[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2010 Edition]
[From the U.S. Government Printing Office]



[[Page 1]]

          

          40


          Part 1 to 49

                         Revised as of July 1, 2010


          Protection of Environment
          



________________________

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2010
          With Ancillaries
                    Published by
                    Office of the Federal Register
                    National Archives and Records
                    Administration
                    A Special Edition of the Federal Register

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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........................     849
      Alphabetical List of Agencies Appearing in the CFR......     869
      List of CFR Sections Affected...........................     879

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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, 2010), 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, 2001, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, 1973-1985, or 1986-2000, published in eleven separate 
volumes. For the period beginning January 1, 2001, a ``List of CFR 
Sections Affected'' is published at the end of each CFR volume.

``[RESERVED]'' TERMINOLOGY

    The term ``[Reserved]'' is used as a place holder within the Code of 
Federal Regulations. An agency may add regulatory information at a 
``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used 
editorially to indicate that a portion of the CFR was left vacant and 
not accidentally dropped due to a printing or computer error.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
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if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed as 
an approved incorporation by reference, please contact the agency that 
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CFR INDEXES AND TABULAR GUIDES

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separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Authorities 
and Rules. A list of CFR titles, chapters, subchapters, 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.

[[Page vii]]

    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

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    Raymond A. Mosley,
    Director,
    Office of the Federal Register.
    July 1, 2010.







[[Page ix]]



                               THIS TITLE

    Title 40--Protection of Environment is composed of thirty-two 
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 
of part 52), parts 53-59, part 60 (60.1-end of part 60, sections), part 
60 (Appendices), parts 61-62, part 63 (63.1-63.599), part 63 (63.600-
63.1199), part 63 (63.1200-63.1439), part 63 (63.1440-63.6175), part 63 
(63.6580-63.8830), part 63 (63.8980-end of part 63) parts 64-71, parts 
72-80, parts 81-84, part 85-Sec.  86.599-99, part 86 (86.600-1-end of 
part 86), parts 87-99, parts 100-135, 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, parts 790-999, and part 1000 to end. 
The contents of these volumes represent all current regulations codified 
under this title of the CFR as of July 1, 2010.

    Chapter I--Environmental Protection Agency appears in all thirty-two 
volumes. Regulations issued by the Council on Environmental Quality, 
including an Index to Parts 1500 through 1508, appear in the volume 
containing part 1000 to end. The OMB control numbers for title 40 appear 
in Sec.  9.1 of this chapter.

    For this volume, Susannah C. Hurley was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Michael L. White, assisted by Ann Worley.

[[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




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


  Editorial Note: Nomenclature changes to chapter I appear at 65 FR 
47324, 47325, Aug. 2, 2000, and 66 FR 34375, 34376, June 28, 2001.

                          SUBCHAPTER A--GENERAL
Part                                                                Page
1               Statement of organization and general 
                    information.............................           5
2               Public information..........................          23
3               Cross-media electronic reporting............          70
4               Uniform relocation assistance and real 
                    property acquisition for Federal and 
                    federally assisted programs.............          81
5               Nondiscrimination on the basis of sex in 
                    education programs or activities 
                    receiving Federal financial assistance..          81
6               Procedures for implementing the National 
                    Environmental Policy Act and assessing 
                    the environmental effects abroad of EPA 
                    actions.................................          98
7               Nondiscrimination in programs or activities 
                    receiving Federal assistance from the 
                    Environmental Protection Agency.........         115
8               Environmental impact assessment of 
                    nongovernmental activities in Antarctica         133
9               OMB approvals under the Paperwork Reduction 
                    Act.....................................         140
10              Administrative claims under Federal Tort 
                    Claims Act..............................         163
11              Security classification regulations pursuant 
                    to Executive Order 11652................         167
12              Nondiscrimination on the basis of handicap 
                    in programs or activities conducted by 
                    the Environmental Protection Agency.....         171
13              Claims collection standards.................         177
14              Employee personal property claims...........         194
16              Implementation of Privacy Act of 1974.......         197
17              Implementation of the Equal Access to 
                    Justice Act in EPA administrative 
                    proceedings.............................         209

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18              Environmental protection research 
                    fellowships and special research 
                    consultants for environmental protection         214
19              Adjustment of civil monetary penalties for 
                    inflation...............................         217
20              Certification of facilities.................         219
21              Small business..............................         227
22              Consolidated rules of practice governing the 
                    administrative assessment of civil 
                    penalties and the revocation/termination 
                    or suspension of permits................         236
23              Judicial review under EPA-administered 
                    statutes................................         261
24              Rules governing issuance of and 
                    administrative hearings on interim 
                    status corrective action orders.........         263
25              Public participation in programs under the 
                    Resource Conservation and Recovery Act, 
                    the Safe Drinking Water Act, and the 
                    Clean Water Act.........................         271
26              Protection of human subjects................         281
27              Program fraud civil remedies................         307
29              Intergovernmental review of Environmental 
                    Protection Agency programs and 
                    activities..............................         324
            SUBCHAPTER B--GRANTS AND OTHER FEDERAL ASSISTANCE
30              Uniform administrative requirements for 
                    grants and agreements with institutions 
                    of higher education, hospitals, and 
                    other non-profit organizations..........         329
31              Uniform administrative requirements for 
                    grants and cooperative agreements to 
                    State and local governments.............         356
33              Participation by disadvantaged business 
                    enterprises in United States 
                    Environmental Protection Agency programs         391
34              New restrictions on lobbying................         407
35              State and local assistance..................         419
36              Governmentwide requirements for drug-free 
                    workplace (financial assistance)........         700
40              Research and demonstration grants...........         706
45              Training assistance.........................         715
46              Fellowships.................................         717
47              National Environmental Education Act grants.         722
49              Tribal Clean Air Act authority..............         724

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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, 1200 Pennsylvania 
Ave., NW., 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 1200 Pennsylvania Ave., NW., 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 Resource Conservation and Recovery. The Office of 
Resource Conservation and Recovery, under the supervision of a Director, 
is responsible for the solid and hazardous waste activities of the 
Agency. In particular,

[[Page 21]]

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; 
74 FR 30229, June 25, 2009]



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.

[[Page 22]]

    (b) Office of Water Regulations and Standards. The Office of Water 
Regulations and Standards, under the supervision of a Director, is 
responsible for 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

[[Page 23]]

develop stronger State government organizations and programs which 
foster ground-water protection. The Office directs and coordinates 
Agency analysis 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_Procedures for Disclosure of Records Under the Freedom of 
                             Information Act

Sec.
2.100 General provisions.
2.101 Where requests for records are to be filed.
2.102 Procedures for making requests.
2.103 Responsibility for responding to requests.
2.104 Responses to requests and appeals.
2.105 Exemption categories.
2.106 Preservation of records.
2.107 Fees.
2.108 Other rights and services.

            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.

[[Page 24]]

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_Procedures for Disclosure of Records Under the Freedom of 
                             Information Act

    Source: 67 FR 67307, Nov. 5, 2002, unless otherwise noted.



Sec. 2.100  General provisions.

    (a) This subpart contains the rules that the Environmental 
Protection Agency (EPA or Agency) follows in processing requests for 
records under the Freedom of Information Act (FOIA), 5 U.S.C. 552. The 
Agency also has rules that it follows in processing Freedom of 
Information (FOI) requests for records submitted to it as Confidential 
Business Information (CBI). Such records are covered in subpart B of 
this part. Requests made by individuals for records about themselves 
under the Privacy Act of 1974 which are processed under 40 CFR part 16, 
will also be treated as FOIA requests under this subpart. This ensures 
that the requestor has access to all responsive records. Information 
routinely provided to the public as part of a regular EPA activity may 
be provided to the public without following this subpart.

[[Page 25]]

    (b) 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 these sources.



Sec. 2.101  Where requests for records are to be filed.

