 or Step 2=3 grant application.
(c) Documenting environmental information. If the project is
determined to be ineligible for a categorical exclusion, or if no
request for a categorical exclusion is made, the potential Step 3 or
Step 2=3 applicant or the Step 1 grantee subsequently prepares an
Environmental Information Document (EID) (Sec. 6.506) for the project.
(d) Preparing environmental assessments. Except as provided in
Sec. 6.506(c)(4) and following a review of the EID by EPA or by a State
with delegated authority, EPA prepares an environmental assessment
(Sec. 6.506), or a State with delegated authority (Sec. 6.514) prepares
a preliminary environmental assessment. EPA reviews and finalizes any
preliminary assessments. EPA subsequently:
(1) Prepares and issues a Finding of No Significant Impact (FNSI)
(Sec. 6.508); or
(2) Prepares and issues a Notice of Intent to prepare an original or
supplemental EIS (Sec. 6.510) and Record of Decision (ROD) (Sec. 6.511).
(e) Monitoring. The construction and post-construction operation and
maintenance of the facilities are monitored (Sec. 6.512) to ensure
implementation of mitigation measures (Sec. 6.511) identified in the
FNSI or ROD.
[50 FR 26317, June 25, 1985, as amended at 51 FR 32611, Sept. 12, 1986]
Sec. 6.504 Consultation during the facilities planning process.
(a) General. Consistent with 40 CFR 1501.2 and 35.2030(c), the
responsible official shall initiate the environmental review process
early to identify environmental effects, avoid delays, and resolve
conflicts. The environmental review process should be integrated
throughout the facilities planning process. Two processes for
consultation are described in this section to meet this objective. The
first addresses
[[Page 89]]
projects awarded Step 1 grant assistance on or before December 29, 1981.
The second applies to projects not receiving grant assistance for
facilities planning on or before December 29, 1981 and, therefore,
subject to the regulations implementing the Municipal Wastewater
Treatment Construction Grant Amendments of 1981 (40 CFR part 35, subpart
I).
(b) Projects receiving Step 1 grant assistance on or before December
29, 1981. (1) During facilities planning, the grantee shall evaluate
project alternatives and the existence of environmentally important
resource areas including those identified in Sec. 6.108 and Sec. 6.509
of this subpart, and potential for open space and recreation
opportunities in the facilities planning area. This evaluation is
intended to be brief and concise and should draw on existing information
from EPA, State agencies, regional planning agencies, areawide water
quality management agencies, and the Step 1 grantee. The Step 1 grantee
should submit this information to EPA or a delegated State at the
earliest possible time during facilities planning to allow EPA to
determine if the action is eligible for a categorical exclusion. The
evaluation and any additional analysis deemed necessary by the
responsible official may be used by EPA to determine whether the action
is eligible for a categorical exclusion from the substantive
environmental review requirements of this part. If a categorical
exclusion is granted, the grantee will not be required to prepare a
formal EID nor will the responsible official be required to prepare an
environmental assessment under NEPA. If an action is not granted a
categorical exclusion, this evaluation may be used to determine the
scope of the EID required of the grantee. This information can also be
used to make an early determination of the need for partitioning the
environmental review or for an EIS. Whenever possible, the Step 1
grantee should discuss this initial evaluation with both the delegated
State and EPA.
(2) A review of environmental information developed by the grantee
should be conducted by the responsible official whenever meetings are
held to assess the progress of facilities plan development. These
meetings should be held after completion of the majority of the EID
document and before a preferred alternative is selected. Since any
required EIS must be completed before the approval of a facilities plan,
a decision whether to prepare an EIS is encouraged early during the
facilities planning process. These meetings may assist in this early
determination. EPA should inform interested parties of the following:
(i) The preliminary nature of the Agency's position on preparing an
EIS;
(ii) The relationship between the facilities planning and
environmental review processes;
(iii) The desirability of public input; and
(iv) A contact person for further information.
(c) Projects not receiving grant assistance for Step 1 facilities
planning on or before December 29, 1981. Potential Step 3 or Step 2=3
grant applicants should, in accordance with Sec. 35.2030(c), consult
with EPA and the State early in the facilities planning process to
determine the appropriateness of a categorical exclusion, the scope of
an EID, or the appropriateness of the early preparation of an
environmental assessment or an EIS. The consultation would be most
useful during the evaluation of project alternatives prior to the
selection of a preferred alternative to assist in resolving any
identified environmental problems.
Sec. 6.505 Categorical exclusions.
(a) General. At the request of an existing Step 1 facilities
planning grantee or of a potential Step 3 or Step 2=3 grant applicant,
the responsible official, as provided for in Secs. 6.107(b), 6.400(f)
and 6.504(a), shall determine from existing information and document
whether an action is consistent with the categories eligible for
exclusion from NEPA review identified in Sec. 6.107(d) or Sec. 6.505(b)
and not inconsistent with the criteria in Sec. 6.107(e) or
Sec. 6.505(c).
(b) Specialized categories of actions eligible for exclusion. For
this subpart, eligible actions consist of any of the categories in
Sec. 6.107(d), or:
[[Page 90]]
(1) Actions for which the facilities planning is consistent with the
category listed in Sec. 6.107(d)(1) which do not affect the degree of
treatment or capacity of the existing facility including, but not
limited to, infiltration and inflow corrections, grant-eligible
replacement of existing mechanical equipment or structures, and the
construction of small structures on existing sites;
(2) Actions in sewered communities of less than 10,000 persons which
are for minor upgrading and minor expansion of existing treatment works.
This category does not include actions that directly or indirectly
involve the extension of new collection systems funded with Federal or
other sources of funds;
(3) Actions in unsewered communities of less than 10,000 persons
where on-site technologies are proposed; or
(4) Other actions are developed in accordance with Sec. 6.107(f).
(c) Specialized Criteria for not granting a categorical exclusion.
(1) The full environmental review procedures of this part must be
followed if undertaking an action consistent with the categories
described in paragraph (b) of this section meets any of the criteria
listed in Sec. 6.107(e) or when:
(i) The facilities to be provided will (A) create a new, or (B)
relocate an existing, discharge to surface or ground waters;
(ii) The facilities will result in substantial increases in the
volume of discharge or the loading of pollutants from an existing source
or from new facilities to receiving waters; or
(iii) The facilities would provide capacity to serve a population
30% greater than the existing population.
(d) Proceeding with grant awards. (1) After a categorical exclusion
on a proposed treatment works has been granted, and notices published in
accordance with Sec. 6.400(f), grant awards may proceed without being
subject to any further environmental review requirements under this
part, unless the responsible official later determines that the project,
or the conditions at the time the categorical determination was made,
have changed significantly since the independent EPA review of
information submitted by the grantee in support of the exclusion.
(2) For all categorical exclusion determinations:
(i) That are five or more years old on projects awaiting Step 2=3 or
Step 3 grant funding, the responsible official shall re-evaluate the
project, environmental conditions and public views and, prior to grant
award, either:
(A) Reaffirm--issue a public notice reaffirming EPA's decision to
proceed with the project without need for any further environmental
review;
(B) Supplement--update the information in the decision document on
the categorically excluded project and prepare, issue, and distribute a
revised notice in accordance with Sec. 6.107(f); or
(C) Reassess--revoke the categorical exclusion in accordance with
Sec. 6.107(c) and require a complete environmental review to determine
the need for an EIS in accordance with Sec. 6.506, followed by
preparation, issuance and distribution of an EA/FNSI or EIS/ROD.
(ii) That are made on projects that have been awarded a Step 2=3
grant, the responsible official shall, at the time of plans and
specifications review under Sec. 35.2202(b) of this title, assess
whether the environmental conditions or the project's anticipated impact
on the environment have changed and, prior to plans and specifications
approval, advise the Regional Administrator if additional environmental
review is necessary.
[50 FR 26317, June 25, 1985, as amended at 51 FR 32611, Sept. 12, 1986]
Sec. 6.506 Environmental review process.
(a) Review of completed facilities plans. The responsible official
shall ensure a review of the completed facilities plan with particular
attention to the EID and its utilization in the development of
alternatives and the selection of a preferred alternative. An adequate
EID shall be an integral part of any facilities plan submitted to EPA or
to a State. The EID shall be of sufficient scope to enable the
responsible official to make determinations on requests for partitioning
the environmental review process in accordance with Sec. 6.507 and for
preparing environmental assessments in accordance with Sec. 6.506(b).
(b) Environmental assessment. The environmental assessment process
shall
[[Page 91]]
cover all potentially significant environmental impacts. The responsible
official shall prepare a preliminary environmental assessment on which
to base a recommendation to finalize and issue the environmental
assessment/FNSI. For those States delegated environmental review
responsibilities under Sec. 6.514, the State responsible official shall
prepare the preliminary environmental assessment in sufficient detail to
serve as an adequate basis for EPA's independent NEPA review and
decision to finalize and issue an environmental assessment/FNSI or to
prepare and issue a notice of intent for an EIS/ROD. The EPA also may
require submission of supplementary information before the facilities
plan is approved if needed for its independent review of the State's
preliminary assessment for compliance with environmental review
requirements. Substantial requests for supplementary information by EPA,
including the review of the facilities plan, shall be made in writing.
Each of the following subjects outlined below, and requirements of
subpart C of this part, shall be reviewed by the responsible official to
identify potentially significant environmental concerns and their
associated potential impacts, and the responsible official shall
furthermore address these concerns and impacts in the environmental
assessment:
(1) Description of the existing environment. For the delineated
facilities planning area, the existing environmental conditions relevant
to the analysis of alternatives, or to determining the environmental
impacts of the proposed action, shall be considered.
(2) Description of the future environment without the project. The
relevant future environmental conditions shall be described. The no
action alternative should be discussed.
(3) Purpose and need. This should include a summary discussion and
demonstration of the need, or absence of need, for wastewater treatment
in the facilities planning area, with particular emphasis on existing
public health or water quality problems and their severity and extent.
(4) Documentation. Citations to information used to describe the
existing environment and to assess future environmental impacts should
be clearly referenced and documented. These sources should include, as
appropriate but not limited to, local, tribal, regional, State, and
Federal agencies as well as public and private organizations and
institutions with responsibility or interest in the types of conditions
listed in Sec. 6.509 and in subpart C of this part.
(5) Analysis of alternatives. This discussion shall include a
comparative analysis of feasible alternatives, including the no action
alternative, throughout the study area. The alternatives shall be
screened with respect to capital and operating costs; direct, indirect,
and cumulative environmental effects; physical, legal, or institutional
constraints; and compliance with regulatory requirements. Special
attention should given to: the environmental consequences of long-term,
irreversible, and induced impacts; and for projects initiated after
September 30, 1978, that grant applicants have satisfactorily
demonstrated analysis of potential recreation and open-space
opportunities in the planning of the proposed treatment works. The
reasons for rejecting any alternatives shall be presented in addition to
any significant environmental benefits precluded by rejection of an
alternative. The analysis should consider when relevant to the project:
(i) Flow and waste reduction measures, including infiltration/inflow
reduction and pretreatment requirements;
(ii) Appropriate water conservation measures;
(iii) Alternative locations, capacities, and construction phasing of
facilities;
(iv) Alternative waste management techniques, including
pretreatment, treatment and discharge, wasterwater reuse, land
application, and individual systems;
(v) Alternative methods for management of sludge, other residual
materials, including utilization options such as land application,
composting, and conversion of sludge for marketing as a soil conditioner
or fertilizer;
(vi) Improving effluent quality through more efficient operation and
maintenance;
[[Page 92]]
(vii) Appropriate energy reduction measures; and
(viii) Multiple use including recreation, other open space, and
environmental education.
(6) Evaluating environmental consequences of proposed action. A full
range of relevant impacts of the proposed action shall be discussed,
including measures to mitigate adverse impacts, any irreversible or
irretrievable commitments of resources to the project and the
relationship between local short-term uses of the environment and the
maintenance and enhancement of long-term productivity. Any specific
requirements, including grant conditions and areawide waste treatment
management plan requirements, should be identified and referenced. In
addition to these items, the responsible official may require that other
analyses and data in accordance with subpart C which are needed to
satisfy environmental review requirements be included with the
facilities plan. Such requirements should be discussed whenever meetings
are held with Step 1 grantees or potential Step 3 or Step 2 = 3
applicants.
(7) Minimizing adverse effects of the proposed action. (i)
Structural and nonstructural measures, directly or indirectly related to
the facilities plan, to mitigate or eliminate adverse effects on the
human and natural environments, shall be identified during the
environmental review. Among other measures, structual provisions include
changes in facility design, size, and location; non-structural
provisions include staging facilities, monitoring and enforcement of
environmental regulations, and local commitments to develop and enforce
land use regulations.
(ii) The EPA shall not accept a facilities plan, nor award grant
assistance for its implementation, if the applicant/grantee has not
made, or agreed to make, changes in the project, in accordance with
determinations made in a FNSI based on its supporting environmental
assessment or the ROD for a EIS. The EPA shall condition a grant, or
seek other ways, to ensure that the grantee will comply with such
environmental review determinations.
(c) FNSI/EIS determination. The responsible official shall apply the
criteria under Sec. 6.509 to the following:
(1) A complete facilities plan;
(2) The EID;
(3) The preliminary environmental assessment; and
(4) Other documentation, deemed necessary by the responsible
official adequate to make an EIS determination by EPA. Where EPA
determines that an EIS is to be prepared, there is no need to prepare a
formal environmental assessment. If EPA or the State identifies
deficiencies in the EID, preliminary environmental assessment, or other
supporting documentation, necessary corrections shall be made to this
documentation before the conditions of the Step 1 grant are considered
satisfied or before the Step 3 or Step 2=3 application is considered
complete. The responsible official's determination to issue a FNSI or to
prepare an EIS shall constitute final Agency action, and shall not be
subject to administrative review under 40 CFR part 30, subpart L.
[50 FR 26317, June 25, 1985, as amended at 51 FR 32612, Sept. 12, 1986]
Sec. 6.507 Partitioning the environmental review process.
(a) Purpose. Under certain circumstances the building of a
component/portion of a wastewater treatment system may be justified in
advance of completing all NEPA requirements for the remainder of the
system(s). When there are overriding considerations of cost or impaired
program effectiveness, the responsible official may award a construction
grant, or approve procurement by other than EPA funds, for a discrete
component of a complete wastewater treatment system(s). The process of
partitioning the environmental review for the discrete component shall
comply with the criteria and procedures described in paragraph (b) of
this section. In addition, all reasonable alternatives for the overall
wastewater treatment works system(s) of which the component is a part
shall have been previously identified, and each part of the
environmental review for the remainder of the overall facilities
system(s) in the planning area in
[[Page 93]]
accordance with Sec. 6.502(b)(3) shall comply with all requirements
under Sec. 6.506.
(b) Criteria for partitioning. (1) Projects may be partitioned under
the following circumstances:
(i) To overcome impaired program effectiveness, the project
component, in addition to meeting the criteria listed in paragraph
(b)(2) of this section, must immediately remedy a severe public health,
water quality or other environmental problem; or
(ii) To significantly reduce direct costs on EPA projects, or other
related public works projects, the project component (such as major
pieces of equipment, portions of conveyances or small structures) in
addition to meeting the criteria listed in paragraph (b)(2) of this
section, must achieve a cost savings to the Federal Government and/or to
the grantee's or potential grantee's overall costs incurred in procuring
the wastewater treatment component(s) and/or the installation of other
related public works projects funded in coordination with other Federal,
State, tribal or local agencies.
(2) The project component also must:
(i) Not foreclose any reasonable alternatives identified for the
overall wastewater treatment works system(s);
(ii) Not cause significant adverse direct or indirect environmental
impacts including those which cannot be acceptably mitigated without
completing the entire wastewater treatment system of which the component
is a part; and
(iii) Not be highly controversial.
(c) Requests for partitioning. The applicant's or State's request
for partitioning must contain the following:
(1) A description of the discrete component proposed for
construction before completing the environmental review of the entire
facilities plan;
(2) How the component meets the above criteria;
(3) The environmental information required by Sec. 6.506 of this
subpart for the component; and
(4) Any preliminary information that may be important to EPA in an
EIS determination for the entire facilities plan (Sec. 6.509).
(d) Approval of requests for partitioning. The responsible official
shall:
(1) Review the request for partitioning against all requirements of
this subpart;
(2) If approvable, prepare and issue a FNSI in accordance with
Sec. 6.508;
(3) Include a grant condition prohibiting the building of additional
or different components of the entire facilities system(s) in the
planning area as described in Sec. 6.502(b)(3)(i).
[50 FR 26317, June 25, 1985, as amended at 51 FR 32612, Sept. 12, 1986]
Sec. 6.508 Finding of No Significant Impact (FNSI) determination.
(a) Criteria for producing and distributing FNSIs. If, after
completion of the environmental review, EPA determines that an EIS will
not be required, the responsible official shall issue a FNSI in
accordance with Secs. 6.105(f) and 6.400(d). The FNSI will be based on
EPA's independent review of the preliminary environmental assessment and
any other environmental information deemed necessary by the responsible
official consistent with the requirements of Sec. 6.506(c). Following
the Agency's independent review, the environmental assessment will be
finalized and either be incorporated into, or attached to, the FNSI. The
FNSI shall list all mitigation measures as defined in Sec. 1508.20 of
this title, and specifically identify those mitigation measures
necessary to make the recommended alternative environmentally
acceptable.
(b) Proceeding with grant awards. (1) Once an environmental
assessment has been prepared and the issued FNSI becomes effective for
the treatment works within the study area, grant awards may proceed
without preparation of additional FNSIs, unless the responsible official
later determines that the project or environmental conditions have
changed significantly from that which underwent environmental review.
(2) For all environmental assessment/FNSI determinations:
(i) That are five or more years old on projects awaiting Step 2=3 or
Step 3 grant funding, the responsible official shall re-evaluate the
project, environmental conditions and public views and, prior to grant
award, either:
[[Page 94]]
(A) Reaffirm--issue a public notice reaffirming EPA's decision to
proceed with the project without revising the environmental assessment;
(B) Supplement--update information and prepare, issue and distribute
a revised EA/FNSI in accordance with Secs. 6.105(f) and 6.400(d); or
(C) Reassess--withdraw the FNSI and publish a notice of intent to
produce an EIS followed by the preparation, issuance and distribution of
the EIS/ROD.
(ii) That are made on projects that have been awarded a Step 2=3
grant, the responsible official shall, at the time of plans and
specifications review under Sec. 35.2202(b) of this title, assess
whether the environmental conditions or the project's anticipated impact
on the environment have changed and, prior to plans and specifications
approval, advise the Regional Administrator if additional environmental
review is necessary.
[51 FR 32612, Sept. 12, 1986]
Sec. 6.509 Criteria for initiating Environmental Impact Statements (EIS).
(a) Conditions requiring EISs. (1) The responsible official shall
assure that an EIS will be prepared and issued when it is determined
that the treatment works or collector system will cause any of the
conditions under Sec. 6.108 to exist, or when
(2) The treated effluent is being discharged into a body of water
where the present classification is too lenient or is being challenged
as too low to protect present or recent uses, and the effluent will not
be of sufficient quality or quantity to meet the requirements of these
uses.
(b) Other conditions. The responsible official shall also consider
preparing an EIS if: The project is highly controversial; the project in
conjunction with related Federal, State, local or tribal resource
projects produces significant cumulative impacts; or if it is determined
that the treatment works may violate Federal, State, local or tribal
laws or requirements imposed for the protection of the environment.
Sec. 6.510 Environmental Impact Statement (EIS) preparation.
(a) Steps in preparing EISs. In addition to the requirements
specified in subparts A, B, C, and D of this part, the responsible
official will conduct the following activities:
(1) Notice of intent. If a determination is made that an EIS will be
required, the responsible official shall prepare and distribute a notice
of intent as required in Sec. 6.105(e) of this part.
(2) Scoping. As soon as possible, after the publication of the
notice of intent, the responsible official will convene a meeting of
affected Federal, State and local agencies, or affected Indian tribes,
the grantee and other interested parties to determine the scope of the
EIS. A notice of this scoping meeting must be made in accordance with
Sec. 6.400(a) and 40 CFR 1506.6(b). As part of the scoping meeting EPA,
in cooperation with any delegated State, will as a minimum:
(i) Determine the significance of issues for and the scope of those
significant issues to be analyzed in depth, in the EIS;
(ii) Identify the preliminary range of alternatives to be
considered;
(iii) Identify potential cooperating agencies and determine the
information or analyses that may be needed from cooperating agencies or
other parties;
(iv) Discuss the method for EIS preparation and the public
participation strategy;
(v) Identify consultation requirements of other environmental laws,
in accordance with subpart C; and
(vi) Determine the relationship between the EIS and the completion
of the facilities plan and any necessary coordination arrangements
between the preparers of both documents.
(3) Identifying and evaluating alternatives. Immediately following
the scoping process, the responsible official shall commence the
identification and evaluation of all potentially viable alternatives to
adequately address the range of issues identified in the scoping
process. Additional issues may be addressed, or others eliminated,
during this process and the reasons documented as part of the EIS.
[[Page 95]]
(b) Methods for preparing EISs. After EPA determines the need for an
EIS, it shall select one of the following methods for its preparation:
(1) Directly by EPA's own staff;
(2) By EPA contracting directly with a qualified consulting firm;
(3) By utilizing a third party method, whereby the responsible
official enters into ``third party agreements'' for the applicant to
engage and pay for the services of a third party contractor to prepare
the EIS. Such agreement shall not be initiated unless both the applicant
and the responsible official agree to its creation. A third party
agreement will be established prior to the applicant's EID and eliminate
the need for that document. In proceeding under the third party
agreement, the responsible official shall carry out the following
practices:
(i) In consultation with the applicant, choose the third party
contractor and manage that contract;
(ii) Select the consultant based on ability and an absence of
conflict of interest. Third party contractors will be required to
execute a disclosure statement prepared by the responsible official
signifying they have no financial or other conflicting interest in the
outcome of the project; and
(iii) Specify the information to be developed and supervise the
gathering, analysis and presentation of the information. The responsible
official shall have sole authority for approval and modification of the
statements, analyses, and conclusions included in the third party EIS;
or
(4) By utilizing a joint EPA/State process on projects within States
which have requirements and procedures comparable to NEPA, whereby the
EPA and the State agree to prepare a single EIS document to fulfill both
Federal and State requirements. Both EPA and the State shall sign a
Memorandum of Agreement which includes the responsibilities and
procedures to be used by both parties for the preparation of the EIS as
provided for in 40 CFR 1506.2(c).
Sec. 6.511 Record of Decision (ROD) for EISs and identification of mitigation measures.
(a) Record of Decision. After a final EIS has been issued, the
responsible official shall prepare and issue a ROD in accordance with 40
CFR 1505.2 prior to, or in conjunction with, the approval of the
facilities plan. The ROD shall include identification of mitigation
measures derived from the EIS process including grant conditions which
are necessary to minimize the adverse impacts of the selected
alternative.
(b) Specific mitigation measures. Prior to the approval of a
facilities plan, the responsible official must ensure that effective
mitigation measures identified in the ROD will be implemented by the
grantee. This should be done by revising the facilities plan, initiating
other steps to mitigate adverse effects, or including conditions in
grants requiring actions to minimize effects. Care should be exercised
if a condition is to be imposed in a grant document to assure that the
applicant possesses the authority to fulfill the conditions.
(c) Proceeding with grant awards. (1) Once the ROD has been prepared
on the selected, or preferred, alternative(s) for the treatment works
described within the EIS, grant awards may proceed without the
preparation of supplemental EISs unless the responsible official later
determines that the project or the environmental conditions described
within the current EIS have changed significantly from the previous
environmental review in accordance with Sec. 1502.9(c) of this title.
(2) For all EIS/ROD determinations:
(i) That are five or more years old on projects awaiting Step 2=3 or
Step 3 grant funding, the responsible official shall re-evaluate the
project, environmental conditions and public views and, prior to grant
award, either:
(A) Reaffirm--issue a public notice reaffirming EPA's decision to
proceed with the project, and documenting that no additional significant
impacts were identified during the re-evaluation which would require
supplementing the EIS; or
[[Page 96]]
(B) Supplement--conduct additional studies and prepare, issue and
distribute a supplemental EIS in accordance with Sec. 6.404 and document
the original, or any revised, decision in an addendum to the ROD.
(ii) That are made on projects that have been awarded a Step 2=3
grant, the responsible official shall, at the time of plans and
specifications review under Sec. 35.2202(b) of this title, assess
whether the environmental conditions or the project's anticipated impact
on the environment have changed, and prior to plans and specifications
approval, advise the Regional Administrator if additional environmental
review is necessary.
[50 FR 26317, June 25, 1985, as amended at 51 FR 32613, Sept. 12, 1986]
Sec. 6.512 Monitoring for compliance.
(a) General. The responsible official shall ensure adequate
monitoring of mitigation measures and other grant conditions identified
in the FNSI, or ROD.
(b) Enforcement. If the grantee fails to comply with grant
conditions, the responsible official may consider applying any of the
sanctions specified in 40 CFR 30.900.
Sec. 6.513 Public participation.
(a) General. Consistent with public participation regulations in
part 25 of this title, and subpart D of this part, it is EPA policy that
certain public participation steps be achieved before the State and EPA
complete the environmental review process. As a minimum, all potential
applicants that do not qualify for a categorical exclusion shall conduct
the following steps in accordance with procedures specified in part 25
of this title:
(1) One public meeting when alternatives have been developed, but
before an alternative has been selected, to discuss all alternatives
under consideration and the reasons for rejection of others; and
(2) One public hearing prior to formal adoption of a facilities plan
to discuss the proposed facilities plan and any needed mitigation
measures.
(b) Coordination. Public participation activities undertaken in
connection with the environmental review process should be coordinated
with any other applicable public participation program wherever
possible.
(c) Scope. The requirements of 40 CFR 6.400 shall be fulfilled, and
consistent with 40 CFR 1506.6, the responsible official may institute
such additional NEPA-related public participation procedures as are
deemed necessary during the environmental review process.
[50 FR 26317, June 25, 1985, as amended at 51 FR 32613, Sept. 12, 1986]
Sec. 6.514 Delegation to States.
(a) General. Authority delegated to the State under section 205(g)
of the Clean Water Act to review a facilities plan may include all EPA
activities under this part except for the following:
(1) Determinations of whether or not a project qualifies for a
categorical exclusion;
(2) Determinations to partition the environmental review process;
(3) Finalizing the scope of an EID when required to adequately
conclude an independent review of a preliminary environmental
assessment;
(4) Finalizing the scope of an environmental assessment, and
finalization, approval and issuance of a final environmental assessment;
(5) Determination to issue, and issuance of, a FNSI based on a
completed (Sec. 6.508) or partitioned (Sec. 6.507(d)(2)) environmental
review;
(6) Determination to issue, and issuance of, a notice of intent for
preparing an EIS;
(7) Preparation of EISs under Sec. 6.510(b) (1) and (2), final
decisions required for preparing an EIS under Sec. 6.510(b)(3),
finalizing the agreement to prepare an EIS under Sec. 6.510(b)(4),
finalizing the scope of an EIS, and issuance of draft, final and
supplemental EISs;
(8) Preparation and issuance of the ROD based on an EIS;
(9) Final decisions under other applicable laws described in subpart
C of this part;
(10) Determination following re-evaluations of projects awaiting
grant funding in the case of Step 3 projects whose existing evaluations
and/or decision documents are five or more years old, or determinations
following re-evaluations on projects submitted for
[[Page 97]]
plans and specifications review and approval in the case of awarded Step
2=3 projects where the EPA Regional Administrator has been advised that
additional environmental review is necessary, in accordance with
Sec. 6.505(d)(2), Sec. 6.508(b)(2) or Sec. 6.511(c)(2); and
(11) Maintenance of official EPA monthly status reports as required
under Sec. 6.402(b).
(b) Elimination of duplication. The responsible official shall
assure that maximum efforts are undertaken to minimize duplication
within the limits described under paragraph (a) of this section. In
carrying out requirements under this subpart, maximum consideration
shall be given to eliminating duplication in accordance with Sec. 1506.2
of this title. Where there are State or local procedures comparable to
NEPA, EPA should enter into memoranda of understanding with these States
concerning workload distribution and responsibilities not specifically
reserved to EPA in paragraph (a) of this section for implementing the
environmental review and facilities planning process.
[50 FR 26317, June 25, 1985, as amended at 51 FR 32613, Sept. 12, 1986]
Subpart F--Environmental Review Procedures for the New Source NPDES
Program
Sec. 6.600 Purpose.
(a) General. This subpart provides procedures for carrying out the
environmental review process for the issuance of new source National
Pollutant Discharge Elimination System (NPDES) discharge permits
authorized under section 306, section 402, and section 511(c)(1) of the
Clean Water Act.
(b) Permit regulations. All references in this subpart to the permit
regulations shall mean parts 122 and 124 of title 40 of the CFR relating
to the NPDES program.
[44 FR 64177, Nov. 6, 1979, as amended at 47 FR 9831, Mar. 8, 1982]
Sec. 6.601 Definitions.
(a) The term administrative action for the sake of this subpart
means the issuance by EPA of an NPDES permit to discharge as a new
source, pursuant to 40 CFR 124.15.
(b) The term applicant for the sake of this subpart means any person
who applies to EPA for the issuance of an NPDES permit to discharge as a
new source.
[44 FR 64177, Nov. 6, 1979, as amended at 47 FR 9831, Mar. 8, 1982]
Sec. 6.602 Applicability.
(a) General. The procedures set forth under subparts A, B, C and D,
and this subpart shall apply to the issuance of new source NPDES
permits, except for the issuance of a new source NPDES permit from any
State which has an approved NPDES program in accordance with section
402(b) of the Clean Water Act.
(b) New Source Determination. An NPDES permittee must be determined
a new source before these procedures apply. New source determinations
will be undertaken pursuant to the provisions of the permit regulations
under Sec. 122.29(a) and (b) of this chapter and Sec. 122.53(h).
[44 FR 64177, Nov. 6, 1979, as amended at 47 FR 9831, Mar. 8, 1982; 51
FR 32613, Sept. 12, 1986]
Sec. 6.603 Limitations on actions during environmental review process.
The processing and review of an applicant's NPDES permit application
shall proceed concurrently with the procedures within this subpart.
Actions undertaken by the applicant or EPA shall be performed consistent
with the requirements of Sec. 122.29(c) of this chapter.
[47 FR 9831, Mar. 8, 1982, as amended at 51 FR 32613, Sept. 12, 1986]
Sec. 6.604 Environmental review process.
(a) New source. If EPA's initial determination under Sec. 6.602(b)
is that the facility is a new source, the responsible official shall
evaluate any environmental information to determine if any significant
impacts are anticipated and an EIS is necessary. If the permit applicant
requests, the responsible official shall establish time limits for the
completion of the environmental review process consistent with 40 CFR
1501.8.
(b) Information needs. Information necessary for a proper
environmental
[[Page 98]]
review shall be provided by the permit applicant in an environmental
information document. The responsible official shall consult with the
applicant to determine the scope of an environmental information
document. In doing this the responsible official shall consider the size
of the new source and the extent to which the applicant is capable of
providing the required information. The responsible official shall not
require the applicant to gather data or perform analyses which
unnecessarily duplicate either existing data or the results of existing
analyses available to EPA. The responsible official shall keep requests
for data to the minimum consistent with his responsibilities under NEPA.
(c) Environmental assessment. The responsible official shall prepare
a written environmental assessment based on an environmental review of
either the environmental information document and/or any other available
environmental information.
(d) EIS determination. (1) When the environmental review indicates
that a significant environmental impact may occur and that the
significant adverse impacts cannot be eliminated by making changes in
the proposed new source project, a notice of intent shall be issued, and
a draft EIS prepared and distributed. When the environmental review
indicates no significant impacts are anticipated or when the proposed
project is changed to eliminate the significant adverse impacts, a FNSI
shall be issued which lists any mitigation measures necessary to make
the recommended alternative environmentally acceptable.
(2) The FNSI together with the environmental assessment that
supports the finding shall be distributed in accordance with
Sec. 6.400(d) of this regulation.
(e) Lead agency. (1) If the environmental review reveals that the
preparation of an EIS is required, the responsible official shall
determine if other Federal agencies are involved with the project. The
responsible official shall contact all other involved agencies and
together the agencies shall decide the lead agency based on the criteria
set forth in 40 CFR 1501.5.
(2) If, after the meeting of involved agencies, EPA has been
determined to be the lead agency, the responsible official may request
that other involved agencies be cooperating agencies. Cooperating
agencies shall be chosen and shall be involved in the EIS preparation
process in the manner prescribed in the 40 CFR 1501.6(a). If EPA has
been determined to be a cooperating agency, the responsible official
shall be involved in assisting in the preparation of the EIS in the
manner prescribed in 40 CFR 1501.6(b).
(f) Notice of intent. (1) If EPA is the lead agency for the
preparation of an EIS, the responsible official shall arrange through
OER for the publication of the notice of intent in the Federal Register,
distribute the notice of intent and arrange and conduct a scoping
meeting as outlined in 40 CFR 1501.7.
(2) If the responsible official and the permit applicant agree to a
third party method of EIS preparation, pursuant to Sec. 6.604(g)(3) of
this part, the responsible official shall insure that a notice of intent
is published and that a scoping meeting is held before the third party
contractor begins work which may influence the scope of the EIS.
