[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 1999 Edition]
[From the U.S. Government Printing Office]


          40



          Protection of Environment



[[Page i]]

          PARTS 1 TO 49

                         Revised as of July 1, 1999

          CONTAINING
          A CODIFICATION OF DOCUMENTS
          OF GENERAL APPLICABILITY
          AND FUTURE EFFECT

          AS OF JULY 1, 1999
          With Ancillaries
          Published by
          the Office of the Federal Register
          National Archives and Records
          Administration

          as a Special Edition of
          the Federal Register



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                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 1999



               For sale by U.S. Government Printing Office
 Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328



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                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 40:

          Chapter I--Environmental Protection Agency..........       3

  Finding Aids:

      Table of CFR Titles and Chapters........................     643

      Alphabetical List of Agencies Appearing in the CFR......     661

      List of CFR Sections Affected...........................     671



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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.

                     ----------------------------

[[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 
regulation. Each title is divided into chapters which usually bear the 
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 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, July 1, 1999), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
exercised by the user in determining the actual effective date. In 
instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

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 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

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 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
Authorities and Agency Rules (Table I). A list of CFR titles, chapters, 
and parts and an alphabetical list of agencies publishing in the CFR are 
also included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-523-5227 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408 or e-mail 
info@fedreg.nara.gov.

SALES

    The Government Printing Office (GPO) processes all sales and 
distribution of the CFR. For payment by credit card, call 202-512-1800, 
M-F 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2233, 24 hours 
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Customer Service call 202-512-1803.

ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, The United States 
Government Manual, the Federal Register, Public Laws, Weekly Compilation 
of Presidential Documents and the Privacy Act Compilation are available 
in electronic format at www.access.gpo.gov/nara (``GPO Access''). For 
more information, contact Electronic Information Dissemination Services, 
U.S. Government Printing Office. Phone 202-512-1530, or 888-293-6498 
(toll-free). E-mail, gpoaccess@gpo.gov.
    The Office of the Federal Register also offers a free service on the 
National Archives and Records Administration's (NARA) World Wide Web 
site for public

[[Page vii]]

law numbers, Federal Register finding aids, and related information. 
Connect to NARA's web site at www.nara.gov/fedreg. The NARA site also 
contains links to GPO Access.

                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

July 1, 1999.



[[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, 1999.

    Chapter I--Environmental Protection Agency appears in all twenty-
four volumes. A Pesticide Tolerance Commodity/Chemical Index appears 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, Cheryl E. Sirofchuck was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Frances D. McDonald, assisted by Alomha S. Morris.

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[[Page 1]]



                   TITLE 40--PROTECTION OF ENVIRONMENT




                   (This book contains parts 1 to 49)

  --------------------------------------------------------------------
                                                                    Part

Chapter I--Environmental Protection Agency..................           1

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               CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY




  --------------------------------------------------------------------

                          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..............................         150
11              Security classification regulations pursuant 
                    to Executive Order 11652................         154
12              Nondiscrimination on the basis of handicap 
                    in programs or activities conducted by 
                    the Environmental Protection Agency.....         158
13              Claims collection standards.................         164
14              Employee personal property claims...........         180
16              Implementation of Privacy Act of 1974.......         184
17              Implementation of the Equal Access to 
                    Justice Act in EPA administrative 
                    proceedings.............................         195
19              Adjustment of civil monetary penalties for 
                    inflation...............................         201
20              Certification of facilities.................         203
21              Small business..............................         211
22              Consolidated rules of practice governing the 
                    administrative assessment of civil 
                    penalties and the revocation or 
                    suspension of permits...................         220

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23              Judicial review under EPA--Administered 
                    statutes................................         243
24              Rules governing issuance of and 
                    administrative hearings on interim 
                    status corrective action orders.........         245
25              Public participation in programs under the 
                    Resource Conservation and Recovery Act, 
                    the Safe Drinking Water Act, and the 
                    Clean Water Act.........................         253
26              Protection of human subjects................         262
27              Program fraud civil remedies................         273
29              Intergovernmental review of Environmental 
                    Protection Agency programs and 
                    activities..............................         290

            SUBCHAPTER B--GRANTS AND OTHER FEDERAL ASSISTANCE

30              Grants and agreements with institutions of 
                    higher education, hospitals, and other 
                    non-profit organizations................         294
31              Uniform administrative requirements for 
                    grants and cooperative agreements to 
                    State and local governments.............         320
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...............................         356
34              New restrictions on lobbying................         376
35              State and local assistance..................         388
40              Research and demonstration grants...........         618
45              Training assistance.........................         627
46              Fellowships.................................         630
47              National Environmental Education Act grants.         633
49              Tribal Clean Air Act authority..............         635

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                          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
------------------------------------------------------------------------
   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
63.1620-63.1679.........................................       2060-0391
------------------------------------------------------------------------
                 Chemical Accident Prevention Provisions
------------------------------------------------------------------------
68.120(a), (e), and (g).................................       2050-0127
------------------------------------------------------------------------
                     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
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
------------------------------------------------------------------------

[[Page 135]]

 
                 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
------------------------------------------------------------------------
86.004-38...............................................       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

[[Page 136]]

 
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
86.111-94...............................................       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
86.135-82...............................................       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
86.336-79...............................................       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
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

[[Page 137]]

 
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
------------------------------------------------------------------------
                        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)(4)............................................       2040-0150
122.21(m)-(p)...........................................      2040-0068,
                                                               2040-0170
122.26(c), (d)..........................................       2040-0086
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(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

[[Page 138]]

 
123.26-123.29...........................................      2040-0057,
                                                               2040-0170
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
141.31-141.32...........................................       2040-0090
141.33-141.35...........................................       2040-0090
141.40..................................................       2040-0090
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...........................................       2040-0090
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
------------------------------------------------------------------------
       National Primary Drinking Water Regulations Implementation
------------------------------------------------------------------------
142.2-142.3.............................................       2040-0090
142.10-142.15...........................................       2040-0090
142.16..................................................       2060-0090
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
------------------------------------------------------------------------
      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

[[Page 139]]

 
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
------------------------------------------------------------------------
            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

[[Page 140]]

 
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
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
------------------------------------------------------------------------
257.24..................................................       2050-0154
257.25..................................................       2050-0154
257.27..................................................       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

[[Page 141]]

 
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
------------------------------------------------------------------------
         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
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

[[Page 142]]

 
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
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

[[Page 143]]

 
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
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
------------------------------------------------------------------------

[[Page 144]]

 
       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................................................       2070-0093
Part 372, subpart A.....................................      2070-0093,
                                                               2070-0143
372.22..................................................      2070-0093,
                                                               2070-0143
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
------------------------------------------------------------------------
430.14-430.17...........................................       2040-0033
430.24-430.27...........................................       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
------------------------------------------------------------------------

[[Page 145]]

 
           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...................................................      2010-0019,
                                                               2070-0067
704.11..................................................      2010-0019,
                                                               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
------------------------------------------------------------------------
                      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
721.320.................................................       2070-0012
721.323.................................................       2070-0012
721.336.................................................       2070-0012
721.405.................................................       2070-0012
721.430.................................................       2070-0012
721.445.................................................       2070-0012
721.484.................................................       2070-0012
721.505.................................................       2070-0012
721.520.................................................       2070-0012
721.524.................................................       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
721.562.................................................       2070-0012
721.575.................................................       2070-0012
721.600.................................................       2070-0012

[[Page 146]]

 
721.625.................................................       2070-0012
721.639.................................................       2070-0012
721.640.................................................       2070-0012
721.641.................................................       2070-0012
721.642.................................................       2070-0012
721.643.................................................       2070-0012
721.646.................................................       2070-0012
721.650.................................................       2070-0038
721.655.................................................       2070-0012
721.658.................................................       2070-0012
721.715.................................................       2070-0012
721.720.................................................       2070-0012
721.723.................................................       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
721.1000................................................       2070-0012
721.1025................................................       2070-0038
721.1050................................................       2070-0012
721.1068................................................       2070-0012
721.1075................................................       2070-0012
721.1105................................................       2070-0012
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
721.1525................................................       2070-0012
721.1550................................................       2070-0012
721.1555................................................       2070-0012
721.1568................................................       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
721.1660................................................       2070-0038
721.1675................................................       2070-0012
721.1700................................................       2070-0012
721.1705................................................       2070-0012
721.1725................................................       2070-0012
721.1728................................................       2070-0012
721.1732................................................       2070-0012
721.1735................................................       2070-0012
721.1737................................................       2070-0012
721.1738................................................       2070-0012
721.1740................................................       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
721.2084................................................       2070-0038
721.2085................................................       2070-0012
721.2086................................................       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
721.2410................................................       2070-0012
721.2420................................................       2070-0012
721.2475................................................       2070-0012
721.2520................................................       2070-0012
721.2527................................................       2070-0012
721.2535................................................       2070-0012
721.2540................................................       2070-0012
721.2560................................................       2070-0012
721.2565................................................       2070-0012
721.2575................................................       2070-0012
721.2600................................................       2070-0038
721.2625................................................       2070-0012
721.2675................................................       2070-0012
721.2725................................................       2070-0038
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
721.3034................................................       2070-0012

[[Page 147]]

 
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
721.3160................................................       2070-0038
721.3180................................................       2070-0012
721.3220................................................       2070-0038
721.3248................................................       2070-0012
721.3254................................................       2070-0012
721.3260................................................       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
721.3680................................................       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
721.3860................................................       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
721.4100................................................       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
721.4270................................................       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
721.4390................................................       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
721.4473................................................       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
721.5192................................................       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
721.5278................................................       2070-0012
721.5279................................................       2070-0012
721.5280................................................       2070-0012
721.5281................................................       2070-0012
721.5282................................................       2070-0012

[[Page 148]]

 
721.5285................................................       2070-0012
721.5300................................................       2070-0012
721.5310................................................       2070-0012
721.5325................................................       2070-0012
721.5330................................................       2070-0012
721.5350................................................       2070-0012
721.5375................................................       2070-0012
721.5385................................................       2070-0012
721.5400................................................       2070-0012
721.5425................................................       2070-0012
721.5450................................................       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
721.5549................................................       2070-0012
721.5550................................................       2070-0012
721.5575................................................       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
721.5725................................................       2070-0012
721.5730................................................       2070-0012
721.5740................................................       2070-0012
721.5760................................................       2070-0012
721.5763................................................       2070-0012
721.5769................................................       2070-0012
721.5780................................................       2070-0012
721.5800................................................       2070-0012
721.5820................................................       2070-0012
721.5840................................................       2070-0012
721.5860................................................       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
721.5970................................................       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
721.6186................................................       2070-0012
721.6193................................................       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
721.6505................................................       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
721.7360................................................       2070-0012
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
721.8079................................................       2070-0012
721.8082................................................       2070-0012
721.8090................................................       2070-0012
721.8095................................................       2070-0012
721.8100................................................       2070-0012
721.8155................................................       2070-0012
721.8160................................................       2070-0012
721.8170................................................       2070-0012
721.8225................................................       2070-0012
721.8250................................................       2070-0012
721.8350................................................       2070-0012
721.8450................................................       2070-0012
721.8500................................................       2070-0012
721.8654................................................       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

[[Page 149]]

 
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
721.9492................................................       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
721.9515................................................       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
721.9575................................................       2070-0012
721.9576................................................       2070-0012
721.9577................................................       2070-0012
721.9580................................................       2070-0038
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
721.9662................................................       2070-0012
721.9664................................................       2070-0012
721.9665................................................       2070-0012
721.9668................................................       2070-0012
721.9675................................................       2070-0012
721.9680................................................       2070-0012
721.9700................................................       2070-0012
721.9717................................................       2070-0012
721.9720................................................       2070-0012
721.9730................................................       2070-0012
721.9740................................................       2070-0012
721.9750................................................       2070-0012
721.9800................................................       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
721.9970................................................       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 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
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
761.93..................................................       2070-0149
761.93(a)(1)(iii).......................................       2070-0149
761.93(b)...............................................       2070-0149
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

[[Page 150]]

 
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
Part 763, subpart I.....................................       2070-0082
------------------------------------------------------------------------
                    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................................................      2010-0019,
                                                              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.



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.

[[Page 151]]



                           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), 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.

[[Page 152]]



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.
    (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

[[Page 153]]

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.
    (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.

[[Page 154]]

    (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.



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

[[Page 155]]

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.



Sec. 11.4  Definitions.

    (a) Classified information. Official information which has been 
assigned a security classification category in the interest of the 
national defense or foreign relations of the United States.
    (b) Classified material. Any document, apparatus, model, film, 
recording, or any other physical object from which classified 
information can be derived by study, analysis, observation, or use of 
the material involved.
    (c) Marking. The act of physically indicating the classification 
assignment on classified material.
    (d) National security information. As used in this order this term 
is synonymous with ``classified information.'' It is any information 
which must be protected against unauthorized disclosure in the interest 
of the national defense or foreign relations of the United States.
    (e) Security classification assignment. The prescription of a 
specific security classification for a particular area or item of 
information. The information involved constitutes the sole basis for 
determining the degree of classification assigned.
    (f) Security classification category. The specific degree of 
classification (Top Secret, Secret or Confidential) assigned to 
classified information to indicate the degree of protection required.
    (1) Top Secret. Top Secret refers to national security information 
or material which requires the highest degree of protection. The test 
for assigning Top Secret classification shall be whether its 
unauthorized disclosure could reasonably be expected to cause 
exceptionally grave damage to the national security. Examples of 
``exceptionally grave damage'' include armed hostilities against the 
United States or its allies; disruption of foreign relations vitally 
affecting the national security; the compromise of vital national 
defense plans or complex cryptologic and communications intelligence 
systems; the revelation of sensitive intelligence operations; and the 
disclosure of scientific or technological developments vital to national 
security. This classification shall be used with the utmost restraint.
    (2) Secret. Secret refers to that national security information or 
material which requires a substantial degree of protection. The test for 
assigning Secret classification shall be whether its

[[Page 156]]

unauthorized disclosure could reasonably be expected to cause serious 
damage to the national security. Examples of ``serious damage'' include 
disruption of foreign relations significantly affecting the national 
security; significant impairment of a program or policy directly related 
to the national security; revelation of significant military plans or 
intelligence operations; and compromise of scientific or technological 
developments relating to national security. The classification Secret 
shall be sparingly used.
    (3) Confidential. Confidential refers to that national security 
information or material which requires protection. The test for 
assigning Confidential classification shall be whether its unauthorized 
disclosure could reasonably be expected to cause damage to the national 
security.



Sec. 11.5  Procedures.

    (a) General. Agency instructions on access, marking, safekeeping, 
accountability, transmission, disposition, and destruction of 
classification information and material will be found in the EPA 
Security Manual for Safeguarding Classified Material. These instructions 
shall conform with the National Security Council Directive of May 17, 
1972, governing the classification, downgrading, declassification, and 
safeguarding of National Security Information.
    (b) Classification. (1) When information or material is originated 
within EPA and it is believed to require classification, the person or 
persons responsible for its origination shall protect it in the manner 
prescribed for protection of classified information. The information 
will then be transmitted under appropriate safeguards to the Director, 
Security and Inspection Division, who will forward it to the department 
having primary interest in it with a request that a classification 
determination be made.
    (2) A holder of information or material which incorporates 
classified information properly originated by other agencies of the 
Federal Government shall observe and respect the classification assigned 
by the originator.
    (3) If a holder believes there is unnecessary classification, that 
the assigned classification is improper, or that the document is subject 
to declassification, he shall so advise the Director, Security and 
Inspection Division, who will be responsible for obtaining a resolution.
    (c) Downgrading and declassification. Classified information and 
material officially transferred to the Agency during its establishment, 
pursuant to Reorganization Plan No. 3 of 1970, shall be declassified in 
accordance with procedures set forth below. Also, the same procedures 
will apply to the declassification of any information in the Agency's 
possession which originated in departments or agencies which no longer 
exist, except that no declassification will occur in such cases until 
other departments having an interest in the subject matter have been 
consulted. Other classified information in the Agency's possession may 
be downgraded or declassified by the official authorizing its 
classification, by a successor in capacity, or by a supervisory official 
of either.
    (1) General Declassification Schedule--(i) Top Secret. Information 
or material originally classified Top Secret shall become automatically 
downgraded to Secret at the end of the second full calendar year 
following the year in which it was originated, downgraded to 
Confidential at the end of the fourth full calendar year following the 
year in which it was originated, and declassified at the end of the 10th 
full calendar year following the year in which it was originated.
    (ii) Secret. Information and material originally classified Secret 
shall become automatically downgraded to Confidential at the end of the 
second full calendar year following the year in which it was originated, 
and declassified at the end of the eighth full calendar year following 
the year in which it was originated.
    (iii) Confidential. Information and material originally classified 
Confidential shall become automatically declassified at the end of the 
sixth full calendar year following the year in which it was originated.
    (2) Exemption from the General Declassification Schedule. 
Information or material classified before June 1, 1972, assigned to 
Group 4 under Executive

[[Page 157]]

Order No. 10501, as amended, shall be subject to the General 
Declassification Schedule. All other information or material classified 
before June 1, 1972, whether or not assigned to Groups 1, 2, or 3, of 
Executive Order No. 10501, as amended, shall be excluded from the 
General Declassification Schedule. However, at any time after the 
expiration of 10 years after the date of origin it shall be subject to a 
mandatory classification review and disposition in accordance with the 
following criteria and conditions:
    (i) It shall be declassified unless it falls within one of the 
following criteria:
    (a) Classified information or material furnished by foreign 
governments or international organizations and held by the United States 
on the understanding that it be kept in confidence.
    (b) Classified information or material specifically covered by 
statute, or pertaining to cryptography, or disclosing intelligence 
sources or methods.
    (c) Classified information or material disclosing a system, plan, 
installation, project, or specific foreign relations matter, the 
continuing protection of which is essential to the national security.
    (d) Classified information or material the disclosure of which would 
place a person in immediate jeopardy.
    (ii) Mandatory review of exempted material. All classified 
information and material originated after June 1, 1972, which is 
exempted under any of the above criteria shall be subject to a 
classification review by the originating department at any time after 
the expiration of 10 years from the date of origin provided:
    (a) A department or member of the public requests a review;
    (b) The request describes the document or record with sufficient 
particularity to enable the department to identify it; and
    (c) The record can be obtained with a reasonable amount of effort.
    (d) Information or material which no longer qualifies for exemption 
under any of the above criteria shall be declassified. Information or 
material which continues to qualify under any of the above criteria 
shall be so marked, and, unless impossible, a date for automatic 
declassification shall be set.
    (iii) All requests for ``mandatory review'' shall be directed to:

Director, Security and Inspection Division, Environmental Protection 
Agency, Washington, DC 20460.


The Director, Security and Inspection Division shall promptly notify the 
action office of the request, and the action office shall immediately 
acknowledge receipt of the request in writing.
    (iv) Burden of proof for administrative determinations. The burden 
of proof is on the originating Agency to show that continued 
classification is warranted within the terms of this paragraph (c)(2).
    (v) Availability of declassified material. Upon a determination 
under paragraph (ii) of this paragraph (c)(2), that the requested 
material no longer warrants classification, it shall be declassified and 
made promptly available to the requester, if not otherwise exempt from 
disclosure under section 552(b) of Title 5 U.S.C. (Freedom of 
Information Act) or other provision of law.
    (vi) Classification review requests. As required by paragraph (ii) 
of this paragraph (c)(2) of this order, a request for classification 
review must describe the document with sufficient particularity to 
enable the Department or Agency to identify it and obtain it with a 
reasonable amount of effort. Whenever a request is deficient in its 
description of the record sought, the requester should be asked to 
provide additional identifying information whenever possible. Before 
denying a request on the ground that it is unduly burdensome, the 
requester should be asked to limit his request to records that are 
reasonably obtainable. If nonetheless the requester does not describe 
the records sought with sufficient particularity, or the record 
requested cannot be obtained with a reasonable amount of effort, the 
requester shall be notified of the reasons why no action will be taken 
and of his right to appeal such decision.

[[Page 158]]



Sec. 11.6  Access by historical researchers and former Government officials.

    (a) Access to classified information or material may be granted to 
historical researchers or to persons who formerly occupied policymaking 
positions to which they were appointed by the President: Provided, 
however, That in each case the head of the originating Department shall:
    (1) Determine that access is clearly consistent with the interests 
of the national security; and
    (2) Take appropriate steps to assure that classified information or 
material is not published or otherwise compromised.
    (b) Access granted a person by reason of his having previously 
occupied a policymaking position shall be limited to those papers which 
the former official originated, reviewed, signed, or received while in 
public office, except as related to the ``Declassification of 
Presidential Papers,'' which shall be treated as follows:
    (1) Declassification of Presidential Papers. The Archivist of the 
United States shall have authority to review and declassify information 
and material which has been classified by a President, his White House 
Staff or special committee or commission appointed by him and which the 
Archivist has in his custody at any archival depository, including a 
Presidential library. Such declassification shall only be undertaken in 
accord with:
    (i) The terms of the donor's deed of gift;
    (ii) Consultations with the Departments having a primary subject-
matter interest; and
    (iii) The provisions of Sec. 11.5(c).
    (2) [Reserved]



PART 12--NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE ENVIRONMENTAL PROTECTION AGENCY--Table of Contents




Sec.
12.101  Purpose.
12.102  Application.
12.103  Definitions.
12.104-12.109  [Reserved]
12.110  Self-evaluation.
12.111  Notice.
12.112-12.129  [Reserved]
12.130  General prohibitions against discrimination.
12.131-12.139  [Reserved]
12.140  Employment.
12.141-12.148  [Reserved]
12.149  Program accessibility: Discrimination prohibited.
12.150  Program accessibility: Existing facilities.
12.151  Program accessibility: New construction and alterations.
12.152-12.159  [Reserved]
12.160  Communications.
12.161-12.169  [Reserved]
12.170  Compliance procedures.
12.171-12.999  [Reserved]

    Authority: 29 U.S.C. 794.

    Source: 52 FR 30606, Aug. 14, 1987, unless otherwise noted.



Sec. 12.101  Purpose.

    The purpose of this part is to effectuate section 119 of the 
Rehabilitation, Comprehensive Services, and Developmental Disabilities 
Amendments of 1978, which amended section 504 of the Rehabilitation Act 
of 1973 to prohibit discrimination on the basis of handicap in programs 
or activities conducted by Executive agencies or the U.S. Postal 
Service. Section 504 regulations applicable to recipients of financial 
assistance from the Environmental Protection Agency (EPA) may be found 
at 40 CFR part 7 (1986).



Sec. 12.102  Application.

    This part applies to all programs or activities conducted by the 
agency, except for programs or activities conducted outside the United 
States that do not involve individuals with handicaps in the United 
States.



Sec. 12.103  Definitions.

    For purposes of this part, the term--
    Agency means Environmental Protection Agency.
    Assistant Attorney General means the Assistant Attorney General, 
Civil Rights Division, U.S. Department of Justice.
    Auxiliary aids means services or devices that enable persons with 
impaired sensory, manual, or speaking skills to have an equal 
opportunity to participate in, and enjoy the benefits of, programs or 
activities conducted by the agency. For example, auxiliary aids

[[Page 159]]

useful for persons with impaired vision include readers, Brailled 
materials, audio recordings, and other similar services and devices. 
Auxiliary aids useful for persons with impaired hearing include 
telephone handset amplifiers, telephones compatible with hearing aids, 
telecommunication devices for deaf persons (TDD's), interpreters, 
notetakers, written materials, and other similar services and devices.
    Complete complaint means a written statement that contains the 
complainant's name and address and describes the agency's alleged 
discriminatory action in sufficient detail to inform the agency of the 
nature and date of the alleged violation of section 504. It shall be 
signed by the complainant or by someone authorized to do so on his or 
her behalf. Complaints filed on behalf of classes or third parties shall 
describe or identify (by name, if possible) the alleged victims of 
discrimination.
    Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances, or other real or personal property.
    Individual with handicaps means any person who has a physical or 
mental impairment that substantially limits one or more major life 
activities, has a record of such an impairment, or is regarded as having 
such an impairment. As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (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 organs; cardiovascular; reproductive, digestive, 
genitourinary; hemic and lymphatic; skin, and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term physical or mental impairment 
includes, but is not limited to, such diseases and conditions as 
orthopedic, visual, speech, and hearing impairments, cerebral palsy, 
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, 
diabetes, mental retardation, emotional illness, and drug addiction and 
alcoholism.
    (2) Major life activities includes 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 is treated by the agency 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 in subparagraph (1) of 
this definition but is treated by the agency as having such an 
impairment.
    Qualified individual with handicaps means--
    (1) With respect to any agency program or activity under which a 
person is required to perform services or to achieve a level of 
accomplishment, an individual with handicaps who meets the essential 
eligibility requirements and who can achieve the purpose of the program 
or activity, without modifications in the program or activity that the 
agency can demonstrate would result in a fundamental alteration in its 
nature; or
    (2) With respect to any other program or activity an individual with 
handicaps who meets the essential eligibility requirements for 
participation in, or receipt of benefits from, that program or activity.
    (3) Qualified handicapped person as that term is defined for 
purposes of employment in 29 CFR 1613.702(f), which is made applicable 
to this part by Sec. 12.140.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617); 
and the Rehabilitation,

[[Page 160]]

Comprehensive Services, and Developmental Disabilities Amendments of 
1978 (Pub. L. 95-602, 92 Stat. 2955); and the Rehabilitation Act 
Amendments of 1986 (Pub. L. 99-506, 100 Stat. 1810). As used in this 
part, section 504 applies only to programs or activities conducted by 
Executive agencies and not to federally assisted programs.



Secs. 12.104-12.109  [Reserved]



Sec. 12.110  Self-evaluation.

    (a) The agency shall, by November 13, 1987, begin a nationwide 
evaluation, of its current policies and practices, and the effects 
thereof, that do not or may not meet the requirements of this part. The 
agency shall provide an opportunity to interested persons, including 
individuals with handicaps or organizations representing individuals 
with handicaps to, participate in the self-evaluation process by 
submitting comments (both oral and written).
    (b) The evaluation shall be concluded by September 14, 1988, with a 
written report submitted to the Administrator that states the findings 
of the self-evaluation, any remedial action taken, and recommendations, 
if any, for further remedial action.
    (c) The Administrator shall, within 60 days of the receipt of the 
report of the evaluation and recommendations, direct that certain 
remedial actions be taken as he/she deems appropriate.
    (d) The agency shall, for at least three years following completion 
of the evaluation required under paragraph (b) of this section, maintain 
on file and make available for public inspection:
    (1) A list of the interested persons consulted;
    (2) A description of the areas examined and any problems identified; 
and
    (3) A description of any modifications made.



Sec. 12.111  Notice.

    The agency shall make available to employees, unions representing 
employees, applicants, participants, beneficiaries, and other interested 
persons such information regarding the provisions of this part and its 
applicability to the programs or activities conducted by the agency, and 
make such information available to them in such manner as the agency 
head finds necessary to apprise such persons of the protections against 
discrimination assured them by section 504 and this regulation.



Secs. 12.112-12.129  [Reserved]



Sec. 12.130  General prohibitions against discrimination.

    (a) No qualified individual with handicaps shall, 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 conducted by the agency.
    (b)(1) The agency, in providing any aid, benefit, or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of handicap--
    (i) Deny a qualified individual with handicaps the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualified individual with handicaps an opportunity to 
participate in or benefit from the aid, benefit, or service that is not 
equal to that afforded others;
    (iii) Provide a qualified individual with handicaps with an aid, 
benefit, or service that is not as effective in affording equal 
opportunity to obtain the same result, to gain the same benefit, or to 
reach the same level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
individuals with handicaps or to any class of individuals with handicaps 
than is provided to others unless such action is necessary to provide 
qualified individuals with handicaps with aid, benefits, or services 
that are as effective as those provided to others;
    (v) Deny a qualified individual with handicaps the opportunity to 
participate as a member of planning or advisory boards; or
    (vi) Otherwise limit a qualified individual with handicaps in the 
enjoyment of any right, privilege, advantage, or opportunity enjoyed by 
others receiving the aid, benefit, or service.
    (2) The agency may not deny a qualified individual with handicaps 
the opportunity to participate in programs or

[[Page 161]]

activities that are not separate or different, despite the existence of 
permissibly separate or different programs or activities.
    (3) The agency may not, directly or through contractual or other 
arrangements, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified individuals with handicaps to discrimination 
on the basis of handicap; or
    (ii) Defeat or substantially impair accomplishment of individuals 
with handicaps.
    (4) The agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude individuals with handicaps from, deny them the benefits 
of, or otherwise subject them to discrimination under any program or 
activity conducted by the agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to individuals with 
handicaps.
    (5) The agency, in the selection of procurement contractors, may not 
use criteria that subject qualified individuals with handicaps to 
discrimination on the basis of handicap.
    (6) The agency may not administer a licensing or certification 
program in a manner that subjects qualified individuals with handicaps 
to discrimination on the basis of handicap, nor may the agency establish 
requirements for the programs or activities of licensees or certified 
entities that subject qualified individuals with handicaps to 
discrimination on the basis of handicap. However, the program or 
activities of entities that are licensed or certified by the agency are 
not, themselves, covered by this part.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to individuals 
with handicaps or the exclusion of a specific class of individuals with 
handicaps from a program limited by Federal statute or Executive order 
to a different class of individuals with handicaps is not prohibited by 
this part.
    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified individuals 
with handicaps.