    (a) You may request records by writing to the Records, FOIA, and 
Privacy Branch, Office of Environmental Information, Environmental 
Protection Agency, 1200 Pennsylvania Avenue (2822T), NW, Washington, DC 
20460; e-mail: hq.foia@epa.gov. You may also access EPA Headquarters and 
Regional Freedom of Information Offices' Web sites at http://
www.epa.gov/foia and submit a request via an online form. If you believe 
the records sought may be located in an EPA regional office, you should 
send your request to the appropriate regional FOI Officer as indicated 
in the following list:
    (1) Region I (CT, ME, MA, NH, RI, VT): EPA, FOI Officer, One 
Congress Street, Suite 1100, Boston, MA 02114-2023; e-mail: 
r1foia@epa.gov.
    (2) Region II (NJ, NY, PR, VI): EPA, FOI Officer, 290 Broadway, 26th 
Floor, New York, NY 10007-1866; e-mail: r2foia@epa.gov.
    (3) Region III (DE, DC, MD, PA, VA, WV): EPA, FOI Officer, 1650 Arch 
Street, Philadelphia, PA 19103-2029; e-mail: r3foia@epa.gov.
    (4) Region IV (AL, FL, GA, KY, MS, NC, SC, TN): EPA, Freedom of 
Information Officer, Sam Nunn Atlanta Federal Center, 61 Forsyth Street, 
SW., Atlanta, GA 30303-8960; e-mail: r4foia@epa.gov.
    (5) Region V (IL, IN, MI, MN, OH, WI): EPA. Freedom of Information 
Officer, 77 West Jackson Boulevard, Chicago, IL 60604-3507; e-mail: 
r5foia@epa.gov.
    (6) Region VI (AR, LA, NM, OK, TX): EPA, Freedom of Information 
Officer, 1445 Ross Avenue, Dallas, TX 75202-2733; e-mail: 
r6foia@epa.gov.
    (7) Region VII (IA, KS, MO, NE): EPA, Freedom of Information 
Officer, 901 North Fifth Street, Kansas City, KS 66101; e-mail: 
r7foia@epa.gov.
    (8) Region VIII (CO, MT, ND, SD, UT, WY): EPA, Freedom of 
Information Officer, 999 18th Street, Suite 500, Denver, CO 80202-2466, 
e-mail: r8foia@epa.gov.
    (9) Region IX (AZ, CA, HI, NV, AS, GU): EPA, Freedom of Information 
Officer, 75 Hawthorne Street, San Francisco, CA 94105; e-mail: 
r9foia@epa.gov.
    (10) Region X (AK, ID, OR, WA): EPA, Freedom of Information Officer, 
1200 Sixth Avenue, Seattle, WA 98101; e-mail: r10foia@epa.gov.
    (b) EPA provides access to all records that the FOIA requires an 
agency to make regularly available for public inspection and copying. 
Each office is responsible for determining which of the records it 
generates are required to be made publicly available and for providing 
access by the public to them. The Agency will also maintain and make 
available for public inspection and copying a current subject-matter 
index of such records and provide a copy or a link to the respective Web 
site for Headquarters or the Regions. Each index will be updated 
regularly, at least quarterly, with respect to newly-included records.
    (c) All records created by EPA on or after November 1, 1996, which 
the FOIA requires an agency to make regularly available for public 
inspection and copying, will be made available electronically through 
EPA's worldwide Web site, located at http://www.epa.gov, or, upon 
request, through other electronic means. EPA will also include on its 
worldwide Web site the current subject-matter index of all such records.



Sec. 2.102  Procedures for making requests.

    (a) How made and addressed. You may make a request for EPA records 
that are not publicly available under Sec. 2.201(a)-(b) by writing 
directly to the appropriate FOI Officer, as listed in Sec. 2.101(a). 
Only written requests for records will be accepted for processing under 
this subpart. For records located at EPA Headquarters, or in those 
instances when you cannot determine where to send your request, you may 
send it to the Records, FOIA, and Privacy Branch, Office of 
Environmental Information, Environmental Protection Agency, 1200 
Pennsylvania Avenue, NW., Washington, DC 20460; e-

[[Page 26]]

mail: hq.foia@epa.gov. That office will forward your request to the 
regional FOI Office it believes most likely to have the records that you 
want. Your request will be considered received as of the date it is 
received by the correct FOI Office. Misdirected requests will not be 
considered received by EPA until the appropriate FOI Office receives the 
request. For proper handling, you should mark both your request letter 
and its envelope or e-mail subject line ``Freedom of Information Act 
Request.'' You should also include your name, mailing address, and 
daytime telephone number in the event we need to contact you.
    (b) EPA employees may attempt in good faith to comply with oral 
requests for inspection or disclosure of EPA records publicly available 
under Sec. 2.201(a)-(b) , but such requests are not subject to the FOIA 
or the regulations in this part.
    (c) Description of records sought. Your request should reasonably 
describe the records you are seeking in a way that will permit EPA 
employees to identify and locate them. Whenever possible, your request 
should include specific information about each record sought, such as 
the date, title or name, author, recipient, and subject matter. If 
known, you should include any file designations or descriptions for the 
records that you want. The more specific you are about the records or 
type of records that you want, the more likely EPA will be able to 
identify and locate records responsive to your request. If EPA 
determines that your request does not reasonably describe the records, 
it will tell you either what additional information you need to provide 
or why your request is otherwise insufficient. EPA will also give you an 
opportunity to discuss and modify your request to meet the requirements 
of this section. Should it be necessary for you to provide a revised 
description of the records you are seeking, the time necessary to do so 
will be excluded from the statutory 20 working day period (or any 
authorized extension of time) that EPA has to respond to your request as 
discussed in Sec. 2.104.
    (d) Agreement to pay fees. If you make a FOIA request, EPA will 
consider your request to be an agreement that you will pay all 
applicable fees charged under Sec. 2.107, up to $25.00, unless you seek 
a waiver of fees. The EPA office responsible for responding to your 
request ordinarily will confirm this agreement in writing. When making a 
request, you may specify a willingness to pay a greater or lesser 
amount. Should it be necessary for you to provide a written agreement to 
pay additional fees, the time necessary to do so will be excluded from 
the statutory 20 working day period (or any authorized extension of 
time).



Sec. 2.103  Responsibility for responding to requests.

    (a) In general. Except as stated in paragraphs (c), (d), (e), and 
(f) of this section, the EPA office that has possession of that record 
is the office responsible for responding to you. In determining which 
records are within the scope of a request, an office will ordinarily 
include only those records in its possession as of the date the request 
was received in the Headquarters or Regional FOI Office. If any other 
date is used, the office will inform you of that date.
    (b) Authority to grant or deny requests. The head of an office, or 
that individual's designee, is authorized to grant or deny any request 
for a record of that office or other Agency records when appropriate.
    (c) Authority to grant or deny fee waivers or requests for expedited 
treatment. The head of the Headquarters FOIA Office and Regional FOI 
Officers, or their designees, are authorized to grant or deny fee 
waivers or requests for expedited treatment.
    (d) Consultations and referrals. When a request to EPA seeks records 
in its possession that originated with another Federal agency, the EPA 
office receiving the request shall either:
    (1) Consult with the Federal agency where the record or portion 
thereof originated and then respond to your request, or
    (2) Direct the FOI Office to refer your request to the Federal 
agency where the record or portion thereof originated. Whenever all or 
any part of the responsibility for responding to a request has been 
referred to another

[[Page 27]]

agency, the FOI Office will notify you accordingly.
    (e) Law enforcement information. Whenever a request is made for a 
record containing information that relates to an investigation of a 
possible violation of law and was originated by another agency, the 
receiving office will either direct the FOI Office to refer the request 
to that other agency or consult with that other agency prior to making 
any release determination.



Sec. 2.104  Responses to requests and appeals.