(g) EIS method. EPA shall prepare EISs by one of the following
means:
(1) Directly by its own staff;
(2) By contracting directly with a qualified consulting firm; or
(3) By utilizing a third party method, whereby the responsible
official enters into a third party agreement for the applicant to engage
and pay for the services of a third party contractor to prepare the EIS.
Such an agreement shall not be initiated unless both the applicant and
the responsible official agree to its creation. A third party agreement
will be established prior to the applicant's environmental information
document and eliminate the need for that document. In proceeding under
the third party agreement, the responsible official shall carry out the
following practices:
(i) In consultation with the applicant, choose the third party
contractor and manage that contract.
(ii) Select the consultant based on his ability and an absence of
conflict of interest. Third party contractors will be required to
execute a disclosure
[[Page 99]]
statement prepared by the responsible official signifying they have no
financial or other conflicting interest in the outcome of the project.
(iii) Specify the information to be developed and supervise the
gathering, analysis and presentation of the information. The responsible
official shall have sole authority for approval and modification of the
statements, analyses, and conclusions included in the third party EIS.
(h) Documents for the administrative record. Pursuant to 40 CFR
124.9(b)(6) and 124.18(b)(5) any environmental assessment, FNSI EIS, or
supplement to an EIS shall be made a part of the administrative record
related to permit issuance.
[44 FR 64177, Nov. 6, 1979, as amended at 47 FR 9831, Mar. 8, 1982]
Sec. 6.605 Criteria for preparing EISs.
(a) General guidelines. (1) When determining the significance of a
proposed new source's impact, the responsible official shall consider
both its short term and long term effects as well as its direct and
indirect effects and beneficial and adverse environmental impacts as
defined in 40 CFR 1508.8.
(2) If EPA is proposing to issue a number of new source NPDES
permits during a limited time span and in the same general geographic
area, the responsible official shall examine the possibility of tiering
EISs. If the permits are minor and environmentally insignificant when
considered separately, the responsible official may determine that the
cumulative impact of the issuance of all these permits may have a
significant environmental effect and require an EIS for the area. Each
separate decision to issue an NPDES permit shall then be based on the
information in this areawide EIS. Site specific EISs may be required in
certain circumstances in addition to the areawide EIS.
(b) Specific criteria. An EIS will be prepared when:
(1) The new source will induce or accelerate significant changes in
industrial, commercial, agricultural, or residential land use
concentrations or distributions which have the potential for significant
environmental effects. Factors that should be considered in determining
if these changes are environmentally significant include but are not
limited to: The nature and extent of the vacant land subject to
increased development pressure as a result of the new source; the
increases in population or population density which may be induced and
the ramifications of such changes; the nature of land use regulations in
the affected area and their potential effects on development and the
environment; and the changes in the availability or demand for energy
and the resulting environmental consequences.
(2) The new source will directly, or through induced development,
have significant adverse effect upon local ambient air quality, local
ambient noise levels, floodplains, surface or groundwater quality or
quantity, fish, wildlife, and their natural habitats.
(3) Any major part of the new source will have significant adverse
effect on the habitat of threatened or endangered species on the
Department of the Interior's or a State's lists of threatened and
endangered species.
(4) The environmental impact of the issuance of a new source NPDES
permit will have significant direct and adverse effect on a property
listed in or eligible for listing in the National Register of Historic
Places.
(5) Any major part of the source will have significant adverse
effects on parklands, wetlands, wild and scenic rivers, reservoirs or
other important bodies of water, navigation projects, or agricultural
lands.
Sec. 6.606 Record of decision.
(a) General. At the time of permit award, the responsible official
shall prepare a record of decision in those cases where a final EIS was
issued in accordance with 40 CFR 1505.2 and pursuant to the provisions
of the permit regulations under 40 CFR 124.15 and 124.18(b)(5). The
record of decision shall list any mitigation measures necessary to make
the recommended alternative environmentally acceptable.
(b) Mitigation measures. The mitigation measures derived from the
EIS
[[Page 100]]
process shall be incorporated as conditions of the permit; ancillary
agreements shall not be used to require mitigation.
[44 FR 64177, Nov. 6, 1979, as amended at 47 FR 9831, Mar. 8, 1982]
Sec. 6.607 Monitoring.
In accordance with 40 CFR 1505.3 and pursuant to 40 CFR 122.66(c)
and 122.10 the responsible official shall ensure that there is adequate
monitoring of compliance with all NEPA related requirements contained in
the permit.
[47 FR 9831, Mar. 8, 1982]
Subpart G--Environmental Review Procedures for Office of Research and
Development Projects
Source: 56 FR 20543, May 6, 1991, unless otherwise noted.
Sec. 6.700 Purpose.
(a) This subpart amplifies the requirements described in subparts A
through D by providing specific environmental review procedures for
activities undertaken or funded by the Office of Research and
Development (ORD).
(b) The ORD Program provides scientific support for setting
environmental standards as well as the technology needed to prevent,
monitor and control pollution. Intramural research is conducted at EPA
laboratories and field stations throughout the United States. Extramural
research is implemented through grants, cooperative agreements, and
contracts. The majority of ORD's research is conducted within the
confines of laboratories. Outdoor research includes monitoring,
sampling, and environmental stress and ecological effects studies.
Sec. 6.701 Definition.
The term appropriate program official means the official at each
decision level within ORD to whom the Assistant Administrator has
delegated responsibility for carrying out the environmental review
process.
Sec. 6.702 Applicability.
The requirements of this subpart apply to administrative actions
undertaken to approve intramural and extramural projects under the
purview of ORD.
Sec. 6.703 General.
(a) Environmental information. (1) For intramural research projects,
information necessary to perform the environmental review shall be
obtained by the appropriate program official.
(2) For extramural research projects, environmental information
documents shall be submitted to EPA by applicants to facilitate the
Agency's environmental review process. Guidance on environmental
information documents shall be included in all assistance application
kits and in contract proposal instructions. If there is a question
concerning the preparation of an environmental information document, the
applicant should consult with the project officer or contract officer
for guidance.
(b) Environmental review. The diagram in figure 1 represents the
various stages of the environmental review process to be undertaken for
ORD projects.
(1) For intramural research projects, an environmental review will
be performed for each laboratory's projects at the start of the planning
year. The review will be conducted before projects are incorporated into
the ORD program planning system. Projects added at a later date and,
therefore, not identified at the start of the planning year, or any
redirection of a project that could have significant environmental
effects, also will be subjected to an environmental review. This review
will be performed in accordance with the process set forth in this
subpart and depicted in figure 1.
(2) For extramural research projects, the environmental review shall
be conducted before an initial or continuing award is made. The
appropriate program official will perform the environmental review in
accordance with the process set forth in this subpart and depicted in
figure 1. EPA form 5300-23 will be used to document categorical
exclusion determinations or, with appropriate supporting analysis, as
the environmental assessment (EA). The
[[Page 101]]
completed form 5300-23 and any finding of no significant impact (FNSI)
or environmental impact statement (EIS) will be submitted with the
proposal package to the appropriate EPA assistance or contract office.
(c) Agency coordination. In order to avoid duplication of effort and
ensure consistency throughout the Agency, environmental reviews of ORD
projects will be coordinated, as appropriate and feasible, with reviews
performed by other program offices. Technical support documents prepared
for reviews in other EPA programs may be adopted for use in ORD's
environmental reviews and supplemented, as appropriate.
Sec. 6.704 Categorical exclusions.
(a) At the beginning of the environmental review process (see Figure
1), the appropriate program official shall determine whether an ORD
project can be categorically excluded from the substantive requirements
of a NEPA review. This determination shall be based on general criteria
in Sec. 6.107(d) and specialized categories of ORD actions eligible for
exclusion in Sec. 6.704(b). If the appropriate program official
determines that an ORD project is consistent with the general criteria
and any of the specialized categories of eligible activities, and does
not satisfy the criteria in Sec. 6.107(e) for not granting a categorical
exclusion, then this finding shall be documented and no further action
shall be required. A categorical exclusion shall be revoked by the
appropriate program official if it is determined that the project meets
the criteria for revocation in Sec. 6.107(c). Projects that fail to
qualify for categorical exclusion or for which categorical exclusion has
been revoked must undergo full environmental review in accordance with
Sec. 6.705 and Sec. 6.706.
(b) The following specialized categories of ORD actions are eligible
for categorical exclusion from a detailed NEPA review:
(1) Library or literature searches and studies;
(2) Computer studies and activities;
(3) Monitoring and sample collection wherein no significant
alteration of existing ambient conditions occurs;
(4) Projects conducted completely within a contained facility, such
as a laboratory or other enclosed building, where methods are employed
for appropriate disposal of laboratory wastes and safeguards exist
against hazardous, toxic, and radioactive materials entering the
environment. Laboratory directors or other appropriate officials must
certify and provide documentation that the laboratory follows good
laboratory practices and adheres to applicable Federal statutes,
regulations and guidelines.
Sec. 6.705 Environmental assessment and finding of no significant impact.
(a) When a project does not meet any of the criteria for categorical
exclusion, the appropriate program official shall undertake an
environmental assessment in accordance with 40 CFR 1508.9 in order to
determine whether an EIS is required or if a FNSI can be made. ORD
projects which normally result in the preparation of an EA include the
following:
(1) Initial field demonstration of a new technology;
(2) Field trials of a new product or new uses of an existing
technology;
(3) Alteration of a local habitat by physical or chemical means.
(b) If the environmental assessment reveals that the research is not
anticipated to have a significant impact on the environment, the
appropriate program official shall prepare a FNSI in accordance with
Sec. 6.105(f). Pursuant to Sec. 6.400(d), no administrative action will
be taken on a project until the prescribed 30-day comment period for a
FNSI has elapsed and the Agency has fully considered all comments.
(c) On actions involving potentially significant impacts on the
environment, a FNSI may be prepared if changes have been made in the
proposed action to eliminate any significant impacts. These changes must
be documented in the proposal and in the FNSI.
(d) If the environmental assessment reveals that the research may
have a significant impact on the environment, an EIS must be prepared.
The appropriate program official may make a determination that an EIS is
necessary
[[Page 102]]
without preparing a formal environmental assessment. This determination
may be made by applying the criteria for preparation of an EIS in
Sec. 6.706.
Sec. 6.706 Environmental impact statement.
(a) Criteria for preparation. In performing the environmental
review, the appropriate program official shall assure that an EIS is
prepared when any of the conditions under Sec. 6.108 (a) through (g)
exist or when:
(1) The proposed action may significantly affect the environment
through the release of radioactive, hazardous or toxic substances;
(2) The proposed action, through the release of an organism or
organisms, may involve environmental effects which are significant;
(3) The proposed action involves effects upon the environment which
are likely to be highly controversial;
(4) The proposed action involves environmental effects which may
accumulate over time or combine with effects of other actions to create
impacts which are significant;
(5) The proposed action involves uncertain environmental effects or
highly unique environmental risks which may be significant.
(b) ORD actions which may require preparation of an EIS. There are
no ORD actions which normally require the preparation of an EIS.
However, each ORD project will be evaluated using the EIS criteria as
stated in Sec. 6.706(a) to determine whether an EIS must be prepared.
(c) Notice of intent. (1) If the environmental review reveals that a
proposed action may have a significant effect on the environment and
this effect cannot be eliminated by redirection of the research or other
means, the appropriate program official shall issue a notice of intent
to prepare an EIS pursuant to Sec. 6.400(b).
(2) As soon as possible after release of the notice of intent, the
appropriate program official shall ensure that a draft EIS is prepared
in accordance with subpart B and that the public is involved in
accordance with subpart D.
(3) Draft and final EISs shall be sent to the Assistant
Administrator for ORD for approval.
(4) Pursuant to Sec. 6.401(b), a decision on whether to undertake or
fund a project must be made in conformance with the time frames
indicated.
(d) Record of decision. Before the project is undertaken or funded,
the appropriate program official shall prepare, in accordance with
Sec. 6.105 (g) and (h), a record of decision in any case where a final
EIS has been issued.
[[Page 103]]
[GRAPHIC] [TIFF OMITTED] TC14NO91.165
[[Page 104]]
Subpart H--Environmental Review Procedures for Solid Waste Demonstration
Projects
Sec. 6.800 Purpose.
This subpart amplifies the procedures described in subparts A
through D by providing more specific environmental review procedures for
demonstration projects undertaken by the Office of Solid Waste and
Emergency Response.
[44 FR 64177, Nov. 6, 1979, as amended at 51 FR 32613, Sept. 12, 1986]
Sec. 6.801 Applicability.
The requirements of this subpart apply to solid waste demonstration
projects for resource recovery systems and improved solid waste disposal
facilities undertaken pursuant to section 8006 of the Resource
Conservation and Recovery Act of 1976.
Sec. 6.802 Criteria for preparing EISs.
The responsible official shall assure that an EIS will be prepared
when it is determined that any of the conditions in Sec. 6.108 exist.
[44 FR 64177, Nov. 6, 1979, as amended at 50 FR 26323, June 25, 1985]
Sec. 6.803 Environmental review process.
(a) Environmental information. (1) Environmental information
documents shall be submitted to EPA by grant applicants or contractors.
If there is a question concerning the need for a document, the potential
contractor or grantee should consult with the appropriate project
officer for the grant or contract.
(2) The environmental information document shall contain the same
sections specified for EIS's in subpart B. Guidance alerting potential
grantees and contractors of the environmental information documents
shall be included in all grant application kits, attached to letters
concerning the submission of unsolicited proposals, and included with
all requests for proposal.
(b) Environmental review. An environmental review will be conducted
before a grant or contract award is made. This review will include the
preparation of an environmental assessment by the responsible official;
the appropriate Regional Administrator's input will include his
recommendations on the need for an EIS.
(c) Notice of intent and EIS. Based on the environmental review if
the criteria in Sec. 6.802 of this part apply, the responsible official
will assure that a notice of intent and a draft EIS are prepared. The
responsible official may request the appropriate Regional Administrator
to assist him in the preparation and distribution of the environmental
documents.
(d) Finding of no significant impact. If the environmental review
indicated no significant environmental impacts, the responsible official
will assure that a FNSI is prepared which lists any mitigation measures
necessary to make the recommended alternative environmentally
acceptable.
(e) Timing of action. Pursuant to Sec. 6.401(b), in no case shall a
contract or grant be awarded until the prescribed 30-day review period
for a final EIS has elapsed. Similarly, no action shall be taken until
the 30-day comment period for a FNSI is completed.
Sec. 6.804 Record of decision.
The responsible official shall prepare a record of decision in any
case where final EIS has been issued in accordance with 40 CFR 1505.2.
It shall be prepared at the time of contract or grant award. The record
of decision shall list any mitigation measures necessary to make the
recommended alternative environmentally acceptable.
Subpart I--Environmental Review Procedures for EPA Facility Support
Activities
Sec. 6.900 Purpose.
This subpart amplifies the general requirements described in
subparts A through D by providing environmental procedures for the
preparation of EISs on construction and renovation of special purpose
facilities.
Sec. 6.901 Definitions.
(a) The term special purpose facility means a building or space,
including land incidental to its use, which is wholly or predominantly
utilized for the special purpose of an agency and not generally suitable
for other uses,
[[Page 105]]
as determined by the General Services Administration.
(b) The term program of requirements means a comprehensive document
(booklet) describing program activities to be accomplished in the new
special purpose facility or improvement. It includes architectural,
mechanical, structural, and space requirements.
(c) The term scope of work means a document similar in content to
the program of requirements but substantially abbreviated. It is usually
prepared for small-scale projects.
Sec. 6.902 Applicability.
(a) Actions covered. These procedures apply to all new special
purpose facility construction, activities related to this construction
(e.g., site acquisition and clearing), and any improvements or
modifications to facilities having potential environmental effects
external to the facility, including new construction and improvements
undertaken and funded by the Facilities Engineering and Real Estate
Branch, Facilities and Support Services Division, Office of the
Assistant Administrator for Administration and Resource Management; or
by a regional office .
(b) Actions excluded. This subpart does not apply to those
activities of the Facilities Engineering and Real Estate Branch,
Facilities and Support Services Division, for which the branch does not
have full fiscal responsibility for the entire project. This includes
pilot plant construction, land acquisition, site clearing and access
road construction where the Facilities Engineering and Real Estate
Branch's activity is only supporting a project financed by a program
office. Responsibility for considering the environmental impacts of such
projects rests with the office managing and funding the entire project.
Other subparts of this regulation apply depending on the nature of the
project.
[44 FR 64177, Nov. 6, 1979, as amended at 51 FR 32613, Sept. 12, 1986]
Sec. 6.903 Criteria for preparing EISs.
(a) Preliminary information. The responsible official shall request
an environmental information document from a construction contractor or
consulting architect/engineer employed by EPA if he is involved in the
planning, construction or modification of special purpose facilities
when his activities have potential environmental effects external to the
facility. Such modifications include but are not limited to facility
additions, changes in central heating systems or wastewater treatment
systems, and land clearing for access roads and parking lots.
(b) EIS preparation criteria. The responsible official shall conduct
an environmental review of all actions involving construction of special
purpose facilities and improvements to these facilities. The responsible
official shall assure that an EIS will be prepared when it is determined
that any of the conditions in Sec. 6.108 of this part exist.
[44 FR 64177, Nov. 6, 1979, as amended at 50 FR 26323, June 25, 1985]
Sec. 6.904 Environmental review process.
(a) Environmental review. (1) An environmental review shall be
conducted when the program of requirements or scope of work has been
completed for the construction, improvements, or modification of special
purpose facilities. For special purpose facility construction, the
Chief, Facilities Engineering and Real Estate Branch, shall request the
assistance of the appropriate program office and Regional Administrator
in the review. For modifications and improvement, the appropriate
responsible official shall request assistance in making the review from
other cognizant EPA offices.
(2) Any environmental information documents requested shall contain
the same sections listed for EISs in subpart B. Contractors and
consultants shall be notified in contractual documents when an
environmental information document must be prepared.
(b) Notice of intent, EIS, and FNSI. The responsible official shall
decide at the completion of the Environmental review whether there may
be any significant environmental impacts. If there could be significant
environmental impacts, a notice of intent and an EIS shall be prepared
according to the procedures under subparts A, B, C and D. If there are
not any significant environmental impacts, a FNSI shall be prepared
according to the procedures in subparts A and D. The FNSI shall list
[[Page 106]]
any mitigation measures necessary to make the recommended alternative
environmentally acceptable.
(c) Timing of action. Pursuant to Sec. 6.401(b), in no case shall a
contract be awarded or construction activities begun until the
prescribed 30-day wait period for a final EIS has elapsed. Similarly,
under Sec. 6.400(d), no action shall be taken until the 30-day comment
period for FNSIs is completed.
Sec. 6.905 Record of decision.
At the time of contract award, the responsible official shall
prepare a record of decision in those cases where a final EIS has been
issued in accordance with 40 CFR 1505.2. The record of decision shall
list any mitigation measures necessary to make the recommended
alternative environmentally acceptable.
Subpart J--Assessing the Environmental Effects Abroad of EPA Actions
Authority: Executive Order 12114, 42 U.S.C. 4321, note.
Source: 46 FR 3364, Jan. 14, 1981, unless otherwise noted.
Sec. 6.1001 Purpose and policy.
(a) Purpose. On January 4, 1979, the President signed Executive
Order 12114 entitled ``Environmental Effects Abroad of Major Federal
Actions.'' The purpose of this Executive Order is to enable responsible
Federal officials in carrying out or approving major Federal actions
which affect foreign nations or the global commons to be informed of
pertinent environmental considerations and to consider fully the
environmental impacts of the actions undertaken. While based on
independent authority, this Order furthers the purpose of the National
Environmental Policy Act (NEPA) (42 U.S.C. 4321 et seq.) and the Marine
Protection Research and Sanctuaries Act (MPRSA) (33 U.S.C. 1401 et
seq.). It should be noted, however, that in fulfilling its
responsibilities under Executive Order 12114, EPA shall be guided by CEQ
regulations only to the extent that they are made expressly applicable
by this subpart. The procedures set forth below reflect EPA's duties and
responsibilities as required under the Executive Order and satisfy the
requirement for issuance of procedures under section 2-1 of the
Executive Order.
(b) Policy. It shall be the policy of this Agency to carry out the
purpose and requirements of the Executive Order to the fullest extent
possible. EPA, within the realm of its expertise, shall work with the
Department of State and the Council on Environmental Quality to provide
information to other Federal agencies and foreign nations to heighten
awareness of and interest in the environment. EPA shall further
cooperate to the extent possible with Federal agencies to lend special
expertise and assistance in the preparation of required environmental
documents under the Executive Order. EPA shall perform environmental
reviews of activities significantly affecting the global commons and
foreign nations as required under Executive Order 12114 and as set forth
under these procedures.
Sec. 6.1002 Applicability.
(a) Administrative actions requiring environmental review. The
environmental review requirements apply to the activities of EPA as set
forth below:
(1) Major research or demonstration projects which affect the global
commons or a foreign nation.
(2) Ocean dumping activities carried out under section 102 of the
MPRSA which affect the related environment.
(3) Major permitting or licensing by EPA of facilities which affect
the global commons or the environment of a foreign nation. This may
include such actions as the issuance by EPA of hazardous waste
treatment, storage, or disposal facility permits pursuant to section
3005 of the Resource Conservation and Recovery Act (42 U.S.C. 6925),
NPDES permits pursuant to section 402 of the Clean Water Act (33 U.S.C.
1342), and prevention of significant deterioration approvals pursuant to
Part C of the Clean Air Act (42 U.S.C. 7470 et seq.).
(4) Wastewater Treatment Construction Grants Program under section
201 of the Clean Water Act when activities
[[Page 107]]
addressed in the facility plan would have environmental effects abroad.
(5) Other EPA activities as determined by OER and OIA (see
Sec. 6.1007(c)).
Sec. 6.1003 Definitions.
As used in this subpart, environment means the natural and physical
environment and excludes social, economic and other environments; global
commons is that area (land, air, water) outside the jurisdiction of any
nation; and responsible official is either the EPA Assistant
Administrator or Regional Administrator as appropriate for the
particular EPA program. Also, an action significantly affects the
environment if it does significant harm to the environment even though
on balance the action may be beneficial to the environment. To the
extent applicable, the responsible official shall address the
considerations set forth in the CEQ Regulations under 40 CFR 1508.27 in
determining significant effect.
Sec. 6.1004 Environmental review and assessment requirements.
(a) Research and demonstration projects. The appropriate Assistant
Administrator is responsible for performing the necessary degree of
environmental review on research and demonstration projects undertaken
by EPA. If the research or demonstration project affects the environment
of the global commons, the applicant shall prepare an environmental
analysis. This will assist the responsible official in determining
whether an EIS is necessary. If it is determined that the action
significantly affects the environment of the global commons, then an EIS
shall be prepared. If the undertaking significantly affects a foreign
nation EPA shall prepare a unilateral, bilateral or multilateral
environmental study. EPA shall afford the affected foreign nation or
international body or organization an opportunity to participate in this
study. This environmental study shall discuss the need for the action,
analyze the environmental impact of the various alternatives considered
and list the agencies and other parties consulted.
(b) Ocean dumping activities. (1) The Assistant Administrator for
Water and Waste Management shall ensure the preparation of appropriate
environmental documents relating to ocean dumping activities in the
global commons under section 102 of the MPRSA. For ocean dumping site
designations prescribed pursuant to section 102(c) of the MPRSA and 40
CFR part 228, EPA shall prepare an environmental impact statement
consistent with the requirements of EPA's Procedures for the Voluntary
Preparation of Environmental Impact Statements dated October 21, 1974
(see 39 FR 37419). Also EPA shall prepare an environmental impact
statement for the establishment or revision of criteria under section
102(a) of MPRSA.
(2) For individual permits issued by EPA under section 102(b) an
environmental assessment shall be made by EPA. Pursuant to 40 CFR part
221, the permit applicant shall submit with the application an
environmental analysis which includes a discussion of the need for the
action, an outline of alternatives, and an analysis of the environmental
impact of the proposed action and alternatives consistent with the EPA
criteria established under section 102(a) of MPRSA. The information
submitted under 40 CFR part 221 shall be sufficient to satisfy the
environmental assessment requirement.
(c) EPA permitting and licensing activities. The appropriate
Regional Administrator is responsible for conducting concise
environmental reviews with regard to permits issued under section 3005
of the Resource Conservation and Recovery Act (RCRA permits), section
402 of the Clean Water Act (NPDES permits), and section 165 of the Clean
Air Act (PSD permits), for such actions undertaken by EPA which affect
the global commons or foreign nations. The information submitted by
applicants for such permits or approvals under the applicable
consolidated permit regulations (40 CFR parts 122 and 124) and
Prevention of Significant Deterioration (PSD) regulations (40 CFR part
52) shall satisfy the environmental document requirement under section
2-4(b) of Executive Order 12114. Compliance with applicable requirements
in part 124 of the consolidated permit regulations (40 CFR part 124)
shall be sufficient to satisfy the requirements to
[[Page 108]]
conduct a concise environmental review for permits subject to this
paragraph.
(d) Wastewater treatment facility planning. 40 CFR 6.506 details the
environmental review process for the facilities planning process under
the wastewater treatment works construction grants program. For the
purpose of these regulations, the facility plan shall also include a
concise environmental review of those activities that would have
environmental effects abroad. This shall apply only to the Step 1 grants
awarded after January 14, 1981, but on or before December 29, 1981, and
facilities plans developed after December 29, 1981. Where water quality
impacts identified in a facility plan are the subject or water quality
agreements with Canada or Mexico, nothing in these regulations shall
impose on the facility planning process coordination and consultation
requirements in addition to those required by such agreements.
(e) Review by other Federal agencies and other appropriate
officials. The responsible officials shall consult with other Federal
agencies with relevant expertise during the preparation of the
environmental document. As soon as feasible after preparation of the
environmental document, the responsible official shall make the document
available to the Council on Environmental Quality, Department of State,
and other appropriate officials. The responsible official with
assistance from OIA shall work with the Department of State to establish
procedures for communicating with and making documents available to
foreign nations and international organizations.
[46 FR 3364, Jan. 14, 1981, as amended at 50 FR 26323, June 25, 1985]
Sec. 6.1005 Lead or cooperating agency.
(a) Lead Agency. Section 3-3 of Executive Order 12114 requires the
creation of a lead agency whenever an action involves more than one
Federal agency. In implementing section 3-3, EPA shall, to the fullest
extent possible, follow the guidance for the selection of a lead agency
contained in 40 CFR 1501.5 of the CEQ regulations.
(b) Cooperating Agency. Under section 2-4(d) of the Executive Order,
Federal agencies with special expertise are encouraged to provide
appropriate resources to the agency preparing environmental documents in
order to avoid duplication of resources. In working with a lead agency,
EPA shall to the fullest extent possible serve as a cooperating agency
in accordance with 40 CFR 1501.6. When other program commitments
preclude the degree of involvement requested by the lead agency, the
responsible EPA official shall so inform the lead agency in writing.
Sec. 6.1006 Exemptions and considerations.
Under section 2-5 (b) and (c) of the Executive Order, Federal
agencies may provide for modifications in the contents, timing and
availability of documents or exemptions from certain requirements for
the environmental review and assessment. The responsible official, in
consultation with the Director, Office of Environmental Review (OER),
and the Director, Office of International Activities (OIA), may approve
modifications for situations described in section 2-5(b). The
responsible official, in consultation with the Director, OER and
Director OIA, shall obtain exemptions from the Administrator for
situations described in section 2-5(c). The Department of State and the
Council on Environmental Quality shall be consulted as soon as possible
on the utilization of such exemptions.
Sec. 6.1007 Implementation.
(a) Oversight. OER is responsible for overseeing the implementation
of these procedures and shall consult with OIA wherever appropriate. OIA
shall be utilized for making formal contacts with the Department of
State. OER shall assist the responsible officials in carrying out their
responsibilities under these procedures.
(b) Information exchange. OER with the aid of OIA, shall assist the
Department of State and the Council on Environmental Quality in
developing the informational exchange on environmental review activities
with foreign nations.
(c) Unidentified activities. The responsible official shall consult
with OER
[[Page 109]]
and OIA to establish the type of environmental review or document
appropriate for any new EPA activities or requirements imposed upon EPA
by statute, international agreement or other agreements.
Appendix A to Part 6--Statement of Procedures on Floodplain Management
and Wetlands Protection
Contents:
Section 1 General
Section 2 Purpose
Section 3 Policy
Section 4 Definitions
Section 5 Applicability
Section 6 Requirements
Section 7 Implementation
Section 1 General
a. Executive Order 11988 entitled ``Floodplain Management'' dated
May 24, 1977, requires Federal agencies to evaluate the potential
effects of actions it may take in a floodplain to avoid adversely
impacting floodplains wherever possible, to ensure that its planning
programs and budget requests reflect consideration of flood hazards and
floodplain management, including the restoration and preservation of
such land areas as natural undeveloped floodplains, and to prescribe
procedures to implement the policies and procedures of this Executive
Order. Guidance for implementation of the Executive Order has been
provided by the U.S. Water Resources Council in its Floodplain
Management Guidelines dated February 10, 1978 (see 40 FR 6030).
b. Executive Order 11990 entitled ``Protection of Wetlands'', dated
May 24, 1977, requires Federal agencies to take action to avoid
adversely impacting wetlands wherever possible, to minimize wetlands
destruction and to preserve the values of wetlands, and to prescribe
procedures to implement the policies and procedures of this Executive
Order.
c. It is the intent of these Executive Orders that, wherever
possible, Federal agencies implement the floodplains/wetlands
requirements through existing procedures, such as those internal
procedures established to implement the National Environmental Policy
Act (NEPA) and OMB A-95 review procedures. In those instances where the
environmental impacts of a proposed action are not significant enough to
require an environmental impact statement (EIS) pursuant to section
102(2)(C) of NEPA, or where programs are not subject to the requirements
of NEPA, alternative but equivalent floodplain/wetlands evaluation and
notice procedures must be established.
Section 2 Purpose
a. The purpose of this Statement of Procedures is to set forth
Agency policy and guidance for carrying out the provisions of Executive
Orders 11988 and 11990.
b. EPA program offices shall amend existing regulations and
procedures to incorporate the policies and procedures set forth in this
Statement of Procedures.
c. To the extent possible, EPA shall accommodate the requirements of
Executive Orders 11988 and 11990 through the Agency NEPA procedures
contained in 40 CFR part 6.
Section 3 Policy
a. The Agency shall avoid wherever possible the long and short term
impacts associated with the destruction of wetlands and the occupancy
and modification of floodplains and wetlands, and avoid direct and
indirect support of floodplain and wetlands development wherever there
is a practicable alternative.
b. The Agency shall incorporate floodplain management goals and
wetlands protection considerations into its planning, regulatory, and
decisionmaking processes. It shall also promote the preservation and
restoration of floodplains so that their natural and beneficial values
can be realized. To the extent possible EPA shall:
(1) Reduce the hazard and risk of flood loss and wherever it is
possible to avoid direct or indirect adverse impact on floodplains;
(2) Where there is no practical alternative to locating in a
floodplain, minimize the impact of floods on human safety, health, and
welfare, as well as the natural environment;
(3) Restore and preserve natural and beneficial values served by
floodplains;
(4) Require the construction of EPA structures and facilities to be
in accordance with the standards and criteria, of the regulations
promulgated pursuant to the National Flood Insurance Program;
(5) Identify floodplains which require restoration and preservation
and recommend management programs necessary to protect these floodplains
and to include such considerations as part of on-going planning
programs; and
(6) Provide the public with early and continuing information
concerning floodplain management and with opportunities for
participating in decision making including the (evaluation of) tradeoffs
among competing alternatives.
c. The Agency shall incorporate wetlands protection considerations
into its planning, regulatory, and decisionmaking processes. It shall
minimize the destruction, loss, or degradation of wetlands and preserve
and enhance the natural and beneficial values of wetlands. Agency
activities shall continue to
[[Page 110]]
be carried out consistent with the Administrator's Decision Statement
No. 4 dated February 21, 1973 entitled ``EPA Policy to Protect the
Nation's Wetlands.''
Section 4 Definitions
a. Base Flood means that flood which has a one percent chance of
occurrence in any given year (also known as a 100-year flood). This term
is used in the National Flood Insurance Program (NFIP) to indicate the
minimum level of flooding to be used by a community in its floodplain
management regulations.
b. Base Floodplain means the land area covered by a 100-year flood
(one percent chance floodplain). Also see definition of floodplain.
c. Flood or Flooding means a general and temporary condition of
partial or complete inundation of normally dry land areas from the
overflow of inland and/or tidal waters, and/or the unusual and rapid
accumulation or runoff of surface waters from any source, or flooding
from any other source.
d. Floodplain means the lowland and relatively flat areas adjoining
inland and coastal waters and other floodprone areas such as offshore
islands, including at a minimum, that area subject to a one percent or
greater chance of flooding in any given year. The base floodplain shall
be used to designate the 100-year floodplain (one percent chance
floodplain). The critical action floodplain is defined as the 500-year
floodplain (0.2 percent chance floodplain).
e. Floodproofing means modification of individual structures and
facilities, their sites, and their contents to protect against
structural failure, to keep water out or to reduce effects of water
entry.
f. Minimize means to reduce to the smallest possible amount or
degree.
g. Practicable means capable of being done within existing
constraints. The test of what is practicable depends upon the situation
and includes consideration of the pertinent factors such as environment,
community welfare, cost, or technology.
h. Preserve means to prevent modification to the natural floodplain
environment or to maintain it as closely as possible to its natural
state.
i. Restore means to re-establish a setting or environment in which
the natural functions of the floodplain can again operate.
j. Wetlands means those areas that are inundated by surface or
ground water with a frequency sufficient to support and under normal
circumstances does or would support a prevalence of vegetative or
aquatic life that requires saturated or seasonally saturated soil
conditions for growth and reproduction. Wetlands generally include
swamps, marshes, bogs, and similar areas such as sloughs, potholes, wet
meadows, river overflows, mud flats, and natural ponds.