Secs. 12.131-12.139  [Reserved]



Sec. 12.140  Employment.

    No qualified individual with handicaps shall, on the basis of 
handicap, be subjected to discrimination in employment under any program 
or activity conducted by the agency. The definitions, requirements, and 
procedures of section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 
791), as established by the Equal Employment Opportunity Commission in 
29 CFR part 1613, shall apply to employment in federally conducted 
programs or activities.



Secs. 12.141-12.148  [Reserved]



Sec. 12.149  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec. 12.150, no qualified individual 
with handicaps shall, because the agency's facilities are inaccessible 
to or unusable by individuals with handicaps, be denied the benefits of, 
be excluded from participation in, or otherwise be subjected to 
discrimination under any program or activity conducted by the agency.



Sec. 12.150  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by individuals with handicaps. This paragraph 
does not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by individuals with handicaps; or
    (2) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec. 12.150(a) would result in such 
alteration or burdens. The decision that

[[Page 162]]

compliance would result in such alteration or burdens must be made by 
the agency head or designee after considering all agency resources 
available for use in the funding and operation of the conducted program 
or activity, and must be accompanied by a written statement of the 
reasons for reaching that conclusion. If an action would result in such 
an alteration or such burdens, the agency shall take any other action 
that would not result in such an alteration or such burdens but would 
nevertheless ensure that individuals with handicaps receive the benefits 
and services of the program or activity.
    (b) Methods. The agency may comply with the requirements of this 
section through such means as redesign of equipment, reassignment of 
services to accessible buildings, assignment of aides to beneficiaries, 
home visits, delivery of services at alternate accessible sites, 
alteration of existing facilities and construction of new facilities, 
use of accessible rolling stock, or any other methods that result in 
making its programs or activities readily accessible to and usable by 
individuals with handicaps. The agency is not required to make 
structural changes in existing facilities where other methods are 
effective in achieving compliance with this section. The agency, in 
making alterations to existing buildings, shall meet accessibility 
requirements to the extent compelled by the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), and any regulations 
implementing it. In choosing among available methods for meeting the 
requirements of this section, the agency shall give priority to those 
methods that offer programs and activities to qualified individuals with 
handicaps in the most integrated setting appropriate.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by November 13, 1987, except 
that where structural changes in facilities are undertaken, such changes 
shall be made by September 14, 1990, but in any event as expeditiously 
as possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, by March 14, 1988, a transition plan setting forth 
the steps necessary to complete such changes. The agency shall provide 
an opportunity to interested persons, including individuals with 
handicaps or organizations representing individuals with handicaps to 
participate in the development of the transition plan by submitting 
comments (both oral and written). A copy of the transition plan shall be 
made available for public inspection. The plan shall, at a minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to individuals 
with handicaps;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.



Sec. 12.151  Program accessibility: New construction and alterations.

    Each building or part of a building that is constructed or altered 
by, on behalf of, or for the use of the agency shall be designed, 
constructed, or altered so as to be readily accessible to and usable by 
individuals with handicaps. The definitions, requirements, and standards 
of the Architectural Barriers Act (42 U.S.C. 4151-4157), as established 
in 41 CFR 101-19.600 to 101-19.607, apply to buildings covered by this 
section.



Secs. 12.152-12.159  [Reserved]



Sec. 12.160  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford an individual with handicaps an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.

[[Page 163]]

    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
individuals with handicaps.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf persons (TDD's) or 
equally effective telecommunication systems shall be used.
    (b) The agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and administrative 
burdens. In those circumstances where agency personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the agency 
has the burden of proving that compliance with Sec. 12.160 would result 
in such alteration or burdens. The decision that compliance would result 
in such alteration or burdens must be made by the agency head or 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action required to comply with this section would 
result in such an alteration or such burdens, the agency shall take any 
other action that would not result in such an alteration or such burdens 
but would nevertheless ensure that, to the maximum extent possible, 
individuals with handicaps receive the benefits and services of the 
program or activity.



Secs. 12.161-12.169  [Reserved]



Sec. 12.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs or activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) Responsibility for coordinating implementation of this section 
shall be vested in the Director of the Office of Civil Rights, EPA or 
his/her designate.
    (d) The complainant may file a complete complaint at any EPA office. 
All complete complaints must be filed within 180 days of the alleged act 
of discrimination. The agency may extend this time period for good 
cause. The agency shall accept and investigate all complete complaints 
for which it has jurisdiction.
    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate Government 
entity.
    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building of facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), is not readily accessible to 
and usable by individuals with handicaps.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found; and
    (3) A notice of the right to appeal.

[[Page 164]]

    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by paragraph (g) of this section. The 
agency may extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the 
Administrator or a designee.
    (j) The Administrator or a designee shall notify the complainant of 
the results of the appeal within 60 days of the receipt of the request. 
If the Administrator or designee determines that additional information 
is needed from the complainant, he or she shall have 60 days from the 
date of receipt of the additional information to make his or her 
determination on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
above may be extended with the permission of the Assistant Attorney 
General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.



Secs. 12.171-12.999  [Reserved]



PART 13--CLAIMS COLLECTION STANDARDS--Table of Contents




                           Subpart A--General

Sec.
13.1  Purpose and scope.
13.2  Definitions.
13.3  Interagency claims.
13.4  Other remedies.
13.5  Claims involving criminal activities or misconduct.
13.6  Subdivision of claims not authorized.
13.7  Omission not a defense.

                          Subpart B--Collection

13.8  Collection rule.
13.9  Initial notice.
13.10  Aggressive collection actions; documentation.
13.11  Interest, penalty and administrative costs.
13.12  Interest and charges pending waiver or review.
13.13  Contracting for collection services.
13.14  Use of credit reporting agencies.
13.15  Taxpayer information.
13.16  Liquidation of collateral.
13.17  Suspension or revocation of license or eligibility.
13.18  Installment payments.
13.19  Analysis of costs; automation; prevention of overpayments, 
          delinquencies or defaults.

                    Subpart C--Administrative Offset

13.20  Administrative offset of general debts.
13.21  Employee salary offset--general.
13.22  Salary offset when EPA is the creditor agency.
13.23  Salary offset when EPA is not the creditor agency.

                     Subpart D--Compromise of Debts

13.24  General.
13.25  Standards for compromise.
13.26  Payment of compromised claims.
13.27  Joint and several liability.
13.28  Execution of releases.

               Subpart E--Suspension of Collection Action

13.29  Suspension--general.
13.30  Standards for suspension.

                     Subpart F--Termination of Debts

13.31  Termination--general.
13.32  Standards for termination.

                          Subpart G--Referrals

13.33  Referrals to the Department of Justice.

        Subpart H--Referral of Debts to IRS for Tax Refund Offset

13.34  Purpose.
13.35  Applicability and scope.
13.36  Administrative charges.
13.37  Notice requirement before offset.
13.38  Review within the Agency.
13.39  Agency determination.
13.40  Stay of offset.

    Authority: 5 U.S.C. 552a, 5512, and 5514; 31 U.S.C. 3711 et seq. and 
3720A; 4 CFR parts 101-10.

    Source: 53 FR 37270, Sept. 23, 1988, unless otherwise noted.



                           Subpart A--General



Sec. 13.1  Purpose and scope.

    This regulation prescribes standards and procedures for the 
Environmental Protection Agency's (EPA's) collection and disposal of 
debts. These standards and procedures are applicable to all debts for 
which a statute, regulation or contract does not prescribe different

[[Page 165]]

standards or procedures. This regulation covers EPA's collection, 
compromise, suspension, termination, and referral of debts.



Sec. 13.2  Definitions.

    (a) Debt means an amount owed to the United States from sources 
which include loans insured or guaranteed by the United States and all 
other amounts due the United States from fees, grants, contracts, 
leases, rents, royalties, services, sales of real or personal property, 
overpayments, fines, penalties, damages, interest, forfeitures (except 
those arising under the Uniform Code of Military Justice), and all other 
similar sources. As used in this regulation, the terms debt and claim 
are synonymous.
    (b) Delinquent debt means any debt which has not been paid by the 
date specified by the Government for payment or which has not been 
satisfied in accordance with a repayment agreement.
    (c) Debtor means an individual, organization, association, 
corporation, or a State or local government indebted to the United 
States or a person or entity with legal responsibility for assuming the 
debtor's obligation.
    (d) Agency means the United States Environmental Protection Agency.
    (e) Administrator means the Administrator of EPA or an EPA employee 
or official designated to act on the Administrator's behalf.
    (f) Administrative offset means the withholding of money payable by 
the United States to, or held by the United States for, a person to 
satisfy a debt the person owes the Government.
    (g) Creditor agency means the Federal agency to which the debt is 
owed.
    (h) Disposable pay means that part of current basic pay, special 
pay, incentive pay, retired pay, retainer pay, or in the case of an 
employee not entitled to basic pay, other authorized pay remaining after 
the deduction of any amount described in 5 CFR 581.105 (b) through (f). 
These deductions include, but are not limited to: Social security 
withholdings; Federal, State and local tax withholdings; health 
insurance premiums; retirement contributions; and life insurance 
premiums.
    (i) Employee means a current employee of the Federal Government 
including a current member of the Armed Forces.
    (j) Person means an individual, firm, partnership, corporation, 
association and, except for purposes of administrative offsets under 
subpart C and interest, penalty and administrative costs under subpart B 
of this regulation, includes State and local governments and Indian 
tribes and components of tribal governments.
    (k) Employee salary offset means the administrative collection of a 
debt by deductions at one or more officially established pay intervals 
from the current pay account of an employee without the employee's 
consent.
    (l) Waiver means the cancellation, remission, forgiveness or non-
recovery of a debt or debt-related charge as permitted or required by 
law.



Sec. 13.3  Interagency claims.

    This regulation does not apply to debts owed EPA by other Federal 
agencies. Such debts will be resolved by negotiation between the 
agencies or by referral to the General Accounting Office (GAO).



Sec. 13.4  Other remedies.

    (a) This regulation does not supersede or require omission or 
duplication of administrative proceedings required by contract, statute, 
regulation or other Agency procedures, e.g., resolution of audit 
findings under grants or contracts, informal grant appeals, formal 
appeals, or review under a procurement contract.
    (b) The remedies and sanctions available to the Agency under this 
regulation for collecting debts are not intended to be exclusive. The 
Agency may impose, where authorized, other appropriate sanctions upon a 
debtor for inexcusable, prolonged or repeated failure to pay a debt. For 
example, the Agency may stop doing business with a grantee, contractor, 
borrower or lender; convert the method of payment under a grant or 
contract from an advance payment to a reimbursement method; or revoke a 
grantee's or contractor's letter-of-credit.

[[Page 166]]



Sec. 13.5  Claims involving criminal activities or misconduct.

    (a) The Administrator will refer cases of suspected criminal 
activity or misconduct to the EPA Office of Inspector General. That 
office has the responsibility for investigating or referring the matter, 
where appropriate, to the Department of Justice (DOJ), and/or returning 
it to the Administrator for further actions. Examples of activities 
which should be referred are matters involving fraud, anti-trust 
violations, embezzlement, theft, false claims or misuse of Government 
money or property.
    (b) The Administrator will not administratively compromise, 
terminate, suspend or otherwise dispose of debts involving criminal 
activity or misconduct without the approval of DOJ.



Sec. 13.6  Subdivision of claims not authorized.

    A claim will not be subdivided to avoid the $20,000 limit on the 
Agency's authority to compromise, suspend, or terminate a debt. A 
debtor's liability arising from a particular transaction or contract is 
a single claim.



Sec. 13.7  Omission not a defense.

    Failure by the Administrator to comply with any provision of this 
regulation is not available to a debtor as a defense against payment of 
a debt.



                          Subpart B--Collection



Sec. 13.8  Collection rule.

    (a) The Administrator takes action to collect all debts owed the 
United States arising out of EPA activities and to reduce debt 
delinquencies. Collection actions may include sending written demands to 
the debtor's last known address. Written demand may be preceded by other 
appropriate action, including immediate referral to DOJ for litigation, 
when such action is necessary to protect the Government's interest. The 
Administrator may contact the debtor by telephone, in person and/or in 
writing to demand prompt payment, to discuss the debtor's position 
regarding the existence, amount or repayment of the debt, to inform the 
debtor of its rights (e.g., to apply for waiver of the indebtedness or 
to have an administrative review) and of the basis for the debt and the 
consequences of nonpayment or delay in payment.
    (b) The Administrator maintains an administrative file for each debt 
and/or debtor which documents the basis for the debt, all administrative 
collection actions regarding the debt (including communications to and 
from the debtor) and its final disposition. Information from a debt file 
relating to an individual may be disclosed only for purposes which are 
consistent with this regulation, the Privacy Act of 1974 and other 
applicable law.



Sec. 13.9  Initial notice.

    (a) When the Administrator determines that a debt is owed EPA, he 
provides a written initial notice to the debtor. Unless otherwise 
provided by agreement, contract or order, the initial notice informs the 
debtor:
    (1) Of the amount, nature and basis of the debt;
    (2) That payment is due immediately upon receipt of the notice;
    (3) That the debt is considered delinquent if it is not paid within 
30 days of the date mailed or hand-delivered;
    (4) That interest charges and, except for State and local 
governments and Indian tribes, penalty charges and administrative costs 
may be assessed against a delinquent debt;
    (5) Of any rights available to the debtor to dispute the validity of 
the debt or to have recovery of the debt waived (citing the available 
review or waiver authority, the conditions for review or waiver, and the 
effects of the review or waiver request on the collection of the debt), 
and of the possibility of assessment of interest, penalty and 
administrative costs; and
    (6) The address, telephone number and name of the person available 
to discuss the debt.
    (b) EPA will respond promptly to communications from the debtor. 
Response generally will be within 20 days of receipt of communication 
from the debtor.
    (c) Subsequent demand letters also will advise the debtor of any 
interest, penalty or administrative costs which have been assessed and 
will advise the debtor that the debt may be referred to

[[Page 167]]

a credit reporting agency (see Sec. 13.14), a collection agency (see 
Sec. 13.13) or to DOJ (see Sec. 13.33) if it is not paid.



Sec. 13.10  Aggressive collection actions; documentation.

    (a) EPA takes actions and effective follow-up on a timely basis to 
collect all claims of the United States for money and property arising 
out of EPA's activities. EPA cooperates with other Federal agencies in 
their debt collection activities.
    (b) All administrative collection actions are documented in the 
claim file, and the bases for any compromise, termination or suspension 
of collection actions is set out in detail. This documentation, 
including the Claims Collection Litigation Report required Sec. 13.33, 
is retained in the appropriate debt file.



Sec. 13.11  Interest, penalty and administrative costs.

    (a) Interest. EPA will assess interest on all delinquent debts 
unless prohibited by statute, regulation or contract.
    (1) Interest begins to accrue on all debts from the date of the 
initial notice to the debtor. EPA will not recover interest where the 
debt is paid within 30 days of the date of the notice. EPA will assess 
an annual rate of interest that is equal to the rate of the current 
value of funds to the United States Treasury (i.e., the Treasury tax and 
loan account rate) as prescribed and published by the Secretary of the 
Treasury in the Federal Register and the Treasury Fiscal Requirements 
Manual Bulletins, unless a different rate is necessary to protect the 
interest of the Government. EPA will notify the debtor of the basis for 
its finding that a different rate is necessary to protect the interest 
of the Government.
    (2) The Administrator may extend the 30-day period for payment where 
he determines that such action is in the best interest of the 
Government. A decision to extend or not to extend the payment period is 
final and is not subject to further review.
    (3) The rate of interest, as initially assessed, remains fixed for 
the duration of the indebtedness. If a debtor defaults on a repayment 
agreement, interest may be set at the Treasury rate in effect on the 
date a new agreement is executed.
    (4) Interest will not be assessed on interest charges, 
administrative costs or later payment penalties. However, where a debtor 
defaults on a previous repayment agreement and interest, administrative 
costs and penalties charges have been waived under the defaulted 
agreement, these charges can be reinstated and added to the debt 
principal under any new agreement and interest charged on the entire 
amount of the debt.
    (b) Administrative costs of collecting overdue debts. The costs of 
the Agency's administrative handling of overdue debts, based on either 
actual or average cost incurred, will be charged on all debts except 
those owed by State and local governments and Indian tribes. These costs 
include both direct and indirect costs. Administrative costs will be 
assessed monthly throughout the period the debt is overdue except as 
provided by Sec. 13.12.
    (c) Penalties. As provided by 31 U.S.C. 3717(e)(2), a penalty charge 
will be assessed on all debts, except those owned by State and local 
governments and Indian tribes, more than 90 days delinquent. The penalty 
charge will be at a rate not to exceed 6% per annum and will be assessed 
monthly.
    (d) Allocation of payments. A partial payment by a debtor will be 
applied first to outstanding administrative costs, second to penalty 
assessments, third to accrued interest and then to the outstanding debt 
principal.
    (e) Waiver. (1) The Administrator may (without regard to the amount 
of the debt) waive collection of all or part of accrued interest, 
penalty or administrative costs, where he determines that--
    (i) Waiver is justified under the criteria of Sec. 13.25;
    (ii) The debt or the charges resulted from the Agency's error, 
action or inaction, and without fault by the debtor; or
    (iii) Collection of these charges would be against equity and good 
conscience or not in the best interest of the United States.
    (2) A decision to waive interest, penalty charges or administrative 
costs

[[Page 168]]

may be made at any time prior to payment of a debt. However, where these 
charges have been collected prior to the waiver decision, they will not 
be refunded. The Administrator's decision to waive or not waive 
collection of these charges is a final agency action.



Sec. 13.12  Interest and charges pending waiver or review.

    Interest, penalty charges and administrative costs will continue to 
accrue on a debt during administrative appeal, either formal or 
informal, and during waiver consideration by the Agency; except, that 
interest, penalty charges and administrative costs will not be assessed 
where a statute or a regulation specifically prohibits collection of the 
debt during the period of the administrative appeal or the Agency 
review.



Sec. 13.13  Contracting for collection services.

    EPA will use private collection services where it determines that 
their use is in the best interest of the Government. Where EPA 
determines that there is a need to contract for collection services it 
will--
    (a) Retain sole authority to resolve any dispute by the debtor of 
the validity of the debt, to compromise the debt, to suspend or 
terminate collection action, to refer the debt to DOJ for litigation, 
and to take any other action under this part which does not result in 
full collection of the debt;
    (b) Require the contractor to comply with the Privacy Act of 1974, 
as amended, to the extent specified in 5 U.S.C. 552a(m), with applicable 
Federal and State laws pertaining to debt collection practices (e.g., 
the Fair Debt Collection Practices Act (15 U.S.C. 1692 et seq.)), and 
with applicable regulations of the Internal Revenue Service;
    (c) Require the contractor to account accurately and fully for all 
amounts collected; and
    (d) Require the contractor to provide to EPA, upon request, all data 
and reports contained in its files relating to its collection actions on 
a debt.



Sec. 13.14  Use of credit reporting agencies.

    EPA reports delinquent debts to appropriate credit reporting 
agencies.
    (a) EPA provides the following information to the reporting 
agencies:
    (1) A statement that the claim is valid and is overdue;
    (2) The name, address, taxpayer identification number and any other 
information necessary to establish the identity of the debtor;
    (3) The amount, status and history of the debt; and
    (4) The program or pertinent activity under which the debt arose.
    (b) Before disclosing debt information, EPA will:
    (1) Take reasonable action to locate the debtor if a current address 
is not available; and
    (2) If a current address is available, notify the debtor by 
certified mail, return receipt requested, that:
    (i) The designated EPA official has reviewed the claim and has 
determined that it is valid and overdue;
    (ii) That within 60 days EPA intends to disclose to a credit 
reporting agency the information authorized for disclosure by this 
subsection; and
    (iii) The debtor can request a complete explanation of the claim, 
can dispute the information in EPA's records concerning the claim, and 
can file for an administrative review, waiver or reconsideration of the 
claim, where applicable.
    (c) Before information is submitted to a credit reporting agency, 
EPA will provide a written statement to the reporting agency that all 
required actions have been taken. Additionally, EPA will, thereafter, 
ensure that the credit reporting agency is promptly informed of any 
substantive change in the conditions or amounts of the debt, and 
promptly verify or correct information relevant to the claim.
    (d) If a debtor disputes the validity of the debt, the credit 
reporting agency will refer the matter to the appropriate EPA official. 
The credit reporting agency will exclude the debt from its reports until 
EPA certifies in writing that the debt is valid.



Sec. 13.15  Taxpayer information.

    (a) The Administrator may obtain a debtor's current mailing address 
from the Internal Revenue Service.
    (b) Addresses obtained from the Internal Revenue Service will be 
used by

[[Page 169]]

the Agency, its officers, employees, agents or contractors and other 
Federal agencies only to collect or dispose of debts, and may be 
disclosed to credit reporting agencies only for the purpose of their use 
in preparing a commercial credit report on the taxpayer for use by EPA.



Sec. 13.16  Liquidation of collateral.

    Where the Administrator holds a security instrument with a power of 
sale or has physical possession of collateral, he may liquidate the 
security or collateral and apply the proceeds to the overdue debt. EPA 
will exercise this right where the debtor fails to pay within a 
reasonable time after demand, unless the cost of disposing of the 
collateral is disproportionate to its value or special circumstances 
require judicial foreclosure. However, collection from other businesses, 
including liquidation of security or collateral, is not a prerequisite 
to requiring payment by a surety or insurance company unless expressly 
required by contract or statute. The Administrator will give the debtor 
reasonable notice of the sale and an accounting of any surplus proceeds 
and will comply with any other requirements of law or contract.



Sec. 13.17  Suspension or revocation of license or eligibility.

    When collecting statutory penalties, forfeitures, or debts for 
purposes of enforcement or compelling compliance, the Administrator may 
suspend or revoke licenses or other privileges for any inexcusable, 
prolonged or repeated failure of a debtor to pay a claim. Additionally, 
the Administrator may suspend or disqualify any contractor, lender, 
broker, borrower, grantee or other debtor from doing business with EPA 
or engaging in programs EPA sponsors or funds if a debtor fails to pay 
its debts to the Government within a reasonable time. Debtors will be 
notified before such action is taken and applicable suspension or 
debarment procedures will be used. The Administrator will report the 
failure of any surety to honor its obligations to the Treasury 
Department for action under 6 U.S.C. 11.



Sec. 13.18  Installment payments.

    (a) Whenever, feasible, and except as otherwise provided by law, 
debts owed to the United States, together with interest, penalty and 
administrative costs, as required by Sec. 13.11, will be collected in a 
single payment. However, where the Administrator determines that a 
debtor is financially unable to pay the indebtedness in a single payment 
or that an alternative payment mechanism is in the best interest of the 
United States, the Administrator may approve repayment of the debt in 
installments. The debtor has the burden of establishing that it is 
financially unable to pay the debt in a single payment or that an 
alternative payment mechanism is warranted. If the Administrator agrees 
to accept payment by installments, the Administrator may require a 
debtor to execute a written agreement which specifies all the terms of 
the repayment arrangement and which contains a provision accelerating 
the debt in the event of default. The size and frequency of installment 
payments will bear a reasonable relation to the size of the debt and the 
debtor's ability to pay. The installment payments will be sufficient in 
size and frequency to liquidate the debt in not more than 3 years, 
unless the Administrator determines that a longer period is required. 
Installment payments of less than $50 per month generally will not be 
accepted, but may be accepted where the debtor's financial or other 
circumstances justify. If the debt is unsecured, the Administrator may 
require the debtor to execute a confess-judgment note with a tax carry-
forward and a tax carry-back provision. Where the Administrator secures 
a confess-judgment note, the Administrator will provide the debtor a 
written explanation of the consequences of the debtor's signing the 
note.
    (b) If a debtor owes more than one debt and designates how a 
voluntary installment payment is to be applied among the debts, that 
designation will be approved if the Administrator determines that the 
designation is in the best interest of the United States. If the debtor 
does not designate how the payment is to be applied, the Administrator 
will apply the payment to the

[[Page 170]]

various debts in accordance with the best interest of the United States, 
paying special attention to applicable statutes of limitations.



Sec. 13.19  Analysis of costs; automation; prevention of overpayments, delinquencies or defaults.

    (a) The Administrator may periodically compare EPA's costs in 
handling debts with the amounts it collects,
    (b) The Administrator may periodically consider the need, 
feasibility, and cost effectiveness of automated debt collection 
operations.
    (c) The Administrator may establish internal controls to identify 
the causes of overpayments and delinquencies and may issue procedures to 
prevent future occurrences of the identified problems.



                    Subpart C--Administrative Offset



Sec. 13.20  Administrative offset of general debts.

    This subpart provides for EPA's collection of debts by 
administrative offset under section 5 of the Debt Collection Act of 1982 
(31 U.S.C. 3716), other statutory authorities and the common law. It 
does not apply to offsets against employee salaries covered by 
Secs. 13.21, 13.22 and 13.23 of this subpart. EPA will collect debts by 
administrative offsets where it determines that such collections are 
feasible and are not otherwise prohibited by statute or contract.
    EPA will decide, on a case-by-case basis, whether collection by 
administrative offset is feasible and that its use furthers and protects 
the interest of the United States.
    (a) Standards. (1) The Administrator collects debts by 
administrative offset if--
    (i) The debt is certain in amount;
    (ii) Efforts to obtain direct payment from the debtor have been, or 
would most likely be, unsuccessful or the Administrator and the debtor 
agree to the offset;
    (iii) Offset is not expressly or implicitly prohibited by statute, 
regulation or contract;
    (iv) Offset is cost-effective or has significant deterrent value;
    (v) Offset does not substantially impair or defeat program 
objectives; and
    (vi) Offset is best suited to further and protect the Government's 
interest.
    (2) The Administrator may, in determining the method and amount of 
the offset, consider the financial impact on the debtor.
    (b) Interagency offset. The Administrator may offset a debt owed to 
another Federal agency from amounts due or payable by EPA to the debtor, 
or may request another Federal agency to offset a debt owed to EPA. The 
Administrator may request the Internal Revenue Service to offset an 
overdue debt from a Federal income tax refund due a debtor where 
reasonable attempts to obtain payment have failed. Interagency offsets 
from employee salaries will be made in accordance with the procedures 
contained in Secs. 13.22 and 13.23.
    (c) Multiple debts. Where moneys are available for offset against 
multiple debts of a debtor, it will be applied in accordance with the 
best interest of the Government as determined by the Administrator on a 
case-by-case basis.
    (d) Statutory bar to offset. Administrative offset will not be made 
more than 10 years after the Government's right to collect the debt 
first accrued, unless facts material to the Government's right to 
collect the debt were not known and could not have been known through 
the exercise of reasonable care by the officer responsible for 
discovering or collecting the debt. For purposes of offset, the right to 
collect a debt accrues when the appropriate EPA official determines that 
a debt exists (e.g., contracting officer, grant award official, etc.), 
when it is affirmed by an administrative appeal or a court having 
jurisdiction, or when a debtor defaults on a payment agreement, 
whichever is latest. An offset occurs when money payable to the debtor 
is first withheld or when EPA requests offset from money held by another 
agency.
    (e) Pre-offset notice. Before initiating offset, the Administrator 
sends the debtor written notice of:
    (1) The basis for and the amount of the debt as well as the Agency's 
intention to collect the debt by offset if payment or satisfactory 
response has not been received within 30 days of the notice;

[[Page 171]]

    (2) The debtor's right to submit an alternative repayment schedule, 
to inspect and copy agency records pertaining to the debt, to request 
review of the determination of indebtedness or to apply for waiver under 
any available statute or regulation; and
    (3) Applicable interest, penalty charges and administrative costs.
    (f) Alternative repayment. The Administrator may, at the 
Administrator's discretion, enter into a repayment agreement with the 
debtor in lieu of offset. In deciding whether to accept payment of the 
debt by an alternative repayment agreement, the Administrator may 
consider such factors as the amount of the debt, the length of the 
proposed repayment period, whether the debtor is willing to sign a 
confess-judgment note, past Agency dealings with the debtor, 
documentation submitted by the debtor indicating that an offset will 
cause undue financial hardship, and the debtor's financial ability to 
adhere to the terms of a repayment agreement. The Administrator may 
require financial documentation from the debtor before considering the 
repayment arrangement.
    (g) Review of administrative determination. (1) A debt will not be 
offset while a debtor is seeking either formal or informal review of the 
validity of the debt under this section or under another statute, 
regulation or contract. However, interest, penalty and administrative 
costs will continue to accrue during this period, unless otherwise 
waived by the Administrator. The Administrator may initiate offset as 
soon as practical after completion of review or after a debtor waives 
the opportunity to request review.
    (2) The Administrator may administratively offset a debt prior to 
the completion of a formal or informal review where the determines that:
    (i) Failure to take the offset would substantially prejudice EPA's 
ability to collect the debt; and
    (ii) The time before the first offset is to be made does not 
reasonably permit the completion of the review procedures. (Offsets 
taken prior to completion of the review process will be followed 
promptly by the completion of the process. Amounts recovered by offset 
but later found not to be owed will be refunded promptly.)
    (3) The debtor must provide a written request for review of the 
decision to offset the debt no later than 15 days after the date of the 
notice of the offset unless a different time is specifically prescribed. 
The debtor's request must state the basis for the request for review.
    (4) The Administrator may grant an extension of time for filing a 
request for review if the debtor shows good cause for the late filing. A 
debtor who fails timely to file or to request an extension waives the 
right to review.
    (5) The Administrator will issue, no later than 60 days after the 
filing of the request, a written final decision based on the evidence, 
record and applicable law.