    (a) Unless the Agency and the requester have agreed otherwise, or 
when unusual circumstances exist as provided in paragraph (e) of this 
section, EPA offices will respond to requests no later than 20 working 
days from the date the request is received and logged in by the 
appropriate FOI Office. EPA will ordinarily respond to requests in the 
order in which they were received. If EPA fails to respond to your 
request within the 20 working day period, or any authorized extension of 
time, you may seek judicial review to obtain the records without first 
making an administrative appeal.
    (b) On receipt of a request, the FOI Office ordinarily will send a 
written acknowledgment advising you of the date it was received and of 
the processing number assigned to the request for future reference.
    (c) Multitrack processing. The Agency uses three or more processing 
tracks by distinguishing between simple and complex requests based on 
the amount of work and/or time needed to process the request, including 
limits based on the number of pages involved. The Agency will advise you 
of the processing track in which your request has been placed and of the 
limits of the different processing tracks. The Agency may place your 
request in its slower track(s) while providing you the opportunity to 
limit the scope of your request in order to qualify for faster 
processing within the specified limits of the faster track(s). If your 
request is placed in a slower track, the Agency will contact you either 
by telephone or by letter, whichever is most efficient in each case.
    (d) Unusual circumstances. When the statutory time limits for 
processing a request cannot be met because of ``unusual circumstances,'' 
as defined in the FOIA, and the time limits are extended on that basis, 
you will be notified in writing, as soon as practicable, of the unusual 
circumstances and of the date by which processing of the request should 
be completed. When the extension is for more than 10 working days, the 
Agency will provide you with an opportunity either to modify the request 
so that it may be processed within the 10 working day time limit 
extension or to arrange an alternative time period for processing the 
original or modified request.
    (e) Expedited processing. (1) Requests or appeals will be taken out 
of order and given expedited treatment whenever EPA determines that such 
requests or appeals involve a compelling need, as follows:
    (i) Circumstances in which the lack of expedited treatment could 
reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual; or
    (ii) An urgency to inform the public about an actual or alleged 
Federal government activity, if the information is requested by a person 
primarily engaged in disseminating information to the public.
    (2) A request for expedited processing must be made at the time of 
the initial request for records or at the time of appeal.
    (3) If you are seeking expedited processing, you must submit a 
statement, certified to be true and correct to the best of your 
knowledge and belief, explaining in detail the basis for the request. 
For example, if you fit within the category described in paragraph 
(e)(1)(ii) of this section and are not a full-time member of the news 
media, you must establish that you are a person whose primary 
professional activity or occupation is information dissemination, 
although it need not be your sole occupation. If you fit within the 
category described in paragraph (e)(1)(ii) of this section, you must 
also establish a particular urgency to inform the public about the 
government

[[Page 28]]

activity involved in the request, beyond the public's right to know 
about government activity generally.
    (4) Within 10 calendar days from the date of your request for 
expedited processing, the head of the Headquarters FOI Staff or Regional 
FOI Officer will decide whether to grant your request and will notify 
you of the decision. If your request for expedited treatment is granted, 
the request will be given priority and will be processed as soon as 
practicable. If your request for expedited processing is denied, any 
appeal of that decision will be acted on expeditiously.
    (f) Grants of requests. Once an office makes a determination to 
grant a request in whole or in part, it will release the records or 
parts of records to you and notify you of any applicable fee charged 
under Sec. 2.107. Records released in part will be annotated, whenever 
technically feasible, with the applicable FOIA exemption(s) at that part 
of the record from which the exempt information was deleted.
    (g) Adverse determinations of requests. Once the Agency makes an 
adverse determination of a request, the requestor will be notified of 
that determination in writing. An adverse determination consists of a 
determination to withhold any requested record in whole or in part; a 
determination that a requested record does not exist or cannot be 
located; a determination that what has been requested is not a record 
subject to the FOIA; a determination on any disputed fee matter, 
including a denial of a request for a fee waiver; or a denial of a 
request for expedited treatment.
    (h) Initial denials of requests. 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. However, the authority to issue initial denials of 
requests for existing, located records (other than initial denials based 
solely on Sec. 2.204(d)(1)) may be redelegated only to persons 
occupying positions not lower than division director or equivalent. Each 
letter will include:
    (1) The name and title or position of the person responsible for the 
denial;
    (2) A brief statement of the reason(s) for the denial, including an 
identification of records being withheld (individual, or if a large 
number of similar records are being denied, by described category), and 
any FOIA exemption applied by the office in denying the request;
    (3) An estimate of the volume of records or information withheld, in 
number of pages or in some other reasonable form of estimation. This 
estimate does not need to be provided if the volume is otherwise 
indicated through annotated deletions on records disclosed in part, or 
if providing an estimate would harm an interest protected by an 
applicable exemption; and
    (4) A statement that the denial may be appealed under, and a 
description of the requirements of, paragraph (j) of this section.
    (i) Denial of fee waiver. The letter denying a request for a fee 
waiver or expedited treatment will be signed by the head of the 
Headquarters FOI Staff or Regional FOI Officers.
    (j) Appeals of adverse determinations. If you are dissatisfied with 
any adverse determination of your request by an office, you may appeal 
that determination to the Headquarters Freedom of Information Staff, 
Records, Privacy and FOIA Branch, Office of Information Collection, 
Office of Environmental Information, Environmental Protection Agency, 
1200 Pennsylvania Avenue (2822T), NW., Washington, DC 20460; e-mail: 
hq.foia@epa.gov. The appeal must be made in writing, and it must be 
submitted to the Headquarters FOI Staff no later than 30 calendar days 
from the date of the letter denying the request. The Agency will not 
consider appeals received after the 30-day limit. The appeal letter may 
include as much or as little related information as you wish, as long as 
it clearly identifies the determination being appealed (including the 
assigned FOIA request number, if known). For quickest possible handling, 
the appeal letter and its envelope should be marked ``Freedom of 
Information Act Appeal.'' Unless the Administrator directs otherwise, 
the General Counsel or his/her designee will act on behalf of the 
Administrator on all appeals under this section, except that:

[[Page 29]]

    (1) In the case of an adverse initial determination by the General 
Counsel or his/her designee, the Administrator or his/her designee will 
act on the appeal;
    (2) The Counsel to the Inspector General will act on any appeal 
where the Inspector General or his/her designee has made the initial 
adverse determination; however, if the Counsel to the Inspector General 
has signed the initial adverse determination, the General Counsel or 
his/her designee will act on the appeal;
    (3) An adverse determination by the Administrator on an initial 
request will serve as the final action of the Agency; and
    (4) If a requester seeks judicial review because the Agency has not 
responded in a timely manner, any further action on an appeal will take 
place through the lawsuit.
    (k) The decision on your appeal will be made in writing, normally 
within 20 working days of its receipt by the Headquarters Freedom of 
Information Staff. A decision affirming an adverse determination in 
whole or in part will contain a statement of the reason(s) for the 
decision, including any FOIA exemption(s) applied, and inform you of the 
FOIA provisions for judicial review of the decision. If the adverse 
determination is reversed or modified on appeal, you will be notified in 
a written decision. This written decision will either have the requested 
information that has been determined on appeal to be releasable attached 
to it, or your request will be returned to the appropriate office so 
that it may be reprocessed in accordance with the appeal decision.
    (l) If you wish to seek judicial review of any adverse 
determination, you must first appeal that adverse determination under 
this section, except when EPA has not responded to your request within 
the statutory 20 working day time limit. In such cases, you may seek 
judicial review without making an administrative appeal.



Sec. 2.105  Exemption categories.