Section 5 Applicability
a. The Executive Orders apply to activities of Federal agencies
pertaining to (1) acquiring, managing, and disposing of Federal lands
and facilities, (2) providing Federally undertaken, financed, or
assisted construction and improvements, and (3) conducting Federal
activities and programs affecting land use, including but not limited to
water and related land resources planning, regulating, and licensing
activities.
b. These procedures shall apply to EPA's programs as follows: (1)
All Agency actions involving construction of facilities or management of
lands or property. This will require amendment of the EPA Facilities
Management Manual (October 1973 and revisions thereafter).
(2) All Agency actions where the NEPA process applies. This would
include the programs under sections 306/402 of the Clean Water Act
pertaining to new source permitting and section 201 of the Clean Water
Act pertaining to wastewater treatment construction grants.
(3) All agency actions where there is sufficient independent
statutory authority to carry out the floodplain/wetlands procedures.
(4) In program areas where there is no EIS requirement nor clear
statutory authority for EPA to require procedural implementation, EPA
shall continue to provide leadership and offer guidance so that the
value of floodplain management and wetlands protection can be understood
and carried out to the maximum extent practicable in these programs.
c. These procedures shall not apply to any permitting or source
review programs of EPA once such authority has been transferred or
delegated to a State. However, EPA shall, to the extent possible,
require States to provide equivalent effort to assure support for the
objectives of these procedures as part of the State assumption process.
Section 6 Requirements
a. Floodplain/Wetlands review of proposed Agency actions.
(1) Floodplain/Wetlands Determination-- Before undertaking an Agency
action, each program office must determine whether or not the action
will be located in or affect a floodplain or wetlands. The Agency shall
utilize maps prepared by the Federal Insurance Administration of the
Federal Emergency Management Agency (Flood Insurance Rate Maps or Flood
Hazard Boundary Maps), Fish and Wildlife Service (National Wetlands
Inventory Maps), and other appropriate agencies to determine whether a
proposed action is located in or will likely affect a floodplain or
wetlands. If there is no floodplain/wetlands impact identified, the
action may proceed without further consideration of the remaining
procedures set forth below.
[[Page 111]]
(2) Early Public Notice--When it is apparent that a proposed or
potential agency action is likely to impact a floodplain or wetlands,
the public should be informed through appropriate public notice
procedures.
(3) Floodplain/Wetlands Assessment--If the Agency determines a
proposed action is located in or affects a floodplain or wetlands, a
floodplain/wetlands assessment shall be undertaken. For those actions
where an environmental assessment (EA) or environmental impact statement
(EIS) is prepared pursuant to 40 CFR part 6, the floodplain/wetlands
assessment shall be prepared concurrently with these analyses and shall
be included in the EA or EIS. In all other cases, a floodplain/wetlands
assessment shall be prepared. Assessments shall consist of a description
of the proposed action, a discussion of its effect on the floodplain/
wetlands, and shall also describe the alternatives considered.
(4) Public Review of Assessments--For proposed actions impacting
floodplain/wetlands where an EA or EIS is prepared, the opportunity for
public review will be provided through the EIS provisions contained in
40 CFR parts 6, 25, or 35, where appropriate. In other cases, an
equivalent public notice of the floodplain/wetlands assessment shall be
made consistent with the public involvement requirements of the
applicable program.
(5) Minimize, Restore or Preserve--If there is no practicable
alternative to locating in or affecting the floodplain or wetlands, the
Agency shall act to minimize potential harm to the floodplain or
wetlands. The Agency shall also act to restore and preserve the natural
and beneficial values of floodplains and wetlands as part of the
analysis of all alternatives under consideration.
(6) Agency Decision--After consideration of alternative actions, as
they have been modified in the preceding analysis, the Agency shall
select the desired alternative. For all Agency actions proposed to be in
or affecting a floodplain/wetlands, the Agency shall provide further
public notice announcing this decision. This decision shall be
accompanied by a Statement of Findings, not to exceed three pages. This
Statement shall include: (i) The reasons why the proposed action must be
located in or affect the floodplain or wetlands; (ii) a description of
significant facts considered in making the decision to locate in or
affect the floodplain or wetlands including alternative sites and
actions; (iii) a statement indicating whether the proposed action
conforms to applicable State or local floodplain protection standards;
(iv) a description of the steps taken to design or modify the proposed
action to minimize potential harm to or within the floodplain or
wetlands; and (v) a statement indicating how the proposed action affects
the natural or beneficial values of the floodplain or wetlands. If the
provisions of 40 CFR part 6 apply, the Statement of Findings may be
incorporated in the final EIS or in the environmental assessment. In
other cases, notice should be placed in the Federal Register or other
local medium and copies sent to Federal, State, and local agencies and
other entities which submitted comments or are otherwise concerned with
the floodplain/wetlands assessment. For floodplain actions subject to
Office of Management and Budget (OMB) Circular A-95, the Agency shall
send the Statement of Findings to State and areawide A-95 clearinghouse
in the geographic area affected. At least 15 working days shall be
allowed for public and interagency review of the Statement of Findings.
(7) Authorizations/Appropriations--Any requests for new
authorizations or appropriations transmitted to OMB shall include, a
floodplain/wetlands assessment and, for floodplain impacting actions, a
Statement of Findings, if a proposed action will be located in a
floodplain or wetlands.
b. Lead agency concept. To the maximum extent possible, the Agency
shall relay on the lead agency concept to carry out the provisions set
forth in section 6.a of this appendix. Therefore, when EPA and another
Federal agency have related actions, EPA shall work with the other
agency to identify which agency shall take the lead in satisfying these
procedural requirements and thereby avoid duplication of efforts.
c. Additional floodplain management provisions relating to Federal
property and facilities.
(1) Construction Activities--EPA controlled structures and
facilities must be constructed in accordance with existing criteria and
standards set forth under the NFIP and must include mitigation of
adverse impacts wherever feasible. Deviation from these requirements may
occur only to the extent NFIP standards are demonstrated as
inappropriate for a given structure or facility.
(2) Flood Protection Measures--If newly constructed structures or
facilities are to be located in a floodplain, accepted floodproofing and
other flood protection measures shall be undertaken. To achieve flood
protection, EPA shall, wherever practicable, elevate structures above
the base flood level rather than filling land.
(3) Restoration and Preservation--As part of any EPA plan or action,
the potential for restoring and preserving floodplains and wetlands so
that their natural and beneficial values can be realized must be
considered and incorporated into the plan or action wherever feasible.
(4) Property Used by Public--If property used by the public has
suffered damage or is located in an identified flood hazard area, EPA
shall provide on structures, and other places where appropriate,
conspicuous indicators of past and probable flood height to enhance
public knowledge of flood hazards.
[[Page 112]]
(5) Transfer of EPA Property--When property in flood plains is
proposed for lease, easement, right-of-way, or disposal to non-Federal
public or private parties, EPA shall reference in the conveyance those
uses that are restricted under Federal, State and local floodplain
regulations and attach other restrictions to uses of the property as may
be deemed appropriate. Notwithstanding, EPA shall consider withholding
such properties from conveyance.
Section 7 Implementation
a. Pursuant to section 2, the EPA program offices shall amend
existing regulations, procedures, and guidance, as appropriate, to
incorporate the policies and procedures set forth in this Statement of
Procedures. Such amendments shall be made within six months of the date
of these Procedures.
b. The Office of External Affairs (OEA) is responsible for the
oversight of the implementation of this Statement of Procedures and
shall be given advanced opportunity to review amendments to regulations,
procedures, and guidance. OEA shall coordinate efforts with the program
offices to develop necessary manuals and more specialized supplementary
guidance to carry out this Statement of Procedures.
[44 FR 64177, Nov. 6, 1976, as amended at 50 FR 26323, June 25, 1985]
PART 7--NONDISCRIMINATION IN PROGRAMS RECEIVING FEDERAL ASSISTANCE FROM THE ENVIRONMENTAL PROTECTION AGENCY--Table of Contents
Subpart A--General
Sec.
7.10 Purpose of this part.
7.15 Applicability.
7.20 Responsible agency officers.
7.25 Definitions.
Subpart B--Discrimination Prohibited on the Basis of Race, Color,
National Origin or Sex
7.30 General prohibition.
7.35 Specific prohibitions.
Subpart C--Discrimination Prohibited on the Basis of Handicap
7.45 General prohibition.
7.50 Specific prohibitions against discrimination.
7.55 Separate or different programs.
7.60 Prohibitions and requirements relating to employment.
7.65 Accessibility.
7.70 New construction.
7.75 Transition plan.
Subpart D--Requirements for Applicants and Recipients
7.80 Applicants.
7.85 Recipients.
7.90 Grievance procedures.
7.95 Notice of nondiscrimination.
7.100 Intimidation and retaliation prohibited.
Subpart E--Agency Compliance Procedures
7.105 General policy.
7.110 Preaward compliance.
7.115 Postaward compliance.
7.120 Complaint investigations.
7.125 Coordination with other agencies.
7.130 Actions available to EPA to obtain compliance.
7.135 Procedure for regaining eligibility.
Appendix A to Part 7--EPA Assistance Programs as Listed in the ``Catalog
of Federal Domestic Assistance''
Authority: 42 U.S.C. 2000d to 2000d-4; 29 U.S.C. 794; 33 U.S.C. 1251
nt.
Source: 49 FR 1659, Jan. 12, 1984, unless otherwise noted.
Subpart A--General
Sec. 7.10 Purpose of this part.
This part implements: Title VI of the Civil Rights Act of 1964, as
amended; section 504 of the Rehabilitation Act of 1973, as amended; and
section 13 of the Federal Water Pollution Control Act Amendments of
1972, Public Law 92-500, (collectively, the Acts).
Sec. 7.15 Applicability.
This part applies to all applicants for, and recipients of, EPA
assistance in the operation of programs or activities receiving such
assistance beginning February 13, 1984. New construction (Sec. 7.70) for
which design was initiated prior to February 13, 1984, shall comply with
the accessibility requirements in the Department of Health, Education
and Welfare (now the Department of Health and Human Services)
nondiscrimination regulation, 45 CFR 84.23, issued June 3, 1977, or with
equivalent standards that ensure the facility is readily accessible to
and usable by handicapped persons. Such assistance includes but is not
limited to that which is listed in the Catalogue of
[[Page 113]]
Federal Domestic Assistance under the 66.000 series. It supersedes the
provisions of former 40 CFR parts 7 and 12.
Sec. 7.20 Responsible agency officers.
(a) The EPA Office of Civil Rights (OCR) is responsible for
developing and administering EPA's compliance programs under the Acts.
(b) EPA's Project Officers will, to the extent possible, be
available to explain to each recipient its obligations under this part
and to provide recipients with technical assistance or guidance upon
request.
Sec. 7.25 Definitions.
As used in this part:
Administrator means the Administrator of EPA. It includes any other
agency official authorized to act on his or her behalf, unless explicity
stated otherwise.
Alcohol abuse means any misuse of alcohol which demonstrably
interferes with a person's health, interpersonal relations or working
ability.
Applicant means any entity that files an application or unsolicited
proposal or otherwise requests EPA assistance (see definition for EPA
assistance).
Assistant Attorney General is the head of the Civil Rights Division,
U.S. Department of Justice.
Award Official means the EPA official with the authority to approve
and execute assistance agreements and to take other assistance related
actions authorized by this part and by other EPA regulations or
delegation of authority.
Drug abuse means:
(a) The use of any drug or substance listed by the Department of
Justice in 21 CFR 1308.11, under authority of the Controlled Substances
Act, 21 U.S.C. 801, as a controlled substance unavailable for
prescription because:
(1) The drug or substance has a high potential for abuse,
(2) The drug or other substance has no currently accepted medical
use in treatment in the United States, or
(3) There is a lack of accepted safety for use of the drug or other
substance under medical supervision.
Note: Examples of drugs under paragraph (a)(1) of this section
include certain opiates and opiate derivatives (e.g., heroin) and
hallucinogenic substances (e.g., marijuana, mescaline, peyote) and
depressants (e.g., methaqualone). Examples of (a)(2) include opium, coca
leaves, methadone, amphetamines and barbiturates.
(b) The misuse of any drug or substance listed by the Department of
Justice in 21 CFR 1308.12-1308.15 under authority of the Controlled
Substances Act as a controlled substance available for prescription.
EPA means the United States Environmental Protection Agency.
EPA assistance means any grant or cooperative agreement, loan,
contract (other than a procurement contract or a contract of insurance
or guaranty), or any other arrangement by which EPA provides or
otherwise makes available assistance in the form of:
(1) Funds;
(2) Services of personnel; or
(3) Real or personal property or any interest in or use of such
property, including:
(i) Transfers or leases of such property for less than fair market
value or for reduced consideration; and
(ii) Proceeds from a subsequent transfer or lease of such property
if EPA's share of its fair market value is not returned to EPA.
Facility means all, or any part of, or any interests in structures,
equipment, roads, walks, parking lots, or other real or personal
property.
Handicapped person:
(a) Handicapped person means any person who (1) has a physical or
mental impairment which substantially limits one or more major life
activities, (2) has a record of such an impairment, or (3) is regarded
as having such an impairment. For purposes of employment, the term
handicapped person does not include any person who is an alcoholic or
drug abuser whose current use of alcohol or drugs prevents such
individual from performing the duties of the job in question or whose
employment, by reason of such current drug or alcohol abuse, would
constitute a direct threat to property or the safety of others.
(b) As used in this paragraph, the phrase:
(1) Physical or mental impairment means (i) any physiological
disorder or condition, cosmetic disfigurement, or anatomical loss
affecting one or more of the following body systems: Neurological;
musculoskeletal; special sense organs; respiratory, including speech
[[Page 114]]
organs; cardiovascular; reproductive; digestive; genito-urinary; hemic
and lymphatic; skin; and endocrine; and (ii) any mental or psychological
disorder, such as mental retardation, organic brain syndrome, emotional
or mental illness, and specific learning disabilities.
(2) Major life activities means functions such as caring for one's
self, performing manual tasks, walking, seeing, hearing, speaking,
breathing, learning, and working.
(3) Has a record of such an impairment means has a history of, or
has been misclassified as having, a mental or physical impairment that
substantially limits one or more major life activities.
(4) Is regarded as having an impairment means:
(i) Has a physical or mental impairment that does not substantially
limit major life activities but that is treated by a recipient as
constituting such a limitation;
(ii) Has a physical or mental impairment that substantially limits
major life activities only as a result of the attitudes of others toward
such impairment; or
(iii) Has none of the impairments defined above but is treated by a
recipient as having such an impairment.
Office of Civil Rights or OCR means the Director of the Office of
Civil Rights, EPA Headquarters or his/her designated representative.
Project Officer means the EPA official designated in the assistance
agreement (as defined in EPA assistance) as EPA's program contact with
the recipient; Project Officers are responsible for monitoring the
project.
Qualified handicapped person means:
(a) With respect to employment: A handicapped person who, with
reasonable accommodation, can perform the essential functions of the job
in question.
(b) With respect to services: A handicapped person who meets the
essential eligibility requirements for the receipt of such services.
Racial classifications: 1
---------------------------------------------------------------------------
\1\ Additional subcategories based on national origin or primary
language spoken may be used where appropriate on either a national or a
regional basis. Subparagraphs (a) through (e) are in conformity with
Directive 15 of the Office of Federal Statistical Policy and Standards,
whose function is now in the Office of Information and Regulatory
Affairs, Office of Management and Budget. Should that office, or any
successor office, change or otherwise amend the categories listed in
Directive 15, the categories in this paragraph shall be interpreted to
conform with any such changes or amendments.
---------------------------------------------------------------------------
(a) American Indian or Alaskan native. A person having origins in
any of the original peoples of North America, and who maintains cultural
identification through tribal affiliation or community recognition.
(b) Asian or Pacific Islander. A person having origins in any of the
original peoples of the Far East, Southeast Asia, the Indian
subcontinent, or the Pacific Islands. This area includes, for example,
China, Japan, Korea, the Philippine Islands, and Samoa.
(c) Black and not of Hispanic origin. A person having origins in any
of the black racial groups of Africa.
(d) Hispanic. A person of Mexican, Puerto Rican, Cuban, Central or
South American or other Spanish culture or origin, regardless or race.
(e) White, not of Hispanic origin. A person having origins in any of
the original peoples of Europe, North Africa, or the Middle East.
Recipient means, for the purposes of this regulation, any State or
its political subdivision, any instrumentality of a State or its
political subdivision, any public or private agency, institution,
organization, or other entity, or any person to which Federal financial
assistance is extended directly or through another recipient, including
any successor, assignee, or transferee of a recipient, but excluding the
ultimate beneficiary of the assistance.
Section 13 refers to section 13 of the Federal Water Pollution
Control Act Amendments of 1972.
United States includes the States of the United States, the District
of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands,
American Samoa, Guam, Wake Island, the Canal Zone, and all other
territories and possessions of the United States; the term State
includes any one of the foregoing.
[[Page 115]]
Subpart B--Discrimination Prohibited on the Basis of Race, Color,
National Origin or Sex
Sec. 7.30 General prohibition.
No person shall be excluded from participation in, be denied the
benefits of, or be subjected to discrimination under any program or
activity receiving EPA assistance on the basis of race, color, national
origin, or on the basis of sex in any program or activity receiving EPA
assistance under the Federal Water Pollution Control Act, as amended,
including the Environmental Financing Act of 1972.
Sec. 7.35 Specific prohibitions.
(a) As to any program or activity receiving EPA assistance, a
recipient shall not directly or through contractual, licensing, or other
arrangements on the basis of race, color, national origin or, if
applicable, sex:
(1) Deny a person any service, aid or other benefit of the program;
(2) Provide a person any service, aid or other benefit that is
different, or is provided differently from that provided to others under
the program;
(3) Restrict a person in any way in the enjoyment of any advantage
or privilege enjoyed by others receiving any service, aid, or benefit
provided by the program;
(4) Subject a person to segregation in any manner or separate
treatment in any way related to receiving services or benefits under the
program;
(5) Deny a person or any group of persons the opportunity to
participate as members of any planning or advisory body which is an
integral part of the program, such as a local sanitation board or sewer
authority;
(6) Discriminate in employment on the basis of sex in any program
subject to section 13, or on the basis of race, color, or national
origin in any program whose purpose is to create employment; or, by
means of employment discrimination, deny intended beneficiaries the
benefits of the EPA assistance program, or subject the beneficiaries to
prohibited discrimination.
(7) In administering a program or activity receiving Federal
financial assistance in which the recipient has previously discriminated
on the basis of race, color, sex, or national origin, the recipient
shall take affirmative action to provide remedies to those who have been
injured by the discrimination.
(b) A recipient shall not use criteria or methods of administering
its program which have the effect of subjecting individuals to
discrimination because of their race, color, national origin, or sex, or
have the effect of defeating or substantially impairing accomplishment
of the objectives of the program with respect to individuals of a
particular race, color, national origin, or sex.
(c) A recipient shall not choose a site or location of a facility
that has the purpose or effect of excluding individuals from, denying
them the benefits of, or subjecting them to discrimination under any
program to which this part applies on the grounds of race, color, or
national origin or sex; or with the purpose or effect of defeating or
substantially impairing the accomplishment of the objectives of this
subpart.
(d) The specific prohibitions of discrimination enumerated above do
not limit the general prohibition of Sec. 7.30.
Subpart C--Discrimination Prohibited on the Basis of Handicap
Sec. 7.45 General prohibition.
No qualified handicapped person shall solely on the basis of
handicap be excluded from participation in, be denied the benefits of,
or otherwise be subjected to discrimination under any program or
activity receiving EPA assistance.
Sec. 7.50 Specific prohibitions against discrimination.
(a) A recipient, in providing any aid, benefit or service under any
program or activity receiving EPA assistance shall not, on the basis of
handicap, directly or through contractual, licensing, or other
arrangement:
(1) Deny a qualified handicapped person any service, aid or other
benefit of a federally assisted program;
(2) Provide different or separate aids, benefits, or services to
handicapped persons or to any class of handicapped persons than is
provided to others unless the action is necessary to provide
[[Page 116]]
qualified handicapped persons with aids, benefits, or services that are
as effective as those provided to others;
(3) Aid or perpetuate discrimination against a qualified handicapped
person by providing significant assistance to an entity that
discriminates on the basis of handicap in providing aids, benefits, or
services to beneficiaries of the recipient's program;
(4) Deny a qualified handicapped person the opportunity to
participate as a member of planning or advisory boards; or
(5) Limit a qualified handicapped person in any other way in the
enjoyment of any right, privilege, advantage, or opportunity enjoyed by
others receiving an aid, benefit or service from the program.
(b) A recipient may not, in determining the site or location of a
facility, make selections: (1) That have the effect of excluding
handicapped persons from, denying them the benefits of, or otherwise
subjecting them to discrimination under any program or activity that
receives or benefits from EPA assistance or (2) that have the purpose or
effect of defeating or substantially impairing the accomplishment of the
objectives of the program or activity receiving EPA assistance with
respect to handicapped persons.
(c) A recipient shall not use criteria or methods of administering
any program or activity receiving EPA assistance which have the effect
of subjecting individuals to discrimination because of their handicap,
or have the effect of defeating or substantially impairing
accomplishment of the objectives of such program or activity with
respect to handicapped persons.
(d) Recipients shall take appropriate steps to ensure that
communications with their applicants, employees, and beneficiaries are
available to persons with impaired vision and hearing.
(e) The exclusion of non-handicapped persons or specified classes of
handicapped persons from programs limited by Federal statute or
Executive Order to handicapped persons or a different class of
handicapped persons is not prohibited by this subpart.
Sec. 7.55 Separate or different programs.
Recipients shall not deny a qualified handicapped person an
opportunity equal to that afforded others to participate in or benefit
from the aid, benefit, or service in the program receiving EPA
assistance. Recipients shall administer programs in the most integrated
setting appropriate to the needs of qualified handicapped persons.
Sec. 7.60 Prohibitions and requirements relating to employment.
(a) No qualified handicapped person shall, on the basis of handicap,
be subjected to discrimination in employment under any program or
activity that receives or benefits from Federal assistance.
(b) A recipient shall make all decisions concerning employment under
any program or activity to which this part applies in a manner which
ensures that discrimination on the basis of handicap does not occur, and
shall not limit, segregate, or classify applicants or employees in any
way that adversely affects their opportunities or status because of
handicap.
(c) The prohibition against discrimination in employment applies to
the following activities:
(1) Recruitment, advertising, and the processing of applications for
employment;
(2) Hiring, upgrading, promotion, award of tenure, demotion,
transfer, layoff, termination, right of return from layoff, and
rehiring;
(3) Rates of pay or any other form of compensation and changes in
compensation;
(4) Job assignments, job classifications, organizational structures,
position descriptions, lines of progression, and seniority lists;
(5) Leaves of absence, sick leave, or any other leave;
(6) Fringe benefits available by virtue of employment, whether or
not administered by the recipient;
(7) Selection and financial support for training, including
apprenticeship, professional meetings, conferences, and other related
activities, and selection for leaves of absence to pursue training;
[[Page 117]]
(8) Employer sponsored activities, including social or recreational
programs; or
(9) Any other term, condition, or privilege of employment.
(d) A recipient shall not participate in a contractual or other
relationship that has the effect of subjecting qualified handicapped
applicants or employees to discrimination prohibited by this subpart.
The relationships referred to in this paragraph include relationships
with employment and referral agencies, with labor unions, with
organizations providing or administering fringe benefits to employees of
the recipient, and with organizations providing training and
apprenticeship programs.
(e) A recipient shall make reasonable accommodation to the known
physical or mental limitations of an otherwise qualified handicapped
applicant or employee unless the recipient can demonstrate that the
accommodation would impose an undue hardship on the operation of its
program.
(f) A recipient shall not use employment tests or criteria that
discriminate against handicapped persons and shall ensure that
employment tests are adapted for use by persons who have handicaps that
impair sensory, manual, or speaking skills.
(g) A recipient shall not conduct a preemployment medical
examination or make a preemployment inquiry as to whether an applicant
is a handicapped person or as to the nature or severity of a handicap
except as permitted by the Department of Justice in 28 CFR 42.513.
Sec. 7.65 Accessibility.
(a) General. A recipient shall operate each program or activity
receiving EPA assistance so that such program or activity, when viewed
in its entirety, is readily accessible to and usable by handicapped
persons. This paragraph does not:
(1) Necessarily require a recipient to make each of its existing
facilities or every part of an existing facility accessible to and
usable by handicapped persons.
(2) Require a recipient to take any action that the recipient can
demonstrate would result in a fundamental alteration in the nature of
its program or activity or in undue financial and administrative
burdens. If an action would result in such an alternation or such
financial and administrative burdens, the recipient shall be required to
take any other action that would not result in such an alteration or
financial and administrative burdens but would nevertheless ensure that
handicapped persons receive the benefits and services of the program or
activity receiving EPA assistance.
(b) Methods of making existing programs accessible. A recipient may
comply with the accessibility requirements of this section by making
structural changes, redesigning equipment, reassigning services to
accessible buildings, assigning aides to beneficiaries, or any other
means that make its program or activity accessible to handicapped
persons. In choosing among alternatives, a recipient must give priority
to methods that offer program benefits to handicapped persons in the
most integrated setting appropriate.
(c) Deadlines. (1) Except where structural changes in facilities are
necessary, recipients must adhere to the provisions of this section
within 60 days after the effective date of this part.
(2) Recipients having an existing facility which does require
alterations in order to make a program or activity accessible must
prepare a transition plan in accordance with Sec. 7.75 within six months
from the effective date of this part. The recipient must complete the
changes as soon as possible, but not later than three years from date of
award.
(d) Notice of accessibility. The recipient must make sure that
interested persons, including those with impaired vision or hearing, can
find out about the existence and location of the assisted program
services, activities, and facilities that are accessible to and usable
by handicapped persons.
(e) Structural and financial feasibility. This section does not
require structural alterations to existing facilities if making such
alterations would not be structurally or financially feasible. An
alteration is not structurally feasible when it has little likelihood of
being accomplished without removing
[[Page 118]]
or altering a load-bearing structural member. Financial feasibility
shall take into account the degree to which the alteration work is to be
assisted by EPA assistance, the cost limitations of the program under
which such assistance is provided, and the relative cost of
accomplishing such alterations in manners consistent and inconsistent
with accessibility.
Sec. 7.70 New construction.
(a) General. New facilities shall be designed and constructed to be
readily accessible to and usable by handicapped persons. Alterations to
existing facilities shall, to the maximum extent feasible, be designed
and constructed to be readily accessible to and usable by handicapped
persons.
(b) Conformance with Uniform Federal Accessibility Standards. (1)
Effective as of January 18, 1991, design, construction, or alteration of
buildings in conformance with sections 3-8 of the Uniform Federal
Accessibility Standards (USAF) (appendix A to 41 CFR subpart 101-19.6)
shall be deemed to comply with the requirements of this section with
respect to those buildings. Departures from particular technical and
scoping requirements of UFAS by the use of other methods are permitted
where substantially equivalent or greater access to and usability of the
building is provided.
(2) For purposes of this section, section 4.1.6(1)(g) of UFAS shall
be interpreted to exempt from the requirements of UFAS only mechanical
rooms and other spaces that, because of their intended use, will not
require accessibility to the public or beneficiaries or result in the
employment or residence therein of persons with physical handicaps.
(3) This section does not require recipients to make building
alterations that have little likelihood of being accomplished without
removing or altering a load-bearing structural member.
[49 FR 1659, Jan. 12, 1984, as amended at 55 FR 52138, 52142, Dec. 19,
1990]
Sec. 7.75 Transition plan.
If structural changes to facilities are necessary to make the
program accessible to handicapped persons, a recipient must prepare a
transition plan.
(a) Requirements. The transition plan must set forth the steps
needed to complete the structural changes required and must be developed
with the assistance of interested persons, including handicapped persons
or organizations representing handicapped persons. At a minimum, the
transition plan must:
(1) Identify the physical obstacles in the recipient's facilities
that limit handicapped persons' access to its program or activity,
(2) Describe in detail what the recipient will do to make the
facilities accessible,
(3) Specify the schedule for the steps needed to achieve full
program accessibility, and include a year-by-year timetable if the
process will take more than one year,
(4) Indicate the person responsible for carrying out the plan.
(b) Availability. Recipients shall make available a copy of the
transition plan to the OCR upon request and to the public for inspection
at either the site of the project or at the recipient's main office.
Subpart D--Requirements for Applicants and Recipients
Sec. 7.80 Applicants.
(a) Assurances--(1) General. Applicants for EPA assistance shall
submit an assurance with their applications stating that, with respect
to their programs or activities that receive EPA assistance, they will
comply with the requirements of this part. Applicants must also submit
any other information that the OCR determines is necessary for preaward
review. The applicant's acceptance of EPA assistance is an acceptance of
the obligation of this assurance and this part.
(2) Duration of assurance--(i) Real property. When EPA awards
assistance in the form of real property, or assistance to acquire real
property, or structures on the property, the assurance will obligate the
recipient, or transferee, during the period the real property or
structures are used for the purpose for which EPA assistance is
extended, or for another purpose in which similar services or benefits
are provided. The transfer instrument shall contain a covenant running
with the
[[Page 119]]
land which assures nondiscrimination. Where applicable, the covenant
shall also retain a right of reverter which will permit EPA to recover
the property if the covenant is ever broken.
(ii) Personal property. When EPA provides assistance in the form of
personal property, the assurance will obligate the recipient for so long
as it continues to own or possess the property.
(iii) Other forms of assistance. In all other cases, the assurance
will obligate the recipient for as long as EPA assistance is extended.
(b) Wastewater treatment project. EPA Form 4700-4 shall also be
submitted with applications for assistance under Title II of the Federal
Water Pollution Control Act.
(c) Compliance information. Each applicant for EPA assistance shall
submit regarding the program or activity that would receive EPA
assistance:
(1) Notice of any lawsuit pending against the applicant alleging
discrimination on the basis of race, color, sex, handicap, or national
origin;
(2) A brief description of any applications pending to other Federal
agencies for assistance, and of Federal assistance being provided at the
time of the application; and
(3) A statement describing any civil rights compliance reviews
regarding the applicant conducted during the two-year period before the
application, and information concerning the agency or organization
performing the reviews.
(Approved by the Office of Management and Budget under control number
2000-0006)
Sec. 7.85 Recipients.
(a) Compliance information. Each recipient shall collect, maintain,
and on request of the OCR, provide the following information to show
compliance with this part:
(1) A brief description of any lawsuits pending against the
recipient that allege discrimination which this part prohibits;
(2) Racial/ethnic, national origin, sex and handicap data, or EPA
Form 4700-4 information submitted with its application;
(3) A log of discrimination complaints which identifies the
complaint, the date it was filed, the date the recipient's investigation
was completed, the disposition, and the date of disposition; and
(4) Reports of any compliance reviews conducted by any other
agencies.
(b) Additional compliance information. If necessary, the OCR may
require recipients to submit data and information specific to certain
programs to determine compliance where there is reason to believe that
discrimination may exist in a program or activity receiving EPA
assistance or to investigate a complaint alleging discrimination in a
program or activity receiving EPA assistance. Requests shall be limited
to data and information which is relevant to determining compliance and
shall be accompanied by a written statement summarizing the complaint or
setting forth the basis for the belief that discrimination may exist.
(c) Self-evaluation. Each recipient must conduct a self-evaluation
of its administrative policies and practices, to consider whether such
policies and practices may involve handicap discrimination prohibited by
this part. When conducting the self-evaluation, the recipient shall
consult with interested and involved persons including handicapped
persons or organizations representing handicapped persons. The
evaluation shall be completed within 18 months after the effective date
of this part.
(d) Preparing compliance information. In preparing compliance
information, a recipient must:
(1) [Reserved]
(2) Use the racial classifications set forth in Sec. 7.25 in
determining categories of race, color or national origin.
(e) Maintaining compliance information. Recipients must keep records
for paragraphs (a) and (b) of this section for three (3) years after
completing the project. When any complaint or other action for alleged
failure to comply with this part is brought before the three-year period
ends, the recipient shall keep records until the complaint is resolved.
(f) Accessibility to compliance information. A recipient shall:
(1) Give the OCR access during normal business hours to its books,
records, accounts and other sources of information, including its
facilities, as
[[Page 120]]
may be pertinent to ascertain compliance with this part;
(2) Make compliance information available to the public upon
request; and
(3) Assist in obtaining other required information that is in the
possession of other agencies, institutions, or persons not under the
recipient's control. If such party refuses to release that information,
the recipient shall inform the OCR and explain its efforts to obtain the
information.