Sec. 13.21  Employee salary offset--general.

    (a) Purpose. This section establishes EPA's policies and procedures 
for recovery of debts owed to the United States by installment 
collection from the current pay account of an employee.
    (b) Scope. The provisions of this section apply to collection by 
salary offset under 5 U.S.C. 5514 of debts owed EPA and debts owed to 
other Federal agencies by EPA employees. This section does not apply to 
debts owed EPA arising from travel advances under 5 U.S.C. 5705, 
employee training expenses under 5 U.S.C. 4108 and to other debts where 
collection by salary offset is explicitly provided for or prohibited by 
another statute.
    (c) References. The following statutes and regulations apply to 
EPA's recovery of debts due the United States by salary offset:
    (1) 5 U.S.C. 5514, as amended, governing the installment collection 
of debts;
    (2) 31 U.S.C. 3716, governing the liquidation of debts by 
administrative offset;
    (3) 5 CFR part 550, subpart K, setting forth the minimum 
requirements for executive agency regulations on salary offset; and
    (4) 4 CFR parts 101-105, the Federal Claims Collection Standards.

[[Page 172]]



Sec. 13.22  Salary offset when EPA is the creditor agency.

    (a) Entitlement to notice, hearing, written response and decision. 
(1) Prior to initiating collection action through salary offset, EPA 
will first provide the employee with the opportunity to pay in full the 
amount owed, unless such notification will compromise the Government's 
ultimate ability to collect the debt.
    (2) Except as provided in paragraph (b) of this section, each 
employee from whom the Agency proposes to collect a debt by salary 
offset under this section is entitled to receive a written notice as 
described in paragraph (c) of this section.
    (3) Each employee owing a debt to the United States which will be 
collected by salary offset is entitled to request a hearing on the debt. 
This request must be filed as prescribed in paragraph (d) of this 
section. The Agency will make appropriate hearing arrangements which are 
consistent with law and regulations. Where a hearing is held, the 
employee is entitled to a written decision on the following issues:
    (i) The determination of the Agency concerning the existence or 
amount of the debt; and
    (ii) The repayment schedule, if it was not established by written 
agreement between the employee and the Agency.
    (b) Exceptions to entitlement to notice, hearing, written response 
and final decision. The procedural requirements of paragraph (a) of this 
section are not applicable to any adjustment of pay arising out of an 
employee's election of coverage or a change in coverage under a Federal 
benefits program (such as health insurance) requiring periodic 
deductions from pay, if the amount to be recovered was accumulated over 
four pay periods or less. However, if the amount to be recovered was 
accumulated over more than four pay periods the full procedures 
prescribed under paragraph (d) of this section will be extended to the 
employee.
    (c) Notification before deductions begin. Except as provided in 
paragraph (b) of this section, deductions will not be made unless the 
employee is first provided with a minimum of 30 calendar days written 
notice. Notice will be sent by certified mail (return receipt 
requested), and must include the following:
    (1) The Agency's determination that a debt is owed, including the 
origin, nature, and amount of the debt;
    (2) The Agency's intention to collect the debt by means of 
deductions from the employee's current disposable pay account;
    (3) The amount, frequency, proposed beginning date and duration of 
the intended deductions. (The proposed beginning date for salary offset 
cannot be earlier than 30 days after the date of notice, unless this 
would compromise the Government's ultimate ability to resolve the debt);
    (4) An explanation of the requirements concerning interest, penalty 
and administrative costs;
    (5) The employee's right to inspect and copy all records relating to 
the debt or to request and receive a copy of such records;
    (6) If not previously provided, the employee's right to enter into a 
written agreement for a repayment schedule differing from that proposed 
by the Agency where the terms of the proposed repayment schedule are 
acceptable to the Agency. (Such an agreement must be in writing and 
signed by both the employee and the appropriate EPA official and will be 
included in the employee's personnel file and documented in the EPA 
payroll system);
    (7) The right to a hearing conducted by a hearing official not under 
the control of the Administrator, if a request is filed;
    (8) The method and time for requesting a hearing;
    (9) That the filing of a request for hearing within 15 days of 
receipt of the original notification will stay the assessment of 
interest, penalty and administrative costs and the commencement of 
collection proceedings;
    (10) That a final decision on the hearing (if requested) will be 
issued at the earliest practical date, but no later than 60 days after 
the filing of the request, unless the employee requests and the hearing 
official grants a delay in the proceedings;
    (11) That knowingly false or frivolous statements, representations 
or evidence may subject the employee to--

[[Page 173]]

    (i) Disciplinary procedures under 5 U.S.C. chapter 75 or any other 
applicable statutes or regulations;
    (ii) Criminal penalties under 18 U.S.C. 286, 287, 1001 and 1002 or 
other applicable statutory authority; or
    (iii) Penalties under the False Claims Act, 31 U.S.C. 3729-3731, or 
any other applicable statutory authority;
    (12) Any other rights and remedies available under statutes or 
regulations governing the program for which the collection is being 
made; and
    (13) That amounts paid or deducted for the debt, except 
administrative costs and penalty charges where the entire debt is not 
waived or terminated, which are later waived or found not owed to the 
United States will be promptly refunded to the employee.
    (d) Request for hearing. An employee may request a hearing by filing 
a written request directly with the Director, Financial Management 
Division (PM-226F), U.S. Environmental Protection Agency, 401 M Street 
SW., Washington, DC 20460. The request must state the bases upon which 
the employee disputes the proposed collection of the debt. The request 
must be signed by the employee and be received by EPA within 15 days of 
the employee's receipt of the notification of proposed deductions. The 
employee should submit in writing all facts, evidence and witnesses 
which support his/her position to the Director, Financial Management 
Division, within 15 days of the date of the request for a hearing. The 
Director, Financial Management Division, will arrange for the services 
of a hearing official not under the control of the Administrator and 
will provide the hearing official with all documents relating to the 
claim.
    (e) Requests for hearing made after time expires. Late requests for 
a hearing may be accepted if the employee can show that the delay in 
filing the request for a hearing was due to circumstances beyond the 
employee's control.
    (f) Form of hearing, written response and final decision. (1) 
Normally, a hearing will consist of the hearing official making a 
decision based upon a review of the claims file and any materials 
submitted by the debtor. However, in instances where the hearing 
official determines that the validity of the debt turns on an issue of 
veracity or credibility which cannot be resolved through review of 
documentary evidence, the hearing official at his discretion may afford 
the debtor an opportunity for an oral hearing. Such oral hearings will 
consist of an informal conference before a hearing official in which the 
employee and the Agency will be given the opportunity to present 
evidence, witnesses and argument. If desired, the employee may be 
represented by an individual of his/her choice. The Agency shall 
maintain a summary record of oral hearings provided under these 
procedures.
    (2) Written decisions provided after a request for hearing will, at 
a minimum, state the facts evidencing the nature and origin of the 
alleged debt; and the hearing official's analysis, findings and 
conclusions.
    (3) The decision of the hearing official is final and binding on the 
parties.
    (g) Request for waiver. In certain instances, an employee may have a 
statutory right to request a waiver of overpayment of pay or allowances, 
e.g., 5 U.S.C. 5584 or 5 U.S.C. 5724(i). When an employee requests 
waiver consideration under a right authorized by statute, further 
collection on the debt will be suspended until a final administrative 
decision is made on the waiver request. However, where it appears that 
the Government's ability to recover the debt may be adversely affected 
because of the employee's resignation, termination or other action, 
suspension of recovery is not required. During the period of the 
suspension, interest, penalty charges and administrative costs will not 
be assessed against the debt. The Agency will not duplicate, for 
purposes of salary offset, any of the procedures already provided the 
debtor under a request for waiver.
    (h) Method and source of collection. A debt will be collected in a 
lump-sum or by installment deductions at established pay intervals from 
an employee's current pay account, unless the employee and the Agency 
agree to alternative arrangements for payment. The alternative payment 
schedule must be in writing, signed by both the employee and the 
Administrator and

[[Page 174]]

will be documented in the Agency's files.
    (i) Limitation on amount of deduction. The size and frequency of 
installment deductions generally will bear a reasonable relation to the 
size of the debt and the employee's ability to pay. However, the amount 
deducted for any period may not exceed 15 percent of the disposable pay 
from which the deduction is made, unless the employee has agreed in 
writing to the deduction of a greater amount. If possible, the 
installment payments will be in amounts sufficient to liquidate the debt 
in three years or less. Installment payments of less than $25 normally 
will be accepted only in the most unusual circumstances.
    (j) Duration of deduction. If the employee is financially unable to 
pay a debt in a lump-sum or the amount of the debt exceeds 15 percent of 
disposable pay, collection will be made in installments. Installment 
deductions will be made over the period of active duty or employment 
except as provided in paragraph (a)(1) of this section.
    (k) When deductions may begin. (1) Deductions to liquidate an 
employee's debt will begin on the date stated in the Agency's notice of 
intention to collect from the employee's current pay unless the debt has 
been repaid or the employee has filed a timely request for hearing on 
issues for which a hearing is appropriate.
    (2) If the employee has filed a timely request for hearing with the 
Agency, deductions will begin after the hearing official has provided 
the employee with a final written decision indicating the amount owed 
the Government. Following the decision by the hearing official, the 
employee will be given 30 days to repay the amount owed prior to 
collection through salary offset, unless otherwise provided by the 
hearing official.
    (l) Liquidation from final check. If the employee retires, resigns, 
or the period of employment ends before collection of the debt is 
completed, the remainder of the debt will be offset from subsequent 
payments of any nature due the employee (e.g., final salary payment, 
lump-sum leave, etc.).
    (m) Recovery from other payments due a separated employee. If the 
debt cannot be liquidated by offset from any final payment due the 
employee on the date of separation, EPA will liquidate the debt, where 
appropriate, by administrative offset from later payments of any kind 
due the former employee (e.g., retirement pay). Such administrative 
offset will be taken in accordance with the procedures set forth in 
Sec. 13.20.
    (n) Employees who transfer to another Federal agency. If an EPA 
employee transfers to another Federal agency prior to repaying a debt 
owed to EPA, the following action will be taken:
    (1) The appropriate debt-claim form specified by the Office of 
Personnel Management (OPM) will be completed and certified to the new 
paying office by EPA. EPA will certify: That the employee owes a debt; 
the amount and the basis for the debt; the date on which payment is due; 
the date the Government's rights to collect the debt first accrued; and 
that EPA's regulations implementing 5 U.S.C. 5514 have been approved by 
OPM.
    (2) The new paying agency will be advised of the amount which has 
already been collected, the number of installments and the commencement 
date for the first installment, if other than the next officially 
established pay period. EPA will also identify to the new paying agency 
the actions it has taken and the dates of such actions.
    (3) EPA will place or will arrange to have placed in the employee's 
official personnel file the information required by paragraphs (n) (1) 
and (2) of this section.
    (4) Upon receipt of the official personnel file from EPA, the new 
paying agency will resume collection from the employee's current pay 
account and will notify both the employee and EPA of the resumption.
    (o) Interest, penalty and administrative cost. EPA will assess 
interest and administrative costs on debts collected under these 
procedures. The following guidelines apply to the assessment of these 
costs on debts collected by salary offset:
    (1) A processing and handling charge will be assessed on debts 
collected through salary offset under this section. Where offset begun 
prior to the

[[Page 175]]

employee's receipt of the 30-day written notice of the proposed offset, 
processing and handling costs will only be assessed after the expiration 
of the 30-day notice period and after the completion of any hearing 
requested under paragraph (d) of this section or waiver consideration 
under paragraph (g) of this section.
    (2) Interest will be assessed on all debts not collected within 30 
days of either the date of the notice where the employee has not 
requested a hearing within the allotted time, completion of a hearing 
pursuant to paragraph (d) of this section, or completion of waiver 
consideration under paragraph (g) of this section, whichever is later. 
Interest will continue to accrue during the period of the recovery.
    (3) Deductions by salary offset normally begin prior to the time for 
assessment of a penalty. Therefore, a penalty charge will not be 
assessed unless deductions occur more than 120 days from the date of 
notice to the debtor and penalty assessments have not been suspended 
because of waiver consideration by EPA.
    (p) Non-waiver of right by payment. An employee's payment under 
protest of all or any portion of a debt does not waive any rights which 
the employee may have under either these procedures or any other 
provision of law.
    (q) Refunds. EPA will promptly refund to the employee amounts paid 
or deducted pursuant to this section, the recovery of which is 
subsequently waived or otherwise found not owing to the United States. 
Refunds do not bear interest unless specifically authorized by law.
    (r) Time limit for commencing recovery by salary setoff. EPA will 
not initiate salary offset to collect a debt more than 10 years after 
the Government's right to collect the debt first accrued, unless facts 
material to the right to collect the debt were not known and could not 
have been known through the exercise of reasonable care by the 
Government official responsible for discovering and collecting such 
debts.



Sec. 13.23  Salary offset when EPA is not the creditor agency.

    The requirements below apply when EPA has been requested to collect 
a debt owed by an EPA employee to another Federal agency.
    (a) Format for the request for recovery. (1) The creditor agency 
must complete fully the appropriate claim form specified by OPM.
    (2) The creditor agency must certify to EPA on the debt claim form: 
The fact that the employee owes a debt; the date that the debt first 
accrued; and that the creditor agency's regulations implementing 5 
U.S.C. 5514 have been approved by OPM and send it to the Director, 
Financial Management Division (PM-226F), U.S. Environmental Protection 
Agency, 401 M Street SW., Washington, DC 20460.
    (3) If the collection is to be made in installments, the creditor 
agency must also advise EPA of the number of installments to be 
collected, the amount of each installment, and the commencement date of 
the first installment, if a date other than the next established pay 
period.
    (4) Unless the employee has consented in writing to the salary 
deductions or signed a statement acknowledging receipt of the required 
procedures and this information is attached to the claim form, the 
creditor agency must indicate the actions it took under its procedures 
for salary offset and the dates of such actions.
    (b) Processing of the claim by EPA--(1) Incomplete claims. If EPA 
receives an improperly completed claim form, the claim form and all 
accompanying material will be returned to the requesting (creditor) 
agency with notice that OPM procedures must be followed and a properly 
completed claim form must be received before any salary offset can be 
taken. The notice should identify specifically what is needed from the 
requesting agency for the claim to be processed.
    (2) Complete claims. If the claim procedures in paragraph (a) of 
this section have been properly completed, deduction will begin on the 
next established pay period. EPA will not review the merits of the 
creditor agency's determinations with respect to the amount or validity 
of the debt as stated in the debt claim form. EPA will not assess a 
handling or any other related charge to cover the cost of its processing 
the claim.

[[Page 176]]

    (c) Employees separating from EPA before a debt to another agency is 
collected--(1) Employees separating from Government service. If an 
employee begins separation action before EPA collects the total debt due 
the creditor agency, the following actions will be taken:
    (i) To the extent possible, the balance owed the creditor agency 
will be liquidated from subsequent payments of any nature due the 
employee from EPA in accordance with Sec. 13.22(1);
    (ii) If the total amount of the debt cannot be recovered, EPA will 
certify to the creditor agency and the employee the total amount of 
EPA's collection; and
    (iii) If EPA is aware that the employee is entitled to payments from 
the Civil Service Retirement and Disability Fund or other similar 
payments, it will forward a copy of the claim form to the agency 
responsible for making such payments as notice that a debt is 
outstanding. EPA will also send a copy of the claim form to the creditor 
agency so that it can file a certified claim against the payments.
    (2) Employees who transfer to another Federal agency. If an EPA 
employee transfers to another Federal agency before EPA collects the 
total amount due the creditor agency, the following actions will be 
taken:
    (i) EPA will certify the total amount of the collection made on the 
debt; and
    (ii) The employee's official personnel folder will be sent to the 
new paying agency. (It is the responsibility of the creditor agency to 
ensure that the collection is resumed by the new paying agency.)



                     Subpart D--Compromise of Debts



Sec. 13.24  General.

    EPA may compromise claims for money or property where the claim, 
exclusive of interest, penalty and administrative costs, does not exceed 
$20,000. Where the claim exceeds $20,000, the authority to accept the 
compromise rests solely with DOJ. The Administrator may reject an offer 
of compromise in any amount. Where the claim exceeds $20,000 and EPA 
recommends acceptance of a compromise offer, it will refer the claim 
with its recommendation to DOJ for approval. The referral will be in the 
form of the Claims Collection Litigation Report (CCLR) and will outline 
the basis for EPA's recommendation. EPA refers compromise offers for 
claims in excess of $100,000 to the Commercial Litigation Branch, Civil 
Division, Department of Justice, Washington, DC 20530, unless otherwise 
provided by Department of Justice delegations or procedures. EPA refers 
offers of compromise for claims of $20,000 to $100,000 to the United 
States Attorney in whose judicial district the debtor can be found. If 
the Administrator has a debtor's firm written offer for compromise which 
is substantial in amount but the Administrator is uncertain as to 
whether the offer should be accepted, he may refer the offer and the 
supporting data to DOJ or GAO for action.



Sec. 13.25  Standards for compromise.

    (a) EPA may compromise a claim pursuant to this section if EPA 
cannot collect the full amount because the debtor does not have the 
financial ability to pay the full amount of the debt within a reasonable 
time, or the debtor refuses to pay the claim in full and the Government 
does not have the ability to enforce collection in full within a 
reasonable time by enforced collection proceedings. In evaluating the 
acceptability of the offer, the Administrator may consider, among other 
factors, the following:
    (1) Individual debtors. (i) Age and health of the debtor;
    (ii) Present and potential income;
    (iii) Inheritance prospects;
    (iv) The possibility that assets have been concealed or improperly 
transferred by the debtor;
    (v) The availability of assets or income which may be realized by 
enforced collection proceedings; or
    (vi) The applicable exemptions available to the debtor under State 
and Federal law in determining the Government's ability to enforce 
collection.
    (2) Municipal and quasi-municipal debtors. (i) The size of the 
municipality or quasi-municipal entity;
    (ii) The availability of current and future resources sufficient to 
pay the

[[Page 177]]

debt (e.g., bonding authority, rate adjustment authority, or taxing 
authority); or
    (iii) The ratio of liabilities (both short and long term) to assets.
    (3) Commercial debtors. (i) Ratio of assets to liabilities;
    (ii) Prospects of future income or losses; or
    (iii) The availability of assets or income which may be realized by 
enforced collection proceedings.
    (b) EPA may compromise a claim, or recommend acceptance of a 
compromise to DOJ, where there is substantial doubt concerning the 
Government's ability to prove its case in court for the full amount of 
the claim, either because of the legal issues involved or a bona fide 
dispute as to the facts. The amount accepted in compromise in such cases 
will fairly reflect the probability of prevailing on the legal issues 
involved, considering fully the availability of witnesses and other 
evidentiary data required to support the Government's claim. In 
determining the litigative risks involved, EPA will give proportionate 
weight to the likely amount of court costs and attorney fees the 
Government may incur if it is unsuccessful in litigation.
    (c) EPA may compromise a claim, or recommend acceptance of a 
compromise to DOJ, if the cost of collection does not justify the 
enforced collection of the full amount of the debt. The amount accepted 
in compromise in such cases may reflect an appropriate discount for the 
administrative and litigative costs of collection, taking into 
consideration the time it will take to effect collection. Costs of 
collection may be a substantial factor in the settlement of small 
claims, but normally will not carry great weight in the settlement of 
large claims. In determining whether the cost of collection justifies 
enforced collection of the full amount, EPA may consider the positive 
effect that enforced collection of the claim may have on the collection 
of other similar claims.
    (d) Statutory penalties, forfeitures or debts established as an aid 
to enforcement and to compel compliance may be compromised where the 
Administrator determines that the Agency's enforcement policy, in terms 
of deterrence and securing compliance (both present and future), will be 
adequately served by accepting the offer.



Sec. 13.26  Payment of compromised claims.

    The Administrator normally will not approve a debtor's request to 
pay a compromised claim in installments. However, where the 
Administrator determines that payment of a compromise by installments is 
necessary to effect collection, a debtor's request to pay in 
installments may be approved. Normally, where installment repayment is 
approved, the debtor will be required to execute a confess-judgment 
agreement which accelerates payment of the balance due upon default.



Sec. 13.27  Joint and several liability.

    When two or more debtors are jointly and severally liable, 
collection action will not be withheld against one debtor until the 
other or others pay their proportionate share. The amount of a 
compromise with one debtor is not precedent in determining compromises 
from other debtors who have been determined to be jointly and severally 
liable on the claim.



Sec. 13.28  Execution of releases.

    Upon receipt of full payment of a claim or the amount compromised, 
EPA will prepare and execute a release on behalf of the United States. 
The release will include a provision which voids the release if it was 
procured by fraud, misrepresentation, a false claim or by mutual mistake 
of fact.



               Subpart E--Suspension of Collection Action



Sec. 13.29  Suspension--general.

    The Administrator may suspend the Agency's collection actions on a 
debt where the outstanding debt principal does not exceed $20,000, the 
Government cannot presently collect or enforce collection of any 
significant sum from the debtor, the prospects of future collection 
justify retention of the debt for periodic review and there is no risk 
of expiration of the statute of limitations during the period of 
suspension. Additionally, the Administrator may

[[Page 178]]

waive the assessment of interest, penalty charges and administrative 
costs during the period of the suspension. Suspension will be for an 
established time period and generally will be reviewed at least every 
six months to ensure the continued propriety of the suspension. DOJ 
approval is required to suspend debts exceeding $20,000. Unless 
otherwise provided by DOJ delegations or procedures, the Administrator 
refers requests for suspension of debts of $20,000 to $100,000 to the 
United States Attorney in whose district the debtor resides. Debts 
exceeding $100,000 are referred to the Commercial Litigation Branch, 
Civil Division, Department of Justice, for approval.



Sec. 13.30  Standards for suspension.

    (a) Inability to locate debtor. The Administrator may suspend 
collection on a debt where he determines that the debtor cannot be 
located presently but that there is a reasonable belief that the debtor 
can be located in the future.
    (b) Financial condition of debtor. The Administrator may suspend 
collection action on a claim when the debtor owns no substantial equity 
in real or personal property and is unable to make payment on the claim 
or effect a compromise but the debtor's future financial prospects 
justify retention of the claim for periodic review, provided that:
    (1) The applicable statute of limitations will not expire during the 
period of the suspension, can be tolled or has started running anew;
    (2) Future collection can be effected by offset, notwithstanding the 
10-year statute of limitations for administrative offsets; or
    (3) The debtor agrees to pay interest on the debt and suspension is 
likely to enhance the debtor's ability to fully pay the principal amount 
of the debt with interest at a later date.
    (c) Request for waiver or administrative review--mandatory. The 
Administrator will suspend collection activity where a statute provides 
for mandatory waiver consideration or administrative review prior to 
agency collection of a debt. The Administrator will suspend EPA's 
collection actions during the period provided for the debtor to request 
review or waiver and during the period of the Agency's evaluation of the 
request.
    (d) Request for waiver or administrative review--permissive. The 
Administrator may suspend collection activities on debts of $20,000 or 
less during the pendency of a permissive waiver or administrative review 
where he determines that:
    (1) There is a reasonable possibility that waiver will be granted 
and the debtor may be found not owing the debt (in whole or in part);
    (2) The Government's interest is protected, if suspension is 
granted, by the reasonable assurance that the debt can be recovered if 
the debtor does not prevail; or
    (3) Collection of the debt will cause undue hardship to the debtor.
    (e) Refund barred by statute or regulation. The Administrator will 
ordinarily suspend collection action during the pendency of his 
consideration of a waiver request or administrative review where statute 
and regulation preclude refund of amounts collected by the Agency should 
the debtor prevail. The Administrator may decline to suspend collection 
where he determines that the request for waiver or administrative review 
is frivolous or was made primarily to delay collection.



                     Subpart F--Termination of Debts



Sec. 13.31  Termination--general.

    The Administrator may terminate collection actions and write-off 
debts, including accrued interest, penalty and administrative costs, 
where the debt principal does not exceed $20,000. If the debt exceeds 
$20,000, EPA obtains the approval of DOJ in order to terminate further 
collection actions. Unless otherwise provided for by DOJ regulations or 
procedures, requests to terminate collection on debts in excess of 
$100,000 are referred to the Commercial Litigation Branch, Civil 
Division, Department of Justice, for approval. Debts in excess of 
$20,000 but $100,000 or less are referred to the United States Attorney 
in whose judicial district the debtor can be found.



Sec. 13.32  Standards for termination.

    A debt may be terminated where the Administrator determines that:

[[Page 179]]

    (a) The Government cannot collect or enforce collection of any 
significant sum from the debtor, having due regard for available 
judicial remedies, the debtor's ability to pay, and the exemptions 
available to the debtor under State and Federal law;
    (b) The debtor cannot be located, there is no security remaining to 
be liquidated, the applicable statute of limitations has expired, and 
the prospects of collecting by offset are too remote to justify 
retention of the claim;
    (c) The cost of further collection action is likely to exceed the 
amount recoverable;
    (d) The claim is determined to be legally without merit; or
    (e) The evidence necessary to prove the claim cannot be produced or 
the necessary witnesses are unavailable and efforts to induce voluntary 
payment have failed.



                          Subpart G--Referrals



Sec. 13.33  Referrals to the Department of Justice.

    (a) Prompt referral. The Administrator refers to DOJ for litigation 
all claims on which aggressive collection actions have been taken but 
which could not be collected, compromised, suspended or terminated. 
Referrals are made as early as possible, consistent with aggressive 
agency collection action, and within the period for bringing a timely 
suit against the debtor.
    (1) Unless otherwise provided by DOJ regulations or procedures, EPA 
refers for litigation debts of more than $100,000 to the Commercial 
Litigation Branch, Civil Division, Department of Justice, Washington, DC 
20530.
    (2) Unless otherwise provided by DOJ regulations or procedures, EPA 
refers for litigation debts of $100,000 or less to the United States 
Attorney in whose judicial district the debtor can be found.
    (b) Claims Collection Litigation Report (CCLR). Unless an exception 
has been granted by DOJ, the CCLR is used for referrals of all 
administratively uncollectible claims to DOJ and is used to refer all 
offers of compromise.



        Supbart H--Referral of Debts to IRS for Tax Refund Offset

    Source: 59 FR 651, Jan. 5, 1994, unless otherwise noted.



Sec. 13.34  Purpose.

    This subpart establishes procedures for the Environmental Protection 
Agency (EPA) to refer past-due debts to the Internal Revenue Service 
(IRS) for offset against the income tax refunds of persons owing debts 
to EPA. It specifies the Agency procedures and the rights of the debtor 
applicable to claims for the payment of debts owed to EPA.



Sec. 13.35  Applicability and scope.

    (a) This subpart implements 31 U.S.C. 3720A, which authorizes the 
IRS to reduce a tax refund by the amount of a past-due legally 
enforceable debt owed to the United States.
    (b) For purposes of this section, a past-due legally enforceable 
debt referable to the IRS is a debt which is owed to the United States 
and:
    (1) Except in the case of a judgment debt, has been delinquent for 
at least three months but has not been delinquent for more than ten 
years at the time the offset is made;
    (2) Cannot be currently collected pursuant to the salary offset 
provisions of 5 U.S.C. 5514(a)(1);
    (3) Is ineligible for administrative offset under 31 U.S.C. 3716(a) 
by reason of 31 U.S.C. 3716(c)(2) or cannot be collected by 
administrative offset under 31 U.S.C. 3716(a) by the Agency against 
amounts payable to or on behalf of the debtor by or on behalf of the 
Agency;
    (4) With respect to which EPA has given the taxpayer at least 60 
days from the date of notification to present evidence that all or part 
of the debt is not past-due or not legally enforceable, has considered 
evidence presented by such taxpayer, if any, and has determined that an 
amount of such debt is past-due and legally enforceable;
    (5) Has been disclosed by EPA to a consumer reporting agency as 
authorized by 31 U.S.C. 3711(f), unless a consumer reporting agency 
would be prohibited from using such information by 15 U.S.C. 1681c, or 
unless the amount of the debt does not exceed $100.00;

[[Page 180]]

    (6) With respect to which EPA has notified or has made a reasonable 
attempt to notify the taxpayer that the debt is past-due and, unless 
repaid within 60 days thereafter, the debt will be referred to the IRS 
for offset against any overpayment of tax;
    (7) Is at least $25.00; and
    (8) All other requirements of 31 U.S.C. 3720A and the Department of 
the Treasury regulations at 26 CFR 301.6402-6 relating to the 
eligibility of a debt for tax return offset have been satisfied.



Sec. 13.36  Administrative charges.

    In accordance with Sec. 13.11, all administrative charges incurred 
in connection with the referral of a debt to the IRS shall be assessed 
on the debt and thus increase the amount of the offset.



Sec. 13.37  Notice requirement before offset.