    (a) The FOIA, 5 U.S.C. 552(b), establishes the following nine 
categories of information which are exempt from the mandatory disclosure 
requirements of 5 U.S.C. 552(a):
    (1)(i) Specifically authorized under criteria established by an 
Executive Order to be kept secret in the interest of national defense or 
foreign policy; and
    (ii) 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 information or 
refers to particular types of information to be withheld;
    (4) Trade secrets and commercial or financial information obtained 
from a person and privileged or confidential;
    (5) Inter-agency or intra-agency memoranda or letters which would 
not be available by law to a party other than an agency in litigation 
with the affected agency;
    (6) Personnel and medical files and similar files the disclosure of 
which would constitute a clearly unwarranted invasion of personal 
privacy;
    (7) Records or information compiled for law enforcement purposes, 
but only to the extent that the production of such law enforcement 
records or information:
    (i) Could reasonably be expected to interfere with enforcement 
proceedings;
    (ii) Would deprive a person of a right to a fair trial or an 
impartial adjudication;
    (iii) Could reasonably be expected to constitute an unwarranted 
invasion of personal privacy;
    (iv) Could reasonably be expected to disclose the identity of a 
confidential 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

[[Page 30]]

conducting a lawful national security intelligence investigation, 
information furnished by a confidential source;
    (v) 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
    (vi) Could reasonably be expected to endanger the life or physical 
safety or any individual;
    (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 financial institutions; 
or
    (9) Geological and geophysical information and data, including maps, 
concerning wells.
    (b) [Reserved]



Sec. 2.106  Preservation of records.

    Each FOI Officer shall preserve all correspondence pertaining to the 
FOIA requests that it receives until disposition or destruction is 
authorized by title 44 of the United States Code or the National 
Archives and Records Administration's General Records Schedule 14. 
Copies of all responsive records should be maintained by the appropriate 
program office. Records shall not be disposed of while they are the 
subject of a pending request, appeal, or lawsuit under the FOIA.



Sec. 2.107  Fees.

    (a) In general. The Agency will charge for processing requests under 
the FOIA in accordance with paragraph (c) of this section, except where 
fees are limited under paragraph (d) of this section or where a waiver 
or reduction of fees is granted under paragraph (l) of this section. 
Requesters will pay fees by check or money order made payable to the 
U.S. Environmental Protection Agency.
    (b) Definitions. For purposes of this section:
    (1) Commercial use request means a request from or on behalf of a 
person who seeks information for a use or purpose that furthers his/her 
commercial, trade, or profit interests, which can include furthering 
those interests through litigation. FOI Officers will determine, 
whenever reasonably possible, the use to which a requester will put the 
requested records. When it appears that the requester will put the 
records to a commercial use, either because of the nature of the request 
itself or because an office has reasonable cause to doubt a requester's 
stated use, the FOI Officer will provide the requester a reasonable 
opportunity to submit further clarification.
    (2) Direct costs means those expenses that the Agency actually 
incurs in searching for and duplicating (and, in the case of commercial 
use requests, reviewing) records to respond to a FOIA request. Direct 
costs include, for example, the salary of the employee performing the 
work and the cost of operating duplication equipment. Not included in 
direct costs are overhead expenses such as the costs of space and 
heating or lighting of the facility in which the records are kept.
    (3) Duplication means the making of a copy of a record, or of the 
information contained in it, necessary to respond to a FOIA request. 
Copies can take the form of paper, microform, audiovisual materials, or 
electronic records (for example, magnetic tape, disk, or compact disk), 
among others. The Agency will honor a requester's specified preference 
of form or format of disclosure if the record is readily reproducible 
with reasonable efforts in the requested form or format.
    (4) Educational institution means a preschool, a public or private 
elementary or secondary school, an institution of undergraduate higher 
education, an institution of graduate higher education, an institution 
of professional education, or an institution of vocational education, 
that operates a program of scholarly research. To be in this category, a 
requester must show that the request is authorized by, and is made under 
the auspices of, a qualifying institution and that the records are not 
sought for a commercial use but are sought to further scholarly 
research.
    (5) Noncommercial scientific institution means an institution that 
is not operated on a ``commercial'' basis, as that term is defined in 
paragraph (b)(1) of

[[Page 31]]

this section, and that is operated solely for the purpose of conducting 
scientific research which is not intended to promote any particular 
product or industry. To be in this category, a requester must show that 
the request is authorized by, and is made under the auspices of, a 
qualifying institution and that the records are not sought for a 
commercial use but are sought to further scientific research.
    (6) Representative of the news media or news media requester means 
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 include 
television or radio stations broadcasting to the public at large and 
publishers of periodicals (but only in those instances where they can 
qualify as disseminators of ``news'') who make their products available 
for purchase or subscription by the general public. For ``freelance'' 
journalists to be regarded as working for a news organization, they must 
demonstrate a solid basis for expecting publication through that 
organization. A publication contract would be the clearest proof, but 
FOI Officers will also look to the past publication record of a 
requester in making this determination. To be in this category, a 
requester must not be seeking the requested records for a commercial 
use. A request for records supporting the news-dissemination function of 
the requester will not be considered to be for a commercial use.
    (7) Review means the examination of a record located in response to 
a request in order to determine whether any portion of it is exempt from 
disclosure. It also includes processing any record for disclosure (for 
example, doing all that is necessary to redact it and prepare it for 
disclosure). Review costs are recoverable even if a record ultimately is 
not disclosed. Review time includes time spent considering any formal 
objection to disclosure made by a business submitter requesting 
confidential treatment, but does not include time spent resolving 
general legal or policy issues regarding the application of exemptions.
    (8) Search means the process of looking for and retrieving records 
or information responsive to a request. It includes page-by-page or 
line-by-line identification of information within records and also 
includes reasonable efforts to locate and retrieve information from 
records maintained in electronic form or format. Offices will ensure 
that searches are done in the most efficient and least expensive manner 
reasonably possible. For example, offices will not search line-by-line 
where duplicating an entire document would be quicker and less 
expensive.
    (c) Fees to be charged. (1) There are four categories of requests. 
Fees for each of these categories will be charged as follows:
    (i) Commercial use requests. A requester seeking access to records 
for a commercial use will be charged for the time spent searching for 
the records, reviewing the records for possible disclosure, and for the 
cost of each page of duplication. The charges for searching for and/or 
reviewing the records may be charged even if no responsive records are 
found or if the records are located but are determined to be exempt from 
disclosure.
    (ii) Educational or non-commercial scientific requests. Requesters 
from educational or scientific institutions, whose purpose is scholarly, 
noncommercial research, will be charged only for the cost of record 
duplication, except that the first 100 pages of duplication will be 
furnished at no charge.
    (iii) News media requests. Requesters who are representatives of the 
news media, and whose purpose in seeking records is noncommercial, will 
be charged only for the cost of duplication, except that the first 100 
pages of duplication will be furnished at no charge.
    (iv) All other requests. Requesters not covered by one of the three 
categories above will be charged for the full cost of search and 
duplication, except that the first two hours of search time and the 
first 100 pages of duplication will be furnished without charge. The 
charges for searching for the records will be assessed even if no 
responsive records are found or if the records are located but are 
determined to be exempt from disclosure.

[[Page 32]]