(g) Coordination of compliance effort. If the recipient employs
fifteen (15) or more employees, it shall designate at least one person
to coordinate its efforts to comply with its obligations under this
part.
(Approved by the Office of Management and Budget under control number
2000-0006)
Sec. 7.90 Grievance procedures.
(a) Requirements. Each recipient shall adopt grievance procedures
that assure the prompt and fair resolution of complaints which allege
violation of this part.
(b) Exception. Recipients with fewer than fifteen (15) full-time
employees need not comply with this section unless the OCR finds a
violation of this part or determines that creating a grievance procedure
will not significantly impair the recipient's ability to provide
benefits or services.
Sec. 7.95 Notice of nondiscrimination.
(a) Requirements. A recipient shall provide initial and continuing
notice that it does not discriminate on the basis of race, color,
national origin, or handicap in a program or activity receiving EPA
assistance or, in programs covered by section 13, on the basis of sex.
Methods of notice must accommodate those with impaired vision or
hearing. At a minimum, this notice must be posted in a prominent place
in the recipient's offices or facilities. Methods of notice may also
include publishing in newspapers and magazines, and placing notices in
recipient's internal publications or on recipient's printed letterhead.
Where appropriate, such notice must be in a language or languages other
than English. The notice must identify the responsible employee
designated in accordance with Sec. 7.85.
(b) Deadline. Recipients of assistance must provide initial notice
by thirty (30) calendar days after award and continuing notice for the
duration of EPA assistance.
Sec. 7.100 Intimidation and retaliation prohibited.
No applicant, recipient, nor other person shall intimidate,
threaten, coerce, or discriminate against any individual or group,
either:
(a) For the purpose of interfering with any right or privilege
guaranteed by the Acts or this part, or
(b) Because the individual has filed a complaint or has testified,
assisted or participated in any way in an investigation, proceeding or
hearing under this part, or has opposed any practice made unlawful by
this regulation.
Subpart E--Agency Compliance Procedures
Sec. 7.105 General policy.
EPA's Administrator, Director of the Office of Civil Rights, Project
Officers and other responsible officials shall seek the cooperation of
applicants and recipients in securing compliance with this part, and are
available to provide help.
Sec. 7.110 Preaward compliance.
(a) Review of compliance information. Within EPA's application
processing period, the OCR will determine whether the applicant is in
compliance with this part and inform the Award Official. This
determination will be based on the submissions required by Sec. 7.80 and
any other information EPA receives during this time (including
complaints) or has on file about the applicant. When the OCR cannot make
a determination on the basis of this information, additional information
will be requested from the applicant, local government officials, or
interested persons or organizations, including handicapped persons or
organizations representing such persons. The OCR may also conduct an on-
site review only when it has reason to believe discrimination may be
occurring in a program
[[Page 121]]
or activity which is the subject of the application.
(b) Voluntary compliance. If the review indicates noncompliance, an
applicant may agree in writing to take the steps the OCR recommends to
come into compliance with this part. The OCR must approve the written
agreement before any award is made.
(c) Refusal to comply. If the applicant refuses to enter into such
an agreement, the OCR shall follow the procedure established by
paragraph (b) of Sec. 7.130.
Sec. 7.115 Postaward compliance.
(a) Periodic review. The OCR may periodically conduct compliance
reviews of any recipient's programs or activities receiving EPA
assistance, including the request of data and information, and may
conduct on-site reviews when it has reason to believe that
discrimination may be occurring in such programs or activities.
(b) Notice of review. After selecting a recipient for review or
initiating a complaint investigation in accordance with Sec. 7.120, the
OCR will inform the recipient of:
(1) The nature of and schedule for review, or investigation; and
(2) Its opportunity, before the determination in paragraph (d) of
this section is made, to make a written submission responding to,
rebutting, or denying the allegations raised in the review or complaint.
(c) Postreview notice. (1) Within 180 calendar days from the start
of the compliance review or complaint investigation, the OCR will notify
the recipient in writing by certified mail, return receipt requested,
of:
(i) Preliminary findings;
(ii) Recommendations, if any, for achieving voluntary compliance;
and
(iii) Recipient's right to engage in voluntary compliance
negotiations where appropriate.
(2) The OCR will notify the Award Official and the Assistant
Attorney General for Civil Rights of the preliminary findings of
noncompliance.
(d) Formal determination of noncompliance. After receiving the
notice of the preliminary finding of noncompliance in paragraph (c) of
this section, the recipient may:
(1) Agree to the OCR's recommendations, or
(2) Submit a written response sufficient to demonstrate that the
preliminary findings are incorrect, or that compliance may be achieved
through steps other than those recommended by OCR.
If the recipient does not take one of these actions within fifty (50)
calendar days after receiving this preliminary notice, the OCR shall,
within fourteen (14) calendar days, send a formal written determination
of noncompliance to the recipient and copies to the Award Official and
Assistant Attorney General.
(e) Voluntary compliance time limits. The recipient will have ten
(10) calendar days from receipt of the formal determination of
noncompliance in which to come into voluntary compliance. If the
recipient fails to meet this deadline, the OCR must start proceedings
under paragraph (b) of Sec. 7.130.
(f) Form of voluntary compliance agreements. All agreements to come
into voluntary compliance must:
(1) Be in writing;
(2) Set forth the specific steps the recipient has agreed to take,
and
(3) Be signed by the Director, OCR or his/her designee and an
official with authority to legally bind the recipient.
Sec. 7.120 Complaint investigations.
The OCR shall promptly investigate all complaints filed under this
section unless the complainant and the party complained against agree to
a delay pending settlement negotiations.
(a) Who may file a complaint. A person who believes that he or she
or a specific class of persons has been discriminated against in
violation of this part may file a complaint. The complaint may be filed
by an authorized representative. A complaint alleging employment
discrimination must identify at least one individual aggrieved by such
discrimination. Complaints solely alleging employment discrimination
against an individual on the basis of race, color, national origin, sex
or religion shall be processed under the procedures for complaints of
employment discrimination filed against recipients of Federal assistance
(see 28 CFR part 42, subpart H and 29 CFR part 1691).
[[Page 122]]
Complainants are encouraged but not required to make use of any
grievance procedure established under Sec. 7.90 before filing a
complaint. Filing a complaint through a grievance procedure does not
extend the 180 day calendar requirement of paragraph (b)(2 of this
section.
(b) Where, when and how to file complaint. The complainant may file
a complaint at any EPA office. The complaint may be referred to the
region in which the alleged discriminatory acts occurred.
(1) The complaint must be in writing and it must describe the
alleged discriminatory acts which violate this part.
(2) The complaint must be filed within 180 calendar days of the
alleged discriminatory acts, unless the OCR waives the time limit for
good cause. The filing of a grievance with the recipient does not
satisfy the requirement that complaints must be filed within 180 days of
the alleged discriminatory acts.
(c) Notification. The OCR will notify the complainant and the
recipient of the agency's receipt of the complaint within five (5)
calendar days.
(d) Complaint processing procedures. After acknowledging receipt of
a complaint, the OCR will immediately initiate complaint processing
procedures.
(1) Preliminary investigation. (i) Within twenty (20) calendar days
of acknowledgment of the complaint, the OCR will review the complaint
for acceptance, rejection, or referral to the appropriate Federal
agency.
(ii) If the complaint is accepted, the OCR will notify the
complainant and the Award Official. The OCR will also notify the
applicant or recipient complained against of the allegations and give
the applicant or recipient opportunity to make a written submission
responding to, rebutting, or denying the allegations raised in the
complaint.
(iii) The party complained against may send the OCR a response to
the notice of complaint within thirty (30) calendar days of receiving
it.
(2) Informal resolution. (i) OCR shall attempt to resolve complaints
informally whenever possible. When a complaint cannot be resolved
informally, OCR shall follow the procedures established by paragraphs
(c) through (e) of Sec. 7.115.
(ii) [Reserved]
(e) Confidentiality. EPA agrees to keep the complainant's identity
confidential except to the extent necessary to carry out the purposes of
this part, including the conduct of any investigation, hearing, or
judicial proceeding arising thereunder. Ordinarily in complaints of
employment discrimination, the name of the complainant will be given to
the recipient with the notice of complaint.
(f) [Reserved]
(g) Dismissal of complaint. If OCR's investigation reveals no
violation of this part, the Director, OCR, will dismiss the complaint
and notify the complainant and recipient.
Sec. 7.125 Coordination with other agencies.
If, in the conduct of a compliance review or an investigation, it
becomes evident that another agency has jurisdiction over the subject
matter, OCR will cooperate with that agency during the continuation of
the review of investigation. EPA will:
(a) Coordinate its efforts with the other agency, and
(b) Ensure that one of the agencies is designated the lead agency
for this purpose. When an agency other than EPA serves as the lead
agency, any action taken, requirement imposed, or determination made by
the lead agency, other than a final determination to terminate funds,
shall have the same effect as though such action had been taken by EPA.
Sec. 7.130 Actions available to EPA to obtain compliance.
(a) General. If compliance with this part cannot be assured by
informal means, EPA may terminate or refuse to award or to continue
assistance. EPA may also use any other means authorized by law to get
compliance, including a referral of the matter to the Department of
Justice.
(b) Procedure to deny, annul, suspend or terminate EPA assistance--
(1) OCR finding. If OCR determines that an applicant or recipient is not
in compliance with this part, and if compliance cannot be achieved
voluntarily, OCR
[[Page 123]]
shall make a finding of noncompliance. The OCR will notify the applicant
or recipient (by registered mail, return receipt requested) of the
finding, the action proposed to be taken, and the opportunity for an
evidentiary hearing.
(2) Hearing. (i) Within 30 days of receipt of the above notice, the
applicant or recipient shall file a written answer, under oath or
affirmation, and may request a hearing.
(ii) The answer and request for a hearing shall be sent by
registered mail, return receipt requested, to the Chief Administrative
Law Judge (ALJ) (A-110), United States Environmental Protection Agency,
401 M Street, SW., Washington, DC 20460. Upon receipt of a request for a
hearing, the ALJ will send the applicant or recipient a copy of the
ALJ's procedures. If the recipient does not request a hearing, it shall
be deemed to have waived its right to a hearing, and the OCR finding
shall be deemed to be the ALJ's determination.
(3) Final decision and disposition. (i) The applicant or recipient
may, within 30 days of receipt of the ALJ's determination, file with the
Administrator its exceptions to that determination. When such exceptions
are filed, the Administrator may, within 45 days after the ALJ's
determination, serve to the applicant or recipient, a notice that he/she
will review the determination. In the absence of either exceptions or
notice of review, the ALJ's determination shall constitute the
Administrator's final decision.
(ii) If the Administrator reviews the ALJ's determination, all
parties shall be given reasonable opportunity to file written
statements. A copy of the Administrator's decision will be sent to the
applicant or recipient.
(iii) If the Administrator's decision is to deny an application, or
annul, suspend or terminate EPA assistance, that decision becomes
effective thirty (30) days from the date on which the Administrator
submits a full written report of the circumstances and grounds for such
action to the Committees of the House and Senate having legislative
jurisdiction over the program or activity involved. The decision of the
Administrator shall not be subject to further administrative appeal
under EPA's General Regulation for Assistance Programs (40 CFR part 30,
subpart L).
(4) Scope of decision. The denial, annulment, termination or
suspension shall be limited to the particular applicant or recipient who
was found to have discriminated, and shall be limited in its effect to
the particular program or the part of it in which the discrimination was
found.
Sec. 7.135 Procedure for regaining eligibility.
(a) Requirements. An applicant or recipient whose assistance has
been denied, annulled, terminated, or suspended under this part regains
eligibility as soon as it:
(1) Provides reasonable assurance that it is complying and will
comply with this part in the future, and
(2) Satisfies the terms and conditions for regaining eligibility
that are specified in the denial, annulment, termination or suspension
order.
(b) Procedure. The applicant or recipient must submit a written
request to restore eligibility to the OCR declaring that it has met the
requirements set forth in paragraph (a) of this section. Upon
determining that these requirements have been met, the OCR must notify
the Award Official, and the applicant or recipient that eligibility has
been restored.
(c) Rights on denial of restoration of eligibility. If the OCR
denies a request to restore eligibility, the applicant or recipient may
file a written request for a hearing before the EPA Chief Administrative
Law Judge in accordance with paragraph (c) Sec. 7.130, listing the
reasons it believes the OCR was in error.
Appendix A to Part 7--EPA Assistance Programs as Listed in the ``Catalog
of Federal Domestic Assistance''
1. Assistance provided by the Office of Air, Noise and Radiation
under the Clean Air Act of 1977, as amended; Pub. L. 95-95, 42 U.S.C.
7401 et seq. (ANR 66.001)
2. Assistance provided by the Office of Air, Noise and Radiation
under the Clean Air Act of 1977, as amended; Pub. L. 95-95, 42 U.S.C.
7401 et seq. (ANR 66.003)
3. Assistance provided by the Office of Water under the Clean Water
Act of 1977, as amended; sections 101(e), 109(b), 201-05, 207, 208(d),
210-12, 215-19, 304(d)(3), 313, 501, 502, 511
[[Page 124]]
and 516(b); Pub. L. 97-117; Pub. L. 95-217; Pub. L. 96-483; 33 U.S.C.
1251 et seq. (OW 66.418)
4. Assistance provided by the Office of Water under the Clean Water
Act of 1977, as amended; section 106; Pub. L. 95-217; 33 U.S.C. 1251 et
seq. (OW 66.419)
5. Assistance provided by the Office of Water under the Clean Water
Act of 1977, as amended; Pub. L. 95-217; 33 U.S.C. 1251 et seq. (OW
66.426)
6. Assistance provided by the Office of Water under the Public
Health Service Act, as amended by the Safe Drinking Water Act, Pub. L.
93-523; as amended by Pub. L. 93-190; Pub. L. 96-63; and Pub. L. 93-502.
(OW 66.432)
7. Assistance provided by the Office of Water under the Safe
Drinking Water Act, Pub. L. 93-523, as amended by Pub. L. 96-63, Pub. L.
95-190, and Pub. L. 96-502. (OW 66.433)
8. Assistance provided by the Office of Water under the Clean Water
Act of 1977, section 205(g), as amended by Pub. L. 95-217 and the
Federal Water Pollution Control Act, as amended; Pub. L. 97-117; 33
U.S.C. 1251 et seq. (OW 66.438)
9. Assistance provided by the Office of Water under the Resource
Conservation and Recovery Act of 1976; as amended by the Solid Waste
Disposal Act; Pub. L. 94-580; section 3011, 42 U.S.C. 6931, 6947, 6948-
49. (OW 66.802).
10. Assistance provided by the Office of Research and Development
under the Clean Air Act of 1977, as amended; Pub. L. 95-95; 42 U.S.C. et
seq.; Clean Water Act of 1977, as amended; Pub. L. 95-217; 33 U.S.C.
1251 et seq., section 8001 of the Solid Water Disposal Act, as amended
by the Resource Conservation and Recovery Act of 1976; Pub. L. 94-580;
42 U.S.C. 6901, Public Health Service Act as amended by the Safe
Drinking Water Act as amended by Pub. L. 95-190; Federal Insecticide,
Fungicide and Rodenticide Act; Pub. L. 95-516; 7 U.S.C. 136 et seq., as
amended by Pub. L.'s 94-140 and 95-396; Toxic Substances Control Act; 15
U.S.C. 2609; Pub. L. 94-469. (ORD 66.500)
11. Assistance provided by the Office of Research and Development
under the Clean Air Act of 1977, as amended; Pub. L. 95-95; 42 U.S.C.
7401 et seq. (ORD 66.501)
12. Assistance provided by the Office of Research and Development
under the Federal Insecticide, Fungicide and Rodenticide Act, Pub. L.
95-516, 7 U.S.C. 136 et seq., as amended by Pub. L.'s 94-140 and 95-396.
(ORD 66.502)
13. Assistance provided by the Office of Research and Development
under the Solid Waste Disposal Act, as amended by the Resource
Conservation and Recovery Act of 1976; 42 U.S.C. 6901, Pub. L. 94-580,
section 8001. (ORD 66.504)
14. Assistance provided by the Office of Research and Development
under the Clean Water Act of 1977, as amended; Pub. L. 95-217; 33 U.S.C.
1251 et seq. (ORD 66.505)
15. Assistance provided by the Office of Research and Development
under the Public Health Service Act as amended by the Safe Drinking
Water Act, as amended by Pub. L. 95-190 (ORD 66.506)
16. Assistance provided by the Office of Research and Development
under the Toxic Substances Control Act; Pub. L. 94-469; 15 U.S.C. 2609;
section 10. (ORD 66.507)
17. Assistance provided by the Office of Administration, including
but not limited to: Clean Air Act of 1977, as amended, Pub. L. 95-95; 42
U.S.C. 7401 et seq., Clean Water Act of 1977, as amended; Pub. L. 95-
217; 33 U.S.C. 1251 et seq.; Solid Waste Disposal Act, as amended by the
Resource Conservation and Recovery Act of 1976; 42 U.S.C. 6901; Pub. L.
94-580; Federal Insecticide, Fungicide and Rodenticide Act; Pub. L. 92-
516; 7 U.S.C. 136 et seq. as amended by Pub. L.'s 94-140 and 95-396;
Public Health Service Act, as amended by the Safe Drinking Water Act, as
amended by Pub. L. 95-190. (OA 66.600)
18. Assistance provided by the Office of Administration under the
Clean Water Act of 1977, as amended; Pub. L. 95-217; section 213; 33
U.S.C. 1251 et seq. (OA 66.603)
19. Assistance provided by the Office of Enforcement Counsel under
the Federal Insecticide and Rodenticide Act, as amended; Pub. L. 92-516;
7 U.S.C. 136 et seq., as amended by Pub. L. 94-140, section 23(a) and
Pub. L. 95-396. (OA 66.700)
20. Assistance provided by the Office of Solid Waste and Emergency
Response under the Comprehensive Environmental Responses, Compensation
and Liability Act of 1980; Pub. L. 96-510, section 3012, 42 U.S.C. 9601,
et seq. (OSW--number not to be assigned since Office of Management and
Budget does not catalog one-year programs.)
21. Assistance provided by the Office of Water under the Clean Water
Act as amended; Pub. L. 97-117, 33 U.S.C. 1313. (OW--66.454)
PART 8--ENVIRONMENTAL IMPACT ASSESSMENT OF NONGOVERNMENTAL ACTIVITIES IN ANTARCTICA--Table of Contents
Sec.
8.1 Purpose.
8.2 Applicability and effect.
8.3 Definitions.
8.4 Preparation of environmental documents, generally.
8.5 Submission of environmental documents.
8.6 Preliminary environmental review.
8.7 Initial environmental evaluation.
8.8 Comprehensive environmental evaluation.
8.9 Measures to assess and verify environmental impacts.
8.10 Cases of emergency.
[[Page 125]]
8.11 Prohibited acts, enforcement and penalties.
8.12 Coordination of reviews from other Parties.
Authority: 16 U.S.C. 2401 et seq., as amended, 16 U.S.C. 2403a.
Source: 62 FR 23545, Apr. 30, 1997, unless otherwise noted.
Sec. 8.1 Purpose.
(a) This part is issued pursuant to the Antarctic Science, Tourism,
and Conservation Act of 1996. As provided in that Act, this part
implements the requirements of Article 8 and Annex I to the Protocol on
Environmental Protection to the Antarctic Treaty of 1959 and provides
for:
(1) the environmental impact assessment of nongovernmental
activities, including tourism, for which the United States is required
to give advance notice under paragraph 5 of Article VII of the Antarctic
Treaty of 1959; and
(2) coordination of the review of information regarding
environmental impact assessment received by the United States from other
Parties under the Protocol.
(b) The procedures in this part are designed to: Ensure that
nongovernmental operators identify and assess the potential impacts of
their proposed activities, including tourism, on the Antarctic
environment; that operators consider these impacts in deciding whether
or how to proceed with proposed activities; and that operators provide
environmental documentation pursuant to the Act and Annex I of the
Protocol. These procedures are consistent with and implement the
environmental impact assessment provisions of Article 8 and Annex I to
the Protocol on Environmental Protection to the Antarctic Treaty.
Sec. 8.2 Applicability and effect.
(a) This part is intended to ensure that potential environmental
effects of nongovernmental activities undertaken in Antarctica are
appropriately identified and considered by the operator during the
planning process and that to the extent practicable, appropriate
environmental safeguards which would mitigate or prevent adverse impacts
on the Antarctic environment are identified by the operator.
(b) The requirements set forth in this part apply to nongovernmental
activities for which the United States is required to give advance
notice under paragraph 5 of Article VII of the Antarctic Treaty of 1959:
All nongovernmental expeditions to and within Antarctica organized in or
proceeding from its territory.
(c) This part does not apply to activities undertaken in the
Antarctic Treaty area that are governed by the Convention on the
Conservation of Antarctic Marine Living Resources or the Convention for
the Conservation of Antarctic Seals. Persons traveling to Antarctica are
subject to the requirements of the Marine Mammal Protection Act, 16
U.S.C. 1371 et seq.
(d) This part is effective on April 30, 1997. This part will expire
upon the earlier of the end of the 2000-2001 austral summer season or
upon issuance of a final regulation.
[62 FR 23545, Apr. 30, 1997, as amended at 63 FR 18326, Apr. 15, 1998]
Sec. 8.3 Definitions.
As used in this part:
Act means 16 U.S.C. 2401 et seq., Public Law 104-227, the Antarctic
Science, Tourism, and Conservation Act of 1996.
Annex I refers to Annex I, Environmental Impact Assessment, of the
Protocol.
Antarctica means the Antarctic Treaty area; i.e., the area south of
60 degrees south latitude.
Antarctic environment means the natural and physical environment of
Antarctica and its dependent and associated ecosystems, but excludes
social, economic, and other environments.
Antarctic Treaty area means the area south of 60 degrees south
latitude.
Antarctic Treaty Consultative Meeting (ATCM) means a meeting of the
Parties to the Antarctic Treaty, held pursuant to Article IX(1) of the
Treaty.
Comprehensive Environmental Evaluation (CEE) means a study of the
reasonably foreseeable potential effects of a proposed activity on the
Antarctic environment, prepared in accordance with the provisions of
this part and includes all comments received thereon. (See: 40 CFR 8.8.)
[[Page 126]]
Environmental document or environmental documentation (Document)
means a preliminary environmental review memorandum, an initial
environmental evaluation, or a comprehensive environmental evaluation.
Environmental impact assessment (EIA) means the environmental review
process required by the provisions of this part and by Annex I of the
Protocol, and includes preparation by the operator and U.S. government
review of an environmental document, and public access to and
circulation of environmental documents to other Parties and the
Committee on Environmental Protection as required by Annex I of the
Protocol.
EPA means the Environmental Protection Agency.
Expedition means any activity undertaken by one or more
nongovernmental persons organized within or proceeding from the United
States to or within the Antarctic Treaty area for which advance
notification is required under Paragraph 5 of Article VII of the Treaty.
Impact means impact on the Antarctic environment and dependent and
associated ecosystems.
Initial Environmental Evaluation (IEE) means a study of the
reasonably foreseeable potential effects of a proposed activity on the
Antarctic environment prepared in accordance with 40 CFR 8.7.
Operator or operators means any person or persons organizing a
nongovernmental expedition to or within Antarctica.
Person has the meaning given that term in section 1 of title 1,
United States Code, and includes any person subject to the jurisdiction
of the United States except that the term does not include any
department, agency, or other instrumentality of the Federal Government.
Preliminary environmental review means the environmental review
described under that term in 40 CFR 8.6.
Preliminary Environmental Review Memorandum (PERM) means the
documentation supporting the conclusion of the preliminary environmental
review that the impact of a proposed activity will be less than minor or
transitory on the Antarctic environment.
Protocol means the Protocol on Environmental Protection to the
Antarctic Treaty, done at Madrid, October 4, 1991, and all annexes
thereto which are in force for the United States.
This part means 40 CFR part 8.
Sec. 8.4 Preparation of environmental documents, generally.
(a) Basic information requirements. In addition to the information
required pursuant to other sections of this part, all environmental
documents shall contain the following:
(1) The name, mailing address, and phone number of the operator;
(2) The anticipated date(s) of departure of each expedition to
Antarctica;
(3) An estimate of the number of persons in each expedition;
(4) The means of conveyance of expedition(s) to and within
Antarctica;
(5) Estimated length of stay of each expedition in Antarctica;
(6) Information on proposed landing sites in Antarctica; and
(7) Information concerning training of staff, supervision of
expedition members, and what other measures, if any, that will be taken
to avoid or minimize possible environmental impacts.
(b) Preparation of an environmental document. Unless an operator
determines and documents that a proposed activity will have less than a
minor or transitory impact on the Antarctic environment, the operator
will prepare an IEE or CEE in accordance with this part. In making the
determination what level of environmental documentation is appropriate,
the operator should consider, as applicable, whether and to what degree
the proposed activity:
(1) Has the potential to adversely affect the Antarctic environment;
(2) May adversely affect climate or weather patterns;
(3) May adversely affect air or water quality;
(4) May affect atmospheric, terrestrial (including aquatic),
glacial, or marine environments;
(5) May detrimentally affect the distribution, abundance, or
productivity of species, or populations of species of fauna and flora;
[[Page 127]]
(6) May further jeopardize endangered or threatened species or
populations of such species;
(7) May degrade, or pose substantial risk to, areas of biological,
scientific, historic, aesthetic, or wilderness significance;
(8) Has highly uncertain environmental effects, or involves unique
or unknown environmental risks; or
(9) Together with other activities, the effects of any one of which
is individually insignificant, may have at least minor or transitory
cumulative environmental effects.
(c) Type of environmental document. The type of environmental
document required under this part depends upon the nature and intensity
of the environmental impacts that could result from the activity under
consideration. A PERM must be prepared by the operator to document the
conclusion of the operator's preliminary environmental review that the
impact of a proposed activity on the Antarctic environment will be less
than minor or transitory. (See: 40 CFR 8.6.) An IEE must be prepared by
the operator for proposed activities which may have at least (but no
more than) a minor or transitory impact on the Antarctic environment.
(See: 40 CFR 8.7.) A CEE must be prepared by the operator if an IEE
indicates, or if it is otherwise determined, that a proposed activity is
likely to have more than a minor or transitory impact on the Antarctic
environment (See: 40 CFR 8.8.)
(d) Incorporation of information and consolidation of environmental
documentation. (1) An operator may incorporate material into an
environmental document by referring to it in the document when the
effect will be to reduce paperwork without impeding the review of the
environmental document by EPA and other Federal agencies. The
incorporated material shall be cited and its content briefly described.
No material may be incorporated by referring to it in the document
unless it is reasonably available to the EPA.
(2) Provided that environmental documentation complies with all
applicable provisions of Annex I to the Protocol and this part and is
appropriate in light of the specific circumstances of the operator's
proposed expedition or expeditions, an operator may include more than
one proposed expedition within one environmental document and one
environmental document may also be used to address expeditions being
carried out by more than one operator provided that the environmental
document indicates the names of each operator for which the
environmental documentation is being submitted pursuant to obligations
under this part.
Sec. 8.5 Submission of environmental documents.
(a) An operator shall submit environmental documentation to the EPA
for review. The EPA, in consultation with other interested Federal
agencies, will carry out a review to determine if the submitted
environmental documentation meets the requirements of Article 8 and
Annex I of the Protocol and the provisions of this part. The EPA will
provide its comments, if any, on the environmental documentation to the
operator and will consult with the operator regarding any suggested
revisions. If EPA has no comments, or if the documentation is
satisfactorily revised in response to EPA's comments, and the operator
does not receive a notice from EPA that the environmental documentation
does not meet the requirements of Article 8 and Annex I of the Protocol
and the provisions of this part, the operator will have no further
obligations pursuant to the applicable requirements of this part
provided that any appropriate measures, which may include monitoring,
are put in place to assess and verify the impact of the activity.
Alternatively, following final response from the operator, the EPA, in
consultation with other Federal agencies and with the concurrence of the
National Science Foundation, will inform the operator that EPA finds
that the environmental documentation does not meet the requirements of
Article 8 and Annex I of the Protocol and the provisions of this part.
If the operator then proceeds with the expedition without fulfilling the
requirements of this part, the operator is subject to enforcement
proceedings pursuant to sections 7, 8, and 9 of the Antarctic
Conservation Act, as amended by the Act; 16 U.S.C. 2407, 2408, 2409, and
45 CFR part 672.
[[Page 128]]
(b) The EPA may waive or modify deadlines pursuant to this part
where EPA determines an operator is acting in good faith and that
circumstances outside the control of the operator created delays,
provided that the environmental documentation fully meets deadlines
under the Protocol.
Sec. 8.6 Preliminary environmental review.
(a) Unless an operator has determined to prepare an IEE or CEE, the
operator shall conduct a preliminary environmental review that assesses
the potential direct and reasonably foreseeable indirect impacts on the
Antarctic environment of the proposed expedition. A Preliminary
Environmental Review Memorandum (PERM) shall contain sufficient detail
to assess whether the proposed activity may have less than a minor or
transitory impact, and shall be submitted to the EPA for review no less
than 180 days before the proposed departure of the expedition. The EPA,
in consultation with other interested Federal agencies, will review the
PERM to determine if it is sufficient to demonstrate that the activity
will have less than a minor or transitory impact or whether additional
environmental documentation, i.e., an IEE or CEE, is required to meet
the obligations of Article 8 and Annex I of the Protocol. The EPA will
provide its comments to the operator within fifteen (15) days of receipt
of the PERM, and the operator shall have seventy-five (75) days to
prepare a revised PERM or an IEE, if necessary. Following the final
response from the operator, EPA may make a finding that the
environmental documentation submitted does not meet the requirements of
Article 8 and Annex I of the Protocol and the provisions of this part.
This finding will be made with the concurrence of the National Science
Foundation. If EPA does not provide such notice within thirty (30) days,
the operator will be deemed to have met the requirements of this part
provided that any required procedures, which may include appropriate
monitoring, are put in place to assess and verify the impact of the
activity.
(b) If EPA recommends an IEE and one is prepared and submitted
within the seventy-five (75) day response period, it will be reviewed
under the time frames set out for an IEE in 40 CFR 8.7. If EPA
recommends a CEE and one is prepared, it will be reviewed under the time
frames set out for a CEE in 40 CFR 8.8.
Sec. 8.7 Initial environmental evaluation.
(a) Submission of IEE to the EPA. Unless a PERM has been submitted
pursuant to 40 CFR 8.6 which meets the environmental documentation
requirements under Article 8 and Annex I to the Protocol and the
provisions of this part or a CEE is being prepared, an IEE shall be
submitted by the operator to the EPA no fewer than ninety (90) days
before the proposed departure of the expedition.
(b) Contents. An IEE shall contain sufficient detail to assess
whether a proposed activity may have more than a minor or transitory
impact on the Antarctic environment and shall include the following
information:
(1) A description of the proposed activity, including its purpose,
location, duration, and intensity; and
(2) Consideration of alternatives to the proposed activity and any
impacts that the proposed activity may have on the Antarctic
environment, including consideration of cumulative impacts in light of
existing and known proposed activities.
(c) Further environmental review. (1) The EPA, in consultation with
other interested Federal agencies, will review an IEE to determine
whether the IEE meets the requirements under Annex I to the Protocol and
the provisions of this part. The EPA will provide its comments to the
operator within thirty (30) days of receipt of the IEE, and the operator
will have forty-five (45) days to prepare a revised IEE, if necessary.
Following the final response from the operator, EPA may make a finding
that the documentation submitted does not meet the requirements of
Article 8 and Annex I of the Protocol and the provisions of this part.
This finding will be made with the concurrence of the National Science
Foundation. If such a notice is required, EPA will provide it within
fifteen (15) days
[[Page 129]]
of receiving the final IEE from the operator or, if the operator does
not provide a final IEE, within sixty (60) days following EPA's comments
on the original IEE. If EPA does not provide notice within these time
limits, the operator will be deemed to have met the requirements of this
part provided that any required procedures, which may include
appropriate monitoring, are put in place to assess and verify the impact
of the activity.
(2) If a CEE is required, the operator must adhere to the time
limits applicable to such documentation. (See: 40 CFR 8.8.) In this
event EPA, at the operator's request, will consult with the operator
regarding possible changes in the proposed activity which would allow
preparation of an IEE.
Sec. 8.8 Comprehensive environmental evaluation.