    A request for reduction of an IRS tax refund will be made only after 
EPA makes a determination that an amount is owed and past-due and 
provides the debtor with 60 days written notice. EPA's notice of 
intention to collect by IRS tax refund offset (Notice of Intent) will 
state:
    (a) The amount of the debt;
    (b) That unless the debt is repaid within 60 days from the date of 
EPA's Notice of Intent, EPA intends to collect the debt by requesting 
the IRS to reduce any amounts payable to the debtor as refunds of 
Federal taxes paid by an amount equal to the amount of the debt and all 
accumulated interest and other charges;
    (c) That the debtor has a right to present evidence that all or part 
of the debt is not past-due or not legally enforceable; and
    (d) A mailing address for forwarding any written correspondence and 
a contact name and phone number for any questions.



Sec. 13.38  Review within the Agency.

    (a) Notification by debtor. A debtor who receives a Notice of Intent 
has the right to present evidence that all or part of the debt is not 
past-due or not legally enforceable. To exercise this right, the debtor 
must:
    (1) Send a written request for a review of the evidence to the 
address provided in the notice;
    (2) State in the request the amount disputed and the reasons why the 
debtor believes that the debt is not past-due or is not legally 
enforceable; and
    (3) Include in the request any documents which the debtor wishes to 
be considered or state that additional information will be submitted 
within the remainder of the 60-day period.
    (b) Submission of evidence. The debtor may submit evidence showing 
that all or part of the debt is not past-due or not legally enforceable 
along with the notification required by paragraph (a) of this section. 
Failure to submit the notification and evidence within 60 days will 
result in an automatic referral of the debt to the IRS without further 
action by EPA.
    (c) Review of the evidence. EPA will consider all available evidence 
related to the debt. Within 30 days, if feasible, EPA will notify the 
debtor whether EPA has sustained, amended, or cancelled its 
determination that the debt is past-due and legally enforceable.



Sec. 13.39  Agency determination.

    (a) Following review of the evidence, EPA will issue a written 
decision.
    (b) If EPA either sustains or amends its determination, it shall 
notify the debtor of its intent to refer the debt to the IRS for offset 
against the debtor's Federal income tax refund. If EPA cancels its 
original determination, the debt will not be referred to IRS.



Sec. 13.40  Stay of offset.

    If the debtor timely notifies the EPA that he or she is exercising 
the right described in Sec. 13.38(a) and timely submits evidence in 
accordance with Sec. 13.38(b), any notice to the IRS will be stayed 
until the issuance of a written decision which sustains or amends its 
original determination.



PART 14--EMPLOYEE PERSONAL PROPERTY CLAIMS--Table of Contents




Sec.
14.1  Scope and purpose.
14.2  Definitions.
14.3  Incident to service.
14.4  Reasonable and proper.

[[Page 181]]

14.5  Who may file a claim.
14.6  Time limits for filing a claim.
14.7  Where to file a claim.
14.8  Investigation of claims.
14.9  Approval and payment of claims.
14.10  Procedures for reconsideration.
14.11  Principal types of allowable claims.
14.12  Principal types of unallowable claims.
14.13  Items fraudulently claimed.
14.14  Computation of award.

    Authority: Military Personnel and Civilian Employees' Claims Act of 
1964, as amended (31 U.S.C. 3721).

    Source: 51 FR 24146, July 2, 1986, unless otherwise noted.



Sec. 14.1  Scope and purpose.

    This part prescribes regulations for the Military Personnel and 
Civilian Employees' Claims Act of 1964 (the Act), 31 U.S.C. 3721. The 
Act allows the Administrator of the U.S. Environmental Protection Agency 
(EPA) to settle and pay claims of EPA employees for damage to or loss of 
their personal property which was incident to service. A claim under the 
Act is allowed only where the claim is substantiated and the 
Administrator determines that possession of the property was reasonable 
or proper under the circumstances existing at the time and place of the 
loss and no part of the loss was caused by any negligent or wrongful act 
or omission of the employee or his/her agent.



Sec. 14.2  Definitions.

    As used in this part:
    (a) EPA Claims Officer is the Agency official delegated the 
responsibility by the Administrator to carry out the provisions of the 
Act.
    (b) Claim means a demand for payment by an employee or his/her 
representative for the value or the repair cost of an item of personal 
property damaged, lost or destroyed as an incident to government 
service.
    (c) Employee means a person appointed to a position with EPA.
    (d) Settle means the act of considering, ascertaining, adjusting, 
determining or otherwise resolving a claim.
    (e) Accrual date means the date of the incident causing the loss or 
damage or the date on which the loss or damage should have been 
discovered by the employee through the exercise of reasonable care.
    (f) Depreciation is the reduction in value of an item caused by the 
elapse of time between the date of acquisition and the date of loss or 
damage.



Sec. 14.3  Incident to service.

    In order for a claim to be allowed under this part, the EPA Claims 
Officer must determine that the item of personal property, at the time 
of damage or loss, was used by the employee as an incident to government 
service. An item is incident to service when possession of the item by 
the employee had substantial relationship to the employee's performance 
of duty. Whether an item is incident to service is determined by the 
facts of each claim. The employee has the burden of showing that the 
item was incident to his/her governmental service.



Sec. 14.4  Reasonable and proper.

    EPA does not insure its employees from every loss or damage to 
personal property they may sustain. In order for a claim to be allowed, 
the item must not only have been incident to service, it must also have 
been reasonable and proper for the employee to possess the item at the 
time and place of its loss or damage. Generally, the possession of an 
item is reasonable and proper when the item is of a type and quantity 
which EPA reasonably expected its employees to possess at the time and 
place of the loss or damage. Consequently, items which are exceptionally 
expensive, excessive quantities of otherwise allowable items, personal 
items which are used in place of items usually provided to employees by 
EPA or items which are primarily of aesthetic value are not considered 
reasonable or proper items and are unallowable.



Sec. 14.5  Who may file a claim.

    A claim may be filed by an employee or by his/her authorized agent 
or legal representative. If a claim is otherwise allowable under this 
part, a claim can be filed by a surviving spouse, child, parent, brother 
or sister of a deceased employee.



Sec. 14.6  Time limits for filing a claim.

    A claim under this part is considered by the EPA Claims Officer only 
if it is

[[Page 182]]

in writing and received within two years after the claim accrues. The 
EPA Claims Officer may consider a claim not filed within this period 
when the claim accrued during a period of armed conflict and the 
requirements of 31 U.S.C. 3721(g) are met.



Sec. 14.7  Where to file a claim.

    An employee or his/her representative may file a claim with his/her 
Administrative Office or the Safety Office for the facility. The 
employee should complete and submit to the Administrative Office or the 
Safety Office a completed EPA Form 3370-1, ``Employee Claim for Loss of 
or Damage to Personal Property.'' That Office then forwards the form and 
any other relevant information to the EPA Claims Officer, Office of 
General Counsel (LE-132G), 401 M Street SW., Washington, DC 20460.



Sec. 14.8  Investigation of claims.

    The EPA Claims Officer investigates claims filed under this part. 
The EPA Claims Officer may request additional documentation from an 
employee (e.g., repair estimates and receipts), interview witnesses, and 
conduct any further investigation he believes is warranted by the facts 
of the claim.



Sec. 14.9  Approval and payment of claims.

    (a) EPA's approval and payment of a claim is limited by the Act to 
$25,000. The EPA Claims Officer considers, adjusts, determines, 
compromises and settles all claims filed under this part. The decision 
of the EPA Claims Officer is final unless reconsideration under 
Sec. 14.10 is granted.
    (b) The EPA Claims Officer will approve and pay claims filed for a 
deceased employee by persons specified in Sec. 14.5 in the following 
order:
    (1) The spouse's claim.
    (2) A child's claim.
    (3) A parent's claim.
    (4) A brother's or sister's claim.



Sec. 14.10  Procedures for reconsideration.

    The EPA Claims Officer, at his discretion, may reconsider a decision 
when the employee establishes that an error was made in the computation 
of the award or that evidence or material facts were unavailable to the 
employee at the time of the filing of the claim and the failure to 
provide the information was not the result of the employee's lack of 
care. An employee seeking reconsideration of a decision must file, 
within 30 days of the date of the decision, a written request with the 
EPA Claims Officer for reconsideration. The request for reconsideration 
must specify, where applicable, the error, the evidence or material 
facts not previously considered by the EPA Claims Officer and the reason 
why the employee believes that the evidence or facts previously were not 
available.



Sec. 14.11  Principal types of allowable claims.

    (a) General. A claim under this part is allowed for tangible 
personal property of a type and quantity that was reasonable and proper 
for the employee to possess under the circumstances at the time of the 
loss or damage. In evaluating whether a claim is allowable, the EPA 
Claims Officer may consider such factors as: The employee's use of the 
item; whether EPA generally is aware that such items are used by its 
employees; or whether the loss was caused by a failure of EPA to provide 
adequate protection against the loss.
    (b) Examples of claims which are allowable. Claims which are 
ordinarily allowed include loss or damage which occurred:
    (1) In a place officially designated for storage of property such as 
a warehouse, office, garage, or other storage place;
    (2) In a marine, rail, aircraft, or other common disaster or natural 
disaster such as a fire, flood, or hurricane;
    (3) When the personal property was subjected to an extraordinary 
risk in the employee's performance of duty, such as in connection with 
an emergency situation, a civil disturbance, common or natural disaster, 
or during efforts to save government property or human life;
    (4) When the property was used for the benefit of the government at 
the specific direction of a supervisor;
    (5) When the property was money or other valuables deposited with an 
authorized government agent for safekeeping; and

[[Page 183]]

    (6) When the property was a vehicle which was subjected to an 
extraordinary risk in the employee's performance of duty and the use of 
the vehicle was at the specific direction of the employee's supervisor.
    (c) Claims for articles of clothing. Claims for loss or damage to 
clothing and accessories worn by an employee may be allowed where:
    (1) The damage or loss occurred during the employee's performance of 
official duty in an unusual or extraordinary risk situation;
    (2) The loss or damage occurred during the employee's response to an 
emergency situation, to a natural disaster such as fire, flood, 
hurricane, or to a man-made disaster such as a chemical spill;
    (3) The loss or damage was caused by faulty or defective equipment 
or furniture maintained by EPA; or
    (4) The item was stolen even though the employee took reasonable 
precautions to protect the item from theft.
    (d) Claims for loss or damage to household items. (1) Claims for 
damages to household goods may be allowed where:
    (i) The loss or damages occurred while the goods were being shipped 
pursuant to an EPA authorized change in duty station;
    (ii) The employee filed a claim for the damages with the appropriate 
carrier; and
    (iii) The employee substantiates that he/she has suffered a loss in 
excess of the amount paid by the carrier.
    (2) Where a carrier has refused to make an award to an employee 
because of his/her failure to comply with the carrier's claims 
procedures, any award by EPA will be reduced by the maximum amount 
payable for the item by the carrier under its contract of shipment. 
Where an employee fails to notify the carrier of damages or loss, either 
at the time of delivery of the household goods or within a reasonable 
time after discovery, any award by EPA will be reduced by the amount of 
the carrier's maximum contractual liability for the damage or loss. The 
employee has the burden of proving his/her entitlement to reimbursement 
from EPA for amounts in excess of that allowed by the carrier.



Sec. 14.12  Principal types of unallowable claims.

    Claims that ordinarily will not be allowed include:
    (a) Loss or damage totaling less than $25;
    (b) Money or currency, except when deposited with an authorized 
government agency for safekeeping;
    (c) Loss or damage to an item of extraordinary value or to an 
antique where the item was shipped with household goods, unless the 
employee filed a valid appraisal or authentication with the carrier 
prior to shipment of the item;
    (d) Loss of bankbooks, checks, notes, stock certifications, money 
orders, or travelers checks;
    (e) Property owned by the United States unless the employee is 
financially responsible for it to another government agency;
    (f) Claims for loss or damage to a bicycle or a private motor 
vehicle, unless allowable under Sec. 14.11(b)(6);
    (g) Losses of insurers or subrogees;
    (h) Losses recoverable from insurers or carriers;
    (i) Losses recovered or recoverable pursuant to contract;
    (j) Claims for damage or loss caused, in whole or in part, by the 
negligent or wrongful acts of the employee or his/her agent;
    (k) Property used for personal business or profit;
    (l) Theft from the possession of the employee unless the employee 
took reasonable precautions to protect the item from theft;
    (m) Property acquired, possessed or transported in violation of law 
or regulations;
    (n) Unserviceable property; or
    (o) Damage or loss to an item during shipment of household goods 
where the damage or loss was caused by the employee's negligence in 
packing the item.



Sec. 14.13  Items fraudulently claimed.

    Where the EPA Claims Officer determines that an employee has 
intentionally misrepresented the cost, condition, cost of repair or a 
material fact concerning a claim, he/she may, at his discretion, deny 
the entire amount claimed for the item. Further, where

[[Page 184]]

the EPA Claims Officer determines that the employee intentionally has 
materially misrepresented the costs, conditions or nature of repairs of 
the claim, he will refer it to appropriate officials (e.g., Inspector 
General, the employee's supervisor, etc.) for action.



Sec. 14.14  Computation of award.

    (a) The amount awarded on any item may not exceed its adjusted cost. 
Adjusted cost is either the purchase price of the item or its value at 
the time of acquisition, less appropriate depreciation. The amount 
normally payable for property damaged beyond economical repair is its 
depreciated value immediately before the loss or damage, less any 
salvage value. If the cost of repair is less than the depreciated value, 
it will be considered to be economically repairable and only the cost of 
repair will be allowable.
    (b) Notwithstanding a contract to the contrary, the representative 
of an employee is limited by 31 U.S.C. 3721(i) to receipt of not more 
than 10 percent of the amount of an award under this part for services 
related to the claim. A person violating this paragraph is subject to a 
fine of not more than $1,000. 31 U.S.C. 3721(i).



PART 16--IMPLEMENTATION OF PRIVACY ACT OF 1974--Table of Contents




Sec.
16.1  Purpose and scope.
16.2  Definitions.
16.3  Procedures for requests pertaining to individual records in a 
          record system.
16.4  Times, places, and requirements for identification of individuals 
          making requests.
16.5  Disclosure of requested information to individuals.
16.6  Special procedures: Medical records.
16.7  Request for correction or amendment of record.
16.8  Initial determination on request for correction or amendment of 
          record.
16.9  Appeal of initial adverse agency determination on request for 
          correction or amendment.
16.10  Disclosure of record to person other than the individual to whom 
          it pertains.
16.11  Fees.
16.12  Penalties.
16.13  General exemptions.
16.14  Specific exemptions.

    Authority: 5 U.S.C. 552a.

    Source: 40 FR 53582, Nov. 19, 1975, unless otherwise noted.



Sec. 16.1  Purpose and scope.

    (a) This part sets forth the Environmental Protection Agency 
procedures under the Privacy Act of 1974 as required by 5 U.S.C. 
552a(f).
    (b) These procedures describe how an individual may request 
notification of whether EPA maintains a record pertaining to him or her 
in any of its systems of records, request access to the record or to an 
accounting of its disclosure, request that the record be amended or 
corrected, and appeal an initial adverse determination concerning any 
such request.
    (c) These procedures apply only to requests by individuals and only 
to records maintained by EPA, excluding those systems specifically 
exempt under Secs. 16.13 and 16.14 and those determined as government-
wide and published by the Civil Service Commission in 5 CFR parts 293 
and 297.



Sec. 16.2  Definitions.

    As used in this part:
    (a) The terms individual, maintain, record, system of records, and 
routine use shall have the meaning given them by 5 U.S.C. 552a (a)(2), 
(a)(3), (a)(4), (a)(5) and (a)(7), respectively.
    (b) EPA means the Environmental Protection Agency.
    (c) Working days means calendar days excluding Saturdays, Sundays, 
and legal public holidays.



Sec. 16.3  Procedures for requests pertaining to individual records in a record system.

    Any individual who wishes to have EPA inform him or her whether a 
system of records maintained by EPA contains any record pertaining to 
him or her which is retrieved by name or personal identifier, or who 
wishes to request access to any such record, shall submit a written 
request in accordance with the instructions set forth in EPA's annual 
notice of systems for that system of records. This request shall 
include:
    (a) The name of the individual making the request;

[[Page 185]]

    (b) The name of the system of records (as set forth in the EPA 
notice of systems) to which the request relates;
    (c) Any other information which the system notice indicates should 
be included; and
    (d) If the request is for access, a statement as to whether a 
personal inspection or a copy by mail is desired.



Sec. 16.4  Times, places, and requirements for identification of individuals making requests.

    (a) If an individual submitting a request for access under Sec. 16.3 
has asked that EPA authorize a personal inspection of records, and EPA 
has granted the request, he or she may present himself or herself at the 
time and place specified in EPA's response or arrange another time with 
the appropriate agency official.
    (b) Prior to inspection of records, an individual shall present 
sufficient identification (e.g., driver's license, employee 
identification card, social security card, credit card) to establish 
that he or she is the individual to whom the records pertain. An 
individual who is unable to provide such identification shall complete 
and sign, in the presence of an agency official, a statement declaring 
his or her identity and stipulating that he or she understands it is a 
misdemeanor punishable by fine up to $5,000 to knowingly and willfully 
seek or obtain access to records about another individual under false 
pretenses.
    (c) If an individual, having requested personal inspection of his or 
her records, wishes to have another person accompany him or her during 
inspection, he or she shall submit a written statement authorizing 
disclosure in the presence of the other person(s).
    (d) An individual who has made a personal inspection of records may 
then request copies of those records. Such requests may be granted, but 
fees may be charged in accordance with Sec. 16.11.
    (e) If an individual submitting a request under Sec. 16.3 wishes to 
have copies furnished by mail, he or she must include with the request 
sufficient data to allow EPA to verify his or her identity. Should 
sensitivity of the records warrant it, EPA may require a requester to 
submit a signed and notarized statement indicating that he or she is the 
individual to whom the records pertain and that he or she understands it 
is a misdemeanor punishable by fine up to $5,000 to knowingly and 
willfully seek or obtain access to records about another individual 
under false pretenses. Such mail requests may be granted, but fees may 
be charged in accordance with Sec. 16.11.
    (f) No verification of identity will be required where the records 
sought are publicly available under the Freedom of Information Act, as 
EPA procedures under 40 CFR part 2 will then apply.



Sec. 16.5  Disclosure of requested information to individuals.

    (a) Each request received will be acted upon promptly.
    (b) Within 10 working days of receipt of a request, the system 
manager shall acknowledge the request. Whenever practicable, the 
acknowledgment will indicate whether or not access will be granted and, 
if so, when and where. When access is to be granted, it shall be 
provided within 30 working days of first receipt. If the agency is 
unable to meet this deadline, the records system manager shall so inform 
the requester stating reasons for the delay and an estimate of when 
access will be granted.
    (c) If a request pursuant to Sec. 16.3 for access to a record is in 
a system of records which is exempted, the records system manager will 
determine whether the information will nonetheless be made available. If 
the determination is to deny access, the reason for denial and the 
appeal procedure will be given to the requester.
    (d) Any person whose request is initially denied may appeal that 
denial to the Privacy Act Officer, who shall make an appeal 
determination within 10 working days.
    (e) If the appeal under paragraph (d) of this section is denied, the 
requester may bring a civil action under 5 U.S.C. 552a(g) to seek review 
of the denial.



Sec. 16.6  Special procedures: Medical records.

    Should EPA receive a request for access to medical records 
(including psychological records) disclosure of which the system manager 
determines would be harmful to the individual to whom

[[Page 186]]

they relate, EPA may refuse to disclose the records directly to the 
individual and instead offer to transmit them to a physician designated 
by the individual.



Sec. 16.7  Request for correction or amendment of record.

    (a) An individual may request correction or amendment of any record 
pertaining to him or her in a system of records maintained by EPA by 
submitting to the system manager, in writing, the following:
    (1) The name of the individual making the request;
    (2) The name of the system, as described in the notice of systems;
    (3) A description of the nature and substance of the correction or 
amendment request; and
    (4) Any additional information specified in the system notice.
    (b) Any person submitting a request under this section shall include 
sufficient information in support of that request to allow EPA to apply 
the standards set forth in 5 U.S.C. 552a (e)(1) and (e)(5).
    (c) Any person whose request is denied may appeal that denial to the 
Privacy Act Officer.
    (d) In the event that appeal is denied, the requester may bring a 
civil action to seek review of the denial, under 5 U.S.C. 552a(g).



Sec. 16.8  Initial determination on request for correction or amendment of record.

    (a) Within 10 working days of receipt of a request for amendment or 
correction, the system manager shall acknowledge the request, and 
promptly either:
    (1) Make any correction, deletion, or addition which the requester 
believes should be made; or
    (2) Inform the requester of his or her refusal to correct or amend 
the record, the reason for refusal, and the procedures for appeal.
    (b) If the system manager is unable to comply with the preceding 
paragraphs within 30 working days of his or her receipt of a request, he 
or she will inform the requester of that fact, the reasons, and an 
estimate of when a determination will be reached.
    (c) In conducting the review of the request, the system manager will 
be guided by the requirements of 5 U.S.C. 552a (e)(1) and (e)(5).
    (d) If the system manager determines to grant all or any portion of 
the request, he or she will:
    (1) Advise the individual of that determination;
    (2) Make the correction or amendment; and
    (3) So inform any person or agency outside EPA to whom the record 
has been disclosed, and, where an accounting of that disclosure is 
maintained in accordance with 5 U.S.C. 552a(c), note the occurrence and 
substance of the correction or amendment in the accounting.
    (e) If the system manager determines not to grant all or any portion 
of a request for correction or amendment, he or she will:
    (1) Comply with paragraph (d)(3) of this section (if necessary);
    (2) Advise the individual of the determination and its basis;
    (3) Inform the individual that an appeal may be made; and
    (4) Describe the procedures for making the appeal.
    (f) If EPA receives from another Federal agency a notice of 
correction or amendment of information furnished by that agency and 
contained in one of EPA's systems of records, the system manager shall 
advise the individual and make the correction as if EPA had originally 
made the correction or amendment.



Sec. 16.9  Appeal of initial adverse agency determination on request for correction or amendment.

    (a) Any individual whose request for correction or amendment is 
initially denied by EPA and who wishes to appeal may do so by letter to 
the Privacy Act Officer. The appeal shall contain a description of the 
initial request sufficient to identify it.
    (b) The Privacy Act Officer shall make a final determination not 
later than 30 working days from the date on which the individual 
requests the review, unless, for good cause shown, the Privacy Act 
Officer extends the 30-day period and notifies the requester. Such

[[Page 187]]

extension will be utilized only in exceptional circumstances.
    (c) In conducting the review of an appeal, the Privacy Act Officer 
will be guided by the requirements of 5 U.S.C. 552a (e)(1) and (e)(5).
    (d) If the Privacy Act Officer determines to grant all or any 
portion of an appeal he or she shall so inform the requester and EPA 
shall make the correction or amendment and comply with Sec. 16.8(d)(3).
    (e) If the Privacy Act Officer determines not to grant all or any 
portion of an appeal he or she shall inform the requester:
    (1) Of the determination and its basis;
    (2) Of the requester's right to file a concise statement of reasons 
for disagreeing with EPA's decision;
    (3) Of the procedures for filing such statement of disagreement;
    (4) That such statements of disagreements will be made available in 
subsequent disclosures of the record, together with an agency statement 
(if deemed appropriate) summarizing its refusal;
    (5) That prior recipients of the disputed record will be provided 
with statements as in paragraph (e)(4) of this section, to the extent 
that an accounting of disclosures is maintained under 5 U.S.C. 552a(c); 
and
    (6) Of the requester's right to seek judicial review under 5 U.S.C. 
552a(g).



Sec. 16.10  Disclosure of record to person other than the individual to whom it pertains.

    EPA shall not disclose any record which is contained in a system of 
records it maintains except pursuant to a written request by, or with 
the written consent of, the individual to whom the record pertains, 
unless the disclosure is authorized by one or more of the provisions of 
5 U.S.C. 552a(b).



Sec. 16.11  Fees.

    No fees shall be charged for providing the first copy of a record or 
any portion to an individual to whom the record pertains. The fee 
schedule for reproducing other records is the same as that set forth in 
40 CFR 2.120.



Sec. 16.12  Penalties.

    The Act provides, in pertinent part:
    ``Any person who knowingly and willfully requests or obtains any 
record concerning an individual from an agency under false pretenses 
shall be guilty of a misdemeanor and fined not more than $5,000.'' (5 
U.S.C. 552a(i)(3).)



Sec. 16.13  General exemptions.

    (a) Systems of records affected.

para. EPA-4 OIG Criminal Investigative Index and Files--EPA/OIG.
para. EPA-17 NEIC Criminal Investigative Index and Files--EPA/NEIC/OCI.

    (b) Authority. Under 5 U.S.C. 552a(j)(2), the head of any agency may 
by rule exempt any system of records within the agency from certain 
provisions of the Privacy Act of 1974, if the system of records is 
maintained by an agency or component thereof which performs as its 
principal function any activity pertaining to the enforcement of 
criminal laws and which consists of:
    (1) Information compiled for the purpose of identifying individual 
criminal offenders and alleged offenders and consisting only of 
identifying data and notations of arrests, the nature and disposition of 
criminal charges, sentencing, confinement, release, and parole and 
probation status;
    (2) Information compiled for the purpose of a criminal 
investigation, including reports of informants and investigators, and 
associated with an identifiable individual; or
    (3) Reports identifiable to an individual compiled at any stage of 
the process of enforcement of the criminal laws from arrest or 
indictment through release from supervision.
    (c) Scope of exemption. (1) The EPA-4 system of records identified 
in Sec. 16.13(a) is maintained by the Office of Investigations of the 
Office of Inspector General (OIG), a component of EPA which performs as 
its principal function activities pertaining to the enforcement of 
criminal laws. Authority for the criminal law enforcement activities of 
the OIG's Office of Investigations is the Inspector General Act of 1978, 
5 U.S.C. app.
    (2) The EPA-17 system of records identified in Sec. 16.13(a) is 
maintained by the Office of Criminal Investigations

[[Page 188]]

(OCI) of the National Enforcement Investigations Center (NEIC), a 
component of EPA which performs as its principal function activities 
pertaining to the enforcement of criminal laws. Authority for the 
criminal law enforcement activities of the NEIC's Office of Criminal 
Investigations is 28 U.S.C. 533, with appointment letter from Benjamin 
Civiletti, Attorney General, to Douglas Costle, Administrator, EPA, 
dated January 16, 1981.
    (3) The systems of records identified in Sec. 16.13(a) are exempted 
from the following provisions of the Privacy Act of 1974: 5 U.S.C. 552a 
(c)(3) and (4); (d); (e)(1), (2), (3), (4)(G), (H), and (I), (5), and 
(8); (f); and (g).
    (4) To the extent that the exemption claimed under 5 U.S.C. 
552a(j)(2) is held to be invalid for the systems of records identified 
in Sec. 16.13(a), then an exemption under 5 U.S.C. 552a(k)(2) is claimed 
for these systems of records.
    (d) Reasons for exemption. The systems of records identified in 
Sec. 16.13(a) are exempted from the above provisions of the Privacy Act 
of 1974 for the following reasons:
    (1) 5 U.S.C. 552a(c)(3) requires an agency to make the accounting of 
each disclosure of records available to the individual named in the 
record at his request. These accountings must state the date, nature, 
and purpose of each disclosure of a record and the name and address of 
the recipient. Accounting for each disclosure would alert the subjects 
of an investigation to the existence of the investigation and the fact 
that they are subjects of the investigation. The release of such 
information to the subjects of an investigation would provide them with 
significant information concerning the nature of the investigation, and 
could seriously impede or compromise the investigation, endanger the 
physical safety of confidential sources, witnesses, law enforcement 
personnel and their families, and lead to the improper influencing of 
witnesses, the destruction of evidence, or the fabrication of testimony.
    (2) 5 U.S.C. 552a(c)(4) requires an agency to inform any person or 
other agency about any correction or notation of dispute made by the 
agency in accordance with subsection (d) of the Act. Since EPA is 
claiming that these systems of records are exempt from subsection (d) of 
the Act, concerning access to records, this section is inapplicable and 
is exempted to the extent that these systems of records are exempted 
from subsection (d) of the Act.
    (3) 5 U.S.C. 552a(d) requires an agency to permit an individual to 
gain access to records pertaining to him, to request amendment to such 
records, to request a review of an agency decision not to amend such 
records, and to contest the information contained in such records. 
Granting access to records in these systems of records could inform the 
subject of an investigation of an actual or potential criminal violation 
of the existence of that investigation, of the nature and scope of the 
information and evidence obtained as to his activities, of the identity 
of confidential sources, witnesses, and law enforcement personnel, and 
could provide information to enable the subject to avoid detection or 
apprehension. Granting access to such information could seriously impede 
or compromise an investigation, endanger the physical safety of 
confidential sources, witnesses, law enforcement personnel and their 
families, lead to the improper influencing of witnesses, the destruction 
of evidence, or the fabrication of testimony, and disclose investigative 
techniques and procedures. In addition, granting access to such 
information could disclose classified, security-sensitive, or 
confidential business information and could constitute an unwarranted 
invasion of the personal privacy of others.
    (4) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its 
records only such information about an individual as is relevant and 
necessary to accomplish a purpose of the agency required by statute or 
by executive order of the President. The application of this provision 
could impair investigations and law enforcement, because it is not 
always possible to detect the relevance or necessity of specific 
information in the early stages of an investigation. Relevance and 
necessity are often questions of judgment and timing, and it is only 
after the information is evaluated that the relevance and necessity of 
such information can be established. In