    (2) In responding to FOIA requests, the Agency will charge the 
following fees unless a waiver or reduction of fees has been granted 
under paragraph (l) of this section:
    (i) Search. (A) Search fees will be charged for all requests except 
for those made by educational institutions, noncommercial scientific 
institutions, or representatives of the news media subject to the 
limitations of paragraph (d) of this section. Offices will charge for 
time spent searching even if no responsive records are found or if the 
records are located but are determined to be exempt from disclosure.
    (B) For searches and retrievals of requested records, either 
manually or electronically, conducted by clerical personnel, the fee 
will be $4.00 for each quarter hour of time. For searches and retrievals 
of requested records, either manually or electronically, requiring the 
use of professional personnel, the fee will be $7.00 for each quarter 
hour of time. For searches and retrievals of requested records, either 
manually or electronically, requiring the use of managerial personnel, 
the fee will be $10.25 for each quarter hour of time.
    (C) When searches and retrievals are conducted by contractors, 
requesters 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. The costs of actual computer resource usage in 
connection with such searches will also be charged, to the extent they 
can be determined.
    (ii) Duplication. Duplication fees will be charged to all 
requesters, subject to the limitations of paragraph (d) of this section. 
For either a photocopy or a computer-generated printout of a record (no 
more than one copy of which need be supplied), the fee will be fifteen 
(15) cents per page. For electronic forms of duplication, other than a 
computer-generated printout, offices will charge the direct costs of 
that duplication. Such direct costs will include the costs of the 
requested electronic medium on which the copy is to be made and the 
actual operator time and computer resource usage required to produce the 
copy, to the extent they can be determined.
    (iii) Review. Review fees will be charged only to requesters who 
make a commercial use request. Review fees will be charged only for the 
initial record review (that is, the review done when an office is 
deciding whether an exemption applies to a particular record or portion 
of a record at the initial request level). No charge will be made for 
review at the administrative appeal level for an exemption already 
applied. However, records or portions of records withheld under an 
exemption that is subsequently determined not to apply may be reviewed 
again to determine whether any other exemption not previously considered 
applies; the costs of that review will be charged when it is made 
necessary by a change of circumstances. Review fees will be charged at 
the same rates as those charged for a search under paragraph (c)(1)(i) 
of this section.
    (d) Limitations on charging fees. (1) No search or review fees will 
be charged for requests by educational institutions, noncommercial 
scientific institutions, or representatives of the news media.
    (2) No search fee or review fee will be charged for a quarter-hour 
period unless more than half of that period is required for search or 
review.
    (3) Except for requesters seeking records for a commercial use, 
offices will provide without charge:
    (i) The first 100 pages of duplication, and
    (ii) The first two hours of search.
    (4) Whenever a total fee calculated under paragraph (c) of this 
section is $14.00 or less for any request, no fee will be charged.
    (5) The provisions of paragraphs (d)(3) and (4) of this section work 
together. This means that for requesters other than those seeking 
records for a commercial use, no fee will be charged unless the cost of 
search in excess of two hours plus the cost of duplication in excess of 
100 pages totals more than $14.00.
    (e) Notice of anticipated fees in excess of $25.00. When the Agency 
determines or estimates that the fees to be charged under this section 
will amount to more than $25.00, the Agency will notify the requester of 
the actual or estimated amount of the fees, unless the

[[Page 33]]

requester has indicated a willingness to pay fees as high as those 
anticipated. The amount of $25.00 is cumulative for multi-office 
requests. If only a portion of the fee can be estimated readily, the 
Agency will advise the requester that the estimated fee may be only a 
portion of the total fee. When a requester has been notified that actual 
or estimated fees will amount to more than $25.00, EPA will do no 
further work on the request until the requester agrees to pay the 
anticipated total fee. This time will be excluded from the twenty (20) 
working day time limit. EPA will memorialize any such agreement in 
writing. A notice under this paragraph will offer the requester an 
opportunity to discuss the matter with Agency personnel in order to 
reformulate the request to meet the requester's needs at a lower cost.
    (f) Charges for other services. Apart from the other provisions of 
this section, when an office chooses as a matter of administrative 
discretion to provide a special service-such as certifying that records 
are true copies or sending records by other than ordinary mail-the 
direct costs of providing the service ordinarily will be charged.
    (g) Charging interest. EPA may charge interest on any unpaid bill 
starting on the 31st day following the date of billing the requester. 
Interest charges will be assessed at the rate provided in 31 U.S.C. 3717 
and will accrue from the date of the billing until payment is received 
by the Agency. EPA will follow the provisions of the Debt Collection Act 
of 1982 (Pub. L. 97-365), as amended, and its administrative procedures, 
including the use of consumer reporting agencies, collection agencies, 
and offset. No penalty will be assessed against FOIA requesters for 
exercising their statutory right to ask that a fee be waived or reduced 
or to dispute a billing. If a fee is in dispute, penalties will be 
suspended upon notification.
    (h) Delinquent requesters. If requesters fail to pay all fees within 
60 calendar days of the fees assessment, they will be placed on a 
delinquency list. Subsequent FOIA requests will not be processed until 
payment of the overdue fees has first been made.
    (i) Aggregating requests. When the Agency reasonably believes that a 
requester or a group of requesters acting together is attempting to 
divide a request into a series of requests for the purpose of avoiding 
fees, the Agency may aggregate those requests and charge accordingly. 
The Agency may presume that multiple requests of this type made within a 
30-day period have been made in order to avoid fees. When requests are 
separated by a longer period, the Agency will aggregate them only if 
there exists a solid basis for determining that aggregation is warranted 
under all the circumstances involved. Multiple requests involving 
unrelated matters will not be aggregated.
    (j) Advance payments. (1) For requests other than those described in 
paragraphs (j)(2) and (3) of this section, an office will not require 
the requester to make an advance payment (that is, a payment made before 
EPA begins or continues work on a request). Payment owed for work 
already completed (that is, a prepayment before copies are sent to a 
requester) is not an advance payment.
    (2) When the Agency determines or estimates that a total fee to be 
charged under this section will be more than $250.00, it may require the 
requester to make an advance payment of an amount up to the amount of 
the entire anticipated fee before beginning to process the request, 
except when it receives a satisfactory assurance of full payment from a 
requester that has a history of prompt payment.
    (3) When a requester has previously failed to pay a properly charged 
FOIA fee to the Agency within 30 calendar days of the date of billing, 
the Agency may require the requester to pay the full amount due, plus 
any applicable interest, and to make an advance payment of the full 
amount of any anticipated fee, before the Agency begins to process a new 
request or continues to process a pending request from that requester.
    (4) When the Agency requires advance payment or payment due under 
paragraph (j)(3) of this section, the request will not be considered, 
and EPA will do no further work on the request until the required 
payment is made.
    (k) Other statutes specifically providing for fees. The fee schedule 
of this section does not apply to fees charged under

[[Page 34]]

any other statute that specifically requires an agency to set and 
collect fees for particular types of records. When records responsive to 
requests are maintained for distribution by agencies operating such 
statutorily based fee schedule programs, EPA will inform requesters of 
the steps for obtaining records from those sources so that they may do 
so most economically.
    (l) Waiver or reduction of fees. (1) Records responsive to a request 
will be furnished without charge or at a charge reduced below that 
established under paragraph (c) of this section when a FOI Office 
determines, based on all available information, that disclosure of the 
requested information is in the public interest because it is likely to 
contribute significantly to public understanding of the operations or 
activities of the government and is not primarily in the commercial 
interest of the requester.
    (2) To determine whether the first fee waiver requirement is met, 
FOI Offices will consider the following factors:
    (i) The subject of the request: Whether the subject of the requested 
records concerns ``the operations or activities of the government.'' The 
subject of the requested records must concern identifiable operations or 
activities of the Federal government, with a connection that is direct 
and clear, not remote.
    (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. The disclosable portions of the 
requested records must be meaningfully informative about government 
operations or activities in order to be ``likely to contribute'' to an 
increased public understanding of those operations or activities. The 
disclosure of information that already is in the public domain, in 
either a duplicative or a substantially identical form, would not be as 
likely to contribute to such understanding when nothing new would be 
added to the public's understanding.
    (iii) The contribution to an understanding of the subject by the 
public is likely to result from disclosure: Whether disclosure of the 
requested information will contribute to ``public understanding.'' The 
disclosure must contribute to the understanding of a reasonably broad 
audience of persons interested in the subject, as opposed to the 
individual understanding of the requester. A requester's expertise in 
the subject area and ability and intention to effectively convey 
information to the public will be considered. It will be presumed that a 
representative of the news media will satisfy this consideration.
    (iv) The significance of the contribution to public understanding: 
Whether the disclosure is likely to contribute ``significantly'' to 
public understanding of government operations or activities. The 
public's understanding of the subject in question, as compared to the 
level of public understanding existing prior to the disclosure, must be 
enhanced by the disclosure to a significant extent. FOI Offices will not 
make value judgments about whether information that would contribute 
significantly to public understanding of the operations or activities of 
the government is ``important'' enough to be made public.
    (3) To determine whether the second fee waiver requirement is met, 
FOI Offices will consider the following factors:
    (i) The existence and magnitude of a commercial interest: Whether 
the requester has a commercial interest that would be furthered by the 
requested disclosure. FOI Offices will consider any commercial interest 
of the requester (with reference to the definition of ``commercial use 
request'' in paragraph (b)(1) of this section), or of any person on 
whose behalf the requester may be acting, that would be furthered by the 
requested disclosure. Requesters will be given an opportunity in the 
administrative process to provide explanatory information regarding this 
consideration.
    (ii) The primary interest in disclosure: Whether any 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.'' A fee waiver 
or reduction is justified where the public interest standard is 
satisfied and that public interest is greater in magnitude than that of 
any identified