(a) Preparation of a CEE. Unless a PERM or an IEE has been submitted
and determined to meet the environmental documentation requirements of
this part, the operator shall prepare a CEE. A CEE shall contain
sufficient information to enable informed consideration of the
reasonably foreseeable potential environmental effects of a proposed
activity and possible alternatives to that proposed activity. A CEE
shall include the following:
(1) A description of the proposed activity, including its purpose,
location, duration and intensity, and possible alternatives to the
activity, including the alternative of not proceeding, and the
consequences of those alternatives;
(2) A description of the initial environmental reference state with
which predicted changes are to be compared and a prediction of the
future environmental reference state in the absence of the proposed
activity;
(3) A description of the methods and data used to forecast the
impacts of the proposed activity;
(4) Estimation of the nature, extent, duration and intensity of the
likely direct impacts of the proposed activity;
(5) A consideration of possible indirect or second order impacts
from the proposed activity;
(6) A consideration of cumulative impacts of the proposed activity
in light of existing activities and other known planned activities;
(7) Identification of measures, including monitoring programs, that
could be taken to minimize or mitigate impacts of the proposed activity
and to detect unforeseen impacts and that could provide early warning of
any adverse effects of the activity as well as to deal promptly and
effectively with accidents;
(8) Identification of unavoidable impacts of the proposed activity;
(9) Consideration of the effects of the proposed activity on the
conduct of scientific research and on other existing uses and values;
(10) An identification of gaps in knowledge and uncertainties
encountered in compiling the information required under this section;
(11) A non-technical summary of the information provided under this
section; and
(12) The name and address of the person or organization which
prepared the CEE and the address to which comments thereon should be
directed.
(b) Submission of Draft CEE to the EPA and Circulation to Other
Parties. (1) For the 1998-1999, 1999-2000, and 2000-2001 austral
seasons, any operator who plans a nongovernmental expedition which would
require a CEE must submit a draft of the CEE by December 1, 1997,
December 1, 1998, and December 1, 1999, respectively. Within fifteen
(15) days of receipt of the draft CEE, EPA will: send it to the
Department of State which will circulate it to all Parties to the
Protocol and forward it to the Committee for Environmental Protection
established by the Protocol, and publish notice of receipt of the CEE
and request for comments on the CEE in the Federal Register, and will
provide copies to any person upon request. The EPA will accept public
comments on the CEE for a period of ninety (90) days following notice in
the Federal Register. The EPA, in consultation with other interested
Federal agencies, will evaluate the CEE to determine if the CEE meets
the requirements under Article 8 and Annex I to the Protocol and the
provisions of this part and will transmit its comments to the operator
within 120 days following
[[Page 130]]
publication in the Federal Register of the notice of availability of the
CEE.
(2) The operator shall send a final CEE to EPA at least seventy-five
(75) days before commencement of the proposed activity in the Antarctic
Treaty area. The CEE must include (or summarize) any comments on the
draft CEE received from EPA, the public, and the Parties, including
comments offered at the XXII Antarctic Treaty Consultative Meeting in
1998, the XXIII Antarctic Treaty Consultative Meeting in 1999, and the
XXIV Antarctic Treaty Consultative Meeting in 2000 for CEEs submitted
for the 1998-1999, 1999-2000, and 2000-2001 austral seasons,
respectively. Following the final response from the operator, the EPA
will inform the operator if EPA, with the concurrence of the National
Science Foundation, makes the finding that the environmental
documentation submitted does not meet the requirements of Article 8 and
Annex I of the Protocol and the provisions of this part. This
notification will occur within fifteen (15) days of submittal of the
final CEE by the operator if the final CEE is submitted by the operator
within the time limits set out in this section. If no final CEE is
submitted or the operator fails to meet these time limits, EPA will
provide such notification sixty (60) days prior to departure of the
expedition. If EPA does not provide such notice, the operator will be
deemed to have met the requirements of this part provided that
procedures, which include appropriate monitoring, are put in place to
assess and verify the impact of the activity. The EPA will transmit the
CEE, along with a notice of any decisions by the operator relating
thereto, to the Department of State which shall circulate it to all
Parties no later than sixty (60) days before commencement of the
proposed activity in the Antarctic Treaty area. The EPA will also
publish a notice of availability of the final CEE in the Federal
Register.
(3) No final decision shall be taken to proceed with any activity
for which a CEE is prepared unless there has been an opportunity for
consideration of the draft CEE by the Antarctic Treaty Consultative
Meeting on the advice of the Committee for Environmental Protection,
provided that no expedition need be delayed through the operation of
paragraph 5 of Article 3 to Annex I of the Protocol for longer than 15
months from the date of circulation of the draft CEE.
(c) Decisions based on CEE. The decision to proceed, based on
environmental documentation that meets the requirements under Article 8
and Annex I to the Protocol and the provisions of this part, rests with
the operator. Any decision by an operator on whether to proceed with or
modify a proposed activity for which a CEE was required shall be based
on the CEE and other relevant considerations.
[62 FR 23545, Apr. 30, 1997, as amended at 63 FR 18326, Apr. 15, 1998]
Sec. 8.9 Measures to assess and verify environmental impacts.
(a) The operator shall conduct appropriate monitoring of key
environmental indicators as proposed in the CEE to assess and verify the
potential environmental impacts of activities which are the subject of a
CEE. The operator may also need to carry out monitoring in order to
assess and verify the impact of an activity for which an IEE has been
prepared.
(b) All proposed activities for which an IEE or CEE has been
prepared shall include procedures designed to provide a regular and
verifiable record of the impacts of these activities, in order, inter
alia, to:
(1) Enable assessments to be made of the extent to which such
impacts are consistent with the Protocol; and
(2) Provide information useful for minimizing and mitigating those
impacts, and, where appropriate, information on the need for suspension,
cancellation, or modification of the activity.
Sec. 8.10 Cases of emergency.
This part shall not apply to activities taken in cases of emergency
relating to the safety of human life or of ships, aircraft, equipment
and facilities of high value, or the protection of the environment,
which require an activity to be undertaken without completion of the
procedures set out in this part. Notice of any such activities which
would have otherwise required the
[[Page 131]]
preparation of a CEE shall be provided within fifteen (15) days to the
Department of State, as provided below, for circulation to all Parties
to the Protocol and to the Committee on Environmental Protection, and a
full explanation of the activities carried out shall be provided within
forty-five (45) days of those activities. Notification shall be provided
to: The Director, The Office of Oceans Affairs, OES/OA, Room 5805,
Department of State, 2201 C Street, NW, Washington, DC 20520-7818.
Sec. 8.11 Prohibited acts, enforcement and penalties.
(a) It shall be unlawful for any operator to violate this part.
(b) An operator who violates any of this part is subject to
enforcement, which may include civil and criminal enforcement
proceedings, and penalties, pursuant to sections 7, 8, and 9 of the
Antarctic Conservation Act, as amended by the Act; 16 U.S.C. 2407, 2408,
2409, and 45 CFR part 672.
Sec. 8.12 Coordination of reviews from other Parties.
(a) Upon receipt of a draft CEE from another Party, the Department
of State shall publish notice in the Federal Register and shall
circulate a copy of the CEE to all interested Federal agencies. The
Department of State shall coordinate responses from Federal agencies to
the CEE and shall transmit the coordinated response to the Party which
has circulated the CEE. The Department of State shall make a copy of the
CEE available upon request to the public.
(b) Upon receipt of the annual list of IEEs from another Party
prepared in accordance with Article 2 of Annex I and any decisions taken
in consequence thereof, the Department of State shall circulate a copy
to all interested Federal agencies. The Department of State shall make a
copy of the list of IEEs prepared in accordance with Article 2 and any
decisions taken in consequence thereof available upon request to the
public.
(c) Upon receipt of a description of appropriate national procedures
for environmental impact statements from another Party, the Department
of State shall circulate a copy to all interested Federal agencies. The
Department of State shall make a copy of these descriptions available
upon request to the public.
(d) Upon receipt from another Party of significant information
obtained, and any action taken in consequence therefrom from procedures
put in place with regard to monitoring pursuant to Articles 2(2) and 5
of Annex I to the Protocol, the Department of State shall circulate a
copy to all interested Federal agencies. The Department of State shall
make a copy of this information available upon request to the public.
(e) Upon receipt from another Party of a final CEE, the Department
of State shall circulate a copy to all interested Federal agencies. The
Department of State shall make a copy available upon request to the
public.
PART 9--OMB APPROVALS UNDER THE PAPERWORK REDUCTION ACT--Table of Contents
Authority: 7 U.S.C. 135 et seq., 136-136y; 15 U.S.C. 2001, 2003,
2005, 2006, 2601-2671; 21 U.S.C. 331j, 346a, 348; 31 U.S.C. 9701; 33
U.S.C. 1251 et seq., 1311, 1313d, 1314, 1318, 1321, 1326, 1330, 1342,
1344, 1345 (d) and (e), 1361; E.O. 11735, 38 FR 21243, 3 CFR, 1971-1975
Comp. p. 973; 42 U.S.C. 241, 242b, 243, 246, 300f, 300g, 300g-1, 300g-2,
300g-3, 300g-4, 300g-5, 300g-6, 300j-1, 300j-2, 300j-3, 300j-4, 300j-9,
1857 et seq., 6901-6992k, 7401-7671q, 7542, 9601-9657, 11023, 11048.
Sec. 9.1 OMB approvals under the Paperwork Reduction Act.
This part consolidates the display of control numbers assigned to
collections of information in certain EPA regulations by the Office of
Management and Budget (OMB) under the Paperwork Reduction Act (PRA). No
person is required to respond to an information collection request
regulated by the PRA unless a valid control number assigned by OMB is
displayed in either this part, another part of the Code of Federal
Regulations, a valid Federal Register notice, or by other appropriate
means.
------------------------------------------------------------------------
OMB control
40 CFR citation No.
------------------------------------------------------------------------
Public Information
------------------------------------------------------------------------
Part 2, subpart B....................................... 2050-0143
------------------------------------------------------------------------
[[Page 132]]
Environmental Impact Assessment of Nongovernmental Activities in
Antarctica
------------------------------------------------------------------------
8.5-8.10................................................ 2020-0007
------------------------------------------------------------------------
General Regulation for Assistance Programs for Other than State and
Local Governments
------------------------------------------------------------------------
30.400.................................................. 2030-0020
30.500.................................................. 2030-0020
30.501.................................................. 2030-0020
30.503.................................................. 2030-0020
30.505.................................................. 2030-0020
30.510.................................................. 2030-0020
30.520.................................................. 2030-0020
30.530.................................................. 2030-0020
30.531.................................................. 2030-0020
30.532.................................................. 2030-0020
30.535.................................................. 2030-0020
30.1002................................................. 2030-0020
30.1003................................................. 2030-0020
30.1200................................................. 2030-0020
------------------------------------------------------------------------
Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments
------------------------------------------------------------------------
31.10................................................... 2030-0020
31.20-31.21............................................. 2030-0020
31.31-31.32............................................. 2030-0020
31.36(g)-31.36(h)....................................... 2030-0020
31.40................................................... 2030-0020
31.42................................................... 2030-0020
31.6.................................................... 2030-0020
------------------------------------------------------------------------
Procurement Under Assistance Agreements
------------------------------------------------------------------------
33.110.................................................. 2030-0003
33.211.................................................. 2030-0003
------------------------------------------------------------------------
State and Local Assistance
------------------------------------------------------------------------
35.2015................................................. 2040-0027
35.2025................................................. 2040-0027
35.2034................................................. 2040-0027
35.2040................................................. 2040-0027
35.2105-35.2107......................................... 2040-0027
35.2110................................................. 2040-0027
35.2114................................................. 2040-0027
35.2118................................................. 2040-0027
35.2120................................................. 2040-0027
35.2127................................................. 2040-0027
35.2130................................................. 2040-0027
35.2140................................................. 2040-0027
35.2211-35.2212......................................... 2040-0027
35.2215-35.2216......................................... 2040-0027
35.2218................................................. 2040-0027
35.3010................................................. 2040-0095
35.3030................................................. 2040-0095
35.3130................................................. 2040-0118
35.3135................................................. 2040-0118
35.3140................................................. 2040-0118
35.3145................................................. 2040-0118
35.3150................................................. 2040-0118
35.3155................................................. 2040-0118
35.3160................................................. 2040-0118
35.3165................................................. 2040-0118
35.3170................................................. 2040-0118
35.6055(a)(2)........................................... 2030-0038
35.6055(b)(1)........................................... 2030-0038
35.6055(b)(2)(i)-(ii)................................... 2030-0038
35.6105(a)(2)(i)-(v), (vii)............................. 2030-0038
35.6110(b)(2)........................................... 2030-0038
35.6120................................................. 2030-0038
35.6145................................................. 2030-0038
35.6155(a), (c)......................................... 2030-0038
35.6230(a), (c)......................................... 2030-0038
35.6300(a)(3)........................................... 2030-0038
35.6315(c).............................................. 2030-0038
35.6320................................................. 2030-0038
35.6340(a).............................................. 2030-0038
35.6350................................................. 2030-0038
35.6500................................................. 2030-0038
35.6550(a)(1)(ii)....................................... 2030-0038
35.6550(b)(1)(iii)...................................... 2030-0038
35.6550(b)(2)(i)........................................ 2030-0038
35.6585................................................. 2030-0038
35.6595(a), (b)......................................... 2030-0038
35.6600(a).............................................. 2030-0038
35.6650................................................. 2030-0038
35.6655................................................. 2030-0038
35.6660................................................. 2030-0038
35.6665(a), (b)......................................... 2030-0038
35.6700................................................. 2030-0038
35.6705................................................. 2030-0038
35.6710................................................. 2030-0038
35.6805................................................. 2030-0038
35.6815(a), (c), (d).................................... 2030-0038
35.9000-35.9070......................................... 2040-0138
------------------------------------------------------------------------
Indian Tribes: Air Quality Planning and Management
------------------------------------------------------------------------
49.6.................................................... 2060-0306
49.7.................................................... 2060-0306
------------------------------------------------------------------------
Requirements for Preparation, Adoption, and Submittal of Implementation
Plans
------------------------------------------------------------------------
51.160-51.166........................................... 2060-0003
51.321-51.323........................................... 2060-0088
51.353-51.354........................................... 2060-0252
51.365-51.366........................................... 2060-0252
51.370-51.371........................................... 2060-0252
51.850-51.860........................................... 2060-0279
------------------------------------------------------------------------
Approval and Promulgation of Implementation Plans
------------------------------------------------------------------------
52.21................................................... 2060-0003
52.741.................................................. 2060-0203
------------------------------------------------------------------------
Outer Continental Shelf Air Regulations
------------------------------------------------------------------------
55.4-55.8............................................... 2060-0249
55.11-55.14............................................. 2060-0249
------------------------------------------------------------------------
Ambient Air Quality Surveillance
------------------------------------------------------------------------
58.11-58.14............................................. 2060-0084
58.20-58.23............................................. 2060-0084
58.25-58.28............................................. 2060-0084
58.30-58.31............................................. 2060-0084
58.33................................................... 2060-0084
58.35................................................... 2060-0084
58.40-58.41............................................. 2060-0084
58.43................................................... 2060-0084
58.45................................................... 2060-0084
58.50................................................... 2060-0084
------------------------------------------------------------------------
National Volatile Organic Compound Emission Standards for Consumer and
Commercial Products
------------------------------------------------------------------------
59.105.................................................. 2060-0353
59.405.................................................. 2060-0393
59.407.................................................. 2060-0393
59.408.................................................. 2060-0393
------------------------------------------------------------------------
[[Page 133]]
National Volatile Organic Compound Emission Standards for Consumer
Products
------------------------------------------------------------------------
59.209.................................................. 2060-0348
------------------------------------------------------------------------
Standards of Performance for New Stationary Sources \1\
------------------------------------------------------------------------
60.7(d)................................................. 2060-0207
60.35c.................................................. 2060-0220
60.45-60.47............................................. 2060-0026
60.46a-60.49a........................................... 2060-0023
60.40b.................................................. 2060-0072
60.42b.................................................. 2060-0072
60.44b-60.49b........................................... 2060-0072
60.42c.................................................. 2060-0202
60.44c-60.48c........................................... 2060-0202
60.53-60.54............................................. 2060-0040
60.50a.................................................. 2060-0210
60.56a-60.59a........................................... 2060-0210
60.63-60.65............................................. 2060-0025
60.73-60.74............................................. 2060-0019
60.84-60.85............................................. 2060-0041
60.93................................................... 2060-0083
60.104-60.108........................................... 2060-0022
60.113a-60.115a......................................... 2060-0121
60.113b-60.116b......................................... 2060-0074
60.123.................................................. 2060-0080
60.133.................................................. 2060-0110
60.142-60.144........................................... 2060-0029
60.143a-60.145a......................................... 2060-0029
60.153-60.155........................................... 2060-0035
60.192(b)............................................... 2060-0031
60.194-60.195........................................... 2060-0031
60.203-60.204........................................... 2060-0037
60.213-60.214........................................... 2060-0037
60.223-60.224........................................... 2060-0037
60.233-60.234........................................... 2060-0037
60.243-60.244........................................... 2060-0037
60.253-60.254........................................... 2060-0122
60.273-60.276........................................... 2060-0038
60.273a-60.276a......................................... 2060-0038
60.284-60.286........................................... 2060-0021
60.292-60.293........................................... 2060-0054
60.296.................................................. 2060-0054
60.303.................................................. 2060-0082
60.310.................................................. 2060-0106
60.313-60.316........................................... 2060-0106
60.334-60.335........................................... 2060-0028
60.343-60.344........................................... 2060-0063
60.373-60.374........................................... 2060-0081
60.384-60.386........................................... 2060-0016
60.393-60.396........................................... 2060-0034
60.398.................................................. 2060-0034
60.403-60.404........................................... 2060-0111
60.433-60.435........................................... 2060-0105
60.443-60.447........................................... 2060-0004
60.453-60.456........................................... 2060-0108
60.463-60.466........................................... 2060-0107
60.473-60.474........................................... 2060-0002
60.482-2................................................ 2060-0012
60.482-3................................................ 2060-0012
60.482-4................................................ 2060-0012
60.482-7................................................ 2060-0012
60.482-8................................................ 2060-0012
60.482-10............................................... 2060-0012
60.483-1................................................ 2060-0012
60.483-2................................................ 2060-0012
60.484-60.487........................................... 2060-0012
60.493-60.496........................................... 2060-0001
60.502-60.503........................................... 2060-0006
60.505.................................................. 2060-0006
60.530-60.536........................................... 2060-0161
60.537(a)(1)-(2), (a)(4)-(5), (b)-(i)................... 2060-0161
60.538-60.539........................................... 2060-0161
60.543(b)(2)-(4), (c)-(n)............................... 2060-0156
60.544.................................................. 2060-0156
60.545(a)-(d), (f)...................................... 2060-0156
60.546(a)-(e), (f)(4)-(6), (g)-(j)...................... 2060-0156
60.547.................................................. 2060-0156
60.562-1................................................ 2060-0145
60.562-2................................................ 2060-0145
60.563-60.565........................................... 2060-0145
60.580.................................................. 2060-0073
60.583-60.585........................................... 2060-0073
60.592-60.593........................................... 2060-0067
60.603-60.604........................................... 2060-0059
60.613-60.615........................................... 2060-0197
60.622.................................................. 2060-0079
60.624-60.625........................................... 2060-0079
60.632-60.636........................................... 2060-0120
60.640.................................................. 2060-0120
60.642-60.644........................................... 2060-0120
60.646-60.647........................................... 2060-0120
60.663-60.665........................................... 2060-0197
60.670.................................................. 2060-0050
60.672.................................................. 2060-0050
60.674-60.676........................................... 2060-0050
60.683-60.685........................................... 2060-0114
60.692-1................................................ 2060-0172
60.692-2................................................ 2060-0172
60.692-3................................................ 2060-0172
60.692-4................................................ 2060-0172
60.692-5................................................ 2060-0172
60.693-1................................................ 2060-0172
60.693-2................................................ 2060-0172
60.695-60.698........................................... 2060-0172
60.703-60.705........................................... 2060-0269
60.710.................................................. 2060-0171
60.713-60.717........................................... 2060-0171
60.722-60.725........................................... 2060-0162
60.734-60.736........................................... 2060-0251
60.740.................................................. 2060-0181
60.743-60.747........................................... 2060-0181
60.757.................................................. 2060-0220
60.758.................................................. 2060-0220
------------------------------------------------------------------------
National Emission Standards for Hazardous Air Pollutants \2\
------------------------------------------------------------------------
61.24-61.25............................................. 2060-0191
61.32-61.34............................................. 2060-0092
61.53-61.55............................................. 2060-0097
61.65(b)-(d)............................................ 2060-0071
61.67-61.71............................................. 2060-0071
61.93-61.95............................................. 2060-0191
61.103-61.105........................................... 2060-0191
61.107.................................................. 2060-0191
61.123-61.124........................................... 2060-0191
61.126.................................................. 2060-0191
61.132-61.133........................................... 2060-0185
61.135-61.139........................................... 2060-0185
61.142.................................................. 2060-0101
61.144-61.147........................................... 2060-0101
61.149.................................................. 2060-0101
61.150-61.155........................................... 2060-0101
61.163-61.165........................................... 2060-0043
61.203.................................................. 2060-0191
61.206-61.209........................................... 2060-0191
61.223-61.224........................................... 2060-0191
61.242-1................................................ 2060-0068
61.242-2................................................ 2060-0068
61.242-3................................................ 2060-0068
61.242-4................................................ 2060-0068
61.242-7................................................ 2060-0068
61.242-8................................................ 2060-0068
61.242-10............................................... 2060-0068
[[Page 134]]
61.242-11............................................... 2060-0068
61.243-1................................................ 2060-0068
61.243-2................................................ 2060-0068
61.244-61.247........................................... 2060-0068
61.253-61.255........................................... 2060-0191
61.271-61.276........................................... 2060-0185
61.300.................................................. 2060-0182
61.302-61.305........................................... 2060-0182
61.342.................................................. 2060-0183
61.344-61.349........................................... 2060-0183
61.354-61.357........................................... 2060-0183
------------------------------------------------------------------------
Approval and Promulgation of State Plans for Designated Facilities and
Pollutants
------------------------------------------------------------------------
62.14355................................................ 2060-0430
------------------------------------------------------------------------
National Emission Standards for Hazardous Air Pollutants for Source
Categories \3\
63.5(d)................................................. 2060-0330
63.52-63.56............................................. 2060-0266
63.72................................................... 2060-0222
63.74-63.79............................................. 2060-0222
63.91-63.96............................................. 2060-0264
63.103.................................................. 2060-0282
63.105.................................................. 2060-0282
63.117-63.118........................................... 2060-0282
63.122-63.123........................................... 2060-0282
63.129-63.130........................................... 2060-0282
63.146-63.148........................................... 2060-0282
63.151-63.152........................................... 2060-0282
63.181-63.182........................................... 2060-0282
63.302-63.311........................................... 2060-0253
63.322-63.325........................................... 2060-0234
63.345-63.347........................................... 2060-0327
63.363-63.367........................................... 2060-0283
63.403-63.406........................................... 2060-0268
63.420.................................................. 2060-0325
63.422-63.428........................................... 2060-0325
63.467-63.468........................................... 2060-0273
63.480-63.506........................................... 2060-0356
63.525-63.528........................................... 2060-0290
63.548-63.550........................................... 2060-0296
63.563-63.567........................................... 2060-0289
63.602-63.603........................................... 2060-0361
63.605-63.608........................................... 2060-0361
63.625-63.628........................................... 2060-0361
63.630.................................................. 2060-0361
63.653.................................................. 2060-0340
63.654.................................................. 2060-0340
63.703-63.707........................................... 2060-0326
63.752-63.753........................................... 2060-0314
63.787(a)-(b)........................................... 2060-0330
63.788(a)-(c)........................................... 2060-0330
63.806-63.807........................................... 2060-0324
63.829-63.830........................................... 2060-0335
63.846(d)............................................... 2060-0360
63.847(b), (g).......................................... 2060-0360
63.848(d)(5), (e), (f)(5)(ii), (g), (k), (m)............ 2060-0360
63.850.................................................. 2060-0360
63.1178--63.1194........................................ 2060-0362
63.1259-63.1260......................................... 2060-0314
63.1290--63.1309........................................ 2060-0357
63.1311................................................. 2060-0351
63.1314................................................. 2060-0351
63.1315................................................. 2060-0351
63.1319................................................. 2060-0351
63.1320................................................. 2060-0351
63.1325-63.1332......................................... 2060-0351
63.1335................................................. 2060-0351
63.1367-63.1368......................................... 2060-0370
63.1383................................................. 2060-0359
63.1386................................................. 2060-0359
63.1387................................................. 2060-0359
63.1420-63.1439......................................... 2060-0415
63.1620-63.1679......................................... 2060-0391
------------------------------------------------------------------------
Chemical Accident Prevention Provisions
------------------------------------------------------------------------
68.12................................................... 2050-0144
68.15................................................... 2050-0144
68.39................................................... 2050-0144
68.42................................................... 2050-0144
68.48................................................... 2050-0144
68.50................................................... 2050-0144
68.52................................................... 2050-0144
68.56................................................... 2050-0144
68.58................................................... 2050-0144
68.60................................................... 2050-0144
68.65................................................... 2050-0144
68.67................................................... 2050-0144
68.69................................................... 2050-0144
68.71................................................... 2050-0144
68.73................................................... 2050-0144
68.75................................................... 2050-0144
68.79................................................... 2050-0144
68.81................................................... 2050-0144
68.83................................................... 2050-0144
68.85................................................... 2050-0144
68.95................................................... 2050-0144
68.120(a), (e), and (g)................................. 2050-0144
68.150.................................................. 2050-0144
68.155.................................................. 2050-0144
68.160.................................................. 2050-0144
68.165.................................................. 2050-0144
68.168.................................................. 2050-0144
68.170.................................................. 2050-0144
68.175.................................................. 2050-0144
68.180.................................................. 2050-0144
68.185.................................................. 2050-0144
68.190.................................................. 2050-0144
68.200.................................................. 2050-0144
68.215.................................................. 2050-0144
68.220.................................................. 2050-0144
------------------------------------------------------------------------
State Operating Permit Programs
------------------------------------------------------------------------
70.3-70.11.............................................. 2060-0243
------------------------------------------------------------------------
Federal Operating Permit Programs
------------------------------------------------------------------------
71.5.................................................... 2060-0336
71.6(a),(c),(d),(g)..................................... 2060-0336
71.7.................................................... 2060-0336
71.9(e)-(j)............................................. 2060-0336
71.24-71.26............................................. 2060-0276
------------------------------------------------------------------------
Permits Regulation
------------------------------------------------------------------------
72.7-72.10.............................................. 2060-0258
72.14................................................... 2060-0258
72.20-72.25............................................. 2060-0258
72.30-72.33............................................. 2060-0258
72.40-72.44............................................. 2060-0258
72.50-72.51............................................. 2060-0258
72.60-72.69............................................. 2060-0258
72.70-72.74............................................. 2060-0258
72.80-72.85............................................. 2060-0258
72.90-72.96............................................. 2060-0258
------------------------------------------------------------------------
Allowance System
------------------------------------------------------------------------
73.10-73.13............................................. 2060-0261
73.16................................................... 2060-0261
73.18-73.21............................................. 2060-0261
73.30-73.38............................................. 2060-0258
73.50-73.53............................................. 2060-0258
[[Page 135]]
73.70-73.77............................................. 2060-0221
73.80-73.86............................................. 2060-0258
73.90................................................... 2060-0258
------------------------------------------------------------------------
Sulfur Dioxide Opt-ins
------------------------------------------------------------------------
74.12................................................... 2060-0258
74.14................................................... 2060-0258
74.16................................................... 2060-0258
74.18................................................... 2060-0258
74.20................................................... 2060-0258
74.22................................................... 2060-0258
74.24-74.25............................................. 2060-0258
74.41................................................... 2060-0258
74.43-74.44............................................. 2060-0258
74.46-74.47............................................. 2060-0258
74.60-74.64............................................. 2060-0258
------------------------------------------------------------------------
Continuous Emission Monitoring
------------------------------------------------------------------------
75.4-75.5............................................... 2060-0258
75.10-75.18............................................. 2060-0258
75.20-75.24............................................. 2060-0258
75.30-75.34............................................. 2060-0258
75.40-75.48............................................. 2060-0258
75.50-75.52............................................. 2060-0258
75.53-75.56............................................. 2060-0258
75.60-75.67............................................. 2060-0258
------------------------------------------------------------------------
Nitrogen Oxides Emission Reduction Program
------------------------------------------------------------------------
76.8-76.15.............................................. 2060-0258
------------------------------------------------------------------------
Excess Emissions
------------------------------------------------------------------------
77.3-77.6............................................... 2060-0258
------------------------------------------------------------------------
Appeal Procedures for Acid Rain Program
------------------------------------------------------------------------
78.1-78.20.............................................. 2060-0258
------------------------------------------------------------------------
Registration of Fuels and Fuel Additives
------------------------------------------------------------------------
79.10-79.11............................................. 2060-0150
79.20-79.21............................................. 2060-0150
79.31-79.33............................................. 2060-0150
79.51(a), (c), (d), (g), (h)............................ 2060-0150
79.52................................................... 2060-0150
79.57(a)(5)............................................. 2060-0150
79.57(f)(5)............................................. 2060-0150
79.58(e)................................................ 2060-0150
79.59(b)-(d)............................................ 2060-0150
79.60................................................... 2060-0150
79.61(e)................................................ 2060-0150
79.62-79.68............................................. 2060-0297
------------------------------------------------------------------------
Regulation of Fuels and Fuel Additives
------------------------------------------------------------------------
80.20................................................... 2060-0066
80.25................................................... 2060-0066
80.27................................................... 2060-0178
80.29(c)................................................ 2060-0308
80.40................................................... 2060-0277
80.46................................................... 2060-0277
80.65................................................... 2060-0277
80.68-80.69............................................. 2060-0277
80.74-80.77............................................. 2060-0277
80.79................................................... 2060-0277
80.83................................................... 2060-0277
80.91-80.93............................................. 2060-0277
80.101-80.106........................................... 2060-0277
80.125.................................................. 2060-0277
80.127-80.130........................................... 2060-0277
80.141(c)-(f)........................................... 2060-0275
80.157.................................................. 2060-0275
80.158.................................................. 2060-0275
80.160.................................................. 2060-0275
80.161.................................................. 2060-0275
80.162.................................................. 2060-0275
80.163(d)(3)............................................ 2060-0275
80.164.................................................. 2060-0275
80.165.................................................. 2060-0275
80.166.................................................. 2060-0275
80.167(d)............................................... 2060-0275
80.170.................................................. 2060-0275
80.171.................................................. 2060-0275
80.173.................................................. 2060-0275
------------------------------------------------------------------------
Protection of Stratospheric Ozone
------------------------------------------------------------------------
82.9-82.13.............................................. 2060-0170
82.21................................................... 2060-0170
82.36................................................... 2060-0247
82.38................................................... 2060-0247
82.40................................................... 2060-0247
82.42................................................... 2060-0247
82.122.................................................. 2060-0259
82.156.................................................. 2060-0256
82.160-82.162........................................... 2060-0256
82.164.................................................. 2060-0256
82.166.................................................. 2060-0256
82.176(a)............................................... 2060-0226
82.176(c)(3)............................................ 2060-0226
82.178.................................................. 2060-0226
82.180.................................................. 2060-0350
82.180(a)(5)............................................ 2060-0226
82.180(b)(3)............................................ 2060-0226
82.184(c)............................................... 2060-0226
82.184(e)............................................... 2060-0226
------------------------------------------------------------------------
Control of Air Pollution From Motor Vehicles and Motor Vehicle Engines
------------------------------------------------------------------------
85.503.................................................. 2060-0104
85.505.................................................. 2060-0104
85.1403................................................. 2060-0302
85.1404................................................. 2060-0302
85.1406................................................. 2060-0302
85.1407................................................. 2060-0302
85.1408................................................. 2060-0302
85.1409................................................. 2060-0302
85.1410................................................. 2060-0302
85.1411................................................. 2060-0302
85.1412................................................. 2060-0302
85.1413................................................. 2060-0302
85.1414................................................. 2060-0302
85.1415................................................. 2060-0302
85.1503-85.1507......................................... 2060-0095
85.1509-85.1510......................................... 2060-0095
85.1511(b)-(d), (f)..................................... 2060-0095
85.1511(b)(3)........................................... 2060-0007
85.1512................................................. 2060-0095
85.1514-85.1515......................................... 2060-0095
85.1703................................................. 2060-0124
85.1705-85.1706......................................... 2060-0007
85.1901-85.1909......................................... 2060-0048
85.2112-85.2123......................................... 2060-0065
85.2114................................................. 2060-0016
85.2115................................................. 2060-0016
------------------------------------------------------------------------
Control of Air Pollution From New and In-Use Motor Vehicles and New and
In-Use Motor Vehicle Engines: Certification and Test Procedures
------------------------------------------------------------------------
86.000-7................................................ 2060-0104
86.000-8................................................ 2060-0104
86.000-9................................................ 2060-0104
86.000-21............................................... 2060-0104
[[Page 136]]
86.000-23............................................... 2060-0104
86.000-24............................................... 2060-0104
86.000-25............................................... 2060-0104
86.000-26............................................... 2060-0104
86.000-28............................................... 2060-0104
86.001-9................................................ 2060-0104
86.001-21............................................... 2060-0104
86.001-23............................................... 2060-0104
86.001-24............................................... 2060-0104
86.001-25............................................... 2060-0104
86.001-26............................................... 2060-0104
86.001-28............................................... 2060-0104
86.004-9................................................ 2060-0104
86.004-28............................................... 2060-0104
86.004-38............................................... 2060-0104
86.004-40............................................... 2060-0104
86.079-31--86.079-33.................................... 2060-0104
86.079-36............................................... 2060-0104
86.079-39............................................... 2060-0104
86.080-12............................................... 2060-0104
86.082-34............................................... 2060-0104
86.085-13............................................... 2060-0104
86.085-37............................................... 2060-0104
86.087-38............................................... 2060-0104
86.090-14............................................... 2060-0104
86.090-21............................................... 2060-0104
86.090-25............................................... 2060-0104
86.090-26............................................... 2060-0104
86.090-27............................................... 2060-0104
86.091-7................................................ 2060-0104
86.091-15............................................... 2060-0104
86.091-21............................................... 2060-0104
86.091-23............................................... 2060-0104
86.091-28............................................... 2060-0104
86.091-30............................................... 2060-0104
86.092-14............................................... 2060-0104
86.092-15............................................... 2060-0104
86.092-23............................................... 2060-0104
86.092-24............................................... 2060-0104
86.092-26............................................... 2060-0104
86.092-35............................................... 2060-0104
86.094-7-86.094-9....................................... 2060-0104
86.094-15-86.094-16..................................... 2060-0104
86.094-17............................................... 2060-0104
86.094-18............................................... 2060-0104
86.094-21............................................... 2060-0104
86.094-23............................................... 2060-0104
86.094-24(a)(3)(iii).................................... 2060-0314
86.094-25............................................... 2060-0104