[[Page 189]]

addition, during the course of the investigation, the investigator may 
obtain information which is incidental to the main purpose of the 
investigation but which may relate to matters under the investigative 
jurisdiction of another agency. Such information cannot readily be 
segregated. Furthermore, during the course of the investigation, the 
investigator may obtain information concerning the violation of laws 
other than those which are within the scope of his jurisdiction. In the 
interest of effective law enforcement, the EPA investigators should 
retain this information, since it can aid in establishing patterns of 
criminal activity and can provide valuable leads for other law 
enforcement agencies.
    (5) 5 U.S.C. 552a(e)(2) requires an agency to collect information to 
the greatest extent practicable directly from the subject individual 
when the information may result in adverse determinations about an 
individual's rights, benefits, and privileges under Federal programs. 
The application of this provision could impair investigations and law 
enforcement by alerting the subject of an investigation of the existence 
of the investigation, enabling the subject to avoid detection or 
apprehension, to influence witnesses improperly, to destroy evidence, or 
to fabricate testimony. Moreover, in certain circumstances the subject 
of an investigation cannot be required to provide information to 
investigators, and information must be collected from other sources. 
Furthermore, it is often necessary to collect information from sources 
other than the subject of the investigation to verify the accuracy of 
the evidence collected.
    (6) 5 U.S.C. 552a(e)(3) requires an agency to inform each person 
whom it asks to supply information, on a form that can be retained by 
the person, of the authority under which the information is sought and 
whether disclosure is mandatory or voluntary; of the principal purposes 
for which the information is intended to be used; of the routine uses 
which may be made of the information; and of the effects on the person, 
if any, of not providing all or any part of the requested information. 
The application of this provision could provide the subject of an 
investigation with substantial information about the nature of that 
investigation, which could interfere with the investigation. Moreover, 
providing such a notice to the subject of an investigation could 
seriously impede or compromise on undercover investigation by revealing 
its existence and could endanger the physical safety of confidential 
sources, witnesses, and investigators by revealing their identities.
    (7) 5 U.S.C. 552a(e)(4)(G) and (H) require an agency to publish a 
Federal Register notice concerning its procedures for notifying an 
individual at his request if the system of records contains a record 
pertaining to him, how he can gain access to such a record, and how he 
can contest its content. Since EPA is claiming that these systems of 
records are exempt from subsection (f) of the Act, concerning agency 
rules, and subsection (d) of the Act, concerning access to records, 
these requirements are inapplicable and are exempted to the extent that 
these systems of records are exempted from subsections (f) and (d) of 
the Act. Although EPA is claiming exemption from these requirements, EPA 
has published such a notice concerning its notification, access, and 
contest procedures because, under certain circumstances, EPA might 
decide it is appropriate for an individual to have access to all or a 
portion of his records in these systems of records.
    (8) 5 U.S.C. 552a(e)(4)(I) requires an agency to publish a Federal 
Register notice concerning the categories of sources of records in the 
system of records. Exemption from this provision is necessary to protect 
the confidentiality of the sources of information, to protect the 
privacy and physical safety of confidential sources and witnesses, and 
to avoid the disclosure of investigative techniques and procedures. 
Although EPA is claiming exemption from this requirement, EPA has 
published such a notice in broad generic terms in the belief that this 
is all subsection (e)(4)(I) of the Act requires.
    (9) 5 U.S.C. 552a(e)(5) requires an agency to maintain its records 
with such accuracy, relevance, timeliness, and completeness as is 
reasonably necessary to assure fairness to the individual in making any 
determination

[[Page 190]]

about the individual. Since the Act defines maintain to include the 
collection of information, complying with this provision would prevent 
the collection of any data not shown to be accurate, relevant, timely, 
and complete at the moment it is collected. In collecting information 
for criminal law enforcement purposes, it is not possible to determine 
in advance what information is accurate, relevant, timely, and complete. 
Facts are first gathered and then placed into a logical order to prove 
or disprove objectively the criminal behavior of an individual. Material 
which may seem unrelated, irrelevant, or incomplete when collected may 
take on added meaning or significance as the investigation progresses. 
The restrictions of this provision could interfere with the preparation 
of a complete investigative report, thereby impeding effective law 
enforcement.
    (10) 5 U.S.C. 552a(e)(8) requires an agency to make reasonable 
efforts to serve notice on an individual when any record on such 
individual is made available to any person under compulsory legal 
process when such process becomes a matter of public record. Complying 
with this provision could prematurely reveal an ongoing criminal 
investigation to the subject of the investigation.
    (11) 5 U.S.C. 552a(f)(1) requires an agency to promulgate rules 
which shall establish procedures whereby on an individual can be 
notified in response to his request if any system of records named by 
the individual contains a record pertaining to him. The application of 
this provision could impede or compromise an investigation or 
prosecution if the subject of an investigation was able to use such 
rules to learn of the existence of an investigation before it could be 
completed. In addition, mere notice of the fact of an investigation 
could inform the subject or others that their activities are under or 
may become the subject of an investigation and could enable the subjects 
to avoid detection or apprehension, to influence witnesses improperly, 
to destroy evidence, or to fabricate testimony. Since EPA is claiming 
that these systems of records are exempt from subsection (d) of the Act, 
concerning access to records, the requirements of subsections (f)(2) 
through (5) of the Act, concerning agency rules for obtaining access to 
such records, are inapplicable and are exempted to the extent that these 
systems of records are exempted from subsection (d) of the Act. Although 
EPA is claiming exemption from the requirements of subsection (f) of the 
Act, EPA has promulgated rules which establish Agency procedures 
because, under certain circumstances, it might be appropriate for an 
individual to have access to all or a portion of his records in these 
systems of records. These procedures are described elsewhere in this 
part.
    (12) 5 U.S.C. 552a(g) provides for civil remedies if an agency fails 
to comply with the requirements concerning access to records under 
subsections (d)(1) and (3) of the Act; maintenance of records under 
subsection (e)(5) of the Act; and any other provision of the Act, or any 
rule promulgated thereunder, in such a way as to have an adverse effect 
on an individual. Since EPA is claiming that these systems of records 
are exempt from subsections (c)(3) and (4), (d), (e)(1), (2), (3), 
(4)(G), (H), and (I), (5), and (8), and (f) of the Act, the provisions 
of subsection (g) of the Act are inapplicable and are exempted to the 
extent that these systems of records are exempted from those subsections 
of the Act.
    (e) Exempt records provided by another agency. Individuals may not 
have access to records maintained by the EPA if such records were 
provided by another agency which has determined by regulation that such 
records are subject to general exemption under 5 U.S.C. 552a(j). If an 
individual requests access to such exempt records, EPA will consult with 
the source agency.
    (f) Exempt records included in a nonexempt system of records. All 
records obtained from a system of records which has been determined by 
regulation to be subject to general exemption under 5 U.S.C. 552a(j) 
retain their exempt status even if such records are also included in a 
system of records for which a general exemption has not been claimed.

[51 FR 24146, July 2, 1986]

[[Page 191]]



Sec. 16.14  Specific exemptions.

    (a) Exemptions under 5 U.S.C. 552a(k)(2)--(1) Systems of records 
affected.

para. EPA-2 General Personnel Records--EPA.
para. EPA-4 OIG Criminal Investigative Index and Files--EPA/OIG.
para. EPA-5 OIG Personnel Security Files--EPA/OIG.
para. EPA-17 NEIC Criminal Investigative Index and Files-- EPA/NEIC/OCI.
para. EPA-30 OIG Hotline Allegation System--EPA/OIG.

    (2) Authority. Under 5 U.S.C. 552a(k)(2), the head of any agency may 
by rule exempt any system of records within the agency from certain 
provisions of the Privacy Act of 1974, if the system of records is 
investigatory material compiled for law enforcement purposes, other than 
material within the scope of subsection (j)(2).
    (3) Scope of exemption. (i) The systems of records identified in 
Sec. 16.14(a)(1) are exempted from the following provisions of the 
Privacy Act of 1974, subject to the limitations set forth in 5 U.S.C. 
552a(k)(2): 5 U.S.C. 552a (c)(3); (d); (e)(1), (4)(G), (H), and (I); and 
(f).
    (ii) An individual is ``denied any right, privilege, or benefit that 
he would otherwise be entitled by Federal law, or for which he would 
otherwise be eligible, as a result of the maintenance of such 
material,'' only if the Agency actually uses the material in denying or 
proposing to deny such right, privilege, or benefit.
    (iii) To the extent that records contained in the systems of records 
identified in Sec. 16.14(a)(1) are maintained by the Office of 
Investigations of the OIG or by the Office of Criminal Investigations of 
the NEIC, components of EPA which perform as their principal function 
activities pertaining to the enforcement of criminal laws, then an 
exemption under 5 U.S.C. 552a(j)(2) is claimed for these records.
    (4) Reasons for exemption. The systems of records identified in 
Sec. 16.14(a)(1) are exempted from the above provisions of the Privacy 
Act of 1974 for the following reasons:
    (i) 5 U.S.C. 552a(c)(3) requires an agency to make the accounting of 
each disclosure of records available to the individual named in the 
record at his request. These accountings must state the date, nature, 
and purpose of each disclosure of a record and the name and address of 
the recipient. Accounting for each disclosure would alert the subjects 
of an investigation to the existence of the investigation and the fact 
that they are subjects of the investigation. The release of such 
information to the subjects of an investigation would provide them with 
significant information concerning the nature of the investigation, and 
could seriously impede or compromise the investigation, endanger the 
physical safety of confidential sources, witnesses, law enforcement 
personnel and their families, and lead to the improper influencing of 
witnesses, the destruction of evidence, or the fabrication of testimony.
    (ii) 5 U.S.C. 552a(d) requires an agency to permit an individual to 
gain access to records pertaining to him, to request amendment to such 
records, to request a review of an agency decision not to amend such 
records, and to contest the information contained in such records. 
Granting access to records in these systems of records could inform the 
subject of an investigation of an actual or potential criminal violation 
of the existence of that investigation, of the nature and scope of the 
information and evidence obtained as to his activities, of the identity 
of confidential sources, witnesses, and law enforcement personnel, and 
could provide information to enable the subject to avoid detection or 
apprehension. Granting access to such information could seriously impede 
or compromise an investigation, endanger the physical safety of 
confidential sources, witnesses, law enforcement personnel and their 
families, lead to the improper influencing of witnesses, the destruction 
of evidence, or the fabrication of testimony, and disclose investigative 
techniques and procedures. In addition, granting access to such 
information could disclose classified, security-sensitive, or 
confidential business information and could constitute an unwarranted 
invasion of the personal privacy of others.
    (iii) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its 
records only such information about an individual as is relevant and 
necessary to accomplish a purpose of the agency required

[[Page 192]]

by statute or by executive order of the President. The application of 
this provision could impair investigations and law enforcement, because 
it is not always possible to detect the relevance or necessity of 
specific information in the early stages of an investigation. Relevance 
and necessity are often questions of judgment and timing, and it is only 
after the information is evaluated that the relevance and necessity of 
such information can be established. In addition, during the course of 
the investigation, the investigator may obtain information which is 
incidental to the main purpose of the investigation but which may relate 
to matters under the investigative jurisdiction of another agency. Such 
information cannot readily be segregated. Furthermore, during the course 
of the investigation, the investigator may obtain information concerning 
the violation of laws other than those which are within the scope of his 
jurisdiction. In the interest of effective law enforcement, EPA 
investigators should retain this information, since it can aid in 
establishing patterns of criminal activity and can provide valuable 
leads for other law enforcement agencies.
    (iv) 5 U.S.C. 552a(e)(4)(G) and (H) require an agency to publish a 
Federal Register notice concerning its procedures for notifying an 
individual at his request if the system of records contains a record 
pertaining to him, how he can gain access to such a record, and how he 
can contest its content. Since EPA is claiming that these systems of 
records are exempt from subsection (f) of the Act, concerning agency 
rules, and subsection (d) of the Act, concerning access to records, 
these requirements are inapplicable and are exempted to the extent that 
these systems of records are exempted from subsections (f) and (d) of 
the Act. Although EPA is claiming exemption from these requirements, EPA 
has published such a notice concerning its notification, access, and 
contest procedures because, under certain circumstances, EPA might 
decide it is appropriate for an individual to have access to all or a 
portion of his records in these systems of records.
    (v) 5 U.S.C. 552a(e)(4)(I) requires an agency to publish a Federal 
Register notice concerning the categories of sources of records in the 
system of records. Exemption from this provision is necessary to protect 
the confidentiality of the sources of information, to protect the 
privacy and physical safety of confidential sources and witnesses, and 
to avoid the disclosure of investigative techniques and procedures. 
Although EPA is claiming exemption from this requirement, EPA has 
published such a notice in broad generic terms in the belief that this 
is all subsection (e)(4)(I) of the Act requires.
    (vi) 5 U.S.C. 552a(f)(1) requires an agency to promulgate rules 
which shall establish procedures whereby an individual can be notified 
in response to his request if any system of records named by the 
individual contains a record pertaining to him. The application of this 
provision could impede or compromise an investigation or prosecution if 
the subject of an investigation was able to use such rules to learn of 
the existence of an investigation before it could be completed. In 
addition, mere notice of the fact of an investigation could inform the 
subject or others that their activities are under or may become the 
subject of an investigation and could enable the subjects to avoid 
detection or apprehension, to influence witnesses improperly, to destroy 
evidence, or to fabricate testimony. Since EPA is claiming that these 
systems of records are exempt from subsection (d) of the Act, concerning 
access to records, the requirements of subsections (f)(2) through (5) of 
the Act, concerning agency rules for obtaining access to such records, 
are inapplicable and are exempted to the extent that these systems of 
records are exempted from subsection (d) of the Act. Although EPA is 
claiming exemption from the requirements of subsection (f), EPA has 
promulgated rules which establish Agency procedures because, under 
certain circumstances, it might be appropriate for an individual to have 
access to all or a portion of his records in these systems of records. 
These procedures are described elsewhere in this part.
    (b) Exemption under 5 U.S.C. 552a(k)(5)--(1) Systems of records 
affected.

para. EPA-2 General Personnel Records--EPA.

[[Page 193]]

para. EPA-4 OIG Criminal Investigative Index and Files--EPA/OIG.
para. EPA-5 OIG Personnel Security Files--EPA/OIG.

    (2) Authority. Under 5 U.S.C. 552a(k)(5), the head of any agency may 
by rule exempt any system of records within the agency from certain 
provisions of the Privacy Act of 1974, if the system of records is 
investigatory material compiled solely for the purpose of determining 
suitability, eligibility, or qualifications for Federal civilian 
employment, Federal contracts, or access to classified information, but 
only to the extent that the disclosure of such material would reveal the 
identity of a source who furnished information to the Government under 
an express promise that the identity of the source would be held in 
confidence, or, prior to September 27, 1975, under an implied promise 
that the identity would be held in confidence.
    (3) Scope of exemption. (i) The systems of records identified in 
Sec. 16.14(b)(1) are exempted from the following provisions of the 
Privacy Act of 1974, subject to the limitations of 5 U.S.C. 552a(k)(5): 
5 U.S.C. 552a (c)(3); (d); (e)(1), (4)(H) and (I); and (f)(2) through 
(5).
    (ii) To the extent that records contained in the systems of records 
identified in Sec. 16.14(b)(1) reveal a violation or potential violation 
of law, then an exemption under 5 U.S.C. 552a(k)(2) is also claimed for 
these records.
    (4) Reasons for exemption. The systems of records identified in 
Sec. 16.14(b)(1) are exempted from the above provisions of the Privacy 
Act of 1974 for the following reasons:
    (i) 5 U.S.C. 552a(c)(3) requires an agency to make the accounting of 
each disclosure of records available to the individual named in the 
record at his request. These accountings must state the date, nature, 
and purpose of each disclosure of a record and the name and address of 
the recipient. Making such an accounting could cause the identity of a 
confidential source to be revealed, endangering the physical safety of 
the confidential source, and could impair the future ability of the EPA 
to compile investigatory material for the purpose of determining 
suitability, eligibility, or qualifications for Federal civilian 
employment, Federal contracts, or access to classified information.
    (ii) 5 U.S.C. 552a(d) requires an agency to permit an individual to 
gain access to records pertaining to him, to request amendment to such 
records, to request a review of an agency decision not to amend such 
records, and to contest the information contained in such records. 
Granting such access could cause the identity of a confidential source 
to be revealed, endangering the physical safety of the confidential 
source, and could impair the future ability of the EPA to compile 
investigatory material for the purpose of determining suitability, 
eligibility, or qualifications for Federal civilian employment, Federal 
contracts, or access to classified information.
    (iii) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its 
records only such information about an individual as is relevant and 
necessary to accomplish a purpose of the agency required by statute or 
by executive order of the President. The application of this provision 
could impair investigations, because it is not always possible to detect 
the relevance or necessity of specific information in the early stages 
of an investigation. Relevance and necessity are often questions of 
judgment and timing, and it is only after the information is evaluated 
that the relevance and necessity of such information can be established.
    (iv) 5 U.S.C. 552a(e)(4)(H) requires an agency to publish a Federal 
Register notice concerning its procedures for notifying an individual at 
his request how he can gain access to any record pertaining to him and 
how he can contest its content. Since EPA is claiming that these systems 
of records are exempt from subsections (f)(2) through (5) of the Act, 
concerning agency rules, and subsection (b) of the Act, concerning 
access to records, these requirements are inapplicable and are exempted 
to the extent that these systems of records are exempted from 
subsections (f)(2) through (5) and (d) of the Act. Although EPA is 
claiming exemption from these requirements, EPA has published such a 
notice concerning its access and contest procedures because, under 
certain circumstances, EPA

[[Page 194]]

might decide it is appropriate for an individual to have access to all 
or a portion of his records in these systems of records.
    (v) 5 U.S.C. 552a(e)(4)(I) requires an agency to publish a Federal 
Register notice concerning the categories of sources of records in the 
system of records. Exemption from this provision is necessary to protect 
the confidentiality of the sources of information, to protect the 
privacy and physical safety of confidential sources, and to avoid the 
disclosure of investigative techniques and procedures. Although EPA is 
claiming exemption from this requirement, EPA has published such a 
notice in broad generic terms in the belief that this is all subsection 
(e)(4)(I) of the Act requires.
    (vi) 5 U.S.C. 552a(f)(2) through (5) require an agency to promulgate 
rules for obtaining access to records. Since EPA is claiming that these 
systems of records are exempt from subsection (d) of the Act, concerning 
access to records, the requirements of subsections (f)(2) through (5) of 
the Act, concerning agency rules for obtaining access to such records, 
are inapplicable and are exempted to the extent that this system of 
records is exempted from subsection (d) of the Act. Although EPA is 
claiming exemption from the requirements of subsections (f)(2) through 
(5) of the Act, EPA has promulgated rules which establish Agency 
procedures because, under certain circumstances, it might be appropriate 
for an individual to have access to all or a portion of his records in 
this system of records. These procedures are described elsewhere in this 
part.
    (c) Exemption under 5 U.S.C. 552a(k)(1)--(1) System of records 
affected.

para. EPA-5 OIG Personnel Security Files--EPA/OIG.

    (2) Authority. Under 5 U.S.C. 552a(k)(1), the head of any agency may 
by rule exempt any system of records within the agency from certain 
provisions of the Privacy Act of 1974, if the system of records is 
subject to the provisions of 5 U.S.C. 552(b)(1). A system of records is 
subject to the provisions of 5 U.S.C. 552(b)(1) if it contains records 
that are 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. Executive Order 12356 establishes criteria for 
classifying records which are to be kept secret in the interest of 
national defense or foreign policy.
    (3) Scope of exemption. To the extent that the system of records 
identified in Sec. 16.14(c)(1) contains records provided by other 
Federal agencies that are specifically authorized under criteria 
established by Executive Order 12356 to be kept secret in the interest 
of national defense or foreign policy and are in fact properly 
classified by other Federal agencies pursuant to that Executive order, 
the system of records is exempted from the following provisions of the 
Privacy Act of 1974: 5 U.S.C. 552a (c)(3); (d); (e)(1), (4)(G), (H), and 
(I); and (f).
    (4) Reasons for exemption. The system of records identified in 
Sec. 16.14(c)(1) is exempted from the above provisions of the Privacy 
Act of 1974 for the following reasons:
    (i) 5 U.S.C. 552a(c)(3) requires an agency to make the accounting of 
each disclosure of records available to the individual named in the 
record at his request. These accountings must state the date, nature, 
and purpose of each disclosure of a record and the name and address of 
the recipient. Making such an accounting could result in the release of 
properly classified information, which would compromise the national 
defense or disrupt foreign policy.
    (ii) 5 U.S.C. 552a(d) requires an agency to permit an individual to 
gain access to records pertaining to him, to request amendment to such 
records, to request a review of an agency decision not to amend such 
records, and to contest the information contained in such records. 
Granting such access could cause the release of properly classified 
information, which would compromise the national defense or disrupt 
foreign policy.
    (iii) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its 
records only such information about an individual as is relevant and 
necessary to accomplish a purpose of the agency required by statute or 
by executive order of the

[[Page 195]]

President. The application of this provision could impair personnel 
security investigations which use properly classified information, 
because it is not always possible to know the relevance or necessity of 
specific information in the early stages of an investigation. Relevance 
and necessity are often questions of judgment and timing, and it is only 
after the information is evaluated that the relevance and necessity of 
such information can be established.
    (iv) 5 U.S.C. 552a(e)(4)(G) and (H) require an agency to publish a 
Federal Register notice concerning its procedures for notifying an 
individual at his request if the system of records contains a record 
pertaining to him, how he can gain access to such a record, and how he 
can contest its content. Since EPA is claiming that this system of 
records is exempt from subsection (f) of the Act, concerning agency 
rules, and subsection (d) of the Act, concerning access to records, 
these requirements are inapplicable and are exempted to the extent that 
this system of records is exempted from subsections (f) and (d) of the 
Act. Although EPA is claiming exemption from these requirements, EPA has 
published such a notice concerning its notification, access, and contest 
procedures because, under certain circumstances, EPA might decide it is 
appropriate for an individual to have access to all or a portion of his 
records in this system of records.
    (v) 5 U.S.C. 552a(e)(4)(I) requires an agency to publish a Federal 
Register notice concerning the categories of sources of records in the 
system of records. Exemption from this provision is necessary to prevent 
the release of properly classified information, which would compromise 
the national defense or disrupt foreign policy. Although EPA is claiming 
exemption from this requirement, EPA has published such a notice in 
broad generic terms in the belief that this is all subsection (e)(4)(I) 
of the Act requires.
    (vi) 5 U.S.C. 552(a)(f)(1) requires an agency to promulgate rules 
which shall establish procedures whereby an individual can be notified 
in response to his request if any system of records named by the 
individual contains a record pertaining to him. The application of this 
provision could result in the release of properly classified 
information, which would compromise the national defense or disrupt 
foreign policy. Since EPA is claiming that this system of records is 
exempt from subsection (d) of the Act, concerning access to records, the 
requirements of subsections (f)(2) through (5) of the Act, concerning 
agency rules for obtaining access to such records, are inapplicable and 
are exempted to the extent that this system of records is exempted from 
subsection (d) of the Act. Although EPA is claiming exemption from the 
requirements of subsection (f) of the Act, EPA has promulgated rules 
which establish Agency procedures because, under certain circumstances, 
it might be appropriate for an individual to have access to all or a 
portion of his records in this system of records. These procedures are 
described elsewhere in this part.
    (d) Exempt records provided by another agency. Individuals may not 
have access to records maintained by the EPA if such records were 
provided by another agency which has determined by regulation that such 
records are subject to general exemption under 5 U.S.C. 552a(j) or 
specific exemption under 5 U.S.C. 552a(k). If an individual requests 
access to such exempt records, EPA will consult with the source agency.
    (e) Exempt records included in a nonexempt system of records. All 
records obtained from a system of records which has been determined by 
regulation to be subject to specific exemption under 5 U.S.C. 552a(k) 
retain their exempt status even if such records are also included in a 
system of records for which a specific exemption has not been claimed.

[51 FR 24147, July 2, 1986, as amended at 59 FR 17485, Apr. 13, 1994]



PART 17--IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN EPA ADMINISTRATIVE PROCEEDINGS--Table of Contents




                      Subpart A--General Provisions

Sec.
17.1  Purpose of these rules.
17.2  Definitions.

[[Page 196]]

17.3  Proceedings covered.
17.4  Applicability to EPA proceedings.
17.5  Eligibility of applicants.
17.6  Standards for awards.
17.7  Allowable fees and other expenses.
17.8  Delegation of authority.

             Subpart B--Information Required From Applicants

17.11  Contents of application.
17.12  Net worth exhibit.
17.13  Documentation of fees and expenses.
17.14  Time for submission of application.

           Subpart C--Procedures for Considering Applications

17.21  Filing and service of documents.
17.22  Answer to application.
17.23  Comments by other parties.
17.24  Settlement.
17.25  Extensions of time and further proceedings.
17.26  Decision on application.
17.27  Agency review.
17.28  Judicial review.
17.29  Payment of award.

    Authority: Section 504, Title 5 U.S.C., as amended by sec. 
203(a)(1), Equal Access to Justice Act (Title 2 of Pub. L. 96-481, 94 
Stat. 2323).

    Source: 48 FR 39936, Sept. 2, 1983, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 17.1  Purpose of these rules.

    These rules are adopted by EPA pursuant to section 504 of title 5 
U.S.C., as added by section 203(a)(1) of the Equal Access to Justice 
Act, Public Law No. 96-481. Under the Act, an eligible party may receive 
an award for attorney's fees and other expenses when it prevails over 
EPA in an adversary adjudication before EPA unless EPA's position as a 
party to the proceeding was substantially justified or special 
circumstances make an award unjust. The purpose of these rules is to 
establish procedures for the submission and consideration of 
applications for awards against EPA when the underlying decision is not 
reviewed by a court.



Sec. 17.2  Definitions.

    As used in this part:
    (a) The Act means section 504 of title 5 U.S.C., as amended by 
section 203(a)(1) of the Equal Access to Justice Act, Public Law No. 96-
481.
    (b) Administrator means the Administrator of the Environmental 
Protection Agency.
    (c) Adversary adjudication means an adjudication required by statute 
to be held pursuant to 5 U.S.C. 554 in which the position of the United 
States is represented by counsel or otherwise, but excludes an 
adjudication for the purpose of granting or renewing a license.
    (d) EPA means the Environmental Protection Agency, an Agency of the 
United States.
    (e) Presiding officer means the official, without regard to whether 
he is designated as an administrative law judge or a hearing officer or 
examiner, who presides at the adversary adjudication.
    (f) Proceeding means an adversary adjudication as defined in 
Sec. 17.2(b).



Sec. 17.3  Proceedings covered.

    (a) These rules apply to adversary adjudications required by statute 
to be conducted by EPA under 5 U.S.C. 554. To the extent that they are 
adversary adjudications, the proceedings conducted by EPA to which these 
rules apply include:
    (1) A hearing to consider the assessment of a noncompliance penalty 
under section 120 of the Clean Air Act as amended (42 U.S.C. 7420);
    (2) A hearing to consider the termination of an individual National 
Pollution Discharge Elimination System permit under section 402 of the 
Clean Water Act as amended (33 U.S.C. 1342);
    (3) A hearing to consider the assessment of any civil penalty under 
section 16(a) of the Toxic Substances Control Act (15 U.S.C. 2615(a));
    (4) A hearing to consider ordering a manufacturer of hazardous 
chemical substances or mixtures to take actions under section 6(b) of 
the Toxic Substances Control Act (15 U.S.C. 2605(b)), to decrease the 
unreasonable risk posed by a chemical substance or mixture;
    (5) A hearing to consider the assessment of any civil penalty under 
section 14(a) of the Federal Insecticide, Fungicide, and Rodenticide Act 
as amended (7 U.S.C. 1361);
    (6) A hearing to consider suspension of a registrant for failure to 
take appropriate steps in the development of registration data under 
section

[[Page 197]]

3(c)(2)(B) of the Federal Insecticide, Fungicide and Rodenticide Act as 
amended (7 U.S.C. 136a);
    (7) A hearing to consider the suspension or cancellation of a 
registration under section 6 of the Federal Insecticide, Fungicide, and 
Rodenticide Act as amended (7 U.S.C. 136d);
    (8) A hearing to consider the assessment of any civil penalty or the 
revocation or suspension of any permit under section 105(a) or 105(f) of 
the Marine Protection, Research, and Sanctuaries Act as amended (33 
U.S.C. 1415(a), 33 U.S.C. 1415(f));
    (9) A hearing to consider the issuance of a compliance order or the 
assessment of any civil penalty conducted under section 3008 of the 
Resource Conservation and Recovery Act as amended (42 U.S.C. 6928);
    (10) A hearing to consider the issuance of a compliance order under 
section 11(d) of the Noise Control Act as amended (42 U.S.C. 4910(d)).
    (b) If a proceeding includes both matters covered by the Act and 
matters specifically excluded from coverage, any award made will include 
only fees and expenses related to covered issues.



Sec. 17.4  Applicability to EPA proceedings.

    The Act applies to an adversary adjudication pending before EPA at 
any time between October 1, 1981 and September 30, 1984. This includes 
proceedings begun before October 1, 1981 if final EPA action has not 
been taken before that date, and proceedings pending on September 30, 
1984.



Sec. 17.5  Eligibility of applicants.