[[Page 35]]

commercial interest in disclosure. FOI Offices ordinarily will presume 
that when a news media requester has satisfied the public interest 
standard, the public interest will be the interest primarily served by 
disclosure to that requester. Disclosure to data brokers or others who 
merely compile and market government information for direct economic 
return will not be presumed to primarily serve the public interest.
    (4) When only some of the requested records satisfy the requirements 
for a waiver of fees, a waiver will be granted for only those records.
    (5) Requests for the waiver or reduction of fees must address the 
factors listed in paragraphs (k) (l)-(3) of this section, insofar as 
they apply to each request. FOI Offices will exercise their discretion 
to consider the cost-effectiveness of their investment of administrative 
resources in deciding whether to grant waivers or reductions of fees and 
will consult the appropriate EPA offices as needed. Requests for the 
waiver or reduction of fees must be submitted along with the request.
    (6) When a fee waiver request is denied, EPA will do no further work 
on the request until it receives an assurance of payment or an appeal of 
the fee waiver adverse determination is made and a final appeal 
determination is made pursuant to Sec. 2.104(j).



Sec. 2.108  Other rights and services.

    Nothing in this subpart shall be construed to entitle any person, as 
a right, to any service or to the disclosure of any record to which such 
person is not entitled under the FOIA.



            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. Sec. 2.301 through 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 36]]

    (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 Sec. Sec. 2.201 through 2.215 govern except 
to the extent that they are modified or supplanted by the special rules 
of Sec. Sec. 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 37]]

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 38]]

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 39]]

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 40]]

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 41]]



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 42]]

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 43]]

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 44]]



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 45]]

    (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 Sec. Sec. 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 46]]

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 47]]

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 Sec. Sec. 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 Sec. 2.301(h), Sec. 
2.302(h), Sec. 2.304(h), Sec. 2.305(h), Sec. 2.306(j), Sec. 
2.307(h), Sec. 2.308(i), or Sec. 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 48]]

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 Headquarters Freedom 
of Information Operations (1105), Environmental Protection Agency, 1200 
Pennsylvania Ave., NW., 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 Sec. Sec. 2.301(g) and 
2.301(h) and analogous provisions in Sec. Sec. 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

[[Page 49]]

EPA legal office relies to a large extent 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 50]]



Sec. Sec. 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 51]]

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 Sec. Sec. 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 52]]

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 53]]

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 54]]

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 55]]

    (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 56]]

    (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 57]]

    (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 58]]

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 59]]

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 60]]

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 61]]

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 62]]

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 63]]

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 64]]

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 65]]

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 66]]

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 67]]

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 68]]

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 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, 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 69]]



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 Sec. Sec. 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 70]]



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 3_CROSS-MEDIA ELECTRONIC REPORTING--Table of Contents



                      Subpart A_General Provisions

Sec.
3.1 Who does this part apply to?
3.2 How does this part provide for electronic reporting?
3.3 What definitions are applicable to this part?
3.4 How does this part affect enforcement and compliance provisions of 
          Title 40?

                  Subpart B_Electronic Reporting to EPA

3.10 What are the requirements for electronic reporting to EPA?
3.20 How will EPA provide notice of changes to the Central Data 
          Exchange?

Subpart C [Reserved]

 Subpart D_Electronic Reporting under EPA-Authorized State, Tribe, and 
                             Local Programs

3.1000 How does a state, tribe, or local government revise or modify its 
          authorized program to allow electronic reporting?
3.2000 What are the requirements authorized state, tribe, and local 
          programs' reporting systems must meet?

Appendix 1 to Part 3--Priority Reports

    Authority: 7 U.S.C. 136 to 136y; 15 U.S.C. 2601 to 2692; 33 U.S.C. 
1251 to 1387; 33 U.S.C. 1401 to 1445; 33 U.S.C. 2701 to 2761; 42 U.S.C. 
300f to 300j-26; 42 U.S.C. 4852d; 42 U.S.C. 6901-6992k; 42 U.S.C. 7401 
to 7671q; 42 U.S.C. 9601 to 9675; 42 U.S.C. 11001 to 11050; 15 U.S.C. 
7001; 44 U.S.C. 3504 to 3506.

    Source: 70 FR 59879, Oct. 13, 2005, unless otherwise noted.



                      Subpart A_General Provisions



Sec. 3.1  Who does this part apply to?

    (a) This part applies to:
    (1) Persons who submit reports or other documents to EPA to satisfy 
requirements under Title 40 of the Code of Federal Regulations (CFR); 
and
    (2) States, tribes, and local governments administering or seeking 
to administer authorized programs under Title 40 of the CFR.
    (b) This part does not apply to:
    (1) Documents submitted via facsimile in satisfaction of reporting 
requirements as permitted under other parts of Title 40 or under 
authorized programs;
    (2) Electronic documents submitted via magnetic or optical media 
such as diskette, compact disc, digital video disc, or tape in 
satisfaction of reporting requirements, as permitted under other parts 
of Title 40 or under authorized programs; or
    (3) Documents and information submitted under grants, cooperative 
agreements, or financial assistant regulations contained in Title 40.
    (c) This part does not apply to any data transfers between EPA and 
states, tribes, or local governments as a part of their authorized 
programs or as a part of administrative arrangements between states, 
tribes, or local governments and EPA to share data.

[70 FR 59879, Oct. 13, 2005, as amended at 74 FR 59106, Nov. 17, 2009]



Sec. 3.2  How does this part provide for electronic reporting?

    (a) Electronic reporting to EPA. Except as provided in Sec. 3.1(b), 
any person who is required under Title 40 to create and submit or 
otherwise provide a document to EPA may satisfy this requirement with an 
electronic document, in lieu of a paper document, provided that:
    (1) He or she satisfies the requirements of Sec. 3.10; and
    (2) EPA has first published a notice in the Federal Register 
announcing that EPA is prepared to receive, in electronic form, 
documents required or permitted by the identified part or subpart of 
Title 40.
    (b) Electronic reporting under an EPA-authorized state, tribe, or 
local program.

[[Page 71]]

(1) An authorized program may allow any document submission requirement 
under that program to be satisfied with an electronic document provided 
that the state, tribe, or local government seeks and obtains revision or 
modification of that program in accordance with Sec. 3.1000 and also 
meets the requirements of Sec. 3.2000 for such electronic reporting.
    (2) A state, tribe, or local government that is applying for initial 
delegation, authorization, or approval to administer a federal program 
or a program in lieu of the federal program, and that will allow 
document submission requirements under the program to be satisfied with 
an electronic document, must use the procedures for obtaining 
delegation, authorization, or approval under the relevant part of Title 
40 and may not use the procedures set forth in Sec. 3.1000; but the 
application must contain the information required by Sec. 3.1000(b)(1) 
and the state, tribe, or local government must meet the requirements of 
Sec. 3.2000.
    (c) Limitations. This part does not require submission of electronic 
documents in lieu of paper. This part confers no right or privilege to 
submit data electronically and does not obligate EPA, states, tribes, or 
local governments to accept electronic documents.



Sec. 3.3  What definitions are applicable to this part?