86.094-30............................................... 2060-0104
86.094-35............................................... 2060-0104
86.095-14............................................... 2060-0104
86.095-23............................................... 2060-0104
86.095-24............................................... 2060-0104
86.095-26............................................... 2060-0104
86.095-30............................................... 2060-0104
86.095-35............................................... 2060-0104
86.094-38............................................... 2060-0104
86.096-7................................................ 2060-0104
86.096-8................................................ 2060-0104
86.096-9................................................ 2060-0104
86.096-10............................................... 2060-0104
86.096-14............................................... 2060-0104
86.096-21............................................... 2060-0104
86.096-23............................................... 2060-0104
86.096-24............................................... 2060-0104
86.096-26............................................... 2060-0104
86.096-30............................................... 2060-0104
86.096-35............................................... 2060-0104
86.097-9................................................ 2060-0104
86.098-23............................................... 2060-0104
86.098-28............................................... 2060-0104
86.099-8................................................ 2060-0104
86.099-9................................................ 2060-0104
86.099-10............................................... 2060-0104
86.108-00............................................... 2060-0104
86.111-94............................................... 2060-0104
86.113-82............................................... 2060-0104
86.113-87............................................... 2060-0104
86.113-90............................................... 2060-0104
86.113-91............................................... 2060-0104
86.113-94............................................... 2060-0104
86.129-00............................................... 2060-0104
86.135-82............................................... 2060-0104
86.135-90............................................... 2060-0104
86.135-94............................................... 2060-0104
86.142-90............................................... 2060-0104
86.144-90............................................... 2060-0104
86.144-94............................................... 2060-0104
86.150-98............................................... 2060-0104
86.159-00............................................... 2060-0104
86.160-00............................................... 2060-0104
86.161-00............................................... 2060-0104
86.162-00............................................... 2060-0104
86.162-03............................................... 2060-0104
86.163-00............................................... 2060-0104
86.336-79............................................... 2060-0104
86.337-79............................................... 2060-0104
86.412-78............................................... 2060-0104
86.414-78............................................... 2060-0104
86.415-78............................................... 2060-0104
86.416-80............................................... 2060-0104
86.421-78............................................... 2060-0104
86.423-78............................................... 2060-0104
86.427-78............................................... 2060-0104
86.428-80............................................... 2060-0104
86.429-78............................................... 2060-0104
86.431-78............................................... 2060-0104
86.432-78............................................... 2060-0104
86.434-78............................................... 2060-0104
86.435-78............................................... 2060-0104
86.436-78............................................... 2060-0104
86.437-78............................................... 2060-0104
86.438-78............................................... 2060-0104
86.439-78............................................... 2060-0104
86.440-78............................................... 2060-0104
86.513-94............................................... 2060-0104
86.537-90............................................... 2060-0104
86.542-90............................................... 2060-0104
86.603-88............................................... 2060-0064
86.604-84............................................... 2060-0064
86.605-88............................................... 2060-0064
86.606-84............................................... 2060-0064
86.607-84............................................... 2060-0064
86.608-88............................................... 2060-0064
86.608-90............................................... 2060-0064
86.608-96............................................... 2060-0104
86.609-84............................................... 2060-0064
86.609-96............................................... 2060-0104
86.612-84............................................... 2060-0064
86.614-84............................................... 2060-0064
86.615-84............................................... 2060-0064
86.709-94............................................... 2060-0104
86.709-99............................................... 2060-0104
86.884-5................................................ 2060-0104
86.884-7................................................ 2060-0104
86.884-9................................................ 2060-0104
86.884-10............................................... 2060-0104
86.884-12............................................... 2060-0104
86.884-13............................................... 2060-0104
86.1003-90.............................................. 2060-0064
86.1004-84.............................................. 2060-0064
86.1005-90.............................................. 2060-0064
86.1006-84.............................................. 2060-0064
86.1007-84.............................................. 2060-0064
86.1008-90.............................................. 2060-0064
[[Page 137]]
86.1008-96.............................................. 2060-0104
86.1009-84.............................................. 2060-0064
86.1009-96.............................................. 2060-0104
86.1012-84.............................................. 2060-0064
86.1014-84.............................................. 2060-0064
86.1015-87.............................................. 2060-0064
86.1106-87.............................................. 2060-0132
86.1108-87.............................................. 2060-0132
86.1110-87.............................................. 2060-0132
86.1111-87.............................................. 2060-0104
86.1112-87-86.1115-87................................... 2060-0132
86.1213-85.............................................. 2060-0104
86.1213-87.............................................. 2060-0104
86.1242-85.............................................. 2060-0104
86.1242-90.............................................. 2060-0104
86.1308-84.............................................. 2060-0104
86.1310-90.............................................. 2060-0104
86.1311-94.............................................. 2060-0104
86.1313-84.............................................. 2060-0104
86.1313-87.............................................. 2060-0104
86.1313-90.............................................. 2060-0104
86.1313-91.............................................. 2060-0104
86.1313-94.............................................. 2060-0104
86.1313-98.............................................. 2060-0104
86.1314-84.............................................. 2060-0104
86.1316-84.............................................. 2060-0104
86.1316-90.............................................. 2060-0104
86.1319-84.............................................. 2060-0104
86.1319-90.............................................. 2060-0104
86.1321-84.............................................. 2060-0104
86.1321-90.............................................. 2060-0104
86.1323-84.............................................. 2060-0104
86.1327-84.............................................. 2060-0104
86.1327-88.............................................. 2060-0104
86.1327-90.............................................. 2060-0104
86.1327-98.............................................. 2060-0104
86.1332-84.............................................. 2060-0104
86.1332-90.............................................. 2060-0104
86.1334-84.............................................. 2060-0104
86.1335-90.............................................. 2060-0104
86.1336-84.............................................. 2060-0104
86.1340-84.............................................. 2060-0104
86.1340-90.............................................. 2060-0104
86.1341-90.............................................. 2060-0104
86.1341-98.............................................. 2060-0104
86.1342-90.............................................. 2060-0104
86.1344-94.............................................. 2060-0104
86.1413................................................. 2060-0104
86.1427................................................. 2060-0104
86.1432................................................. 2060-0104
86.1434................................................. 2060-0104
86.1437................................................. 2060-0104
86.1442................................................. 2060-0104
86.1542-84.............................................. 2060-0104
86.1544-84.............................................. 2060-0104
86.1705................................................. 2060-0345
86.1707................................................. 2060-0345
86.1708................................................. 2060-0345
86.1709................................................. 2060-0345
86.1710................................................. 2060-0345
86.1712................................................. 2060-0345
86.1713................................................. 2060-0345
86.1714................................................. 2060-0345
86.1717................................................. 2060-0345
86.1721................................................. 2060-0345
86.1723................................................. 2060-0345
86.1724................................................. 2060-0345
86.1725................................................. 2060-0345
86.1726................................................. 2060-0345
86.1728................................................. 2060-0345
86.1734................................................. 2060-0345
86.1735................................................. 2060-0345
86.1770................................................. 2060-0345
86.1771................................................. 2060-0345
86.1776................................................. 2060-0345
86.1777................................................. 2060-0345
86.1778................................................. 2060-0345
86.1843-01.............................................. 2060-0104
86.1844-01.............................................. 2060-0104
86.1847-01.............................................. 2060-0104
86.2500................................................. 2060-0104
------------------------------------------------------------------------
Clean-Fuel Vehicles
------------------------------------------------------------------------
88.104-94(a), (c), (e), (f), (g), (h), (i), (j), (k).... 2060-0104
88.105-94............................................... 2060-0104
88.204-94(b)(1)......................................... 2060-0314
88.204-94(c)............................................ 2060-0314
88.305-94............................................... 2060-0104
88.306-94(a), (b) introductory text..................... 2060-0104
88.306-94(b)(1)......................................... 2060-0314
88.306-94(b)(2)......................................... 2060-0314
88.306-94(b)(4)......................................... 2060-0314
88.306-94(c)............................................ 2060-0314
88.306-94(f)............................................ 2060-0314
------------------------------------------------------------------------
Control of Emissions From New and In-Use Nonroad Compression-Ignition
Engines
------------------------------------------------------------------------
89.1.................................................... 2060-0124
89.2.................................................... 2060-0124
89.114-89.120........................................... 2060-0287
89.122-89.127........................................... 2060-0287
89.129.................................................. 2060-0287
89.203-89.207........................................... 2060-0287
89.209-89.211........................................... 2060-0287
89.304-89.331........................................... 2060-0287
89.404-89.424........................................... 2060-0287
89.505-89.512........................................... 2060-0064
89.603-89.605........................................... 2060-0095
89.607-89.610........................................... 2060-0095
89.611.................................................. 2060-0007,
2060-0095
89.612.................................................. 2060-0095
89.801-89.803........................................... 2060-0048
89.903.................................................. 2060-0124
89.905-89.911........................................... 2060-0007
------------------------------------------------------------------------
Control of Emissions From New and In-use Nonroad Engines
------------------------------------------------------------------------
90.107-90.108........................................... 2060-0338
90.113.................................................. 2060-0338
90.115-90.124........................................... 2060-0338
90.126.................................................. 2060-0338
90.304-90.329........................................... 2060-0338
90.404-90.427........................................... 2060-0338
90.505-90.509........................................... 2060-0295
90.511-90.512........................................... 2060-0295
90.604.................................................. 2060-0294
90.611-90.613........................................... 2060-0294
90.800.................................................. 2060-0048
90.802-90.804........................................... 2060-0048
90.806.................................................. 2060-0048
90.903.................................................. 2060-0124
90.905-90.906........................................... 2060-0007
------------------------------------------------------------------------
Determining Conformity of Federal Actions to State or Federal
Implementation Plans
------------------------------------------------------------------------
93.150-93.160........................................... 2060-0279
------------------------------------------------------------------------
Mandatory Patent Licenses
------------------------------------------------------------------------
95.2.................................................... 2060-0307
------------------------------------------------------------------------
[[Page 138]]
Oil Pollution Prevention
------------------------------------------------------------------------
112.1-112.7............................................. 2050-0021
------------------------------------------------------------------------
Oil Pollution Prevention; Non-Transportation-Related Onshore Facilities
------------------------------------------------------------------------
112.20.................................................. 2050-0135
------------------------------------------------------------------------
Designation, Reportable Quantities, and Notification for Hazardous
Substances
------------------------------------------------------------------------
116.4................................................... 2050-0046
117.3................................................... 2050-0046
117.21.................................................. 2050-0046
------------------------------------------------------------------------
EPA Administered Permit Programs: The National Pollutant Discharge
Elimination System
------------------------------------------------------------------------
122.21(f)-(l)........................................... 2040-0086,
2040-0170
122.21(j), (q).......................................... 2040-0086
122.21(m)-(p)........................................... 2040-0068,
2040-0170
122.26(c), (d).......................................... 2040-0086
122.26(g)............................................... 2040-0211
122.41(h)............................................... 2040-0068,
2040-0170
122.41(j)............................................... 2040-0009,
2040-0110,
2040-0170
122.41(l)............................................... 2040-0110,
2040-0068,
2040-0170
122.42(c)............................................... 2040-0086
122.42(a), (b), (l)..................................... 2040-0068,
2040-0170
122.44(g), (i).......................................... 2040-0004,
2040-0170,
2040-0110
122.44(j)............................................... 2040-0150
122.44(r)............................................... 2040-0180
122.45(b)............................................... 2040-0004,
2040-0110
122.45(b)(4)............................................ 2040-0068
122.47(a)............................................... 2040-0110,
2040-0170
122.47(b)............................................... 2040-0110,
2040-0068,
2040-0170
122.48.................................................. 2040-0004,
2040-0170
122.62(a)............................................... 2040-0068,
2040-0170
122.63.................................................. 2040-0068,
2040-0170
------------------------------------------------------------------------
State Permit Requirements
------------------------------------------------------------------------
123.21-123.24........................................... 2040-0057,
2040-0170
123.25.................................................. 2040-0004
2040-0110
2040-0170
2040-0180
2040-0086
123.26-123.29........................................... 2040-0057,
2040-0170
123.35(b)............................................... 2040-0211
123.43.................................................. 2040-0057,
2040-0170
123.44.................................................. 2040-0057,
2040-0170,
2040-0180
123.45.................................................. 2040-0057,
2040-0170
123.62.................................................. 2040-0057,
2040-0170,
2040-0180
123.63.................................................. 2040-0057,
2040-0170,
2040-0180
123.64.................................................. 2040-0057,
2040-0170
------------------------------------------------------------------------
Procedures for Decisionmaking
------------------------------------------------------------------------
124.5................................................... 2040-0068
124.31.................................................. 2050-0149
124.32.................................................. 2050-0149
124.33.................................................. 2050-0149
124.53-124.54........................................... 2040-0057
------------------------------------------------------------------------
Criteria and Standards for the National Pollutant Discharge Elimination
System
------------------------------------------------------------------------
125.59-125.67, and appendix A and B..................... 2040-0088
------------------------------------------------------------------------
Water Quality Planning and Management
------------------------------------------------------------------------
130.6-130.10............................................ 2040-0071
130.15.................................................. 2040-0071
------------------------------------------------------------------------
Water Quality Standards Regulation
------------------------------------------------------------------------
131.1................................................... 2040-0180
131.5................................................... 2040-0180
131.6-131.8............................................. 2040-0049
131.20.................................................. 2040-0049
131.21.................................................. 2040-0049,
2040-0180
131.22.................................................. 2040-0049
131.31-131.36........................................... 2040-0049
------------------------------------------------------------------------
Water Quality Guidance for the Great Lakes System
------------------------------------------------------------------------
132.1................................................... 2040-0180
132.2................................................... 2040-0180
132.3................................................... 2040-0180
132.4................................................... 2040-0180
132.5................................................... 2040-0180
Part 132, appendix A.................................... 2040-0180
Part 132, appendix B.................................... 2040-0180
Part 132, appendix C.................................... 2040-0180
Part 132, appendix D.................................... 2040-0180
Part 132, appendix E.................................... 2040-0180
Part 132, appendix F.................................... 2040-0180
------------------------------------------------------------------------
Marine Sanitation Device Standard
------------------------------------------------------------------------
Part 140................................................ 2040-0187
------------------------------------------------------------------------
National Primary Drinking Water Regulations
------------------------------------------------------------------------
141.2................................................... 2040-0090
141.4................................................... 2040-0090
141.11-141.15........................................... 2040-0090
141.21-141.22........................................... 2040-0090
141.23-141.24........................................... 2040-0090
141.25-141.30........................................... 2040-0090
141.31(a)-(c)........................................... 2040-0090
141.31(d)............................................... 2040-0209
141.31(e)............................................... 2040-0090
141.32(a)-(g)........................................... 2040-0090
141.33(a)-(d)........................................... 2040-0090
141.33(e)............................................... 2040-0209
141.33-141.34........................................... 2040-0090
141.35.................................................. 2040-0208
[[Page 139]]
141.40.................................................. 2040-0208
141.41-141.43........................................... 2040-0090
141.50-141.52........................................... 2040-0090
141.60-141.63........................................... 2040-0090
141.70-141.75........................................... 2040-0090
141.80-141.91........................................... 2040-0210
141.100................................................. 2040-0090
141.110-141.111......................................... 2040-0090
141.130-141.132......................................... 2040-0204
141.134-141.135......................................... 2040-0204
141.140-141.144......................................... 2040-0183
141.153-141.155......................................... 2040-0201
141.170................................................. 2040-0205
141.172................................................. 2040-0205
141.174-141.175......................................... 2040-0205
141.201-141.210......................................... 2040-0209
------------------------------------------------------------------------
National Primary Drinking Water Regulations Implementation
------------------------------------------------------------------------
142.2-142.3............................................. 2040-0090
142.10.................................................. 2040-0090
142.11(a)(1)-(a)(5)..................................... 2040-0090
142.11(a)(6)............................................ 2040-0915
142.11(a)(7)............................................ 2040-0090
142.12.................................................. 2040-0090
142.13.................................................. 2040-0090
142.14(a)-(d)(7)........................................ 2040-0090
142.14(d)(8)-(11)....................................... 2040-0210
142.14(e)............................................... 2040-0090
142.14(f)............................................... 2040-0209
142.14(g)............................................... 2040-0090
142.15(a)............................................... 2040-0090,
2040-0209
142.15(b)-(c)(3)........................................ 2040-0090
142.15(c)(4)............................................ 2040-0210
142.15(c)(5)-(d)........................................ 2040-0090
142.16(a)............................................... 2040-0209
142.16(b)-(c)........................................... 2040-0090
142.16(d)............................................... 2040-0210
142.16(e)............................................... 2040-0090
142.16(f)............................................... 2040-0201
142.17-142.24........................................... 2040-0090
142.56-142.57........................................... 2040-0090
142.60-142.61........................................... 2040-0090
142.62.................................................. 2040-0090
142.63-142.64........................................... 2040-0090
142.70-142.78........................................... 2040-0090
142.81-142.81........................................... 2040-0090
------------------------------------------------------------------------
Underground Injection Control Program
------------------------------------------------------------------------
144.8................................................... 2040-0042
144.12.................................................. 2040-0042
144.14-144.15........................................... 2040-0042
144.23.................................................. 2040-0042
144.25-144.28........................................... 2040-0042
144.31-144.33........................................... 2040-0042
144.38.................................................. 2040-0042
144.41.................................................. 2040-0042
144.51-144.55........................................... 2040-0042
144.62-144.66........................................... 2040-0042
144.70.................................................. 2040-0042
144.79-144.89........................................... 2040-0214
145.23.................................................. 2040-0214
------------------------------------------------------------------------
Underground Injection Control Program: Criteria and Standards
------------------------------------------------------------------------
146.10.................................................. 2040-0042
146.12-146.15........................................... 2040-0042
146.22-146.25........................................... 2040-0042
146.32-146.35........................................... 2040-0042
146.52.................................................. 2040-0042
146.64.................................................. 2040-0042
146.66-146.73........................................... 2040-0042
------------------------------------------------------------------------
State Underground Injection Control Programs
------------------------------------------------------------------------
147.104................................................. 2040-0042
147.304-147.305......................................... 2040-0042
147.504................................................. 2040-0042
147.754................................................. 2040-0042
147.904................................................. 2040-0042
147.1154................................................ 2040-0042
147.1354-147.1355....................................... 2040-0042
147.1454................................................ 2040-0042
147.1654................................................ 2040-0042
147.1954................................................ 2040-0042
147.2103-147.2104....................................... 2040-0042
147.2154................................................ 2040-0042
147.2402................................................ 2040-0042
147.2905................................................ 2040-0042
147.2912-147.2913....................................... 2040-0042
147.2915................................................ 2040-0042
147.2918................................................ 2040-0042
147.2920-147.2926....................................... 2040-0042
147.2929................................................ 2040-0042
147.3002-147.3003....................................... 2040-0042
147.3006-147.3007....................................... 2040-0042
147.3011................................................ 2040-0042
147.3014-147.3016....................................... 2040-0042
147.3101................................................ 2040-0042
147.3104-147.3105....................................... 2040-0042
147.3107-147.3109....................................... 2040-0042
------------------------------------------------------------------------
Hazardous Waste Injection Restrictions
------------------------------------------------------------------------
148.5................................................... 2040-0042
148.20-148.23........................................... 2040-0042
------------------------------------------------------------------------
Pesticide Registration and Classification Procedures
------------------------------------------------------------------------
152.46.................................................. 2070-0060
152.50.................................................. 2070-0024,
2070-0040,
2070-0060
152.80.................................................. 2070-0040,
2070-0060
152.85.................................................. 2070-0040,
2070-0060
152.98.................................................. 2070-0060
152.122................................................. 2070-0060
152.132................................................. 2070-0044
152.135................................................. 2070-0060
152.164................................................. 2070-0060
152.404................................................. 2070-0040,
2070-0060
152.406................................................. 2070-0040,
2070-0060
152.412................................................. 2070-0040,
2070-0060
152.414................................................. 2070-0040,
2070-0060
------------------------------------------------------------------------
Registration Standards
------------------------------------------------------------------------
155.30.................................................. 2070-0057
------------------------------------------------------------------------
Labeling Requirements for Pesticides and Devices
------------------------------------------------------------------------
156.10.................................................. 2070-0060
156.206................................................. 2070-0060
156.208................................................. 2070-0060
156.210................................................. 2070-0060
156.212................................................. 2070-0060
------------------------------------------------------------------------
[[Page 140]]
Packaging Requirements for Pesticides and Devices
------------------------------------------------------------------------
157.22.................................................. 2070-0052
157.24.................................................. 2070-0052
157.34.................................................. 2070-0052
157.36.................................................. 2070-0052
------------------------------------------------------------------------
Data Requirements for Registration
------------------------------------------------------------------------
158.30.................................................. 2070-0040,
2070-0057,
2070-0060,
2070-0107
158.32.................................................. 2070-0040,
2070-0053,
2070-0057,
2070-0060,
2070-0107
158.34.................................................. 2070-0040,
2070-0057,
2070-0060,
2070-0107
158.45.................................................. 2070-0040,
2070-0057,
2070-0060,
2070-0107
158.75.................................................. 2070-0040,
2070-0057,
2070-0060,
2070-0107
158.101................................................. 2070-0040,
2070-0057,
2070-0060,
2070-0107
158.155................................................. 2070-0040,
2070-0057,
2070-0060,
2070-0107
158.160................................................. 2070-0040,
2070-0057,
2070-0060,
2070-0107
158.162................................................. 2070-0040,
2070-0057,
2070-0060,
2070-0107
158.165................................................. 2070-0040,
2070-0057,
2070-0060,
2070-0107
158.167................................................. 2070-0040,
2070-0057,
2070-0060,
2070-0107
158.170................................................. 2070-0040,
2070-0057,
2070-0060,
2070-0107
158.175................................................. 2070-0040,
2070-0057,
2070-0060,
2070-0107
158.180................................................. 2070-0040,
2070-0057,
2070-0060,
2070-0107
158.190................................................. 2070-0040,
2070-0057,
2070-0060,
2070-0107
158.240................................................. 2070-0057,
2070-0060,
2070-0107
158.290................................................. 2070-0057,
2070-0060,
2070-0107
158.340................................................. 2070-0057,
2070-0060,
2070-0107
158.390................................................. 2070-0057,
2070-0060,
2070-0107
158.440................................................. 2070-0057,
2070-0060,
2070-0107
158.490................................................. 2070-0057,
2070-0060,
2070-0107
158.540................................................. 2070-0057,
2070-0060,
2070-0107
158.590................................................. 2070-0057,
2070-0060,
2070-0107
158.640................................................. 2070-0057,
2070-0060,
2070-0107
158.690................................................. 2070-0057,
2070-0060,
2070-0107
158.740................................................. 2070-0057,
2070-0060,
2070-0107
------------------------------------------------------------------------
Statements of Policies and Interpretations
------------------------------------------------------------------------
Part 159, subpart D..................................... 2070-0039
------------------------------------------------------------------------
Good Laboratory Practice Standards
------------------------------------------------------------------------
Part 160................................................ 2070-0024,
2070-0032,
2070-0040,
2070-0055,
2070-0057,
2070-0060,
2070-0107
------------------------------------------------------------------------
State Registration of Pesticide Products
------------------------------------------------------------------------
162.153................................................. 2070-0055
------------------------------------------------------------------------
Certification of Usefulness of Pesticide Chemicals
------------------------------------------------------------------------
163.4................................................... 2070-0060,
2070-0024
163.5................................................... 2070-0060,
2070-0024
------------------------------------------------------------------------
Exemption of Federal and State Agencies for Use of Pesticides Under
Emergency Conditions
------------------------------------------------------------------------
166.20.................................................. 2070-0032
166.32.................................................. 2070-0032
166.43.................................................. 2070-0032
166.50.................................................. 2070-0032
------------------------------------------------------------------------
Registration of Pesticide and Active Ingredient Producing
Establishments, Submission of Pesticide Reports
------------------------------------------------------------------------
Part 167................................................ 2070-0078
------------------------------------------------------------------------
Statements of Enforcement Policies and Interpretations
------------------------------------------------------------------------
168.65.................................................. 2070-0027
168.75.................................................. 2070-0027
[[Page 141]]
168.85.................................................. 2070-0027,
2070-0028,,
2070-0078
------------------------------------------------------------------------
Books and Records of Pesticide Production and Distribution
------------------------------------------------------------------------
169.2................................................... 2070-0028
------------------------------------------------------------------------
Worker Protection Standards for Agricultural Pesticides
------------------------------------------------------------------------
Part 170................................................ 2070-0148
------------------------------------------------------------------------
Certification of Pesticide Applicators
------------------------------------------------------------------------
171.7................................................... 2070-0029
171.8................................................... 2070-0029
171.9................................................... 2070-0029
171.10.................................................. 2070-0029
171.11.................................................. 2070-0029
------------------------------------------------------------------------
Experimental Use Permits
------------------------------------------------------------------------
172.4................................................... 2070-0040
172.8................................................... 2070-0040
------------------------------------------------------------------------
Issuance of Food Additive Regulations
------------------------------------------------------------------------
177.81.................................................. 2070-0024
177.92.................................................. 2070-0024
177.98.................................................. 2070-0024
177.99.................................................. 2070-0024
177.102................................................. 2070-0024
177.105................................................. 2070-0024
177.110................................................. 2070-0024
177.116................................................. 2070-0024
------------------------------------------------------------------------
Tolerances and Exemptions from Tolerances for Pesticide Chemicals in or
on Raw Agricultural Commodities
------------------------------------------------------------------------
180.7................................................... 2070-0024
180.8................................................... 2070-0024
180.9................................................... 2070-0024
180.31.................................................. 2070-0024
180.32.................................................. 2070-0024
180.33.................................................. 2070-0024
------------------------------------------------------------------------
404 State Program Regulations
------------------------------------------------------------------------
233.10-233.12........................................... 2040-0168
233.21.................................................. 2040-0168
233.30.................................................. 2040-0168
233.50.................................................. 2040-0168
233.52.................................................. 2040-0168
233.61.................................................. 2040-0140
------------------------------------------------------------------------
Criteria for Classification of Solid Waste Disposal Facilities and
Practices
------------------------------------------------------------------------
257.8................................................... 2050-0154
257.21(b)............................................... 2050-0154
257.21(h)............................................... 2050-0154
257.23.................................................. 2050-0154
257.24.................................................. 2050-0154
257.25.................................................. 2050-0154
257.27.................................................. 2050-0154
257.30.................................................. 2050-0154
------------------------------------------------------------------------
Criteria for Municipal Solid Waste Landfills
------------------------------------------------------------------------
Part 258................................................ 2050-0122
258.10-258.16........................................... 2050-0122
258.20.................................................. 2050-0122
258.23.................................................. 2050-0122
258.28-258.29........................................... 2050-0122
258.51.................................................. 2050-0122
258.53-258.55........................................... 2050-0122
258.57-258.58........................................... 2050-0122
258.60-258.61........................................... 2050-0122
258.71-258.74........................................... 2050-0122
------------------------------------------------------------------------
Hazardous Waste Management System: General
------------------------------------------------------------------------
260.20-260.22........................................... 2050-0053
260.23.................................................. 2050-0145
260.31-260.33........................................... 2050-0053
------------------------------------------------------------------------
Identification and Listing of Hazardous Waste
------------------------------------------------------------------------
261.3................................................... 2050-0085
261.4................................................... 2050-0053
261.35.................................................. 2050-0115
------------------------------------------------------------------------
Standards Applicable to Generators of Hazardous Waste
------------------------------------------------------------------------
262.12.................................................. 2050-0028
262.20.................................................. 2050-0039
262.22-262.23........................................... 2050-0039
262.34.................................................. 2050-0035,
2050-0085
262.40(a)............................................... 2050-0039
262.40(b)............................................... 2050-0024
262.40(c)............................................... 2050-0035
262.41.................................................. 2050-0024
262.42.................................................. 2050-0039
262.43.................................................. 2050-0035
262.44(a)-(b)........................................... 2050-0039
262.44(c)............................................... 2050-0035
262.53-262.57........................................... 2050-0035
262.60.................................................. 2050-0035
262.90(c), (d), (f), (g)................................ 2010-0026
------------------------------------------------------------------------
Standards Applicable to Transporters of Hazardous Waste
------------------------------------------------------------------------
263.11.................................................. 2050-0028
263.20-263.22........................................... 2050-0039
263.30.................................................. 2050-0039
------------------------------------------------------------------------
Standards for Owners and Operators of Hazardous Waste Treatment,
Storage, and Disposal Facilities
------------------------------------------------------------------------
264.11.................................................. 2050-0028
264.12(a)............................................... 2050-0120
264.13.................................................. 2050-0120,
2050-0009
264.14.................................................. 2050-0009
264.15.................................................. 2050-0120,
2050-0009
264.16.................................................. 2050-0120,
2050-0009
264.17.................................................. 2050-0120
264.18.................................................. 2050-0009
264.19.................................................. 2050-0009
264.32.................................................. 2050-0009
264.35.................................................. 2050-0009
264.37.................................................. 2050-0120
264.51.................................................. 2050-0009
264.52.................................................. 2050-0009
264.53.................................................. 2050-0120
264.54.................................................. 2050-0120
264.56.................................................. 2050-0120
264.71.................................................. 2050-0039
264.72.................................................. 2050-0039
264.73.................................................. 2050-0120
264.74.................................................. 2050-0120
264.75.................................................. 2050-0024
[[Page 142]]
264.76.................................................. 2050-0039
264.90.................................................. 2050-0009
264.96.................................................. 2050-0120
264.97(g)............................................... 2050-0120
264.97(h)............................................... 2050-0009
264.97(j)............................................... 2050-0120
264.98(c), (g)(1), (g)(5), (g)(6)....................... 2050-0033
264.98(g)(4), (h)....................................... 2050-0009
264.99(c), (g), (h)(1), (i)(1), (i)(2).................. 2050-0033
264.99(h)(2), (i)(3), (j)............................... 2050-0009
264.100(e), (f), (g).................................... 2050-0033
264.100(h).............................................. 2050-0009
264.101................................................. 2050-0120
264.112(a), (b), (c).................................... 2050-0009
264.112(d).............................................. 2050-0120
264.113(a), (b), (d).................................... 2050-0120
264.113(e).............................................. 2050-0050
264.115................................................. 2050-0120
264.116................................................. 2050-0120
264.118................................................. 2050-0009
264.119(a), (b)......................................... 2050-0120
264.119(c).............................................. 2050-0009
264.120................................................. 2050-0120
264.142(a).............................................. 2050-0009
264.142(b), (c), (d).................................... 2050-0120
264.143................................................. 2050-0120
264.144(a).............................................. 2050-0009
264.144(b), (c), (d).................................... 2050-0120
264.145................................................. 2050-0120
264.147(a)(7), (b)(7), (f),(g).......................... 2050-0120
264.147(a)(1), (b)(1), (c), (f), (g), (h), (i), (j)..... 2050-0009
264.148................................................. 2050-0120
264.149................................................. 2050-0009
264.150................................................. 2050-0009
264.190................................................. 2050-0050
264.191................................................. 2050-0050
264.192(a).............................................. 2050-0009
264.192(g).............................................. 2050-0050
264.193(c), (d), (e), (g), (h).......................... 2050-0009
264.193(i).............................................. 2050-0050
264.196................................................. 2050-0050
264.197(b).............................................. 2050-0050
264.197(c).............................................. 2050-0009
264.221................................................. 2050-0009
264.222(a).............................................. 2050-0009
264.222(b).............................................. 2050-0050
264.223(a).............................................. 2050-0009
264.223(b), (c)......................................... 2050-0050
264.226(c).............................................. 2050-0050,
2050-0009
264.226(d).............................................. 2050-0050
264.227................................................. 2050-0050
264.231................................................. 2050-0009
264.251................................................. 2050-0009
264.252(a).............................................. 2050-0009
264.252(b).............................................. 2050-0050
264.253(a).............................................. 2050-0009
264.253(b), (c)......................................... 2050-0050
264.254................................................. 2050-0050
264.259................................................. 2050-0009
264.271................................................. 2050-0009
264.272................................................. 2050-0009
264.276................................................. 2050-0050,
2050-0009
264.278(a)-(f), (h)..................................... 2050-0050
264.278(g).............................................. 2050-0050,
2050-0009
264.280................................................. 2050-0050
264.283................................................. 2050-0009
264.301................................................. 2050-0009
264.302(a).............................................. 2050-0009
264.302(b).............................................. 2050-0050
264.303(a).............................................. 2050-0009
264.303(b).............................................. 2050-0050
264.304(a).............................................. 2050-0009
264.304(b), (c)......................................... 2050-0050
264.314................................................. 2050-0050
264.317................................................. 2050-0009
264.340................................................. 2050-0009
264.343................................................. 2050-0050
264.344................................................. 2050-0009
264.347................................................. 2050-0050
264.552................................................. 2050-0009
264.570................................................. 2050-0050
264.571................................................. 2050-0050
264.573................................................. 2050-0050
264.574................................................. 2050-0050
264.575................................................. 2050-0009
264.603................................................. 2050-0050
264.1033(a)............................................. 2050-0009
264.1033(j)............................................. 2050-0050
264.1034................................................ 2050-0050