    (a) To be eligible for an award of attorney's fees and other 
expenses under the Act, the applicant must be a prevailing party in the 
adversary adjudication for which it seeks an award. The term party is 
defined in 5 U.S.C. 551(3). The applicant must show that it meets all 
conditions of eligibility set out in this subpart and in subpart B.
    (b) The types of eligible applicants are as follows:
    (1) An individual with a net worth of not more than $1 million;
    (2) The sole owner of an unincorporated business which has a net 
worth of not more than $5 million and not more than 500 employees;
    (3) A charitable or other tax-exempt organization described in 
section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 501(c)(3)) 
with not more than 500 employees;
    (4) A cooperative association as defined in section 15(a) of the 
Agricultural Marketing Act (12 U.S.C. 114j(a)) with not more than 500 
employees; and
    (5) Any other partnership, corporation, association, or public or 
private organization with a net worth of not more than $5 million and 
not more than 500 employees.
    (c) For the purpose of eligibility, the net worth and number of 
employees of an applicant shall be determined as of the date of 
adversary adjudication was initiated.
    (d) An applicant who owns an unincorporated business will be 
considered as an individual rather than a sole owner of an 
unincorporated business if the issues on which the applicant prevails 
are related primarily to personal interests rather than to business 
interest.
    (e) The employees of an applicant include all persons who regularly 
perform services for remuneration for the applicant under the 
applicant's direction and control. Part-time employees shall be 
included.
    (f) The net worth and number of employees of the applicant and all 
of its affiliates shall be aggregated to determine eligibility. An 
individual or group of individuals, corporation, or other entity that 
directly or indirectly controls or owns a majority of the voting shares 
of another business' board of directors, trustees, or other persons 
exercising similar functions, shall be considered an affiliate of that 
business for purposes of this part. In addition, the Presiding Officer 
may determine that financial relationships of the applicant other than 
those described in this paragraph constitute special circumstances that 
would make an award unjust.
    (g) An applicant is not eligible if it has participated in the 
proceeding on behalf of other persons or entities that are ineligible.

[[Page 198]]



Sec. 17.6  Standards for awards.

    (a) A prevailing applicant may receive an award for fees and 
expenses incurred in connection with a proceeding unless the position of 
the EPA as a party to the proceeding was substantially justified or 
unless special circumstances make the award sought unjust. No 
presumption arises that the agency's position was not substantially 
justified simply because the agency did not prevail.
    (b) An award shall be reduced or denied if the applicant has unduly 
or unreasonably protracted the proceeding.



Sec. 17.7  Allowable fees and other expenses.

    (a) The following fees and other expenses are allowable under the 
Act:
    (1) Reasonable expenses of expert witnesses;
    (2) The reasonable cost of any study, analysis, engineering report, 
test, or project which EPA finds necessary for the preparation of the 
party's case;
    (3) Reasonable attorney or agent fees;
    (b) The amount of fees awarded will be based upon the prevailing 
market rates for the kind and quality of services furnished, except 
that:
    (1) Compensation for an expert witness will not exceed $24.09 per 
hour; and
    (2) Attorney or agent fees will not be in excess of $75 per hour.
    (c) In determining the reasonableness of the fee sought, the 
Presiding Officer shall consider the following:
    (1) The prevailing rate for similar services in the community in 
which the attorney, agent, or witness ordinarily performs services;
    (2) The time actually spent in the representation of the applicant;
    (3) The difficulty or complexity of the issues raised by the 
application;
    (4) Any necessary and reasonable expenses incurred;
    (5) Such other factors as may bear on the value of the services 
performed.



Sec. 17.8  Delegation of authority.

    The Administrator delegates to the Environmental Appeals Board 
authority to take final action relating to the Equal Access to Justice 
Act. The Environmental Appeals Board is described at 40 CFR 1.25(e). 
This delegation does not preclude the Environmental Appeals Board from 
referring any matter related to the Equal Access to Justice Act to the 
Administrator when the Environmental Appeals Board deems it appropriate 
to do so. When an appeal or motion is referred to the Administrator by 
the Environmental Appeals Board, all parties shall be so notified and 
the rules in this part referring to the Environmental Appeals Board 
shall be interpreted as referring to the Administrator.

[57 FR 5323, Feb 13, 1992]



             Subpart B--Information Required From Applicants



Sec. 17.11  Contents of application.

    (a) An application for award of fees and expenses under the Act 
shall identify the applicant and the proceeding for which an award is 
sought. The application shall show that the applicant has prevailed and 
identify the position of EPA in the proceeding that the applicant 
alleges was not substantially justified.
    (b) The application shall include a statement that the applicant's 
net worth as of the time the proceeding was initiated did not exceed $1 
million if the applicant is an individual (other than a sole owner of an 
unincorporated business seeking an award in that capacity) or $5 million 
in the case of all other applicants. An applicant may omit this 
statement if:
    (1) It attaches a copy of a ruling by the Internal Revenue Service 
that it qualifies as an organization described in section 501(c)(3) of 
the Internal Revenue Code of 1954 (26 U.S.C. 501(c)(3)) and is exempt 
from taxation under section 501(a) of the Code or, in the case of such 
an organization not required to obtain a ruling from the Internal 
Revenue Service on its exempt status, a statement that describes the 
basis for the applicant's belief that it qualifies under section 
501(c)(3) of the Code; or
    (2) It states that it is a cooperative association as defined in 
section 15(a) of the Agricultural Marketing Act (12 U.S.C. 114j(a)).

[[Page 199]]

    (c) If the applicant is a partnership, corporation, association, or 
organization, or a sole owner of an unincorporated business, the 
application shall state that the applicant did not have more than 500 
employees at the time the proceeding was initiated, giving the number of 
its employees and describing briefly the type and purpose of its 
organization or business.
    (d) The application shall itemize the amount of fees and expenses 
sought.
    (e) The application may include any other matters that the applicant 
believes should be considered in determining whether and in what amount 
an award should be made.
    (f) The application shall be signed by the applicant with respect to 
the eligibility of the applicant and by the attorney of the applicant 
with respect to fees and expenses sought. The application shall contain 
or be accompanied by a written verification under oath or affirmation or 
under penalty of perjury that the information provided in the 
application and all accompanying material is true and complete to the 
best of the signer's information and belief.

(Approved by the Office of Management and Budget under control number 
2000-0403)



Sec. 17.12  Net worth exhibit.

    (a) Each applicant except a qualified tax exempt organization or a 
qualified cooperative must submit with its application a detailed 
exhibit showing its net worth at the time the proceeding was initiated. 
If any individual, corporation, or other entity directly or indirectly 
controls or owns a majority of the voting shares or other interest of 
the applicant, or if the applicant directly or indirectly owns or 
controls a majority of the voting shares or other interest of any 
corporation or other entity, the exhibit must include a showing of the 
net worth of all such affiliates or of the applicant including the 
affiliates. The exhibit may be in any form that provides full disclosure 
of assets and liabilities of the applicant and any affiliates and is 
sufficient to determine whether the applicant qualifies under the 
standards of 5 U.S.C. 504(b)(1)(B)(i). The Presiding Officer may require 
an applicant to file additional information to determine the applicant's 
eligibility for an award.
    (b) The net worth exhibit shall describe any transfers of assets 
from, or obligations incurred by, the applicant or any affiliate 
occurring in the one-year period prior to the date on which the 
proceeding was initiated that reduced the net worth of the applicant and 
its affiliates below the applicable net worth ceiling. If there were no 
such transactions, the applicant shall so state.
    (c) The net worth exhibit shall be included in the public record of 
the proceeding.

(Approved by the Office of Management and Budget under control number 
2000-0430)



Sec. 17.13  Documentation of fees and expenses.

    (a) The application shall be accompanied by full documentation of 
fees and expenses, including the cost of any study, engineering report, 
test, or project, for which an award is sought.
    (b) The documentation shall include an affidavit from any attorney, 
agent, or expert witness representing or appearing in behalf of the 
party stating the actual time expended and the rate at which fees and 
other expenses were computed and describing the specific services 
performed.
    (1) The affidavit shall itemize in detail the services performed by 
the date, number of hours per date, and the services performed during 
those hours. In order to establish the hourly rate, the affidavit shall 
state the hourly rate which is billed and paid by the majority of 
clients during the relevant time periods.
    (2) If no hourly rate is paid by the majority of clients because, 
for instance, the attorney or agent represents most clients on a 
contingency basis, the attorney or agent shall provide affidavits from 
two attorneys or agents with similar experience, who perform similar 
work, stating the hourly rate which they bill and are paid by the 
majority of their clients during a comparable time period.
    (c) The documentation shall also include a description of any 
expenses for which reimbursement is sought and a statement of the 
amounts paid and payable by the applicant or by any other person or 
entity for the services provided.

[[Page 200]]

    (d) The Presiding Officer may require the applicant to provide 
vouchers, receipts, or other substantiation for any expenses claimed.

(Approved by the Office of Management and Budget under control number 
2000-0430)



Sec. 17.14  Time for submission of application.

    (a) An application must be filed no later than 30 days after final 
disposition of the proceeding. If agency review or reconsideration is 
sought or taken of a decision in which an applicant believes it has 
prevailed, action on the award of fees shall be stayed pending final 
agency disposition of the underlying controversy.
    (b) Final disposition means the later of:
    (1) The date on which the Agency decision becomes final, either 
through disposition by the Environmental Appeals Board of a pending 
appeal or through an initial decision becoming final due to lack of an 
appeal or
    (2) The date of final resolution of the proceeding, such as 
settlement or voluntary dismissal, which is not subject to a petition 
for rehearing or reconsideration.
    (c) If judicial review is sought or taken of the final agency 
disposition of the underlying controversy, then agency proceedings for 
the award of fees will be stayed pending completion of judicial review. 
If, upon completion of review, the court decides what fees to award, if 
any, then EPA shall have no authority to award fees.

[48 FR 39936, Sept. 2, 1983, as amended at 57 FR 5323, Feb. 13, 1992]



           Subpart C--Procedures for Considering Applications



Sec. 17.21  Filing and service of documents.

    An application for an award and any other pleading or document 
related to the application shall be filed and served on all parties to 
the proceeding in the same manner as other pleadings in the proceeding.



Sec. 17.22  Answer to application.

    (a) Within 30 calendar days after service of the application, EPA 
counsel shall file an answer.
    (b) If EPA counsel and the applicant believe that they can reach a 
settlement concerning the award, EPA counsel may file a statement of 
intent to negotiate. The filing of such a statement shall extend the 
time for filing an answer an additional 30 days.
    (c) The answer shall explain in detail any objections to the award 
requested and identify the facts relied on to support the objection. If 
the answer is based on any alleged facts not already reflected in the 
record of the proceeding, EPA counsel shall include with the answer 
either a supporting affidavit or affidavits or request for further 
proceedings under Sec. 17.25.



Sec. 17.23  Comments by other parties.

    Any party to a proceeding other than the applicant and EPA counsel 
may file comments on an application within 30 calendar days after it is 
served or on an answer within 15 calendar days after it is served.



Sec. 17.24  Settlement.

    A prevailing party and EPA counsel may agree on a proposed 
settlement of an award before final action on the application, either in 
connection with a settlement of the underlying proceeding or after the 
underlying proceeding has been concluded. If the party and EPA counsel 
agree on a proposed settlement of an award before an application has 
been filed, the application shall be filed with the proposed settlement.



Sec. 17.25  Extensions of time and further proceedings.

    (a) The Presiding Officer may, on motion and for good cause shown, 
grant extensions of time, other than for filing an application for fees 
and expenses, after final disposition in the adversary adjudication.
    (b) Ordinarily, the determination of an award will be made on the 
basis of the written record of the underlying proceeding and the filings 
required or permitted by the foregoing sections of

[[Page 201]]

these rules. However, the adjudicative officer may sua sponte or on 
motion of any party to the proceedings require or permit further filings 
or other action, such as an informal conference, oral argument, 
additional written submissions, or an evidentiary hearing. Such further 
action shall be allowed only when necessary for full and fair resolution 
of the issues arising from the application and shall take place as 
promptly as possible. A motion for further filings or other action shall 
specifically identify the information sought on the disputed issues and 
shall explain why the further filings or other action is necessary to 
resolve the issues.
    (c) In the event that an evidentiary hearing is required or 
permitted by the adjudicative officer, such hearing and any related 
filings or other action required or permitted shall be conducted 
pursuant to the procedural rules governing the underlying adversary 
adjudication.



Sec. 17.26  Decision on application.

    The Presiding Officer shall issue a recommended decision on the 
application which shall include proposed written findings and 
conclusions on such of the following as are relevant to the decision:
    (a) The applicant's status as a prevailing party;
    (b) The applicant's qualification as a ``party'' under 5 U.S.C. 
504(b)(1)(B);
    (c) Whether EPA's position as a party to the proceeding was 
substantially justified;
    (d) Whether the special cirumstances make an award unjust;
    (e) Whether the applicant during the course of the proceedings 
engaged in conduct that unduly and unreasonably protracted the final 
resolution of the matter in controversy; and
    (f) The amounts, if any, awarded for fees and other expenses, 
explaining any difference between the amount requested and the amount 
awarded.



Sec. 17.27  Agency review.

    The recommended decision of the Presiding Officer will be reviewed 
by EPA in accordance with EPA's procedures for the type of substantive 
proceeding involved.



Sec. 17.28  Judicial review.

    Judicial review of final EPA decisions on awards may be sought as 
provided in 5 U.S.C. 504(c)(2).



Sec. 17.29  Payment of award.

    An applicant seeking payment of an award shall submit a copy of the 
final decision granting the award to the Office of Financial Management 
for Processing. A statement that review of the underlying decision is 
not being sought in the United States courts or that the process for 
seeking review of the award has been completed must also be included.



PART 19--ADJUSTMENT OF CIVIL MONETARY PENALTIES FOR INFLATION--Table of Contents




Sec.
19.1  Applicability.
19.2  Effective date.
19.3  [Reserved]
19.4  Penalty Adjustment and Table.

    Authority: Pub. L. 101-410, 104 Stat. 890, 28 U.S.C. 2461 note; Pub. 
L. 104-134, 110 Stat. 1321, 31 U.S.C. 3701 note.

    Source: 61 FR 69364, Dec. 31, 1996, unless otherwise noted.



Sec. 19.1  Applicability.

    This part applies to each statutory provision under the laws 
administered by the Environmental Protection Agency concerning the 
maximum civil monetary penalty which may be assessed in either civil 
judicial or administrative proceedings.



Sec. 19.2  Effective date.

    The increased penalty amounts set forth in this part apply to all 
violations under the applicable statutes and regulations which occur 
after January 30, 1997; except for violations subject to penalty under 
42 U.S.C. 4852d(b)(5) and 42 U.S.C. 4910(a)(2), which are subject to the 
new penalty amounts for any violations after July 28, 1997.

[62 FR 35039, June 27, 1997]



Sec. 19.3  [Reserved]



Sec. 19.4  Penalty Adjustment and Table.

    The adjusted statutory penalty provisions and their maximum 
applicable

[[Page 202]]

amounts are set out in Table 1. The last column in the table provides 
the newly effective maximum penalty amounts.

  Table 1 of Section 19.4--Civil Monetary Penalty Inflation Adjustments
------------------------------------------------------------------------
                                Civil monetary penalty     New maximum
      U.S. Code citation              description        penalty amount
------------------------------------------------------------------------
 7 U.S.C. 1361.(a)(1).........  FEDERAL INSECTICIDE,    $5,500
                                 FUNGICIDE, &
                                 RODENTICIDE ACT CIVIL
                                 PENALTY--GENERAL--COM
                                 MERCIAL APPLICATORS,
                                 ETC.
7 U.S.C. 1361.(a)(2)..........  FEDERAL INSECTICIDE,    $550/$1,000
                                 FUNGICIDE, &
                                 RODENTICIDE ACT CIVIL
                                 PENALTY--PRIVATE
                                 APPLICATORS--FIRST
                                 AND SUBSEQUENT
                                 OFFENSES OR
                                 VIOLATIONS.
15 U.S.C. 2615(a).............  TOXIC SUBSTANCES        $27,500
                                 CONTROL ACT CIVIL
                                 PENALTY.
15 U.S.C. 2647(a).............  ASBESTOS HAZARD         $5,500
                                 EMERGENCY RESPONSE
                                 ACT CIVIL PENALTY.
31 U.S.C. 3802(a)(1)..........  PROGRAM FRAUD CIVIL     $5,500
                                 REMEDIES ACT/
                                 VIOLATION INVOLVING
                                 FALSE CLAIM.
31 U.S.C. 3802(a)(2)..........  PROGRAM FRAUD CIVIL     $5,500
                                 REMEDIES ACT/
                                 VIOLATION INVOLVING
                                 FALSE STATEMENT.
33 U.S.C. 1319(d).............  CLEAN WATER ACT         $27,500
                                 VIOLATION/CIVIL
                                 JUDICIAL PENALTY.
33 U.S.C. 1319(g)(2)(A).......  CLEAN WATER ACT         $11,000/$27,500
                                 VIOLATION/
                                 ADMINISTRATIVE
                                 PENALTY PER VIOLATION
                                 AND MAXIMUM.
33 U.S.C. 1319(g)(2)(B).......  CLEAN WATER ACT         $11,000/$137,500
                                 VIOLATION/
                                 ADMINISTRATIVE
                                 PENALTY PER VIOLATION
                                 AND MAXIMUM.
33 U.S.C. 1321(b)(6)(B)(I)....  CLEAN WATER ACT         $11,000/$27,500
                                 VIOLATION/ADMIN
                                 PENALTY OF SEC
                                 311(b)(3)&(j) PER
                                 VIOLATION AND MAXIMUM.
33 U.S.C. 1321(b)(6)(B)(ii)...  CLEAN WATER ACT         $11,000/$137,500
                                 VIOLATION/ADMIN
                                 PENALTY OF SEC
                                 311(b)(3)&(j) PER
                                 VIOLATION AND MAXIMUM.
33 U.S.C. 1321(b)(7)(A).......  CLEAN WATER ACT         $27,500 or
                                 VIOLATION/CIVIL         $1,100 per
                                 JUDICIAL PENALTY OF     barrel or unit
                                 SEC 311(b)(3)--PER
                                 VIOLATION PER DAY OR
                                 PER BARREL OR UNIT.
33 U.S.C. 1321(b)(7)(B).......  CLEAN WATER ACT         $27,500
                                 VIOLATION/CIVIL
                                 JUDICIAL PENALTY OF
                                 SEC 311(c)&(e)(1)(B).
33 U.S.C. 1321(b)(7)(C).......  CLEAN WATER ACT         $27,500
                                 VIOLATION/CIVIL
                                 JUDICIAL PENALTY OF
                                 SEC 311(j).
33 U.S.C. 1321(b)(7)(D).......  CLEAN WATER ACT         $110,000 or
                                 VIOLATION/MINIMUM       $3,300 per
                                 CIVIL JUDICIAL          barrel or unit
                                 PENALTY OF SEC
                                 311(b)(3)--PER
                                 VIOLATION OR PER
                                 BARREL/UNIT.
33 U.S.C. 1414b(d)............  MARINE PROTECTION,      $660
                                 RESEARCH &
                                 SANCTUARIES ACT VIOL
                                 SEC 104b(d).
33 U.S.C. 1415(a).............  MARINE PROTECTION       $55,000/$137,500
                                 RESEARCH AND
                                 SANCTUARIES ACT
                                 VIOLATIONS--FIRST &
                                 SUBSEQUENT VIOLATIONS.
42 U.S.C. 300g-3(b)...........  SAFE DRINKING WATER     $27,500
                                 ACT/CIVIL JUDICIAL
                                 PENALTY OF SEC
                                 1414(b).
42 U.S.C. 300g-3(c)...........  SAFE DRINKING WATER     $27,500
                                 ACT/CIVIL JUDICIAL
                                 PENALTY OF SEC
                                 1414(c).
42 U.S.C. 300g-3(g)(3)(A).....  SAFE DRINKING WATER     $27,500
                                 ACT/CIVIL JUDICIAL
                                 PENALTY OF SEC
                                 1414(g)(3)(a).
42 U.S.C. 300g-3(g)(3)(B).....  SAFE DRINKING WATER     $5,000/$25,000
                                 ACT/MAXIMUM
                                 ADMINISTRATIVE
                                 PENALTIES PER SEC
                                 1414(g)(3)(B).
42 U.S.C. 300g-3(g)(3)(C).....  SAFE DRINKING WATER     $25,000
                                 ACT/THRESHOLD
                                 REQUIRING CIVIL
                                 JUDICIAL ACTION PER
                                 SEC 1414(g)(3)(C).
42 U.S.C. 300h-2(b)(1)........  SDWA/CIVIL JUDICIAL     $27,500
                                 PENALTY/VIOLATIONS OF
                                 REQS--UNDERGROUND
                                 INJECTION CONTROL
                                 (UIC).
42 U.S.C. 300h-2(c)(1)........  SDWA/CIVIL ADMIN        $11,000/
                                 PENALTY/VIOLATIONS OF   $137,500.
                                 UIC REQS--PER
                                 VIOLATION AND MAXIMUM.
42 U.S.C. 300h-2(c)(2)........  SDWA/CIVIL ADMIN        $5,500/$137,500
                                 PENALTY/VIOLATIONS OF
                                 UIC REQS--PER
                                 VIOLATION AND MAXIMUM.
42 U.S.C. 300h-3(c)(1)........  SDWA/VIOLATION/         $5,500
                                 OPERATION OF NEW
                                 UNDERGROUND INJECTION
                                 WELL.
42 U.S.C. 300h-3(c)(2)........  SDWA/WILLFUL VIOLATION/ $11,000
                                 OPERATION OF NEW
                                 UNDERGROUND INJECTION
                                 WELL.
42 U.S.C. 300i(b).............  SDWA/FAILURE TO COMPLY  $15,000.
                                 WITH IMMINENT AND
                                 SUBSTANTIAL
                                 ENDANGERMENT ORDER.
42 U.S.C. 300i-1(c)...........  SDWA/ATTEMPTING TO OR   $22,000/$55,000
                                 TAMPERING WITH PUBLIC
                                 WATER SYSTEM/CIVIL
                                 JUDICIAL PENALTY.
42 U.S.C. 300j(e)(2)..........  SDWA/FAILURE TO COMPLY  $2,750
                                 W/ORDER ISSUED UNDER
                                 SEC. 1441(c)(1).
42 U.S.C. 300j-4(c)...........  SDWA/REFUSAL TO COMPLY  $27,500
                                 WITH REQS. OF SEC.
                                 1445(a) OR (b).
42 U.S.C. 300j-6(b)(2)........  SDWA/FAILURE TO COMPLY  $25,000
                                 WITH ADMIN. ORDER
                                 ISSUED TO FEDERAL
                                 FACILITY.
42 U.S.C. 300j-23(d)..........  SDWA/VIOLATIONS/        $5,500/$55,000
                                 SECTION 1463(b)--
                                 FIRST OFFENSE/REPEAT
                                 OFFENSE.
42 U.S.C. 4852d(b)(5).........  RESIDENTIAL LEAD-BASED  $11,000
                                 PAINT HAZARD
                                 REDUCTION ACT OF
                                 1992, SEC 1018--CIVIL
                                 PENALTY.
42 U.S.C. 4910(a)(2)..........  NOISE CONTROL ACT OF    $11,000
                                 1972--CIVIL PENALTY.
42 U.S.C. 6928(a)(3)..........  RESOURCE CONSERVATION   $27,500
                                 & RECOVERY ACT/
                                 VIOLATION SUBTITLE C
                                 ASSESSED PER ORDER.

[[Page 203]]

 
42 U.S.C. 6928(c).............  RES. CONS. & REC. ACT/  $27,500
                                 CONTINUED
                                 NONCOMPLIANCE OF
                                 COMPLIANCE ORDER.
42 U.S.C. 6928(g).............  RESOURCE CONSERVATION   $27,500
                                 & RECOVERY ACT/
                                 VIOLATION SUBTITLE C.
42 U.S.C. 6928(h)(2)..........  RES. CONS. & REC. ACT/  $27,500
                                 NONCOMPLIANCE OF
                                 CORRECTIVE ACTION
                                 ORDER.
42 U.S.C. 6934(e).............  RES. CONS. & REC. ACT/  $5,500
                                 NONCOMPLIANCE WITH
                                 SECTION 3013 ORDER.
42 U.S.C. 6973(b).............  RES. CONS. & REC. ACT/  $5,500
                                 VIOLATIONS OF
                                 ADMINISTRATIVE ORDER.
42 U.S.C. 6991e(a)(3).........  RES. CONS. & REC. ACT/  $27,500
                                 NONCOMPLIANCE WITH
                                 UST ADMINISTRATIVE
                                 ORDER.
42 U.S.C. 6991e(d)(1).........  RES. CONS. & REC. ACT/  $11,000
                                 FAILURE TO NOTIFY OR
                                 FOR SUBMITTING FALSE
                                 INFORMATION.
42 U.S.C. 6991e(d)(2).........  RCRA/VIOLATIONS OF      $11,000
                                 SPECIFIED UST
                                 REGULATORY
                                 REQUIREMENTS.
42 U.S.C. 6992d(a)(2).........  RCRA/NONCOMPLIANCE W/   $27,500
                                 MEDICAL WASTE
                                 TRACKING ACT ASSESSED
                                 THRU ADMIN ORDER.
42 U.S.C. 6992d(a)(4).........  RCRA/NONCOMPLIANCE W/   $27,500
                                 MEDICAL WASTE
                                 TRACKING ACT
                                 ADMINISTRATIVE ORDER.
42 U.S.C. 6992d(d)............  RCRA/VIOLATIONS OF      $27,500
                                 MEDICAL WASTE
                                 TRACKING ACT--
                                 JUDICIAL PENALTIES.
42 U.S.C. 7413(b).............  CLEAN AIR ACT/          $27,500
                                 VIOLATION/OWNERS &
                                 OPERATORS OF
                                 STATIONARY AIR
                                 POLLUTION SOURCES--
                                 JUDICIAL PENALTIES.
42 U.S.C. 7413(d)(1)..........  CLEAN AIR ACT/          $27,500/$220,000
                                 VIOLATION/OWNERS &
                                 OPERATORS OF
                                 STATIONARY AIR
                                 POLLUTION SOURCES-
                                 ADMINISTRATIVE
                                 PENALTIES PER
                                 VIOLATION & MAX.
42 U.S.C. 7413(d)(3)..........  CLEAN AIR ACT/MINOR     $5,500.
                                 VIOLATIONS/STATIONARY
                                 AIR POLLUTION
                                 SOURCES--FIELD
                                 CITATIONS.
42 U.S.C. 7524(a).............  TAMPERING OR            $2,750
                                 MANUFACTURE/SALE OF
                                 DEFEAT DEVICES IN
                                 VIOLATION OF
                                 7522(a)(3)(A) OR
                                 (a)(3)(B)--BY PERSONS.
42 U.S.C. 7524(a).............  VIOLATION OF            $27,500
                                 7522(a)(3)(A) OR
                                 (a)(3)(B)--BY
                                 MANUFACTURERS OR
                                 DEALERS; ALL
                                 VIOLATIONS OF
                                 7522(a)(1),(2),
                                 (4),&(5) BY ANYONE.
42 U.S.C. 7524(c).............  ADMINISTRATIVE          $220,000
                                 PENALTIES AS SET IN
                                 7524(a) & 7545(d)
                                 WITH A MAXIMUM
                                 ADMINISTRATIVE
                                 PENALTY.
42 U.S.C. 7545(d).............  VIOLATIONS OF FUELS     $27,500
                                 REGULATIONS.
42 U.S.C. 9604(e)(5)(B).......  SUPERFUND AMEND. &      $27,500
                                 REAUTHORIZATION ACT/
                                 NONCOMPLIANCE W/
                                 REQUEST FOR INFO OR
                                 ACCESS.
42 U.S.C. 9606(b)(1)..........  SUPERFUND/WORK NOT      $27,500
                                 PERFORMED W/IMMINENT,
                                 SUBSTANTIAL
                                 ENDANGERMENT.
42 U.S.C. 9609 (a) & (b)......  SUPERFUND/ADMIN.        $27,500.
                                 PENALTY VIOLATIONS
                                 UNDER 42 U.S.C. SECT.
                                 9603, 9608, OR 9622.
42 U.S.C. 9609(b).............  SUPERFUND/ADMIN.        $82,500
                                 PENALTY VIOLATIONS--
                                 SUBSEQUENT.
42 U.S.C. 9609(c).............  SUPERFUND/CIVIL         $27,500
                                 JUDICIAL PENALTY/
                                 VIOLATIONS OF SECT.
                                 9603, 9608, 9622.
42 U.S.C. 9609(c).............  SUPERFUND/CIVIL         $82,500
                                 JUDICIAL PENALTY/
                                 SUBSEQUENT VIOLATIONS
                                 OF SECT. 9603, 9608,
                                 9622.
42 U.S.C. 11045 (a) & (b) (1),  EMERGENCY PLANNING AND  $27,500
 (2) & (3).                      COMMUNITY RIGHT-TO-
                                 KNOW ACT CLASS I & II
                                 ADMINISTRATIVE AND
                                 CIVIL PENALTIES.
42 U.S.C. 11045(b) (2) & (3)..  EPCRA CLASS I & II      $82,500
                                 ADMINISTRATIVE AND
                                 CIVIL PENALTIES--
                                 SUBSEQUENT VIOLATIONS.
42 U.S.C. 11045(c)(1).........  EPCRA CIVIL AND         $27,500
                                 ADMINISTRATIVE
                                 REPORTING PENALTIES
                                 FOR VIOLATIONS OF
                                 SECTIONS 11022 OR
                                 11023.
42 U.S.C. 11045(c)(2).........  EPCRA CIVIL AND         $11,000
                                 ADMINISTRATIVE
                                 REPORTING PENALTIES
                                 FOR VIOLATIONS OF
                                 SECTIONS 11021 OR
                                 11043(b).
42 U.S.C. 11045(d)(1).........  EPCRA--FRIVOLOUS TRADE  $27,500
                                 SECRET CLAIMS--CIVIL
                                 AND ADMINISTRATIVE
                                 PENALTIES.
------------------------------------------------------------------------

[61 FR 69364, Dec. 31, 1996; 62 FR 13515, Mar. 20, 1997; 62 FR 35039, 
June 27, 1997]



PART 20--CERTIFICATION OF FACILITIES--Table of Contents




Sec.
20.1  Applicability.
20.2  Definitions.
20.3  General provisions.
20.4  Notice of intent to certify.
20.5  Applications.
20.6  State certification.
20.7  General policies.
20.8  Requirements for certification.
20.9  Cost recovery.
20.10  Revocation.