    The definitions set forth in this section apply when used in this 
part.
    Acknowledgment means a confirmation of electronic document receipt.
    Administrator means the Administrator of the EPA.
    Agency means the EPA or a state, tribe, or local government that 
administers or seeks to administer an authorized program.
    Agreement collection certification means a signed statement by which 
a local registration authority certifies that a subscriber agreement has 
been received from a registrant; the agreement has been stored in a 
manner that prevents unauthorized access to these agreements by anyone 
other than the local registration authority; and the local registration 
authority has no basis to believe that any of the collected agreements 
have been tampered with or prematurely destroyed.
    Authorized program means a Federal program that EPA has delegated, 
authorized, or approved a state, tribe, or local government to 
administer, or a program that EPA has delegated, authorized, or approved 
a state, tribe or local government to administer in lieu of a Federal 
program, under other provisions of Title 40 and such delegation, 
authorization, or approval has not been withdrawn or expired.
    Central Data Exchange means EPA's centralized electronic document 
receiving system, or its successors, including associated instructions 
for submitting electronic documents.
    Chief Information Officer means the EPA official assigned the 
functions described in section 5125 of the Clinger Cohen Act (Pub. L. 
104-106).
    Copy of record means a true and correct copy of an electronic 
document received by an electronic document receiving system, which copy 
can be viewed in a human-readable format that clearly and accurately 
associates all the information provided in the electronic document with 
descriptions or labeling of the information. A copy of record includes:
    (1) All electronic signatures contained in or logically associated 
with that document;
    (2) The date and time of receipt; and
    (3) Any other information used to record the meaning of the document 
or the circumstances of its receipt.
    Disinterested individual means an individual who is not connected 
with the person in whose name the electronic signature device is issued. 
A disinterested individual is not any of the following: The person's 
employer or employer's corporate parent, subsidiary, or affiliate; the 
person's contracting agent; member of the person's household; or 
relative with whom the person has a personal relationship.
    Electronic document means any information in digital form that is 
conveyed to an agency or third-party, where ``information'' may include 
data, text, sounds, codes, computer programs, software, or databases. 
``Data,'' in this context, refers to a delimited set of data elements, 
each of which consists of a content or value together with an

[[Page 72]]

understanding of what the content or value means; where the electronic 
document includes data, this understanding of what the data element 
content or value means must be explicitly included in the electronic 
document itself or else be readily available to the electronic document 
recipient.
    Electronic document receiving system means any set of apparatus, 
procedures, software, records, or documentation used to receive 
electronic documents.
    Electronic signature means any information in digital form that is 
included in or logically associated with an electronic document for the 
purpose of expressing the same meaning and intention as would a 
handwritten signature if affixed to an equivalent paper document with 
the same reference to the same content. The electronic document bears or 
has on it an electronic signature where it includes or has logically 
associated with it such information.
    Electronic signature agreement means an agreement signed by an 
individual with respect to an electronic signature device that the 
individual will use to create his or her electronic signatures requiring 
such individual to protect the electronic signature device from 
compromise; to promptly report to the agency or agencies relying on the 
electronic signatures created any evidence discovered that the device 
has been compromised; and to be held as legally bound, obligated, or 
responsible by the electronic signatures created as by a handwritten 
signature.
    Electronic signature device means a code or other mechanism that is 
used to create electronic signatures. Where the device is used to create 
an individual's electronic signature, then the code or mechanism must be 
unique to that individual at the time the signature is created and he or 
she must be uniquely entitled to use it. The device is compromised if 
the code or mechanism is available for use by any other person.
    EPA means the United States Environmental Protection Agency.
    Existing electronic document receiving system means an electronic 
document receiving system that is being used to receive electronic 
documents in lieu of paper to satisfy requirements under an authorized 
program on October 13, 2005 or the system, if not in use, has been 
substantially developed on or before that date as evidenced by the 
establishment of system services or specifications by contract or other 
binding agreement.
    Federal program means any program administered by EPA under any 
other provision of Title 40.
    Federal reporting requirement means a requirement to report 
information directly to EPA under any other provision of Title 40.
    Handwritten signature means the scripted name or legal mark of an 
individual, handwritten by that individual with a marking-or writing-
instrument such as a pen or stylus and executed or adopted with the 
present intention to authenticate a writing in a permanent form, where 
``a writing'' means any intentional recording of words in a visual form, 
whether in the form of handwriting, printing, typewriting, or any other 
tangible form. The physical instance of the scripted name or mark so 
created constitutes the handwritten signature. The scripted name or 
legal mark, while conventionally applied to paper, may also be applied 
to other media.
    Information or objects of independent origin means data or items 
that originate from a disinterested individual or are forensic evidence 
of a unique, immutable trait which is (and may at any time be) 
attributed to the individual in whose name the device is issued.
    Local registration authority means an individual who is authorized 
by a state, tribe, or local government to issue an agreement collection 
certification, whose identity has been established by notarized 
affidavit, and who is authorized in writing by a regulated entity to 
issue agreement collection certifications on its behalf.
    Priority reports means the reports listed in Appendix 1 to part 3.
    Subscriber agreement means an electronic signature agreement signed 
by an individual with a handwritten signature. This agreement must be 
stored until five years after the associated electronic signature device 
has been deactivated.

[[Page 73]]

    Transmit means to successfully and accurately convey an electronic 
document so that it is received by the intended recipient in a format 
that can be processed by the electronic document receiving system.
    Valid electronic signature means an electronic signature on an 
electronic document that has been created with an electronic signature 
device that the identified signatory is uniquely entitled to use for 
signing that document, where this device has not been compromised, and 
where the signatory is an individual who is authorized to sign the 
document by virtue of his or her legal status and/or his or her 
relationship to the entity on whose behalf the signature is executed.



Sec. 3.4  How does this part affect enforcement and compliance provisions of Title 40?

    (a) A person is subject to any applicable federal civil, criminal, 
or other penalties and remedies for failure to comply with a federal 
reporting requirement if the person submits an electronic document to 
EPA under this part that fails to comply with the provisions of Sec. 
3.10.
    (b) A person is subject to any applicable federal civil, criminal, 
or other penalties or remedies for failure to comply with a State, 
tribe, or local reporting requirement if the person submits an 
electronic document to a State, tribe, or local government under an 
authorized program and fails to comply with the applicable provisions 
for electronic reporting.
    (c) Where an electronic document submitted to satisfy a federal or 
authorized program reporting requirement bears an electronic signature, 
the electronic signature legally binds, obligates, and makes the 
signatory responsible, to the same extent as the signatory's handwritten 
signature would on a paper document submitted to satisfy the same 
federal or authorized program reporting requirement.
    (d) Proof that a particular signature device was used to create an 
electronic signature will suffice to establish that the individual 
uniquely entitled to use the device did so with the intent to sign the 
electronic document and give it effect.
    (e) Nothing in this part limits the use of electronic documents or 
information derived from electronic documents as evidence in enforcement 
or other proceedings.



                  Subpart B_Electronic Reporting to EPA



Sec. 3.10  What are the requirements for electronic reporting to EPA?

    (a) A person may use an electronic document to satisfy a federal 
reporting requirement or otherwise substitute for a paper document or 
submission permitted or required under other provisions of Title 40 only 
if:
    (1) The person transmits the electronic document to EPA's Central 
Data Exchange, or to another EPA electronic document receiving system 
that the Administrator may designate for the receipt of specified 
submissions, complying with the system's requirements for submission; 
and
    (2) The electronic document bears all valid electronic signatures 
that are required under paragraph (b) of this section.
    (b) An electronic document must bear the valid electronic signature 
of a signatory if that signatory would be required under Title 40 to 
sign the paper document for which the electronic document substitutes, 
unless EPA announces special provisions to accept a handwritten 
signature on a separate paper submission and the signatory provides that 
handwritten signature.



Sec. 3.20  How will EPA provide notice of changes to the Central Data Exchange?