264.1035................................................ 2050-0050
264.1036................................................ 2050-0050
264.1061................................................ 2050-0050
264.1062................................................ 2050-0050
264.1063................................................ 2050-0050
264.1064................................................ 2050-0050,
2050-0009
264.1065................................................ 2050-0050
264.1089................................................ 2060-0318
264.1090................................................ 2060-0318
264.1100................................................ 2050-0050
264.1101................................................ 2050-0050
------------------------------------------------------------------------
Interim Status Standards for Owners and Operators of Hazardous Waste
Treatment, Storage, and Disposal Facilities
------------------------------------------------------------------------
265.11.................................................. 2050-0028
265.12(a)............................................... 2050-0120
265.13.................................................. 2050-0120
265.15.................................................. 2050-0120
265.16.................................................. 2050-0120
265.19.................................................. 2050-0120
265.37.................................................. 2050-0120
265.51.................................................. 2050-0120
265.52.................................................. 2050-0120
265.53.................................................. 2050-0120
265.54.................................................. 2050-0120
265.56.................................................. 2050-0120
265.71.................................................. 2050-0039
265.72.................................................. 2050-0039
265.73.................................................. 2050-0120
265.75.................................................. 2050-0024
265.76.................................................. 2050-0039
265.90.................................................. 2050-0033
265.92.................................................. 2050-0033
265.93.................................................. 2050-0033
265.94.................................................. 2050-0033
265.112................................................. 2050-0120
265.113(a), (b), (d).................................... 2050-0120
265.113(e).............................................. 2050-0050
265.115................................................. 2050-0120
265.116................................................. 2050-0120
265.118................................................. 2050-0120
265.119................................................. 2050-0120
265.120................................................. 2050-0120
265.142................................................. 2050-0120
265.143................................................. 2050-0120
265.144................................................. 2050-0120
265.145................................................. 2050-0120
265.147................................................. 2050-0120
265.148................................................. 2050-0120
265.149................................................. 2050-0120
265.150................................................. 2050-0120
[[Page 143]]
265.190................................................. 2050-0035,
2050-0050
265.191................................................. 2050-0035,
2050-0050
265.192................................................. 2050-0035,
2050-0050
265.193................................................. 2050-0035,
2050-0050
265.195................................................. 2050-0120
265.196................................................. 2050-0035,
2050-0050
265.197(b).............................................. 2050-0050
265.197(c).............................................. 2050-0120
265.221................................................. 2050-0050
265.222................................................. 2050-0050
265.223................................................. 2050-0050
265.225................................................. 2050-0050
265.226................................................. 2050-0050
265.229................................................. 2050-0050
265.254................................................. 2050-0050
265.255................................................. 2050-0050
265.259................................................. 2050-0050
265.260................................................. 2050-0050
265.273................................................. 2050-0120
265.276................................................. 2050-0050
265.278................................................. 2050-0050
265.280................................................. 2050-0050
265.301................................................. 2050-0050
265.302................................................. 2050-0050
265.303................................................. 2050-0050
265.304................................................. 2050-0050
265.314................................................. 2050-0050
265.340................................................. 2050-0050
265.352................................................. 2050-0050
265.383................................................. 2050-0050
265.404................................................. 2050-0050
265.440................................................. 2050-0050
265.441................................................. 2050-0050
265.443................................................. 2050-0050
265.444................................................. 2050-0050
265.445................................................. 2050-0120
265.1033................................................ 2050-0050
265.1034................................................ 2050-0050
265.1035................................................ 2050-0050
265.1061................................................ 2050-0050
265.1062................................................ 2050-0050
265.1063................................................ 2050-0050
265.1064................................................ 2050-0050
265.1090................................................ 2060-0318
265.1100................................................ 2050-0050
265.1101................................................ 2050-0050
------------------------------------------------------------------------
Standards for the Management of Specific Hazardous Wastes and Specific
Types of Hazardous Waste Management Facilities
------------------------------------------------------------------------
266.70 (b).............................................. 2050-0028
266.70(c)............................................... 2050-0050
266.80.................................................. 2050-0028
266.100................................................. 2050-0073
266.102................................................. 2050-0073
266.103................................................. 2050-0073
266.104................................................. 2050-0073
266.106................................................. 2050-0073
266.107................................................. 2050-0073
266.108................................................. 2050-0073
266.109................................................. 2050-0073
266.111................................................. 2050-0073
266.112................................................. 2050-0073
Appendix IX............................................. 2050-0073
------------------------------------------------------------------------
Land Disposal Restrictions
------------------------------------------------------------------------
268.4-268.5............................................. 2050-0085
268.6................................................... 2050-0062
268.7................................................... 2050-0085
268.9................................................... 2050-0085
268.42.................................................. 2050-0085
268.44.................................................. 2050-0085
------------------------------------------------------------------------
EPA Administered Permit Programs: The Hazardous Waste Permit Program
------------------------------------------------------------------------
270.1................................................... 2050-0028,
2050-0034,
2050-0009
270.10.................................................. 2050-0009
270.11.................................................. 2050-0034
270.13.................................................. 2050-0034
270.14.................................................. 2050-0009
270.14(b)(21)........................................... 2050-0062,
2050-0085
270.15.................................................. 2050-0009
270.16.................................................. 2050-0009
270.17.................................................. 2050-0009
270.18.................................................. 2050-0009
270.19.................................................. 2050-0009
270.20.................................................. 2050-0009
270.21.................................................. 2050-0009
270.22.................................................. 2050-0073
270.23.................................................. 2050-0009
270.24.................................................. 2050-0009
270.25.................................................. 2050-0009
270.26.................................................. 2050-0115
270.30.................................................. 2050-0120
270.33.................................................. 2050-0009
270.40.................................................. 2050-0009
270.41.................................................. 2050-0009
270.42.................................................. 2050-0009
270.51.................................................. 2050-0009
270.62.................................................. 2050-0009,
2050-0149
270.63.................................................. 2050-0009
270.65.................................................. 2050-0009
270.66.................................................. 2050-0073,
2050-0149
270.72.................................................. 2050-0034
270.73.................................................. 2050-0009
------------------------------------------------------------------------
Requirements for Authorization of State Hazardous Waste Programs
------------------------------------------------------------------------
271.5-271.8............................................. 2050-0041
271.20-271.21........................................... 2050-0041
271.23.................................................. 2050-0041
------------------------------------------------------------------------
Standards for Universal Waste Management
------------------------------------------------------------------------
273.14.................................................. 2050-0145
273.15.................................................. 2050-0145
273.18.................................................. 2050-0145
273.32.................................................. 2050-0145
273.34.................................................. 2050-0145
273.35.................................................. 2050-0145
273.38.................................................. 2050-0145
273.39.................................................. 2050-0145
273.61.................................................. 2050-0145
273.62.................................................. 2050-0145
273.80.................................................. 2050-0145
------------------------------------------------------------------------
Standards for Management of Used Oil
------------------------------------------------------------------------
279.10-279.11........................................... 2050-0124
279.42.................................................. 2050-0028,
2050-0124
279.43-279.44........................................... 2050-0124
279.46.................................................. 2050-0050
279.51.................................................. 2050-0028
[[Page 144]]
279.52-279.55........................................... 2050-0124
279.56.................................................. 2050-0050
279.57.................................................. 2050-0050,
2050-0124
279.62.................................................. 2050-0028
279.63.................................................. 2050-0124
279.65-279.66........................................... 2050-0050
279.72.................................................. 2050-0050
279.73.................................................. 2050-0028
279.74-279.75........................................... 2050-0050
279.82.................................................. 2050-0124
------------------------------------------------------------------------
Technical Standards and Corrective Action Requirements for Owners and
Operators of Underground Storage Tanks (USTs)
------------------------------------------------------------------------
280.11(a)............................................... 2050-0068
280.20(a)-(b)........................................... 2050-0068
280.20(e)............................................... 2050-0068
280.22(a)-(f)........................................... 2050-0068
280.22(g)............................................... 2050-0068
280.31.................................................. 2050-0068
280.33(f)............................................... 2050-0068
280.34(a)............................................... 2050-0068
280.34(b)............................................... 2050-0068
280.34(c)............................................... 2050-0068
280.40.................................................. 2050-0068
280.43.................................................. 2050-0068
280.44.................................................. 2050-0068
280.45.................................................. 2050-0068
280.50.................................................. 2050-0068
280.53.................................................. 2050-0068
280.61.................................................. 2050-0068
280.62.................................................. 2050-0068
280.63.................................................. 2050-0068
280.64.................................................. 2050-0068
280.65.................................................. 2050-0068
280.66(a)............................................... 2050-0068
280.66(c)............................................... 2050-0068
280.66(d)............................................... 2050-0068
280.67.................................................. 2050-0068
280.71(a)............................................... 2050-0068
280.72(a)............................................... 2050-0068
280.74.................................................. 2050-0068
280.95.................................................. 2050-0068
280.96.................................................. 2050-0068
280.97.................................................. 2050-0068
280.98.................................................. 2050-0068
280.99.................................................. 2050-0068
280.100................................................. 2050-0068
280.101................................................. 2050-0068
280.102................................................. 2050-0068
280.103................................................. 2050-0068
280.104................................................. 2050-0068
280.105................................................. 2050-0068
280.106................................................. 2050-0068
280.107................................................. 2050-0068
280.108................................................. 2050-0068
280.109(a).............................................. 2050-0068
280.109(b).............................................. 2050-0068
280.110................................................. 2050-0068
280.111................................................. 2050-0068
280.111(b)(11).......................................... 2050-0068
280.114(a)-(d).......................................... 2050-0068
280.114(e).............................................. 2050-0068
------------------------------------------------------------------------
Approval of State Underground Storage Tank Programs
------------------------------------------------------------------------
281.120(a).............................................. 2050-0068
281.120(g).............................................. 2050-0068
281.121................................................. 2050-0068
281.122................................................. 2050-0068
281.124................................................. 2050-0068
281.125................................................. 2050-0068
281.140................................................. 2050-0068
281.143(a).............................................. 2050-0068
281.150................................................. 2050-0068
281.152................................................. 2050-0068
281.161................................................. 2050-0068
------------------------------------------------------------------------
National Oil and Hazardous Substances Pollution Contingency Plan
------------------------------------------------------------------------
300.405................................................. 2050-0046
300.425................................................. 2050-0095
300.430................................................. 2050-0096
300.435................................................. 2050-0096
300.920................................................. 2050-0141
Part 300, appendix A.................................... 2050-0095
------------------------------------------------------------------------
Designation, reportable quantities, and notification
------------------------------------------------------------------------
302.4................................................... 2050-0046
302.6................................................... 2050-0046
302.8................................................... 2050-0086
------------------------------------------------------------------------
Hazardous Substances Superfund; Response Claims Procedures
------------------------------------------------------------------------
307.11-307.14........................................... 2050-0106
307.21-307.23........................................... 2050-0106
307.30-307.32........................................... 2050-0106
------------------------------------------------------------------------
Reimbursement to Local Governments for Emergency Response to Hazardous
Substance Releases
------------------------------------------------------------------------
310.05.................................................. 2050-0077
310.10-310.12........................................... 2050-0077
310.20.................................................. 2050-0077
310.30.................................................. 2050-0077
310.40.................................................. 2050-0077
310.50.................................................. 2050-0077
310.60.................................................. 2050-0077
310.70.................................................. 2050-0077
310.80.................................................. 2050-0077
310.90.................................................. 2050-0077
Part 310, appendix II................................... 2050-0077
------------------------------------------------------------------------
Worker Protection Standards for Hazardous Waste Operations and Emergency
Response
------------------------------------------------------------------------
311.1-311.2............................................. 2050-0105
------------------------------------------------------------------------
Trade Secrecy Claims for Emergency Planning and Community Right-to-Know;
Health Professionals
------------------------------------------------------------------------
350.5-350.16............................................ 2050-0078
350.27.................................................. 2050-0078
350.40.................................................. 2050-0078
------------------------------------------------------------------------
Emergency planning and notification
------------------------------------------------------------------------
Part 355, appendix A, appendix B........................ 2050-0046
------------------------------------------------------------------------
Hazardous Chemical Reporting: Community Right-to-Know
------------------------------------------------------------------------
370.21.................................................. 2050-0072
370.25.................................................. 2050-0072
370.30.................................................. 2050-0072
------------------------------------------------------------------------
Toxic Chemical Release Reporting: Community Right-to-Know
------------------------------------------------------------------------
Part 372, subpart A..................................... 2070-0093,
2070-0143
372.22.................................................. 2070-0093,
2070-0143
[[Page 145]]
372.25.................................................. 2070-0093
372.27.................................................. 2070-0143
372.30.................................................. 2070-0093,
2070-0143
372.38.................................................. 2070-0093,
2070-0143
Part 372, subpart C..................................... 2070-0093,
2070-0143
Part 372, subpart D..................................... 2070-0093,
2070-0143
372.85.................................................. 2070-0093
372.95.................................................. 2070-0143
------------------------------------------------------------------------
General Pretreatment Regulations for Existing and New Sources of
Pollution
------------------------------------------------------------------------
403.5(b)................................................ 2040-0009
403.6-403.7............................................. 2040-0009
403.8(a)-(e)............................................ 2040-0009
403.8(f)................................................ 2040-0009
403.9-403.10............................................ 2040-0009
403.12(b)-(g)........................................... 2040-0009
403.12(h), (i).......................................... 2040-0009
403.12(j), (k), (l), (o)................................ 2040-0009
403.12(m), (p).......................................... 2040-0009
403.13.................................................. 2040-0009
403.15.................................................. 2040-0009
403.17-403.18........................................... 2040-0009,
2040-0170
------------------------------------------------------------------------
Steam Electric Generating Point Source Category
------------------------------------------------------------------------
423.12-423.13........................................... 2040-0033
423.15.................................................. 2040-0033
------------------------------------------------------------------------
Pulp, Paper, and Paperboard Point Source Category
------------------------------------------------------------------------
430.03.................................................. 2040-0207
430.14-430.17........................................... 2040-0033
430.24(a)............................................... 2040-0033
430.24(b)............................................... 2040-0033
2040-0202
430.24(c)............................................... 2040-0202
430.24(d)............................................... 2040-0033
430.24(e)............................................... 2040-0033
430.25-430.27........................................... 2040-0033
430.54-430.57........................................... 2040-0033
430.64-430.67........................................... 2040-0033
430.74-430.77........................................... 2040-0033
430.84-430.87........................................... 2040-0033
430.94-430.97........................................... 2040-0033
430.104-430.107......................................... 2040-0033
430.114-430.117......................................... 2040-0033
430.134-430.137......................................... 2040-0033
430.144-430.147......................................... 2040-0033
430.154-430.157......................................... 2040-0033
430.164-430.167......................................... 2040-0033
430.174-430.177......................................... 2040-0033
430.184-430.187......................................... 2040-0033
430.194-430.197......................................... 2040-0033
430.204-430.207......................................... 2040-0033
430.214-430.217......................................... 2040-0033
430.224-430.227......................................... 2040-0033
430.234-430.237......................................... 2040-0033
430.244-430.247......................................... 2040-0033
430.254-430.257......................................... 2040-0033
430.264-430.267......................................... 2040-0033
------------------------------------------------------------------------
The Builders' Paper and Board Mills Point Source Category
------------------------------------------------------------------------
431.14-431.17........................................... 2040-0033
------------------------------------------------------------------------
Pharmaceutical Manufacturing Point Source Category
------------------------------------------------------------------------
439.14-439.17........................................... 2040-0033
439.24-439.27........................................... 2040-0033
439.34-439.37........................................... 2040-0033
439.44-439.47........................................... 2040-0033
------------------------------------------------------------------------
Coil Coating Point Source Category
------------------------------------------------------------------------
465.03.................................................. 2040-0033
------------------------------------------------------------------------
Porcelain Enameling Point Source Category
------------------------------------------------------------------------
466.03.................................................. 2040-0033
------------------------------------------------------------------------
Aluminum Forming Point Source Category
------------------------------------------------------------------------
467.03.................................................. 2040-0033
------------------------------------------------------------------------
State Sludge Management Program Requirements
------------------------------------------------------------------------
501.15(a)............................................... 2040-0086,
2040-0110
501.15(b)............................................... 2040-0004,
2040-0068,
2040-0110
501.15(c)............................................... 2040-0068
501.16.................................................. 2040-0057
501.21.................................................. 2040-0057
------------------------------------------------------------------------
Standards for the Use or Disposal of Sewage Sludge
------------------------------------------------------------------------
503.17-503.18........................................... 2040-0157
503.27-503.28........................................... 2040-0157
503.47-503.48........................................... 2040-0157
------------------------------------------------------------------------
Fuel Economy of Motor Vehicles
------------------------------------------------------------------------
600.006-86.............................................. 2060-0104
600.007-80.............................................. 2060-0104
600.010-86.............................................. 2060-0104
600.113-88.............................................. 2060-0104
600.113-93.............................................. 2060-0104
600.206-86.............................................. 2060-0104
600.207-86.............................................. 2060-0104
600.209-85.............................................. 2060-0104
600.306-86.............................................. 2060-0104
600.307-86.............................................. 2060-0104
600.311-86.............................................. 2060-0104
600.312-86.............................................. 2060-0104
600.313-86.............................................. 2060-0104
600.314-86.............................................. 2060-0104
600.507-86.............................................. 2060-0104
600.509-86.............................................. 2060-0104
600.510-86.............................................. 2060-0104
600.512-86.............................................. 2060-0104
------------------------------------------------------------------------
Toxic Substances Control Act: General
------------------------------------------------------------------------
700.45.................................................. 2070-0012,
2070-0038
------------------------------------------------------------------------
Reporting and Recordkeeping Requirements
------------------------------------------------------------------------
704.5................................................... 2070-0067
704.11.................................................. 2070-0067
704.25.................................................. 2070-0067
704.33.................................................. 2070-0067
704.43.................................................. 2070-0067
704.45.................................................. 2070-0067
704.95.................................................. 2070-0067
704.102................................................. 2070-0067
704.104................................................. 2070-0067
704.175................................................. 2070-0067
------------------------------------------------------------------------
[[Page 146]]
Chemical Imports and Exports
------------------------------------------------------------------------
707.65.................................................. 2070-0030
707.67.................................................. 2070-0030
707.72.................................................. 2070-0030
------------------------------------------------------------------------
Inventory Reporting Regulations
------------------------------------------------------------------------
Part 710................................................ 2070-0070
------------------------------------------------------------------------
Chemical Information Rules
------------------------------------------------------------------------
712.5................................................... 2070-0054
712.7................................................... 2070-0054
712.20.................................................. 2070-0054
712.28.................................................. 2070-0054
712.30.................................................. 2070-0054
------------------------------------------------------------------------
Health and Safety Data Reporting
------------------------------------------------------------------------
716.5................................................... 2070-0004
716.10.................................................. 2070-0004
716.20.................................................. 2070-0004
716.25.................................................. 2070-0004
716.30.................................................. 2070-0004
716.35.................................................. 2070-0004
716.40.................................................. 2070-0004
716.45.................................................. 2070-0004
716.50.................................................. 2070-0004
716.60.................................................. 2070-0004
716.65.................................................. 2070-0004
716.105................................................. 2070-0004
716.120................................................. 2070-0004
------------------------------------------------------------------------
Records and Reports of Allegations That Chemical Substances Cause
Significant Adverse Reactions to Health or the Environment
------------------------------------------------------------------------
717.5................................................... 2070-0017
717.7................................................... 2070-0017
717.12.................................................. 2070-0017
717.15.................................................. 2070-0017
717.17.................................................. 2070-0017
------------------------------------------------------------------------
Premanufacture Notification
------------------------------------------------------------------------
720.1................................................... 2070-0012
720.22.................................................. 2070-0012
720.25.................................................. 2070-0012
720.30.................................................. 2070-0012
720.36.................................................. 2070-0012
720.38.................................................. 2070-0012
Part 720, subpart C..................................... 2070-0012
720.62.................................................. 2070-0012
720.75.................................................. 2070-0012
720.78.................................................. 2070-0012
720.80.................................................. 2070-0012
720.85.................................................. 2070-0012
720.87.................................................. 2070-0012
720.90.................................................. 2070-0012
720.102................................................. 2070-0012
Part 720, appendix A.................................... 2070-0012
------------------------------------------------------------------------
Significant New Uses of Chemical Substances
------------------------------------------------------------------------
Part 721, subpart A..................................... 2070-0012,
2070-0038
721.72.................................................. 2070-0012,
2070-0038
721.125................................................. 2070-0012,
2070-0038
721.160................................................. 2070-0012,
2070-0038
721.170................................................. 2070-0012,
2070-0038
721.185................................................. 2070-0012,
2070-0038
721.225................................................. 2070-0012
721.267................................................. 2070-0012
721.275................................................. 2070-0012
721.285................................................. 2070-0012
721.305................................................. 2070-0012
721.320................................................. 2070-0012
721.323................................................. 2070-0012
721.324................................................. 2070-0012
721.329................................................. 2070-0012
721.336................................................. 2070-0012
721.405................................................. 2070-0012
721.430................................................. 2070-0012
721.435................................................. 2070-0012
721.445................................................. 2070-0012
721.450................................................. 2070-0012
721.484................................................. 2070-0012
721.505................................................. 2070-0012
721.520................................................. 2070-0012
721.524................................................. 2070-0012
721.526................................................. 2070-0012
721.528................................................. 2070-0012
721.530................................................. 2070-0012
721.536................................................. 2070-0012
721.537................................................. 2070-0012
721.538................................................. 2070-0012
721.539................................................. 2070-0012
721.540................................................. 2070-0012
721.550................................................. 2070-0012
721.555................................................. 2070-0012
721.558................................................. 2070-0012
721.562................................................. 2070-0012
721.567................................................. 2070-0012
721.575................................................. 2070-0012
721.600................................................. 2070-0012
721.625................................................. 2070-0012
721.630................................................. 2070-0012
721.637................................................. 2070-0012
721.639................................................. 2070-0012
721.640................................................. 2070-0012
721.641................................................. 2070-0012
721.642................................................. 2070-0012
721.643................................................. 2070-0012
721.644................................................. 2070-0012
721.646................................................. 2070-0012
721.650................................................. 2070-0038
721.655................................................. 2070-0012
721.715................................................. 2070-0012
721.720................................................. 2070-0012
721.750................................................. 2070-0012
721.757................................................. 2070-0012
721.775................................................. 2070-0012
721.785................................................. 2070-0012
721.805................................................. 2070-0012
721.825................................................. 2070-0012
721.840................................................. 2070-0012
721.875................................................. 2070-0012
721.925................................................. 2070-0012
721.950................................................. 2070-0012
721.977................................................. 2070-0012
721.980................................................. 2070-0012
721.981................................................. 2070-0012
721.982................................................. 2070-0012
721.987................................................. 2070-0012
721.988................................................. 2070-0012
721.1000................................................ 2070-0012
721.1025................................................ 2070-0038
721.1050................................................ 2070-0012
721.1055................................................ 2070-0012
721.1068................................................ 2070-0012
721.1075................................................ 2070-0012
721.1105................................................ 2070-0012
[[Page 147]]
721.1120................................................ 2070-0012
721.1150................................................ 2070-0012
721.1155................................................ 2070-0012
721.1187................................................ 2070-0012
721.1193................................................ 2070-0012
721.1210................................................ 2070-0012
721.1225................................................ 2070-0012
721.1300................................................ 2070-0012
721.1325................................................ 2070-0012
721.1350................................................ 2070-0012
721.1372................................................ 2070-0012
721.1375................................................ 2070-0012
721.1425................................................ 2070-0038
721.1430................................................ 2070-0038
721.1435................................................ 2070-0038
721.1440................................................ 2070-0038
721.1450................................................ 2070-0012
721.1500................................................ 2070-0012
721.1550................................................ 2070-0012
721.1555................................................ 2070-0012
721.1568................................................ 2070-0012
721.1576................................................ 2070-0012
721.1577................................................ 2070-0012
721.1578................................................ 2070-0012
721.1579................................................ 2070-0012
721.1580................................................ 2070-0012
721.1612................................................ 2070-0012
721.1625................................................ 2070-0012
721.1630................................................ 2070-0012
721.1637................................................ 2070-0012
721.1640................................................ 2070-0012
721.1643................................................ 2070-0012
721.1645................................................ 2070-0012
721.1650................................................ 2070-0012
721.1655................................................ 2070-0012
721.1660................................................ 2070-0038
721.1675................................................ 2070-0012
721.1700................................................ 2070-0012
721.1705................................................ 2070-0012
721.1710................................................ 2070-0012
721.1725................................................ 2070-0012
721.1728................................................ 2070-0012
721.1729................................................ 2070-0012
721.1730................................................ 2070-0012
721.1731................................................ 2070-0012
721.1732................................................ 2070-0012
721.1734................................................ 2070-0012
721.1735................................................ 2070-0012
721.1738................................................ 2070-0012
721.1745................................................ 2070-0012
721.1750................................................ 2070-0012
721.1755................................................ 2070-0012
721.1760................................................ 2070-0012
721.1765................................................ 2070-0012
721.1775................................................ 2070-0012
721.1790................................................ 2070-0038
721.1800................................................ 2070-0012
721.1805................................................ 2070-0012
721.1820................................................ 2070-0012
721.1825................................................ 2070-0012
721.1850................................................ 2070-0012
721.1875................................................ 2070-0012
721.1900................................................ 2070-0012
721.1907................................................ 2070-0012
721.1920................................................ 2070-0012
721.1925................................................ 2070-0012
721.1930................................................ 2070-0012
721.1950................................................ 2070-0012
721.2025................................................ 2070-0012
721.2075................................................ 2070-0012
721.2077................................................ 2070-0012
721.2078................................................ 2070-0012
721.2079................................................ 2070-0012
721.2081................................................ 2070-0012
721.2082................................................ 2070-0012
721.2083................................................ 2070-0012
721.2084................................................ 2070-0038
721.2085................................................ 2070-0012
721.2086................................................ 2070-0012
721.2087................................................ 2070-0012
721.2088................................................ 2070-0012
721.2089................................................ 2070-0012
721.2091................................................ 2070-0012
721.2092................................................ 2070-0038
721.2094................................................ 2070-0012
721.2095................................................ 2070-0012
721.2097................................................ 2070-0012
721.2120................................................ 2070-0012
721.2122................................................ 2070-0012
721.2140................................................ 2070-0012
721.2145................................................ 2070-0012
721.2175................................................ 2070-0012
721.2222................................................ 2070-0012
721.2225................................................ 2070-0012
721.2250................................................ 2070-0012
721.2260................................................ 2070-0012
721.2270................................................ 2070-0012
721.2275................................................ 2070-0012
721.2280................................................ 2070-0012
721.2287................................................ 2070-0038
721.2340................................................ 2070-0012
721.2345................................................ 2070-0012
721.2350................................................ 2070-0012
721.2355................................................ 2070-0038
721.2380................................................ 2070-0012
721.2385................................................ 2070-0012
721.2410................................................ 2070-0012
721.2420................................................ 2070-0012
721.2475................................................ 2070-0012
721.2480................................................ 2070-0012
721.2485................................................ 2070-0012
721.2520................................................ 2070-0012
721.2527................................................ 2070-0012
721.2532................................................ 2070-0012
721.2535................................................ 2070-0012
721.2540................................................ 2070-0012
721.2560................................................ 2070-0012
721.2565................................................ 2070-0012
721.2570................................................ 2070-0012
721.2575................................................ 2070-0012
721.2580................................................ 2070-0012
721.2585................................................ 2070-0012
721.2600................................................ 2070-0038
721.2625................................................ 2070-0012
721.2675................................................ 2070-0012
721.2725................................................ 2070-0038
721.2755................................................ 2070-0012
721.2800................................................ 2070-0038
721.2805................................................ 2070-0012
721.2825................................................ 2070-0012
721.2900................................................ 2070-0012
721.2920................................................ 2070-0012
721.2925................................................ 2070-0012
721.2950................................................ 2070-0012
721.3000................................................ 2070-0012
721.3025................................................ 2070-0012
721.3031................................................ 2070-0012
721.3032................................................ 2070-0012
721.3034................................................ 2070-0012
721.3063................................................ 2070-0012
721.3080................................................ 2070-0012
721.3085................................................ 2070-0012
721.3100................................................ 2070-0012
721.3140................................................ 2070-0012
721.3152................................................ 2070-0012
721.3155................................................ 2070-0012
[[Page 148]]
721.3160................................................ 2070-0038
721.3220................................................ 2070-0038
721.3248................................................ 2070-0012
721.3254................................................ 2070-0012
721.3260................................................ 2070-0012
721.3310................................................ 2070-0012
721.3320................................................ 2070-0012
721.3340................................................ 2070-0012
721.3350................................................ 2070-0038
721.3360................................................ 2070-0012
721.3364................................................ 2070-0012
721.3374................................................ 2070-0012
721.3380................................................ 2070-0012
721.3390................................................ 2070-0012
721.3420................................................ 2070-0012
721.3430................................................ 2070-0038
721.3435................................................ 2070-0012
721.3437................................................ 2070-0012
721.3440................................................ 2070-0012
721.3460................................................ 2070-0012
721.3465................................................ 2070-0012
721.3480................................................ 2070-0012
721.3485................................................ 2070-0012
721.3486................................................ 2070-0012
721.3488................................................ 2070-0012
721.3500................................................ 2070-0012
721.3520................................................ 2070-0012
721.3550................................................ 2070-0012
721.3560................................................ 2070-0012
721.3565................................................ 2070-0012
721.3620................................................ 2070-0012
721.3625................................................ 2070-0012
721.3627................................................ 2070-0012
721.3628................................................ 2070-0012
721.3629................................................ 2070-0012
721.3635................................................ 2070-0012
721.3680................................................ 2070-0012
721.3700................................................ 2070-0012
721.3720................................................ 2070-0012
721.3740................................................ 2070-0012
721.3760................................................ 2070-0012
721.3764................................................ 2070-0012
721.3790................................................ 2070-0012
721.3800................................................ 2070-0012
721.3815................................................ 2070-0012
721.3840................................................ 2070-0012
721.3845................................................ 2070-0012
721.3860................................................ 2070-0012
721.3880................................................ 2070-0012
721.3900................................................ 2070-0012