[[Page 204]]


Appendix A to Part 20--Guidelines for Certification

    Authority: Secs. 301, 704, 80 Stat. 379, 83 Stat. 667; 5 U.S.C. 301, 
26 U.S.C. 169.

    Source: 36 FR 22382, Nov. 25, 1971, unless otherwise noted.



Sec. 20.1  Applicability.

    The regulations of this part apply to certifications by the 
Administrator of water or air pollution control facilities for purposes 
of section 169 of the Internal Revenue Code of 1954, as amended, 26 
U.S.C. 169, as to which the amortization period began after December 31, 
1975. Certification of air or water pollution control facilities as to 
which the amortization period began before January 1, 1976, will 
continue to be governed by Environmental Protection Agency regulations 
published November 25, 1971, at 36 FR 22382. Applicable regulations of 
the Department of Treasury are at 26 CFR 1.169 et seq.

[43 FR 1340, Jan. 9, 1978]



Sec. 20.2  Definitions.

    As used in this part, the following terms shall have the meaning 
indicated below:
    (a) Act means, when used in connection with water pollution control 
facilities, the Federal Water Pollution Control Act, as amended (33 
U.S.C. 1251 et seq.) or, when used in connection with air pollution 
control facilities, the Clean Air Act, as amended (42 U.S.C. 1857 et 
seq.).
    (b) State certifying authority means:
    (1) For water pollution control facilities, the State pollution 
control agency as defined in section 502 of the Act.
    (2) For air pollution control facilities, the air pollution control 
agency designated pursuant to section 302(b)(1) of the Act; or
    (3) For both air and water pollution control facilities, any 
interstate agency authorized to act in place of the certifying agency of 
a State.
    (c) Applicant means any person who files an application with the 
Administrator for certification that a facility is in compliance with 
the applicable regulations of Federal agencies and in furtherance of the 
general policies of the United States for cooperation with the States in 
the prevention and abatement of water or air pollution under the Act.
    (d) Administrator means the Administrator, Environmental Protection 
Agency.
    (e) Regional Administrator means the Regional designee appointed by 
the Administrator to certify facilities under this part.
    (f) Facility means property comprising any new identifiable 
treatment facility which removes, alters, disposes of, stores, or 
prevents the creation of pollutants, contaminants, wastes, or heat.
    (g) State means the States, the District of Columbia, the 
Commonwealth of Puerto Rico, the Canal Zone, Guam, American Samoa, the 
Virgin Islands, and the Trust Territory of the Pacific Islands.

[36 FR 22382, Nov. 25, 1971, as amended at 43 FR 1340, Jan. 9, 1978]



Sec. 20.3  General provisions.

    (a) An applicant shall file an application in accordance with this 
part for each separate facility for which certification is sought; 
Provided, That one application shall suffice in the case of 
substantially identical facilities which the applicant has installed or 
plans to install in connection with substantially identical properties; 
Provided further, That an application may incorporate by reference 
material contained in an application previously submitted by the 
applicant under this part and pertaining to substantially identical 
facilities.
    (b) The applicant shall, at the time of application to the State 
certifying authority, submit an application in the form prescribed by 
the Administrator to the Regional Administrator for the region in which 
the facility is located.
    (c) Applications will be considered complete and will be processed 
when the Regional Administrator receives the completed State 
certification.
    (d) Applications may be filed prior or subsequent to the 
commencement of construction, acquisition, installation, or operation of 
the facility.
    (e) An amendment to an application shall be submitted in the same 
manner as the original application and shall be considered a part of the 
original application.

[[Page 205]]

    (f) If the facility is certified by the Regional Administrator, 
notice of certification will be issued to the Secretary of the Treasury 
or his delegate, and a copy of the notice shall be forwarded to the 
applicant and to the State certifying authority. If the facility is 
denied certification, the Regional Administrator will advise the 
applicant and State certifying authority in writing of the reasons 
therefor.
    (g) No certification will be made by the Regional Administrator for 
any facility prior to the time it is placed in operation and the 
application, or amended application, in connection with such facility so 
states.
    (h) An applicant may appeal any decision of the Regional 
Administrator which:
    (1) Denies certification;
    (2) Disapproves the applicant's suggested method of allocating costs 
pursuant to Sec. 20.8(e); or
    (3) Revokes a certification pursuant to Sec. 20.10.

Any such appeal may be taken by filing with the Administrator within 30 
days from the date of the decision of the Regional Administrator a 
written statement of objections to the decision appealed from. Within 60 
days after receipt of such appeal the Administrator shall affirm, 
modify, or revoke the decision of the Regional Administrator, stating in 
writing his reasons therefor.

[36 FR 22382, Nov. 25, 1971, as amended at 43 FR 1340, Jan. 9, 1978]



Sec. 20.4  Notice of intent to certify.

    (a) On the basis of applications submitted prior to the 
construction, reconstruction, erection, acquisition, or operation of a 
facility, the Regional Administrator may notify applicants that such 
facility will be certified if:
    (1) The Regional Administrator determines that such facility, if 
constructed, reconstructed, erected, acquired, installed, and operated 
in accordance with such application will be in compliance with 
requirements identified in Sec. 20.8; and if
    (2) The application is accompanied by a statement from the State 
certifying authority that such facility, if constructed, reconstructed, 
acquired, erected, installed, and operated in accordance with such 
application, will be in conformity with the State program or 
requirements for abatement or control of water or air pollution.
    (b) Notice of actions taken under this section will be given to the 
appropriate State certifying authority.



Sec. 20.5  Applications.

    Applications for certification under this part shall be submitted in 
such manner as the Administrator may prescribe, shall be signed by the 
applicant or agent thereof, and shall include the following information:
    (a) Name, address, and Internal Revenue Service identifying number 
of the applicant;
    (b) Type and narrative description of the new identifiable facility 
for which certification is (or will be) sought, including a copy of 
schematic or engineering drawings, and a description of the function and 
operation of such facility;
    (c) Address (or proposed address) of facility location;
    (d) A general description of the operation in connection with which 
the facility is (or will be) used and a description of the specific 
process or processes resulting in discharges or emissions which are (or 
will be) controlled or prevented by the facility.
    (e) If the facility is (or will be) used in connection with more 
than one plant or other property, one or more of which were not in 
operation before January 1, 1976, a description of the operations of the 
facility in respect to each plant or other property, including a 
reasonable allocation of the costs of the facility among the plants 
being serviced, and a description of the reasoning and accounting method 
or methods used to arrive at these allocations.
    (f) A description of the effect of the facility in terms of type and 
quantity of pollutants, contaminants, wastes, or heat, removed, altered, 
stored, disposed of, or prevented by the facility.
    (g) If the facility performs a function other than removal, 
alteration, storage, prevention, or disposal of pollutants, 
contaminants, wastes, or heat, a description of all functions performed 
by the facility, including a reasonable identification of the costs of 
the facility allocable to removal, alteration,

[[Page 206]]

storage, prevention, or disposal of pollutants, contaminants, wastes, or 
heat and a description of the reasoning and accounting method or methods 
used to arrive at the allocation.
    (h) Date when such construction, reconstruction, or erection will be 
completed or when such facility was (or will be) acquired;
    (i) Date when such facility is placed (or is intended to be placed) 
in operation;
    (j) Identification of the applicable State and local water or air 
pollution control requirements and standards, if any;
    (k) Expected useful life of facility;
    (l) Cost of construction, acquisition, installation, operation, and 
maintenance of the facility;
    (m) Estimated profits reasonably expected to be derived through the 
recovery of wastes or otherwise in the operation of the facility over 
the period referred to in paragraph (a)(6) of 26 CFR 1.169-2;
    (n) The percentage (if any, and if the taxpayer claims that the 
percentage is 5 percent or less) by which the facility (1) increases the 
output or capacity, (2) extends the useful life, or (3) reduces the 
total operating costs of the operating unit of the plant or other 
property most directly associated with the pollution control facility 
and a description of the reasoning and accounting method or methods used 
to arrive at this percentage.
    (o) Such other information as the Administrator deems necessary for 
certification.

[36 FR 22382, Nov. 25, 1971, as amended at 43 FR 1340, Jan. 9, 1978]



Sec. 20.6  State certification.

    The State certification shall be by the State certifying authority 
having jurisdiction with respect to the facility in accordance with 26 
U.S.C. 169(d)(1)(A) and (d)(2). The certification shall state that the 
facility described in the application has been constructed, 
reconstructed, erected, or acquired in conformity with the State program 
or requirements for abatement or control of water or air pollution. It 
shall be executed by an agent or officer authorized to act on behalf of 
the State certifying authority.



Sec. 20.7  General policies.

    (a) The general policies of the United States for cooperation with 
the States in the prevention and abatement of water pollution are: To 
enhance the quality and value of our water resources; to eliminate or 
reduce the pollution of the nation's waters and tributaries thereof; to 
improve the sanitary condition of surface and underground waters; and to 
conserve such waters for public water supplies, propagation of fish and 
aquatic life and wildlife, recreational purposes, and agricultural, 
industrial, and other legitimate uses.
    (b) The general policy of the United States for cooperation with the 
States in the prevention and abatement of air pollution is to cooperate 
with and to assist the States and local governments in protecting and 
enhancing the quality of the Nation's air resources by the prevention 
and abatement of conditions which cause or contribute to air pollution 
which endangers the public health or welfare.



Sec. 20.8  Requirements for certification.

    (a) Subject to Sec. 20.9, the Regional Administrator will certify a 
facility if he makes the following determinations:
    (1) It has been certified by the State certifying authority.
    (2) That the facility:
    (i) Removes, alters, disposes of, stores, or prevents the creation 
of pollutants, contaminants, wastes, or heat, which, but for the 
facility, would be released into the environment;
    (ii) Does not by a factor or more than 5 percent: (A) Increase the 
output or capacity, (B) extend the useful life, or (C) reduce the total 
operating costs of the operating unit (of the plant or other property) 
most directly associated with the pollution control facility; and
    (iii) Does not significantly alter the nature of the manufacturing 
or production process or facility.
    (3) The applicant is in compliance with all regulations of Federal 
agencies applicable to use of the facility, including conditions 
specified in any NPDES permit issued to the applicant under section 402 
of the Act.
    (4) The facility furthers the general policies of the United States 
and the

[[Page 207]]

States in the prevention and abatement of pollution.
    (5) The applicant has complied with all the other requirements of 
this part and has submitted all requested information.
    (b) In determining whether use of a facility furthers the general 
policies of the United States and the States in the prevention and 
abatement of water pollution, the Regional Administrator shall consider 
whether such facility is consistent with the following, insofar as they 
are applicable to the waters which will be affected by the facility:
    (1) All applicable water quality standards, including water quality 
criteria and plans of implementation and enforcement established 
pursuant to section 303 of the Act or State laws or regulations;
    (2) Decisions issued pursuant to section 310 of the Act;
    (3) Water pollution control programs required pursuant to any one or 
more of the following sections of the Act: Section 306, section 307, 
section 311, section 318, or section 405; or in order to be consistent 
with a plan under section 208.
    (c) In determining whether use of a facility furthers the general 
policies of the United States and the States in the prevention and 
abatement of air pollution, the Regional Administrator shall consider 
whether such facility is consistent with and meets the following 
requirements, insofar as they are applicable to the air which will be 
affected by the facility;
    (1) Plans for the implementation, maintenance, and enforcement of 
ambient air quality standards adopted or promulgated pursuant to section 
110 of the Act;
    (2) Recommendations issued pursuant to sections 103(e) and 115 of 
the Act which are applicable to facilities of the same type and located 
in the area to which the recommendations are directed;
    (3) Local government requirements for control of air pollution, 
including emission standards;
    (4) Standards promulgated by the Administrator pursuant to the Act.
    (d) A facility that removes elements or compounds from fuels that 
would be released as pollutants when such fuels are burned is eligible 
for certification if the facility is--
    (1) Used in connection with a plant or other property in operation 
before January 1, 1976 (whether located and used at a particular plant 
or as a centralized facility for one or more plants), and
    (2) Is otherwise eligible for certification.
    (e) Where a facility is used in connection with more than one plant 
or other property, one or more of which were not in operation before 
January 1, 1976, or where a facility will perform a function other than 
the removal, alteration, storage, disposal, or prevention of pollutants, 
contaminants, wastes, or heat, the Regional Administrator will so 
indicate on the notice of certification and will approve or disapprove 
the applicant's suggested method of allocating costs. If the Regional 
Administrator disapproves the applicant's suggested method, he shall 
identify the proportion of costs allocable to each such plant, or to the 
removal, alteration, storage, disposal, or prevention of pollutants, 
contaminants, wastes, or heat.

[36 FR 22382, Nov. 25, 1971, as amended at 43 FR 1341, Jan. 9, 1978]



Sec. 20.9  Cost recovery.

    Where it appears that, by reason of estimated profits to be derived 
through the recovery of wastes, through separate charges for use of the 
facility in question, or otherwise in the operation of such facility, 
all or a portion of its costs may be recovered over the period referred 
to in paragraph (a)(6) of 26 CFR 1.169-2, the Regional Administrator 
shall so signify in the notice of certification. Determinations as to 
the meaning of the term estimated profits and as to the percentage of 
the cost of a certified facility which will be recovered over such 
period shall be made by the Secretary of the Treasury, or his delegate: 
Provided, That in no event shall estimated profits be deemed to arise 
from the use or reuse by the applicant of recovered waste.



Sec. 20.10  Revocation.

    Certification hereunder may be revoked by the Regional Administrator

[[Page 208]]

on 30 days written notice to the applicant, served by certified mail, 
whenever the Regional Administrator shall determine that the facility in 
question is no longer being operated consistent with the Sec. 20.8 (b) 
and (c) criteria in effect at the time the facility was placed in 
service. Within such 30-day period, the applicant may submit to the 
Regional Administrator such evidence, data or other written materials as 
the applicant may deem appropriate to show why the certification 
hereunder should not be revoked. Notification of a revocation under this 
section shall be given to the Secretary of the Treasury or his delegate. 
See 26 CFR 1.169-4(b)(1).

           Appendix A to Part 20--Guidelines for Certification

1. General.
2. Air Pollution Control Facilities.
a. Pollution control or treatment facilities normally eligible for 
certification.
b. Air pollution control facility boundaries.
c. Examples of eligibility limits.
d. Replacement of manufacturing process by another nonpolluting process.
3. Water Pollution Control Facilities.
a. Pollution control or treatment facilities normally eligible for 
certification.
b. Examples of eligibility limits.
4. Multiple-purpose facilities.
5. Facilities serving both old and new plants.
6. State certification.
7. Dispersal of pollutants.
8. Profit-making facilities.
9. Multiple applications.

    1. General. Section 2112 of the Tax Reform Act of 1976 (Pub. L. 94-
455, October 4, 1976) amended section 169 of the Internal Revenue Code 
of 1954, ``Amortization of Pollution Control Facilities.'' The amendment 
made permanent the rapid amortization provisions of section 704 of the 
Tax Reform Act of 1969 (Pub. L. 91-172, December 30, 1969) and redefined 
eligibility limits to allow certification of facilities which prevent 
the creation or emission of pollutants.
    The law defines a certified pollution control facility as a new 
identifiable treatment facility which is:
    (a) Used in connection with a plant or other property in operation 
before January 1, 1976, to abate or control air or water pollution by 
removing, altering, disposing of, storing, or preventing the creation or 
emission of pollutants, contaminants, wastes, or heat;
    (b) Constructed, reconstructed, erected or (if purchased) first 
placed in service by the taxpayer after December 31, 1975;
    (c) Not to significantly increase the output or capacity, extend the 
useful life, alter the nature of the manufacturing or production process 
or facility or reduce the total operating costs of the operating unit of 
the plant or other property most directly associated with the pollution 
control facility (as suggested by the legislative history, EPA 
regulations define the term significant as any increase, reduction or 
extension greater than 5%); and
    (d) Certified by both State and Federal authorities, as provided in 
section 169(d)(1) (A) and (B) of the Internal Revenue Code.
    If the facility is a building, the statute requires that it be 
exclusively devoted to pollution control. Most questions as to whether a 
facility is a building and, if so, whether it is exclusively devoted to 
pollution control are resolved by Sec. 1.169-2(b)(2) of the Treasury 
Department regulations.
    Since a treatment facility is eligible only if it furthers the 
general policies of the United States under the Clean Air Act and the 
Clean Water Act, a facility will be certified only if its purpose is to 
improve the quality of the air or water outside the plant. Facilities to 
protect the health or safety of employees inside the plant are not 
eligible.
    Facilities installed before January 1, 1976, in plants placed in 
operation after December 31, 1968, are ineligible for certification 
under the statute. 26 U.S.C. 169.
    2. Air pollution control facilities.
    a. Pollution control or treatment facilities normally eligible for 
certification. The following devices are illustrative of facilities for 
removal, alteration, disposal, storage or preventing the creation or 
emission of air pollution:
    (1) Inertial separators (cyclones, etc.).
    (2) Wet collection devices (scrubbers).
    (3) Electrostatic precipitators.
    (4) Cloth filter collectors (baghouses).
    (5) Director fired afterburners.
    (6) Catalytic afterburners.
    (7) Gas absorption equipment.
    (8) Vapor condensers.
    (9) Vapor recovery systems.
    (10) Floating roofs for storage tanks.
    (11) Fuel cleaning equipment.
    (12) Combinations of the above.
    (b) Air Pollution control facility boundaries. Most facilities are 
systems consisting of several parts. A facility need not start at the 
point where the gaseous effluent leaves the last unit of the processing 
equipment, nor will it always extend to the point where the effluent is 
emitted to the atmosphere or existing stack, breeching, ductwork or 
vent. It includes all the auxiliary equipment used to operate the 
control system, such as fans, blowers, ductwork, valves, dampers and 
electrical equipment. It also includes all equipment used to handle, 
store, transport or dispose of the collected pollutants.

[[Page 209]]

    (c) Examples of eligibility limits. The amortization deduction is 
limited to new identifiable treatment facilities which remove, alter, 
destroy, dispose of, store, or prevent the creation or emission of 
pollutants, contaminants or wastes. It is not available for all 
expenditures for air pollution control and is limited to devices which 
are installed for the purpose of pollution control and which actually 
remove, alter, destroy, dispose of, store or prevent the creation or 
emission of pollutants by removing potential pollutants at any stage of 
the production process.
    (1) Boiler modifications or replacements. Modifications of boilers 
to accommodate cleaner fuels are not eligible for rapid amortization: 
e.g., removal of stokers from a coal-fired boiler and the addition of 
gas or oil burners. The purpose of the burners is to produce heat, and 
they are not identifiable as treatment facilities nor do they prevent 
the creation or emission of pollutants by removing potential pollutants. 
A new gas or oil-fired boiler that replaces a coal-fired boiler would 
also be ineligible for certification.
    (2) Fuel processing. Eligible air pollution control facilities 
include preprocessing equipment which removes potential air pollutants 
from fuels before they are burned. A desulfurization facility would thus 
be eligible provided it is used in connection with the plant where the 
desulfurized coal will be burned or is used as a centralized facility 
for one or more plants. However, fluidized bed facilities would 
generally not be eligible for rapid amortization. Such facilities would 
almost certainly increase output or capacity, reduce total operating 
costs, or extend the useful life of the plant or other property by more 
than 5%, since the boiler itself would be the operating unit of the 
plant most closely associated with the pollution control facility. Where 
the Regional Office and the taxpayer disagree as to the applicability of 
the 5% rule, the Regional office should nonetheless certify the facility 
if it is otherwise eligible and leave the ultimate determination to the 
Treasury Department. The certification should alert Treasury to the 
possibility that the facility is ineligible for rapid amortization.
    (3) Incinerators. The addition of an afterburner, secondary 
combustion chamber or particulate collector would be eligible as would 
any device added to effect more efficient combustion.
    (4) Collection devices used to collect products or process material. 
In some manufacturing operations, devices are used to collect product or 
process material, as in the case of the manufacture of carbon black. The 
baghouse would be eligible for certification, but the certification 
should notify the Treasury Department of the profitable waste recovery 
involved. (See paragraph 8 below.)
    (5) Intermittent control systems. Measuring devices which inform the 
taxpayer that ambient air quality standards are being exceeded are not 
eligible for certification since they do not physically remove, alter, 
destroy, dispose of, store or prevent the creation or emission of 
pollutants, but merely act as a signal to curtail operations. Of course, 
measuring devices used in connection with an eligible pollution control 
facility would be eligible.
    d. Replacement of manufacturing process by another, nonpolluting 
process. An installation does not qualify for certification where it 
uses a process known to be cleaner than an alternative, but which does 
not actually remove, alter, destroy, dispose of, store or prevent the 
creation or emission of pollutants by removing potential pollutants at 
any stage in the production process. For example, a minimally polluting 
electric induction furnace to melt cast iron which replaces, or is 
installed instead of, a heavily polluting iron cupola furnace would be 
ineligible for this reason and because it is not an identifiable 
treatment facility. However, if the replacement equipment has an air 
pollution control device added to it, the control device would be 
eligible even though the process equipment would not. For example, where 
a primary copper smelting reverberatory furnace is replaced by a flash 
smelting furnace, followed by the installation of a contact sulfuric 
acid plant, the acid plant would qualify since it is a control device 
not necessary to the production process. The flash smelting furnace 
would not qualify because its purpose is to produce copper matte.
    3. Water Pollution Control Facilities.
    a. Pollution control or treatment facilities normally eligible for 
certification. The following types of equipment are illustrative of 
facilities to remove, alter, destroy, store or prevent the creation of 
water pollution:
    (1) Pretreatment facilities which neutralize or stabilize industrial 
or sanitary wastes, or both, from a point immediately preceding the 
point of such treatment to the point of disposal to, and acceptance by, 
a publicly-owned treatment works. The necessary pumping and transmitting 
facilities are also eligible.
    (2) Treatment facilities which neutralize or stabilize industrial or 
sanitary wastes, or both, to comply with Federal, State or local 
effluent or water quality standards, from a point immediately preceding 
the point of such treatment to the point of disposal, including 
necessary pumping and transmitting facilities, including those for 
recycle or segregation of wastewater.
    (3) Ancillary devices and facilities such as lagoons, ponds and 
structures for storage, recycle, segregation or treatment, or any 
combination of these, of wastewaters or wastes from a plant or other 
property.
    (4) Devices, equipment or facilities constructed or installed for 
the primary purpose of recovering a by-product of the operation

[[Page 210]]

(saleable or otherwise) previously lost either to the atmosphere or to 
the waste effluent. Examples are:
    (A) A facility to concentrate and recover vaporous by-products from 
a process stream for reuse as raw feedstock or for resale, unless the 
estimated profits from resale exceed the cost of the facility (see 
paragraph 8 below).
    (B) A facility to concentrate or remove gunk or similar tars or 
polymerized tar-like materials from the process waste effluent 
previously discharged in the plant effluents. Removal may occur at any 
stage of the production process.
    (C) A device used to extract or remove insoluble constitutents from 
a solid or liquid by use of a selective solvent; an open or closed tank 
or vessel in which such extraction or removal occurs; a diffusion 
battery of tanks or vessels for countercurrent decantation, extraction, 
or leaching, etc.
    (D) A skimmer or similar device for removing grease, oils and fat-
like materials from the process or effluent stream.
    (b) Examples of eligibility limits.
    (1) In-plant process changes which may result in the reduction or 
elimination of pollution but which do not themselves remove, alter, 
destroy, dispose of, store or prevent the creation of pollutants by 
removing potential pollutants at some point in the process stream are 
not eligible for certification.
    (2) A device, piece of equipment or facility is not eligible if it 
is associated with or included in a stream for subsurface injection of 
untreated or inadequately treated industrial or sanitary waste.
    4. Multiple-purpose facilities. A facility can qualify for rapid 
amortization if it serves a function other than the abatement of 
pollution (unless it is a building). Otherwise, the effect might be to 
discourage installation of sensible pollution abatement facilities in 
favor of less efficient single-function facilities.
    The regulations require applicants to state what percentage of the 
cost of a facility is properly allocable to its abatement function and 
to justify the allocation. The Regional Office will review these 
allocations, and the certification will inform the Treasury Department 
if the allocation appears to be incorrect. Although not generally 
necessary or desireable, site inspections may be appropriate in cases 
involving large sums of money or unusual types of equipment.
    5. Facilities serving both old and new plants. The statute provides 
that pollution control facilities must be used in connection with a 
plant or other property in operation before January 1, 1976. When a 
facility is used in connection with both pre-1976 and newer property, it 
may qualify for rapid amortization to the extent it is used in 
connection with pre-1976 property.
    Again, the applicant will submit a theory of allocation for review 
by the Regional Office. The usual method of allocation is to compare the 
effluent capacity of the pre-1976 plant to the treatment capacity of the 
control facility. For example, if the old plant has a capacity of 80 
units of effluent (but an average output of 60 units), the new plant has 
a capacity of 40 units (but an average output of 20 units), and the 
control facility has a capacity of 150 units, then \80/150\ of the cost 
of the control facility would be eligible for rapid amortization.
    If a taxpayer presents a seemingly reasonable method of allocation 
different from the foregoing, Regional Office personnel should consult 
with the Office of Air Quality Planning and Standards or the Office of 
Water Planning and Standards, and with the Office of General Counsel.
    6. State certification. To qualify for rapid amortization under 
section 169, a facility must first be certified by the State as having 
been installed ``in conformity with the State program or requirements 
for abatement or control of water or atmospheric pollution or 
contamination.'' Significantly, the statute does not say that the State 
must require that a facility be installed. If use of a facility will not 
actually contravene a State requirement, the State may certify. However, 
since State certification is a prerequisite to EPA certification, EPA 
may not certify if the State has denied certification for whatever 
reason.
    It should be noted that certification of a facility does not 
constitute the personal warranty of the certifying official that the 
conditions of the statute have been met. EPA certification is binding on 
the Government only to the extent the submitted facts are accurate and 
complete.
    7. Dispersal of pollutants. Section 169 applies to facilities which 
remove, alter, destroy, dispose of, store or prevent the creation or 
emission of pollutants--including heat. Facilities which merely disperse 
pollutants (such as tall stacks) do not qualify. However, there is no 
way to dispose of heat other than by transferring B.t.u.'s to the 
environment. A cooling tower is therefore eligible for certification 
provided it is used in connection with a pre-1976 plant. A cooling pond 
or an addition to an outfall structure which results in a decrease in 
the amount by which the temperature of the receiving water is raised and 
which meets applicable State standards is likewise eligible.
    8. Profit-making facilities. The statute denies rapid amortization 
where the cost of pollution control facilities will be recovered from 
profits derived through the recovery or wastes or otherwise.
    If a facility recovers marketable wastes, estimated profits on which 
are not sufficient to recover the entire cost of the facility, the

[[Page 211]]

amortization basis of the facility will be reduced in accordance with 
Treasury Department regulations. The responsibility of the Regional 
Offices is merely to identify for the Treasury Department those cases in 
which estimated profits will arise. The Treasury Department will 
determine the amount of such profits and the extent to which they can be 
expected to result in cost recovery, but the EPA certification should 
inform the Treasury whether cost recovery is possible.
    The phrase or otherwise also includes situations where the taxpayer 
is in the business of renting the facility for a fee or charging for the 
treatment of waste. In such cases, the facility may theoretically 
qualify for EPA certification. The decision as to the extent of its 
profitability is for the Treasury Department. Situations may also arise 
where use of a facility is furnished at no additional charge to a number 
of users, or to the public, as part of a package of other services. In 
such cases, no profits will be deemed to arise from operation of the 
facility unless the other services included in the package are merely 
ancillary to use of the facility. Of course, the cost recovery provision 
does not apply where a taxpayer merely recovers the cost of a facility 
through general revenues; otherwise no profitable firm would ever be 
eligible for rapid amortization.
    It should be noted that Sec. 20.9 of the EPA regulation is not meant 
to affect general principles of Federal income tax law. An individual 
other than the title holder of a piece of property may be entitled to 
take depreciation deductions on it if the arrangements by which such 
individual has use of the property may, for all practical purposes, be 
viewed as a purchase. In any such case, the facility could qualify for 
full rapid amortization, notwithstanding the fact that the title holder 
charges a separate fee for the use of the facility, so long as the 
taxpayer--in such a case, the user--does not charge a separate fee for 
use of the facility.
    9. Multiple applications. Under EPA regulations, a multiple 
application may be submitted by a taxpayer who applies for certification 
of substantially identical pollution abatement facilities used in 
connection with substantially identical properties. It is not 
contemplated that the multiple application option will be used with 
respect to facilities in different States, since each such facility 
would require a separate application for certification to the State 
involved. EPA regulations also permit an applicant to incorporate by 
reference in an application material contained in an application 
previously filed. The purpose of this provision is to avoid the burden 
of furnishing detailed information (which may in some cases include 
portions of catalogs or process flow diagrams) which the certifying 
official has previously received. Accordingly, material filed with a 
Regional Office of EPA may be incorporated by reference only in an 
application subsequently filed with the same Regional Office.

[47 FR 38319, Aug. 31, 1982]



PART 21--SMALL BUSINESS--Table of Contents




Sec.
21.1  Scope.
21.2  Definitions.
21.3  Submission of applications.
21.4  Review of application.
21.5  Issuance of statements.
21.6  Exclusions.
21.7  [Reserved]
21.8  Resubmission of application.
21.9  Appeals.
21.10  Utilization of the statement.
21.11  Public participation.
21.12  State issued statements.
21.13  Effect of certification upon authority to enforce applicable 
          standards.

    Authority: 15 U.S.C. 636, as amended by Pub. L. 92-500.

    Source: 42 FR 8083, Feb. 8, 1977, unless otherwise noted.



Sec. 21.1  Scope.

    This part establishes procedures for the issuance by EPA of the 
statements, referred to in section 7(g) of the Small Business Act and 
section 8 of the Federal Water Pollution Control Act Amendments of 1972, 
to the effect that additions to or alterations in the equipment, 
facilities (including the construction of pretreatment facilities and 
interceptor sewers), or methods of operations of small business concerns 
are necessary and adequate to comply with requirements established under 
the Federal Water Pollution Control Act, 33 U.S.C. 1151, et seq.



Sec. 21.2  Definitions.

    (a) Small business concern means a concern defined by section 2[3] 
of the Small Business Act, 15 U.S.C. 632, 13 CFR part 121, and 
regulations of the Small Business Administration promulgated thereunder.
    (b) For purposes of paragraph 7(g)(2) of the Small Business Act, 
necessary and adequate refers to additions, alterations, or methods of 
operation in the absence of which a small business concern could not 
comply with one or more applicable standards. This can be determined 
with reference to design specifications provided by manufacturers, 
suppliers, or consulting engineers;

[[Page 212]]

including, without limitations, additions, alterations, or methods of 
operation the design specifications of which will provide a measure of 
treatment or abatement of pollution in excess of that required by the 
applicable standard.
    (c) Applicable Standard means any requirement, not subject to an 
exception under Sec. 21.6, relating to the quality of water containing 
or potentially containing pollutants, if such requirement is imposed by:
    (1) The Act;
    (2) EPA regulations promulgated thereunder or permits issued by EPA 
or a State thereunder;
    (3) Regulations by any other Federal Agency promulgated thereunder;
    (4) Any State standard or requirement as applicable under section 
510 of the Act;
    (5) Any requirements necessary to comply with an areawide management 
plan approved pursuant to section 208(b) of the Act;
    (6) Any requirements necessary to comply with a facilities plan 
developed under section 201 of the Act (see 35 CFR, subpart E);
    (7) Any State regulations or laws controlling the disposal of 
aqueous pollutants that may affect groundwater.
    (d) Regional Administrator means the Regional Administrator of EPA 
for the region including the State in which the facility or method of 
operation is located, or his designee.
    (e) Act means the Federal Water Pollution Control Act, 33 U.S.C. 
1151, et seq.
    (f) Pollutant means dredged spoil, solid waste, incinerator residue, 
sewage, garbage, sewage sludge, munitions, chemical wastes, biological 
materials, radioactive materials, heat, wrecked or discarded equipment, 
rock, sand, cellar dirt and industrial, municipal, and agricultural 
waste discharged into water. For the purposes of this section, the term 
also means sewage from vessels within the meaning of section 312 of the 
Act.
    (g) Permit means any permit issued by either EPA or a State under 
the authority of section 402 of the Act; or by the Corps of Engineers 
under section 404 of the Act.
    (h) State means a State, the District of Columbia, the Commonwealth 
of Puerto Rico, the Virgin Islands, Guam, American Samoa, and the Trust 
Territory of the Pacific Islands.

    Comment: As the SBA does not extend its programs to the Canal Zone, 
the listing of the Canal Zone as a State for the purposes of meeting a 
requirement imposed by section 311 or 312 of the Act is not effective in 
this regulation.

    (i) Statement means a written approval by EPA, or if appropriate, a 
State, of the application.
    (j) Facility means any building, structure, installation or vessel, 
or portion thereof.
    (k) Construction means the erection, building, acquisition, 
alteration, remodeling, modification, improvement, or extension of any 
facility; Provided, That it does not mean preparation or undertaking of: 
Plans to determine feasibility; engineering, architectural, legal, 
fiscal, or economic investigations or studies; surveys, designs, plans, 
writings, drawings, specifications or procedures.

    Comment: This provision would not later preclude SBA financial 
assistance being utilized for any planning or design effort conducted 
previous to construction.

    (l) The term additions and alterations means the act of undertaking 
construction of any facility.
    (m) The term methods of operation means the installation, 
emplacement, or introduction of materials, including those involved in 
construction, to achieve a process or procedure to control: Surface 
water pollution from non-point sources--that is, agricultural, forest 
practices, mining, construction; ground or surface water pollution from 
well, subsurface, or surface disposal operations; activities resulting 
in salt water intrusion; or changes in the movement, flow, or 
circulation of navigable or ground waters.
    (n) The term vessel means every description of watercraft or other 
artificial contrivance used, or capable of being used, as a means of 
transportation on the navigable waters of the United States other than a 
vessel owned or operated by the United States or a State or a political 
subdivision thereof, or a foreign nation; and is used

[[Page 213]]

for commercial purposes by a small business concern.
    (o) EPA means the Environmental Protection Agency.
    (p) SBA means the Small Business Administration.
    (q) Areawide agency means an areawide management agency designated 
under section 208(c)(1) of the Act.
    (r) Lateral sewer means a sewer which connects the collector sewer 
to the interceptor sewer.
    (s) Interceptor sewer means a sewer whose primary purpose is to 
transport wastewaters from collector sewers to a treatment facility.



Sec. 21.3  Submission of applications.

    (a) Applications for the statement described in Sec. 21.5 of this 
part shall be made to the EPA Regional Office for the region covering 
the State in which the additions, alterations, or methods of operation 
covered by the application are located. A listing of EPA Regional 
Offices, with their mailing addresses, and setting forth the States 
within each region is as follows:

----------------------------------------------------------------------------------------------------------------
                Region                                 Address                               State
----------------------------------------------------------------------------------------------------------------
I.....................................  Regional Administrator, region I,      Connecticut, Maine,
                                         EPA, John F. Kennedy Federal Bldg.,    Massachusetts, New Hampshire,
                                         room 2303, Boston, MA 02203.           Rhode Island, and Vermont.
II....................................  Regional Administrator, region II,     New Jersey, New York, Virgin
                                         EPA, 26 Federal Plaza, room 908, New   Islands, and Puerto Rico.
                                         York, NY 10007.
III...................................  Regional Administrator, region III,    Delaware, District of Columbia,
                                         EPA, Curtis Bldg., 6th and Walnut      Pennsylvania, Maryland,
                                         Sts., Philadelphia, PA 19106.          Virginia, and West Virginia.
IV....................................  Regional Administrator, region IV,     Alabama, Florida, Georgia,
                                         EPA, 345 Courtland St. NE., Atlanta,   Kentucky, Mississippi, North
                                         GA 30308.                              Carolina, South Carolina, and
                                                                                Tennessee.
V.....................................  Regional Administrator, region V,      Illinois, Indiana, Michigan,
                                         EPA, 77 West Jackson Boulevard,        Minnesota, Ohio, and Wisconsin.
                                         Chicago, IL 60604.
VI....................................  Regional Administrator, region VI,     Arkansas, Louisiana, New Mexico,
                                         EPA, 1201 Elm St., 27th floor, First   Oklahoma, and Texas.
                                         International Bldg., 70 Dallas, TX
                                         75201.
VII...................................  Regional Administrator, region VII,    Iowa, Kansas, Missouri, and
                                         EPA, 1735 Baltimore Ave., Kansas       Nebraska.
                                         City, MO 64108.
VIII..................................  Regional Administrator, region VIII,   Colorado, Montana, North Dakota,
                                         EPA, 1860 Lincoln St., Suite 900,      South Dakota, Utah, and Wyoming.
                                         Denver, CO 80203.
IX....................................  Regional Administrator, region IX,     Arizona, California, Hawaii,
                                         EPA, 100 California St., San           Nevada, Guam, American Samoa,
                                         Francisco, CA 94111.                   and Trust Territory of the
                                                                                Pacific Islands.
X.....................................  Regional Administrator, region X,      Alaska, Idaho, Oregon, and
                                         EPA, 1200 6th Ave., Seattle, WA        Washington.
                                         98101.
----------------------------------------------------------------------------------------------------------------

    (b) An application described in paragraph (1) of Sec. 21.3(c) may be 
submitted directly to the appropriate State, where a State has assumed 
responsibility for issuing the statement. Information on whether EPA has 
retained responsibility for certification or whether it has been assumed 
by the State may be obtained from either the appropriate Regional 
Administrator or the State Water Pollution Control Authority in which 
the facility is located.
    (c) An application need be in no particular form, but it must be in 
writing and must include the following:
    (1) Name of applicant (including business name, if different) and 
mailing address. Address of the affected facility or operation, if 
different, should also be included.
    (2) Signature of the owner, partner, or principal executive officer 
requesting the statement.
    (3) The Standard Industrial Classification number for the business 
for which an application is being submitted. Such SIC number shall be 
obtained from the Standard Industrial Classification Manual, 1972 
edition. If the applicant does not know the SIC for the business, a 
brief description of the type of business activity being conducted 
should be provided.
    (4) A description of the process or activity generating the 
pollution to be abated by the additions, alterations, or methods of 
operation covered by the application, accompanied by a schematic diagram 
of the major equipment and process, where practicable.
    (5) A specific description of the additions, alterations, or methods 
of operation covered by the application. Where appropriate, such 
description will include a summary of the facility

[[Page 214]]

construction to be undertaken; a listing of the major equipment to be 
purchased or utilized in the operation of the facility; the purchase of 
any land or easements necessary to the operation of the facility; and 
any other items that the applicant deems pertinent. Any information that 
the applicant considers to be a trade secret shall be identified as 
such.
    (6) A declaration of the requirement, or requirements, for 
compliance with which the alterations, additions, or methods of 
operation are claimed to be necessary and adequate.
    (i) If the requirement results from a permit issued by EPA or a 
State under section 402 of the Act, the permit number shall be included.
    (ii) If the requirement results from a permit issued by EPA or a 
State for a publicly-owned treatment works, the municipal permit number 
shall be included along with a written declaration from the authorized 
agent for the publicly owned treatment works that received the permit 
detailing the specific pretreatment requirements being placed upon the 
applicant.
    (iii) If the requirement initiates from a plan to include the 
applicant's effluent in an existing municipal sewer system through the 
construction of lateral or interceptor sewers, a written declaration 
from the authorized agent for the publicly owned treatment works shall 
be included noting that the sewer construction is consistent with the 
integrity of the system; will not result in the capacity of the publicly 
owned treatment works being exceeded; and where applicable, is 
consistent with a facilities plan developed under section 201 of the Act 
(see 35 CFR part 917).
    (iv) If the requirement results from a State order, regulation, or 
other enforceable authority controlling pollution from a vessel as 
provided by section 312(f)(3) of the Act, a written declaration from the 
authorized agent of the State specifying the control measures being 
required of the applicant shall be included.
    (v) If the requirement is a result of a permit issued by the Corps 
of Engineers related to permits for dredged or fill material as provided 
by section 404 of the Act, a copy of the permit as issued shall be 
included.
    (vi) If the requirement results from a standard of performance for 
control of sewage from vessels as promulgated by the Coast Guard under 
section 312(b) of the Act, the vessel registration number or 
documentation number shall be included.
    (vii) If the requirement results from a plan to control or prevent 
the discharge or spill of pollutants as identified in section 311 of the 
Act, the title and date of that plan shall be included.
    (viii) If the requirement is the result of an order by a State or an 
areawide management agency controlling the disposal of aqueous 
pollutants so as to protect groundwater, a copy of the order as issued 
shall be included.
    (7) Additionally, if the applicant has received from a State Water 
Pollution Control Agency a permit issued by the State within the 
preceding two years, and if such permit was not issued under the 
authorities of section 402 of the Act, and where the permit directly 
relates to abatement of the discharge for which a statement is sought, a 
copy of that permit shall also be included.

    Comment: Some States under State permit programs, separate and 
distinct from the NPDES permit program under the Act, conduct an 
engineering review of the facilities or equipment that would be used to 
control pollution. The results of such a review would be materially 
helpful in determining the necessity and adequacy of any alterations or 
additions.

    (8) Any written information from a manufacturer, supplier, or 
consulting engineer, or similar independent source, concerning the 
design capabilities of the additions or alterations covered by the 
application, including any warranty limitations or certifications 
obtained from or provided by such sources which would bear upon these 
design or performance capabilities. The Regional Administrator may waive 
the requirement for this paragraph if it appears that there is no 
independent source for the information described herein; as, for 
example, when the applicant has designed and constructed the additions 
or alterations with in-house capability.
    (9) An estimated schedule for the construction or implementation of 
the

[[Page 215]]

alterations, additions, or methods of operation.
    (10) An estimated cost of the alterations, additions, or methods of 
operation, and where practicable, the individual costs of major elements 
of the construction to be undertaken.
    (11) Information on previously received loan assistance under this 
section for the facility or method of operation, including a description 
and dates of the activity funded.
    (d) A separate application must be submitted for every addition, 
alteration, or method of operation that is at a separate geographical 
location from the initial application.

    Comment: As an example, a chain has four dry cleaning establishments 
scattered through a community. A separate application would have to be 
filed for each.

    (e) No statement shall be approved for any application that has not 
included the information or declaration requirements imposed by 
paragraph (c)(6) of Sec. 21.3.
    (f) All applications are to be submitted in duplicate.
    (g) All applications are subject to the provisions of 18 U.S.C. 1001 
regarding prosecution for the making of false statements or the 
concealing of material facts.
    (h) Instructional guidelines to assist in the submission of 
applications for EPA certification are available from EPA or a 
certifying State.

[42 FR 8083, Feb. 8, 1977, as amended at 62 FR 1833, Jan. 14, 1997]



Sec. 21.4  Review of application.

    (a) The Regional Administrator or his designee will conduct a review 
of the application. This review will consist of a general assessment of 
the adequacy of the proposed alterations, additions, or methods of 
operation. The review will corroborate that the proposed alterations, 
additions, or methods of operation are required by an applicable 
standard. The review will identify any proposed alterations, additions, 
or methods of operation that are not required by an applicable standard, 
or that are extraneous to the achievement of an applicable standard.
    (b) The assessment of adequacy will be conducted to ensure that the 
proposed additions, alterations, or methods of operation are sufficient 
to meet one or more applicable standards whether alone or in conjunction 
with other plans. The assessment will not generally examine whether 
other alternatives exist or would be more meritorious from a cost-
effective, efficiency, or technological standpoint.
    (c) An application which proposes additions, alterations, or methods 
of operation whose design, in anticipation of a future requirement, will 
achieve a level of performance above the requirements imposed by a 
presently applicable standard shall be reviewed and approved by EPA or a 
State without prejudice. The amount of financial assistance for such an 
application will be determined by SBA.
    (d) The Regional Administrator shall retain one copy of the 
application and a summary of the action taken on it. Upon completion of 
his review, the Regional Administrator shall return the original 
application along with any other supporting documents or information 
provided to the applicant along with a copy to the appropriate SBA 
district office for processing.



Sec. 21.5  Issuance of statements.

    (a) Upon application by a small business concern pursuant to 
Sec. 21.3 the Regional Administrator will, if he finds that the 
additions, alterations, or methods of operation covered by the 
application are adequate and necessary to comply with an applicable 
standard, issue a written statement to the applicant to that effect, 
within 45 working days following receipt of the application, or within 
45 working days following receipt of all information required to be 
submitted pursuant to Sec. 21.3(c), whichever is later. Such a written 
statement shall be classified as a full approval. If an application is 
deficient in any respect, with regard to the specifications for 
submission listed in Sec. 21.3(c), the Regional Administrator shall 
promptly, but in no event later than 30 working days following receipt 
of the application, notify the applicant of such deficiency.
    (b)(1) If an application contains proposed alterations, additions, 
or methods of operation that are adequate and necessary to comply with 
an applicable

[[Page 216]]

standard but also contains proposed alterations, additions, or methods 
of operation that are not necessary to comply with an applicable 
standard, the Regional Administrator shall conditionally approve the 
application within the time limit specified in paragraph (a) of this 
section, and shall also identify in the approval those alterations, 
additions, or methods of operation that he determines are not necessary.
    (2) Conditional approvals as contained in a statement will satisfy 
the requirements for approval by EPA for those alterations, additions, 
or methods of operation determined to be necessary and adequate. Such 
conditional approvals may be submitted to SBA in satisfaction of the 
requirements of section 7(g)(2)(B) of the Small Business Act.
    (3) Conditional approvals will not satisfy the requirements for 
approval by EPA for those alterations, additions, or methods of 
operation included in the application that are determined not to be 
necessary. Unnecessary alterations, additions, or methods of operation 
are those which are extraneous to the achievement of an applicable 
standard.
    (4) Conditional approvals may be appealed to the Deputy 
Administrator by an applicant in accordance with the procedures 
identified in Sec. 21.8.
    (c) If the Regional Administrator determines that the additions, 
alterations, or methods of operation covered by an application are not 
necessary and adequate to comply with an applicable standard, he shall 
disapprove the application and shall so advise the applicant of such 
determination within the time limit specified in paragraph (a) of this 
section, and shall state in writing the reasons for his determination.
    (d) Any application shall be disapproved if the Regional 
Administrator determines that the proposed addition, alteration, or 
method of operation would result in the violation of any other 
requirement of this Act, or of any other Federal or State law or 
regulation with respect to the protection of the environment.
    (e) An applicant need not demonstrate that its facility or method of 
operation will meet all applicable requirements established under the 
Act. The applicant need only demonstrate that the additions, 
alterations, or methods of operation will assist in ensuring compliance 
with one or more of the applicable standards for which financial 
assistance is being requested.

    Comment: As an example, a small business has two discharge pipes--
one for process water, the other for cooling water. The application for 
loan assistance is to control pollution from the process water 
discharge. However, EPA or a State may review the applicant's situation 
and identify for SBA that the applicant is subject to other requirements 
for which the applicant has not sought assistance.

    (f) An application should not include major alternative designs 
significantly differing in scope, concept, or capability. It is expected 
that the applicant at the time of submission will have selected the most 
appropriate or suitable design for the addition, alteration, or method 
of operation.
    (g) EPA will not provide assistance in the form of engineering, 
design, planning or other technical services to any applicant in the 
preparation of his application.
    (h) An applicant may be issued a certification for additions, 
alterations, or methods of operation constructed or undertaken before 
loan assistance was applied for by the applicant. Any such applications 
would be reviewed by SBA for eligibility under SBA criteria, including 
refinancing and loan exposure.



Sec. 21.6  Exclusions.

    (a) Statements shall not be issued for applications in the following 
areas:
    (1) Local requirements. Applications for statements for additions, 
alterations, or methods of operation that result from requirements 
imposed by municipalities, counties or other forms of local or regional 
authorities and governments, except for areawide management agencies 
designated and approved under section 208 of the Act, shall not be 
approved; except for those requirements resulting from the application 
of pretreatment requirements under section 307(b) of the Act; or those 
resulting from an approved project for facilities plans, and developed 
under section 201 of the Act. (See 35 CFR,

[[Page 217]]

subpart E); or under a delegation of authority under the Act.
    (2) Cost recovery and user charges. Applications for statements 
involving a request for financial assistance in meeting revenue and 
service charges imposed upon a small business by a municipality 
conforming to regulations governing a user charge or capital cost system 
under section 204(b)(2) of the Act (see 35 CFR 925-11 and 925-12) shall 
not be approved.
    (3) New facility sewer construction. Applications for statements 
involving projects that involve the construction of a lateral, 
collection, or interceptor sewer, at a facility that was not in 
existence on October 18, 1972, shall not be approved. Applications for 
additions, alterations, or methods of operation for new facilities that 
do not involve sewer construction are not affected by this preclusion. 
Further, if an applicant is compelled to move as a result of a 
relocation requirement but operated at the facility prior to October 18, 
1972, the cost of construction for a lateral, collection, or interceptor 
sewer can be approved for the new, relocated site. For the purpose of 
this exclusion lateral, collection, or interceptor sewer is determined 
as any sewer transporting waste from a facility or site to any publicly 
owned sewer.
    (4) Other non-water related pollution abatement additions, 
alterations, or methods of operation which are not integral to meeting 
the requirements of the Act, although they may be achieving the 
requirements of another Federal or State law or regulation.

    Comment: An example would be where stack emission controls were 
required on equipment that operated the water pollution control 
facility. This emission control equipment as an integral part of the 
water pollution control systems would be approvable. However, emission 
control equipment for a general purpose incinerator that only 
incidentally burned sewage sludge would not be approvable. The general 
purpose incinerator might also receive loan assistance but under 
separate procedures than those set out for water pollution control.

    (5) Privately owned treatment facility service or user costs. 
Applications for statements involving financial assistance in meeting 
user cost or fee schedules related to participating in a privately owned 
treatment facility not under the ownership or control of the applicant 
shall not be approved.
    (6) Operation and maintenance charges. Applications for statements 
containing a request for financial assistance in meeting the operations 
and maintenance costs of operating the applicant's additions, 
alterations, or methods of operation shall not be approved for any 
elements relating to such areas of cost.
    (7) Evidence of financial responsibility. Applications for 
statements containing a request for financial assistance in meeting any 
requirements relating to evidence of financial responsibility as 
provided in section 311(p) of the Act shall not be approved.



Sec. 21.7  [Reserved]

    Comment: Applications for a statement resulting from a requirement 
to control pollution from non-point sources as identified in section 
304(e)(2)(A-F) of the Act and described in Sec. 21.2(m) will not 
presently be issued a statement under Sec. 21.5 unless the requirement 
is established through a permit under section 402. There is no 
requirement under the current Act that the Federal Government control 
pollution from such sources, and the nature and scope of State or 
areawide management agency proposals or programs to control such sources 
cannot be determined at this time. As State and areawide plans for 
control of nonpoint sources being prepared under section 208 of the Act, 
will not be completed for several years, this section is being reserved 
pending a future determination on the eligibility of applications 
relating to non-profit sources to receive a statement under this part.



Sec. 21.8  Resubmission of application.

    (a) A small business concern whose application is disapproved may 
submit an amended or corrected application to the Regional Administrator 
at any time. The applicant shall provide the date of any previous 
application.
    (b) [Reserved]



Sec. 21.9  Appeals.

    (a) An applicant aggrieved by a determination of a Regional 
Administrator under Sec. 21.5 may appeal in writing to the Deputy 
Administrator of the Environmental Protection Agency, within 30 days of 
the date of the determination from which an appeal is taken;

[[Page 218]]

Provided, That the Deputy Administrator may, on good cause shown, accept 
an appeal at a later time.
    (b) The applicant in requesting such an appeal shall submit to the 
Deputy Administrator a copy of the complete application as reviewed by 
the Regional Administrator.
    (c) The applicant should also provide information as to why it 
believes the determination made by the Regional Administrator to be in 
error.
    (d) The Deputy Administrator shall act upon such appeal within 60 
days of receipt of any complete application for a review of the 
determination.
    (e) Where a State has been delegated certification authority, the 
procedure for appeals shall be established in the State submission 
required in Sec. 21.12.



Sec. 21.10  Utilization of the statement.

    (a) Statements issued by the Regional Administrator will be mailed 
to the small business applicant and to the district office of the Small 
Business Administration serving the geographic area where the business 
is located. It is the responsibility of the applicant to also forward 
the statement to SBA as part of the application for a loan.
    (b) Any statement or determination issued under Sec. 21.5 shall not 
be altered, modified, changed, or destroyed by any applicant in the 
course of providing such statement to SBA. To do so can result in the 
revocation of any approval contained in the statement and subject the 
applicant to the penalties provided in 18 U.S.C. 1001.
    (c) If an application for which a statement is issued under 
Sec. 21.5 is substantively changed in scope, concept, design, or 
capability prior to the approval by SBA of the financial assistance 
requested, the statement as issued shall be revoked. The applicant must 
resubmit a revised application under Sec. 21.3 and a new review must be 
conducted. Failure to meet the requirements of this paragraph could 
subject the applicant to the penalties specified in 18 U.S.C. 1001 and 
18 U.S.C. 286. A substantive change is one which materially affects the 
performance or capability of the proposed addition, alteration, or 
method of operation.
    (d) An agency, Regional Administrator, or State issuing a statement 
under Sec. 21.5 shall retain a complete copy of the application for a 
period of five years after the date of issuance of the statement. The 
application shall be made available upon request for inspection or use 
at any time by any agency of the Federal Government.
    (e) No application for a statement or for financial assistance under 
this section or statement issued under this section shall constitute or 
be construed as suspending, modifying, revising, abrogating or otherwise 
changing the requirements imposed on the applicant by the terms, 
conditions, limitations or schedules of compliance contained in an 
applicable standard, permit, or other provision established or 
authorized under the Act or any State or local statute, ordinance or 
code.
    (f) No statement as issued and reviewed shall be construed as a 
waiver to the applicants fulfilling the requirements of any State or 
local law, statute, ordinance, or code (including building, health, or 
zoning codes).
    (g) An amended application need not be submitted if the facility, 
property, or operation for which the statement is issued is sold, 
leased, rented, or transferred by the applicant to another party prior 
to approval by SBA of the financial assistance: Provided, That there is 
or will be no substantive change in the scope, concept, design, 
capability, or conduct of the facility or operation.

    Comment: However, eligibility for financial assistance would be 
reexamined by SBA with regard to any such sale, lease, rental or 
transfer.

    (h) The Regional Administrator may include in any statement a date 
of expiration, after which date the approval by the Regional 
Administrator contained in the statement shall no longer apply. The date 
of expiration shall not become effective if the applicant has submitted 
the statement to the SBA, prior to the date of expiration, as part of 
the application for financial assistance.



Sec. 21.11  Public participation.

    (a) Applications shall not generally be subject to public notice, 
public comment, or public hearings. Applications during the period of 
review as stated in Sec. 21.5, or during the period of appeal as

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provided in Sec. 21.8, shall be available for public inspection. 
Approved applications as provided in Sec. 21.10(d) shall be available 
for public inspection at all times during the five year period.
    (b) The Regional Administrator, if he believes that the addition, 
alteration, or method of operation may adversely and significantly 
affect an interest of the public, shall provide for a public notice and/
or public hearing on the application. The public notice and/or public 
hearing shall be conducted in accordance with the procedures specified 
for a permit under 40 CFR 125.32 and 125.34(b).
    (c) Where the applicant is able to demonstrate to the satisfaction 
of the Regional Administrator that disclosure of certain information or 
parts thereof as provided in Sec. 21.3(c)(5) would result in the 
divulging of methods or processes entitled to protection as trade 
secrets, the Regional Administrator shall treat the information or the 
particular part as confidential in accordance with the purposes of 
section 1905 of Title 18 of the United States Code and not release it to 
any unauthorized person. Provided, however, That if access to such 
information is subsequently requested by any person, there will be 
compliance with the procedures specified in 40 CFR part 2. Such 
information may be disclosed to other officers, employees, or authorized 
representatives of the United States concerned with carrying out the Act 
or when relevant in any proceeding under the Act.



Sec. 21.12  State issued statements.

    (a) Any State after the effective date of these regulations may 
submit to the Regional Administrator for his approval an application to 
conduct a program for issuing statements under this section.
    (1) A State submission shall specify the organizational, legal, 
financial, and administrative resources and procedures that it believes 
will enable it to conduct the program.
    (2) The State program shall constitute an equivalent effort to that 
required of EPA under this section.
    (3) The State organization responsible for conducting the program 
should be the State water pollution control agency, as defined in 
section 502 of the Act.
    (4) The State submission shall propose a procedure for adjudicating 
applicant appeals as provided under Sec. 21.9.
    (5) The State submission shall identify any existing or potential 
conflicts of interest on the part of any personnel who will or may 
review or approve applications.
    (i) A conflict of interest shall exist where the reviewing official 
is the spouse of or dependent (as defined in the Tax Code, 26 U.S.C. 
152) of an owner, partner, or principal officer of the small business, 
or where he has or is receiving from the small business concern 
applicant 10 percent of gross personal income for a calendar year, 
except that it shall mean 50 percent gross personal income for a 
calendar year if the recipient is over 60 yea