721.4000................................................ 2070-0012
721.4040................................................ 2070-0012
721.4060................................................ 2070-0012
721.4080................................................ 2070-0038
721.4085................................................ 2070-0012
721.4090................................................ 2070-0012
721.4095................................................ 2070-0012
721.4097................................................ 2070-0012
721.4098................................................ 2070-0012
721.4100................................................ 2070-0012
721.4105................................................ 2070-0012
721.4106................................................ 2070-0012
721.4107................................................ 2070-0012
721.4108................................................ 2070-0012
721.4110................................................ 2070-0012
721.4128................................................ 2070-0012
721.4133................................................ 2070-0012
721.4140................................................ 2070-0038
721.4155................................................ 2070-0038
721.4158................................................ 2070-0038
721.4160................................................ 2070-0038
721.4180................................................ 2070-0038
721.4200................................................ 2070-0012
721.4215................................................ 2070-0012
721.4240................................................ 2070-0012
721.4250................................................ 2070-0012
721.4255................................................ 2070-0012
721.4257................................................ 2070-0012
721.4259................................................ 2070-0012
721.4260................................................ 2070-0012
721.4265................................................ 2070-0012
721.4270................................................ 2070-0012
721.4280................................................ 2070-0012
721.4300................................................ 2070-0012
721.4320................................................ 2070-0012
721.4340................................................ 2070-0012
721.4360................................................ 2070-0038
721.4380................................................ 2070-0012
721.4385................................................ 2070-0012
721.4390................................................ 2070-0012
721.4420................................................ 2070-0012
721.4460................................................ 2070-0012
721.4462................................................ 2070-0012
721.4463................................................ 2070-0012
721.4464................................................ 2070-0012
721.4465................................................ 2070-0012
721.4466................................................ 2070-0012
721.4467................................................ 2070-0012
721.4468................................................ 2070-0012
721.4469................................................ 2070-0012
721.4470................................................ 2070-0012
721.4472................................................ 2070-0012
721.4473................................................ 2070-0012
721.4476................................................ 2070-0012
721.4480................................................ 2070-0012
721.4484................................................ 2070-0012
721.4490................................................ 2070-0012
721.4494................................................ 2070-0012
721.4497................................................ 2070-0012
721.4500................................................ 2070-0012
721.4520................................................ 2070-0012
721.4550................................................ 2070-0012
721.4568................................................ 2070-0012
721.4585................................................ 2070-0012
721.4587................................................ 2070-0012
721.4589................................................ 2070-0012
721.4590................................................ 2070-0012
721.4594................................................ 2070-0012
721.4596................................................ 2070-0012
721.4600................................................ 2070-0012
721.4620................................................ 2070-0012
721.4660................................................ 2070-0012
721.4663................................................ 2070-0012
721.4668................................................ 2070-0012
721.4680................................................ 2070-0012
721.4685................................................ 2070-0012
721.4700................................................ 2070-0012
721.4720................................................ 2070-0012
721.4740................................................ 2070-0038
721.4794................................................ 2070-0012
721.4820................................................ 2070-0012
721.4840................................................ 2070-0012
721.4880................................................ 2070-0012
721.4885................................................ 2070-0012
721.4925................................................ 2070-0038
721.5050................................................ 2070-0012
721.5075................................................ 2070-0012
721.5175................................................ 2070-0038
721.5185................................................ 2070-0012
721.5192................................................ 2070-0012
721.5200................................................ 2070-0012
721.5225................................................ 2070-0012
721.5250................................................ 2070-0012
721.5255................................................ 2070-0012
721.5275................................................ 2070-0012
721.5276................................................ 2070-0012
[[Page 149]]
721.5278................................................ 2070-0012
721.5279................................................ 2070-0012
721.5280................................................ 2070-0012
721.5281................................................ 2070-0012
721.5282................................................ 2070-0012
721.5285................................................ 2070-0012
721.5290................................................ 2070-0012
721.5300................................................ 2070-0012
721.5310................................................ 2070-0012
721.5325................................................ 2070-0012
721.5330................................................ 2070-0012
721.5350................................................ 2070-0012
721.5356................................................ 2070-0012
721.5360................................................ 2070-0012
721.5375................................................ 2070-0012
721.5380................................................ 2070-0012
721.5385................................................ 2070-0012
721.5400................................................ 2070-0012
721.5425................................................ 2070-0012
721.5450................................................ 2070-0012
721.5460................................................ 2070-0012
721.5465................................................ 2070-0012
721.5475................................................ 2070-0012
721.5500................................................ 2070-0012
721.5525................................................ 2070-0012
721.5540................................................ 2070-0012
721.5545................................................ 2070-0012
721.5547................................................ 2070-0012
721.5548................................................ 2070-0012
721.5549................................................ 2070-0012
721.5550................................................ 2070-0012
721.5575................................................ 2070-0012
721.5580................................................ 2070-0012
721.5600................................................ 2070-0038
721.5625................................................ 2070-0038
721.5645................................................ 2070-0012
721.5650................................................ 2070-0012
721.5687................................................ 2070-0012
721.5700................................................ 2070-0012
721.5708................................................ 2070-0012
721.5710................................................ 2070-0038
721.5730................................................ 2070-0012
721.5740................................................ 2070-0012
721.5760................................................ 2070-0012
721.5763................................................ 2070-0012
721.5769................................................ 2070-0012
721.5775................................................ 2070-0012
721.5780................................................ 2070-0012
721.5800................................................ 2070-0012
721.5820................................................ 2070-0012
721.5840................................................ 2070-0012
721.5860................................................ 2070-0012
721.5867................................................ 2070-0012
721.5880................................................ 2070-0012
721.5900................................................ 2070-0012
721.5913................................................ 2070-0012
721.5915................................................ 2070-0012
721.5920................................................ 2070-0012
721.5930................................................ 2070-0012
721.5960................................................ 2070-0012
721.5965................................................ 2070-0012
721.5970................................................ 2070-0012
721.5980................................................ 2070-0012
721.5995................................................ 2070-0012
721.6000................................................ 2070-0038
721.6020................................................ 2070-0012
721.6045................................................ 2070-0012
721.6060................................................ 2070-0012
721.6070................................................ 2070-0012
721.6075................................................ 2070-0012
721.6078................................................ 2070-0012
721.6080................................................ 2070-0012
721.6085................................................ 2070-0012
721.6090................................................ 2070-0012
721.6097................................................ 2070-0012
721.6100................................................ 2070-0012
721.6110................................................ 2070-0012
721.6120................................................ 2070-0012
721.6140................................................ 2070-0012
721.6160................................................ 2070-0012
721.6165................................................ 2070-0012
721.6170................................................ 2070-0012
721.6175................................................ 2070-0012
721.6176................................................ 2070-0012
721.6186................................................ 2070-0012
721.6193................................................ 2070-0012
721.6197................................................ 2070-0012
721.6200................................................ 2070-0012
721.6220................................................ 2070-0012
721.6440................................................ 2070-0012
721.6470................................................ 2070-0012
721.6475................................................ 2070-0012
721.6477................................................ 2070-0012
721.6485................................................ 2070-0012
721.6490................................................ 2070-0012
721.6495................................................ 2070-0012
721.6498................................................ 2070-0012
721.6505................................................ 2070-0012
721.6520................................................ 2070-0012
721.6540................................................ 2070-0012
721.6560................................................ 2070-0012
721.6600................................................ 2070-0012
721.6620................................................ 2070-0012
721.6625................................................ 2070-0012
721.6660................................................ 2070-0012
721.6680................................................ 2070-0012
721.6820................................................ 2070-0012
721.6900................................................ 2070-0012
721.6920................................................ 2070-0012
721.6980................................................ 2070-0012
721.7000................................................ 2070-0012
721.7020................................................ 2070-0012
721.7046................................................ 2070-0012
721.7160................................................ 2070-0012
721.7200................................................ 2070-0012
721.7210................................................ 2070-0012
721.7220................................................ 2070-0012
721.7260................................................ 2070-0012
721.7280................................................ 2070-0012
721.7285................................................ 2070-0012
721.7286................................................ 2070-0038
721.7375................................................ 2070-0012
721.7378................................................ 2070-0012
721.7440................................................ 2070-0012
721.7450................................................ 2070-0012
721.7480................................................ 2070-0012
721.7500................................................ 2070-0012
721.7600................................................ 2070-0012
721.7620................................................ 2070-0012
721.7655................................................ 2070-0012
721.7700................................................ 2070-0012
721.7710................................................ 2070-0012
721.7720................................................ 2070-0012
721.7770................................................ 2070-0012
721.7780................................................ 2070-0012
721.7785................................................ 2070-0012
721.8079................................................ 2070-0012
721.8082................................................ 2070-0012
721.8090................................................ 2070-0012
721.8095................................................ 2070-0012
721.8100................................................ 2070-0012
721.8153................................................ 2070-0012
721.8155................................................ 2070-0012
721.8160................................................ 2070-0012
721.8170................................................ 2070-0012
721.8225................................................ 2070-0012
[[Page 150]]
721.8250................................................ 2070-0012
721.8350................................................ 2070-0012
721.8450................................................ 2070-0012
721.8500................................................ 2070-0012
721.8660................................................ 2070-0012
721.8670................................................ 2070-0012
721.8673................................................ 2070-0012
721.8675................................................ 2070-0012
721.8700................................................ 2070-0012
721.8750................................................ 2070-0012
721.8775................................................ 2070-0012
721.8780................................................ 2070-0012
721.8825................................................ 2070-0012
721.8850................................................ 2070-0012
721.8875................................................ 2070-0012
721.8900................................................ 2070-0012
721.8965................................................ 2070-0012
721.9000................................................ 2070-0038
721.9005................................................ 2070-0012
721.9010................................................ 2070-0012
721.9075................................................ 2070-0012
721.9080................................................ 2070-0012
721.9100................................................ 2070-0012
721.9220................................................ 2070-0012
721.9265................................................ 2070-0012
721.9270................................................ 2070-0012
721.9280................................................ 2070-0012
721.9285................................................ 2070-0012
721.9300................................................ 2070-0012
721.9400................................................ 2070-0012
721.9460................................................ 2070-0012
721.9470................................................ 2070-0038
721.9480................................................ 2070-0012
721.9488................................................ 2070-0012
721.9490................................................ 2070-0012
721.9492................................................ 2070-0012
721.9495................................................ 2070-0012
721.9497................................................ 2070-0012
721.9499................................................ 2070-0012
721.9500................................................ 2070-0012
721.9503................................................ 2070-0012
721.9505................................................ 2070-0012
721.9507................................................ 2070-0012
721.9508................................................ 2070-0012
721.9509................................................ 2070-0012
721.9513................................................ 2070-0012
721.9515................................................ 2070-0012
721.9516................................................ 2070-0012
721.9517................................................ 2070-0012
721.9518................................................ 2070-0012
721.9520................................................ 2070-0012
721.9526................................................ 2070-0012
721.9527................................................ 2070-0012
721.9530................................................ 2070-0012
721.9540................................................ 2070-0012
721.9545................................................ 2070-0012
721.9550................................................ 2070-0012
721.9570................................................ 2070-0012
721.9573................................................ 2070-0012
721.9575................................................ 2070-0012
721.9576................................................ 2070-0012
721.9577................................................ 2070-0012
721.9580................................................ 2070-0038
721.9595................................................ 2070-0012
721.9620................................................ 2070-0012
721.9630................................................ 2070-0012
721.9635................................................ 2070-0012
721.9650................................................ 2070-0012
721.9656................................................ 2070-0012
721.9657................................................ 2070-0012
721.9658................................................ 2070-0012
721.9659................................................ 2070-0012
721.9660................................................ 2070-0038
721.9661................................................ 2070-0012
721.9662................................................ 2070-0012
721.9663................................................ 2070-0012
721.9664................................................ 2070-0012
721.9665................................................ 2070-0012
721.9668................................................ 2070-0012
721.9672................................................ 2070-0012
721.9675................................................ 2070-0012
721.9680................................................ 2070-0012
721.9685................................................ 2070-0012
721.9700................................................ 2070-0012
721.9717................................................ 2070-0012
721.9719................................................ 2070-0012
721.9720................................................ 2070-0012
721.9730................................................ 2070-0012
721.9740................................................ 2070-0012
721.9750................................................ 2070-0012
721.9785................................................ 2070-0012
721.9790................................................ 2070-0012
721.9795................................................ 2070-0012
721.9798................................................ 2070-0012
721.9800................................................ 2070-0012
721.9810................................................ 2070-0012
721.9820................................................ 2070-0012
721.9825................................................ 2070-0012
721.9830................................................ 2070-0012
721.9840................................................ 2070-0012
721.9850................................................ 2070-0012
721.9892................................................ 2070-0012
721.9900................................................ 2070-0012
721.9920................................................ 2070-0012
721.9925................................................ 2070-0012
721.9928................................................ 2070-0012
721.9930................................................ 2070-0038
721.9957................................................ 2070-0038
721.9965................................................ 2070-0012
721.9969................................................ 2070-0012
721.9970................................................ 2070-0012
721.9973................................................ 2070-0012
------------------------------------------------------------------------
Premanufacture Notification Exemptions
------------------------------------------------------------------------
723.50.................................................. 2070-0012
723.175................................................. 2070-0012
723.250(m)(1)........................................... 2070-0012
------------------------------------------------------------------------
Lead-Based Paint Poisioning Prevention in Certain Residential Structures
------------------------------------------------------------------------
Part 745, subpart E..................................... 2070-0158
Part 745, subpart F..................................... 2070-0151
Part 745, subpart L..................................... 2070-0155
Part 745, subpart Q..................................... 2070-0155
------------------------------------------------------------------------
Water Treatment Chemicals
------------------------------------------------------------------------
Part 749, subpart D..................................... 2060-0193
749.68.................................................. 2060-0193
------------------------------------------------------------------------
Polychlorinated Biphenyls (PCBs) Manufacturing, Processing, Distribution
in Commerce, and Use Prohibitions
------------------------------------------------------------------------
761.20.................................................. 2070-0008,
2070-0021
761.30.................................................. 2070-0003,
2070-0008,
2070-0021
761.30(a)(1)(vi) and (xii).............................. 2070-0159
761.30(h)(1)(ii) and (iii).............................. 2070-0159
761.30(i)............................................... 2070-0159
761.30(t)(3)............................................ 2070-0159
761.35.................................................. 2070-0159
761.40(k) and (l)....................................... 2070-0159
[[Page 151]]
761.60.................................................. 2070-0011
761.60(b)(5)............................................ 2070-0159
761.60(j)............................................... 2070-0159
761.61.................................................. 2070-0159
761.62.................................................. 2070-0159
761.65.................................................. 2070-0112
761.65(a)(2) - (4)...................................... 2070-0159
761.65(c)(1)(iv), (c)(5), (c)(6) and (c)(8)............. 2070-0159
761.65(g)(9)............................................ 2070-0159
761.65(j)............................................... 2070-0159
761.70.................................................. 2070-0011
761.71.................................................. 2070-0159
761.72.................................................. 2070-0159
761.75.................................................. 2070-0011
761.77.................................................. 2070-0159
761.79(d)............................................... 2070-0159
761.79(f)............................................... 2070-0159
761.79(h)............................................... 2070-0159
761.80.................................................. 2070-0021
761.80(e)............................................... 2070-0159
761.80(i)............................................... 2070-0159
761.125................................................. 2070-0112
761.125(a)(1)........................................... 2070-0159
761.180................................................. 2070-0112
761.180(a)(1)(iii)...................................... 2070-0159
761.180(a)(2)(ix)....................................... 2070-0159
761.180(a)(4)........................................... 2070-0159
761.180(b)(1)(iii)...................................... 2070-0159
761.180(b)(3)........................................... 2070-0159
761.185................................................. 2070-0008
761.187................................................. 2070-0008
761.193................................................. 2070-0008
761.202................................................. 2070-0112
761.205................................................. 2070-0112
761.205(f).............................................. 2070-0159
761.207................................................. 2070-0112
761.207(a).............................................. 2050-0039
761.208................................................. 2070-0112
761.209................................................. 2070-0112
761.210................................................. 2070-0112
761.211................................................. 2070-0112
761.215................................................. 2070-0112
761.218................................................. 2070-0112
761.253................................................. 2070-0159
761.274................................................. 2070-0159
761.295................................................. 2070-0159
761.314................................................. 2070-0159
761.357................................................. 2070-0159
761.359................................................. 2070-0159
761.395................................................. 2070-0159
761.398................................................. 2070-0159
------------------------------------------------------------------------
Asbestos
------------------------------------------------------------------------
Part 763, subpart E..................................... 2070-0091
Part 763, subpart G..................................... 2070-0072
------------------------------------------------------------------------
Dibenzo-para-dioxin/Dibenzofurans
------------------------------------------------------------------------
766.35(b)(1)............................................ 2070-0054
766.35(b)(2)............................................ 2070-0054
766.35(b)(3)............................................ 2070-0017
766.35(b)(4)(iii)....................................... 2070-0054
766.35(c)(1)(i)......................................... 2070-0054
766.35(c)(1)(ii)........................................ 2070-0054
766.35(c)(1)(iii)....................................... 2070-0017
766.35(d) Form.......................................... 2070-0017
766.38.................................................. 2070-0054
------------------------------------------------------------------------
Procedures Governing Testing Consent Agreements and Test Rules
------------------------------------------------------------------------
790.5................................................... 2070-0033
790.42.................................................. 2070-0033
790.45.................................................. 2070-0033
790.50.................................................. 2070-0033
790.55.................................................. 2070-0033
790.60.................................................. 2070-0033
790.62.................................................. 2070-0033
790.68.................................................. 2070-0033
790.80.................................................. 2070-0033
790.82.................................................. 2070-0033
790.85.................................................. 2070-0033
790.99.................................................. 2070-0033
------------------------------------------------------------------------
Good Laboratory Practice Standards
------------------------------------------------------------------------
Part 792................................................ 2070-0004,
2070-0017,
2070-0033,
2070-0054,
2070-0067
------------------------------------------------------------------------
Provisional Test Guidelines
------------------------------------------------------------------------
795.45.................................................. 2070-0067
795.232................................................. 2070-0033
------------------------------------------------------------------------
Identification of Specific Chemical Substance and Mixture Testing
Requirements
------------------------------------------------------------------------
799.1053................................................ 2070-0033
799.1250................................................ 2070-0033
799.1560................................................ 2070-0033
799.1575................................................ 2070-0033
799.1645................................................ 2070-0033
799.1700................................................ 2070-0033
799.2155................................................ 2070-0033
799.2325................................................ 2070-0033
799.2475................................................ 2070-0033
799.2500................................................ 2070-0033
799.2700................................................ 2070-0033
799.3300................................................ 2070-0033
799.4360................................................ 2070-0033
799.4440................................................ 2070-0033
799.5000................................................ 2070-0033
799.5025................................................ 2070-0033
799.5050................................................ 2070-0033
799.5055................................................ 2070-0033
799.5075................................................ 2070-0033
------------------------------------------------------------------------
Uniform National Discharge Standards for Vessels of the Armed Forces
------------------------------------------------------------------------
1700.9-1700.12.......................................... 2040-0187
------------------------------------------------------------------------
\1\ The ICRs referenced in this section of the table encompass the
applicable general provisions contained in 40 CFR part 60, subpart A,
which are not independent information collection requirements.
\2\ The ICRs referenced in this section of the table encompass the
applicable general provisions contained in 40 CFR part 61, subpart A,
which are not independent information collection requirements.
\3\ The ICRs referenced in this section of the table encompass the
applicable general provisions contained in 40 CFR part 63, subpart A,
which are not independent information collection requirements.
[58 FR 27472, May 10, 1993]
Editorial Note: For Federal Register citations affecting Sec. 9.1
see the List of CFR Sections Affected in the Finding Aids section of
this volume.
Effective Date Note: At 64 FR 50610, Sept. 17, 2000, Sec. 9.1 was
amended by removing the entry for ``141.33-141.35''; revising the
[[Page 152]]
entry for ``141.40''; and by adding entries for ``141.33-141.34'' and
``141.35'', effective Jan. 1, 2001. For the convenience of the user, the
superseded text is set forth as follows:
Sec. 9.1 OMB approvals under the Paperwork Reduction Act.
* * * * *
------------------------------------------------------------------------
OMB control
40 CFR Citation No.
------------------------------------------------------------------------
National Primary Drinking Water Regulations
141.33-141.35........................................... 2040-0090
141.40.................................................. 2040-0090
* * * * *
------------------------------------------------------------------------
PART 10--ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT--Table of Contents
Subpart A--General
Sec.
10.1 Scope of regulations.
Subpart B--Procedures
10.2 Administrative claim; when presented; place of filing.
10.3 Administrative claims; who may file.
10.4 Evidence to be submitted.
10.5 Investigation, examination, and determination of claims.
10.6 Final denial of claim.
10.7 Payment of approved claim.
10.8 Release.
10.9 Penalties.
10.10 Limitation on Environmental Protection Agency's authority.
10.11 Relationship to other agency regulations.
Authority: Sec. 1, 80 Stat. 306; 28 U.S.C. 2672; 28 CFR part 14.
Source: 38 FR 16868, June 27, 1973, unless otherwise noted.
Subpart A--General
Sec. 10.1 Scope of regulations.
The regulations in this part apply only to claims asserted under the
Federal Tort Claims Act, as amended, 28 U.S.C. 2671-2680, for money
damages against the United States because of damage to or loss of
property or personal injury or death, caused by the negligent or
wrongful act or omission of any employee of the Environmental Protection
Agency (EPA) while acting within the scope of his/her employment.
[51 FR 25832, July 16, 1986]
Subpart B--Procedures
Sec. 10.2 Administrative claim; when presented; place of filing.
(a) For purpose of the regulations in this part, a claim shall be
deemed to have been presented when the Environmental Protection Agency
receives, at a place designated in paragraph (c) of this section, an
executed Standard Form 95 or other written notification of an incident
accompanied by a claim for money damages in a sum certain for damage to
or loss of property, for personal injury, or for death, alleged to have
occurred by reason of the incident. A claim which should have been
presented to EPA, but which was mistakenly addressed to or filed with
another Federal agency, shall be deemed to be presented to EPA as of the
date that the claim is received by EPA. A claim mistakenly addressed to
or filed with EPA shall forthwith be transferred to the appropriate
Federal agency, if ascertainable, or returned to the claimant.
(b) A claim presented in compliance with paragraph (a) of this
section may be amended by the claimant at any time prior to final action
by the Administrator, or his designee, or prior to the exercise of the
claimant's option to bring suit under 28 U.S.C. 2675(a). Amendments
shall be submitted in writing and signed by the claimant or his duly
authorized agent or legal representative. Upon the timely filing of an
amendment to a pending claim, EPA shall have 6 months in which to make a
final disposition of the claim as amended and the claimant's option
under 28 U.S.C. 2675(a) shall not accrue until 6 months after the filing
of an amendment.
(c) Forms may be obtained and claims may be filed with the EPA
office having jurisdiction over the employee involved in the accident or
incident, or with the EPA Claims Officer, Office of General Counsel (LE-
132G),
[[Page 153]]
401 M Street SW., Washington, DC 20460.
[38 FR 16868, June 27, 1973, as amended at 51 FR 25832, July 16, 1986]
Sec. 10.3 Administrative claims; who may file.
(a) A claim for injury to or loss of property may be presented by
the owner of the property interest which is the subject of the claim,
his duly authorized agent, or his legal representative.
(b) A claim for personal injury may be presented by the injured
person, his duly authorized agent, or his legal representative.
(c) A claim based on death may be presented by the executor or
administrator of the decedent's estate or by any other person legally
entitled to assert such a claim under applicable State law.
(d) A claim for loss wholly compensated by an insurer with the
rights of a subrogee may be presented by the insurer. A claim for loss
partially compensated by an insurer with the rights of a subrogee may be
presented by the insurer or the insured individually as their respective
interests appear, or jointly. Whenever an insurer presents a claim
asserting the rights of a subrogee, he shall present with his claim
appropriate evidence that he has the rights of a subrogee.
(e) A claim presented by an agent or legal representative shall be
presented in the name of the claimant, be signed by the agent or legal
representative, show the title or legal capacity of the person signing,
and be accompanied by evidence of his authority to present a claim on
behalf of the claimant as agent, executor, administrator, parent,
guardian, or other representative.
Sec. 10.4 Evidence to be submitted.
(a) Death. In support of a claim based on death, the claimant may be
required to submit the following evidence or information:
(1) An authenticated death certificate or other competent evidence
showing cause of death, date of death, and age of the decedent.
(2) Decedent's employment or occupation at time of death, including
his monthly or yearly salary or earnings (if any), and the duration of
his last employment or occupation.
(3) Full names, addresses, birth dates, kinship, and marital status
of the decedent's survivors, including identification of those survivors
who were dependent for support upon the decedent at the time of his
death.
(4) Degree of support afforded by the decendent to each survivor
dependent upon him for support at the time of his death.
(5) Decedent's general physical and mental condition before death.
(6) Itemized bills for medical and burial expenses incurred by
reason of the incident causing death, or itemized receipts of payments
for such expenses.
(7) If damages for pain and suffering prior to death are claimed, a
physician's detailed statement specifying the injuries suffered,
duration of pain and suffering, any drugs administered for pain and the
decedent's physical condition in the interval between injury and death.
(8) Any other evidence or information which may have a bearing on
either the responsibility of the United States for the death or the
damages claimed.
(b) Personal Injury. In support of a claim for personal injury,
including pain and suffering, the claimant may be required to submit the
following evidence or information:
(1) A written report by his attending physician or dentist setting
forth the nature and extent of the injury, nature and extent of
treatment, any degree of temporary or permanent disability, the
prognosis, period of hospitalization, and any diminished earning
capacity. In addition, the claimant may be required to submit to a
physical or mental examination by a physician employed or designated by
EPA. A copy of the report of the examining physician shall be made
available to the claimant upon the claimant's written request provided
that the claimant has, upon request, furnished the report referred to in
the first sentence of this subparagraph and has made or agrees in
writing to make available to EPA any other physician's reports
previously or thereafter made of the physical or mental condition which
is the subject matter of his claim.
[[Page 154]]
(2) Itemized bills for medical, dental, hospital and related
expenses incurred, or itemized receipts of payment for such expenses.
(3) If the prognosis reveals the necessity for future treatment, a
statement of expected duration of and expenses for such treatment.
(4) If a claim is made for loss of time from employment, a written
statement from his employer showing actual time lost from employment,
whether he is a full or part-time employee, and wages or salary actually
lost.
(5) If a claim is made for loss of income and the claimant is self-
employed, documentary evidence showing the amount of earnings actually
lost.
(6) Any other evidence or information which may have a bearing on
the responsibility of the United States for either the personal injury
or the damages claimed.
(c) Property Damage. In support of a claim for damage to or loss of
property, real or personal, the claimant may be required to submit the
following evidence or information:
(1) Proof of ownership.
(2) A detailed statement of the amount claimed with respect to each
item of property.
(3) An itemized receipt of payment for necessary repairs or itemized
written estimates of the cost of such repairs.
(4) A statement listing date of purchase, purchase price, market
value of the property as of date of damage, and salvage value, where
repair is not economical.
(5) Any other evidence or information which may have a bearing on
the responsibility of the United States either for the injury to or loss
of property or for the damage claimed.
(d) Time limit. All evidence required to be submitted by this
section shall be furnished by the claimant within a reasonable time.
Failure of a claimant to furnish evidence necessary to a determination
of his claim within three months after a request therefor has been
mailed to his last known address may be deemed an abandonment of the
claim. The claim may be thereupon disallowed.
Sec. 10.5 Investigation, examination, and determination of claims.
The EPA Claims Officer adjusts, determines, compromises and settles
all administrative tort claims filed with EPA. In carrying out these
functions, the EPA Claims Officer makes such investigations as are
necessary for a determination of the validity of the claim. The decision
of the EPA Claims Officer is a final agency decision of purposes of 28
U.S.C. 2675.
[51 FR 25832, July 16, 1986]
Sec. 10.6 Final denial of claim.
(a) Final denial of an administrative claim shall be in writing and
sent to the claimant, his attorney, or legal representative by certified
or registered mail. The notification of final denial may include a
statement of the reasons for the denial and shall include a statement
that, if the claimant is dissatisfied with EPA's action, he may file
suit in an appropriate U.S. District Court not later than 6 months after
the date of mailing of the notification.
(b) Prior to the commencement of suit and prior to the expiration of
the 6-month period after the date of mailing by certified or registered
mail of notice of final denial of the claim as provided in 28 U.S.C.
2401(b), a claimant, his duly authorized agent, or legal representative,
may file a written request with the EPA for reconsideration of a final
denial of a claim under paragraph (a) of this section. Upon the timely
filing of a request for reconsideration, EPA shall have 6 months from
the date of filing in which to make a final disposition of the claim and
the claimant's option under 28 U.S.C. 2675(a) to bring suit shall not
accrue until 6 months after the filing of a request for reconsideration.
Final action on a request for reconsideration shall be effected in
accordance with the provisions of paragraph (a) of this section.
Sec. 10.7 Payment of approved claim.
(a) Upon allowance of his claim, claimant or his duly authorized
agent shall sign the voucher for payment, Standard Form 1145, before
payment is made.
[[Page 155]]
(b) When the claimant is represented by an attorney, the voucher for
payment (SF 1145) shall designate both the claimant and his attorney as
``payees.'' The check shall be delivered to the attorney whose address
shall appear on the voucher.
(c) No attorney shall charge fees in excess of 25 percent of a
judgment or settlement after litigation, or in excess of 20 percent of
administrative settlements (28 U.S.C. 2678).
Sec. 10.8 Release.
Acceptance by the claimant, his agent or legal representative of any
award, compromise or settlement made hereunder, shall be final and
conclusive on the claimant, his agent or legal representative and any
other person on whose behalf or for whose benefit the claim has been
presented, and shall constitute a complete release of all claims against
either the United States or any employee of the Government arising out
of the same subject matter.
Sec. 10.9 Penalties.
A person who files a false claim or makes a false or fraudulent
statement in a claim against the United States may be liable to a fine
of not more than $10,000 or to imprisonment of not more than 5 years, or
both (18 U.S.C. 287,1001), and, in addition, to a forfeiture of $2,000
and a penalty of double the loss or damage sustained by the United
States (31 U.S.C. 3729).
[38 FR 16868, June 27, 1973, as amended at 51 FR 25832, July 16, 1986]
Sec. 10.10 Limitation on Environmental Protection Agency's authority.
(a) An award, compromise or settlement of a claim hereunder in
excess of $25,000 shall be effected only with the prior written approval
of the Attorney General or his designee. For the purposes of this
paragraph, a principal claim and any derivative or subrogated claim
shall be treated as a single claim.
(b) An administrative claim may be adjusted, determined, compromised
or settled hereunder only after consultation with the Department of
Justice when, in the opinion of the Environmental Protection Agency:
(1) A new precedent or a new point of law is involved; or
(2) A question of policy is or may be involved; or
(3) The United States is or may be entitled to indemnity or
contribution from a third party and the Agency is unable to adjust the
third party claim; or
(4) The compromise of a particular claim, as a practical matter,
will or may control the disposition of a related claim in which the
amount to be paid may exceed $25,000.
(c) An administrative claim may be adjusted, determined,
compromised, or settled by EPA hereunder only after consultation with
the Department of Justice when EPA is informed or is otherwise aware
that the United States or an employee, agent, or cost-plus contractor of
the United States is involved in litigation based on a claim arising out
of the same incident or transaction.
Sec. 10.11 Relationship to other agency regulations.
The regulations in this part supplement the Attorney General's
regulations in part 14 of chapter 1 of title 28, CFR, as amended. Those
regulations, including subsequent amendments thereto, and the
regulations in this part apply to the consideration by the Environmental
Protection Agency of administrative claims under the Federal Tort Claims
Act.
[38 FR 16868, June 27, 1973, as amended at 51 FR 25832, July 16, 1986]
PART 11--SECURITY CLASSIFICATION REGULATIONS PURSUANT TO EXECUTIVE ORDER 11652--Table of Contents
Sec.
11.1 Purpose.
11.2 Background.
11.3 Responsibilities.
11.4 Definitions.
11.5 Procedures.
11.6 Access by historical researchers and former Government officials.
Authority: Executive Order 11652 (37 FR 5209, March 10, 1972) and
the National Security Directive of May 17, 1972 (37 FR 10053, May 19,
1972).
Source: 37 FR 23541, Nov. 4, 1972, unless otherwise noted.
[[Page 156]]
Sec. 11.1 Purpose.
These regulations establish policy and procedures governing the
classification and declassification of national security information.
They apply also to information or material designated under the Atomic
Energy Act of 1954, as amended, as ``Restricted Data,'' or ``Formerly
Restricted Data'' which, additionally, is subject to the provisions of
the Act and regulations of the Atomic Energy Commission.
Sec. 11.2 Background.
While the Environmental Protection Agency does not have the
authority to originally classify information or material in the interest
of the national security, it may under certain circumstances downgrade
or declassify previously classified material or generate documents
incorporating classified information properly originated by other
agencies of the Federal Government which must be safeguarded. Agency
policy and procedures must conform to applicable provisions of Executive
Order 11652, and the National Security Council Directive of May 17,
1972, governing the safeguarding of national security information.
Sec. 11.3 Responsibilities.
(a) Classification and Declassification Committee: This committee,
appointed by the Administrator, has the authority to act on all
suggestions and complaints with respect to EPA's administration of this
order. It shall establish procedures to review and act within 30 days
upon all applications and appeals regarding requests for
declassification. The Administrator, acting through the committee, shall
be authorized to overrule previous determinations in whole or in part
when, in its judgment, continued protection is no longer required. If
the committee determines that continued classification is required under
section 5(B) of Executive Order 11652, it shall promptly so notify the
requester and advise him that he may appeal the denial to the
Interagency Classification Review Committee.
(b) Director, Security and Inspection Division, Office of
Administration: The Director, Security and Inspection Division, is
responsible for the overall management and direction of a program
designed to assure the proper handling and protection of classified
information, and that classified information in the Agency's possession
bears the appropriate classification markings. He also will assure that
the program operates in accordance with the policy established herein,
and will serve as Secretary of the Classification and Declassification
Committee.
(c) Assistant Administrators, Regional Administrators, Heads of
Staff Offices, Directors of National Environmental Research Centers are
responsible for designating an official within their respective areas
who shall be responsible for:
(1) Serving as that area's liaison with the Director, Security and
Inspection Division, for questions or suggestions concerning security
classification matters.
(2) Reviewing and approving, as the representative of the
contracting offices, the DD Form 254, Contract Security Classification
Specification, issued to contractors.
(d) Employees; (1) Those employees generating documents
incorporating classified information properly originated by other
agencies of the Federal Government are responsible for assuring that the
documents are marked in a manner consistent with security classification
assignments.
(2) Those employees preparing information for public release are
responsible for assuring that such information is reviewed to eliminate
classified information.
(3) All employees are responsible for bringing to the attention of
the Director, Security and Inspection Division, any security
classification problems needing resolution.