    (a) Except as provided under paragraph (b) of this section, whenever 
EPA plans to change Central Data Exchange hardware or software in ways 
that would affect the transmission process, EPA will provide notice as 
follows:
    (1) Significant changes to CDX: Where the equipment, software, or 
services needed to transmit electronic documents to the Central Data 
Exchange would be changed significantly, EPA will provide public notice 
and seek comment on the change and the proposed implementation schedule 
through the Federal Register;

[[Page 74]]

    (2) Other changes to CDX: EPA will provide notice of other changes 
to Central Data Exchange users at least sixty (60) days in advance of 
implementation.
    (3) De minimis or transparent changes to CDX: For de minimis or 
transparent changes that have minimal or no impact on the transmission 
process, EPA may provide notice if appropriate on a case-by-case basis.
    (b) Emergency changes to CDX: Any change which EPA's Chief 
Information Officer or his or her designee determines is needed to 
ensure the security and integrity of the Central Data Exchange is exempt 
from the provisions of paragraph (a) of this section. However, to the 
extent consistent with ensuring the security and integrity of the 
system, EPA will provide notice for any change other than de minimis or 
transparent changes to the Central Data Exchange.

Subpart C [Reserved]



 Subpart D_Electronic Reporting Under EPA-Authorized State, Tribe, and 
                             Local Programs



Sec. 3.1000  How does a state, tribe, or local government revise or modify its authorized program to allow electronic reporting?

    (a) A state, tribe, or local government that receives or plans to 
begin receiving electronic documents in lieu of paper documents to 
satisfy requirements under an authorized program must revise or modify 
such authorized program to ensure that it meets the requirements of this 
part.
    (1) General procedures for program modification or revision: To 
revise or modify an authorized program to meet the requirements of this 
part, a state, tribe, or local government must submit an application 
that complies with paragraph (b)(1) of this section and must follow 
either the applicable procedures for program revision or modification in 
other parts of Title 40, or, at the applicant's option, the procedures 
provided in paragraphs (b) through (e) of this section.
    (2) Programs planning to receive electronic documents under an 
authorized program: A state, tribe, or local government that does not 
have an existing electronic document receiving system for an authorized 
program must receive EPA approval of revisions or modifications to such 
program in compliance with paragraph (a)(1) of this section before the 
program may receive electronic documents in lieu of paper documents to 
satisfy program requirements.
    (3) Programs already receiving electronic documents under an 
authorized program: A state, tribe, or local government with an existing 
electronic document receiving system for an authorized program must 
submit an application to revise or modify such authorized program in 
compliance with paragraph (a)(1) of this section no later than January 
13, 2010. On a case-by-case basis, this deadline may be extended by the 
Administrator, upon request of the state, tribe, or local government, 
where the Administrator determines that the state, tribe, or local 
government needs additional time to make legislative or regulatory 
changes in order to meet the requirements of this part.
    (4) Programs with approved electronic document receiving systems: An 
authorized program that has EPA's approval to accept electronic 
documents in lieu of paper documents must keep EPA apprised of those 
changes to laws, policies, or the electronic document receiving systems 
that have the potential to affect program compliance with Sec. 3.2000. 
Where the Administrator determines that such changes require EPA review 
and approval, EPA may request that the state, tribe, or local government 
submit an application for program revision or modification; 
additionally, a state, tribe, or local government on its own initiative 
may submit an application for program revision or modification 
respecting their receipt of electronic documents. Such applications must 
comply with paragraph (a)(1) of this section.
    (5) Restrictions on the use of procedures in this section: The 
procedures provided in paragraphs (b) through (e) of this section may 
only be used for revising or modifying an authorized program to provide 
for electronic reporting and for subsequent revisions or modifications 
to the electronic reporting elements of

[[Page 75]]

an authorized program as provided under paragraph (a)(4) of this 
section.
    (b)(1) To obtain EPA approval of program revisions or modifications 
using procedures provided under this section, a state, tribe, or local 
government must submit an application to the Administrator that includes 
the following elements:
    (i) A certification that the state, tribe, or local government has 
sufficient legal authority provided by lawfully enacted or promulgated 
statutes or regulations that are in full force and effect on the date of 
the certification to implement the electronic reporting component of its 
authorized programs covered by the application in conformance with Sec. 
3.2000 and to enforce the affected programs using electronic documents 
collected under these programs, together with copies of the relevant 
statutes and regulations, signed by the State Attorney General or his or 
her designee, or, in the case of an authorized tribe or local government 
program, by the chief executive or administrative official or officer of 
the governmental entity, or his or her designee;
    (ii) A listing of all the state, tribe, or local government 
electronic document receiving systems to accept the electronic documents 
being addressed by the program revisions or modifications that are 
covered by the application, together with a description for each such 
system that specifies how the system meets the applicable requirements 
in Sec. 3.2000 with respect to those electronic documents;
    (iii) A schedule of upgrades for the electronic document receiving 
systems listed under paragraph (b)(1)(ii) of this section that have the 
potential to affect the program's continued conformance with Sec. 
3.2000; and
    (iv) Other information that the Administrator may request to fully 
evaluate the application.
    (2) A state, tribe, or local government that revises or modifies 
more than one authorized program for receipt of electronic documents in 
lieu of paper documents may submit a consolidated application under this 
section covering more than one authorized program, provided the 
consolidated application complies with paragraph (b)(1) of this section 
for each authorized program.
    (3)(i) Within 75 calendar days of receiving an application for 
program revision or modification submitted under paragraph (b)(1) of 
this section, the Administrator will respond with a letter that either 
notifies the state, tribe, or local government that the application is 
complete or identifies deficiencies in the application that render the 
application incomplete. The state, tribe, or local government receiving 
a notice of deficiencies may amend the application and resubmit it. 
Within 30 calendar days of receiving the amended application, the 
Administrator will respond with a letter that either notifies the 
applicant that the amended application is complete or identifies 
remaining deficiencies that render the application incomplete.
    (ii) If a state, tribe, or local government receiving notice of 
deficiencies under paragraph (b)(3)(i) of this section does not remedy 
the deficiencies and resubmit the subject application within a 
reasonable period of time, the Administrator may act on the incomplete 
application under paragraph (c) of this section.
    (c)(1) The Administrator will act on an application by approving or 
denying the state's, tribe's or local government's request for program 
revision or modification.
    (2) Where a consolidated application submitted under paragraph 
(b)(2) of this section addresses revisions or modifications to more than 
one authorized program, the Administrator may approve or deny the 
request for revision or modification of each authorized program in the 
application separately; the Administrator need not take the same action 
with respect to the requested revisions or modifications for each such 
program.
    (3) When an application under paragraph (b) of this section requests 
revision or modification of an authorized public water system program 
under part 142 of this title, the Administrator will, in accordance with 
the procedures in paragraph (f) of this section, provide an opportunity 
for a public hearing before a final determination pursuant to

[[Page 76]]

paragraph (c)(1) of this section with respect to that component of the 
application.
    (4) Except as provided under paragraph (c)(4)(i) and (ii) of this 
section, if the Administrator does not take any action under paragraph 
(c)(1) of this section on a specific request for revision or 
modification of a specific authorized program addressed by an 
application submitted under paragraph (b) of this section within 180 
calendar days of notifying the state, tribe, or local government under 
paragraph (b)(3) of this section that the application is complete, the 
specific request for program revision or modification for the specific 
authorized program is considered automatically approved by EPA at the 
end of the 180 calendar days unless the review period is extended at the 
request of the state, tribe, or local government submitting the 
application.
    (i) Where an opportunity for public hearing is required under 
paragraph (c)(3) of this section, the Administrator's action on the 
requested revision or modification will be in accordance with paragraph 
(f) of this section.
    (ii) Where a requested revision or modification addressed by an 
application submitted under paragraph (b) of this section is to an 
authorized program with an existing electronic document receiving 
system, and where notification under paragraph (b)(3) of this section 
that the application is complete is executed after October 13, 2007, if 
the Administrator does not take any action under paragraph (c)(1) of 
this section on the specific request for revision or modification within 
360 calendar days of such notification, the specific request is 
considered automatically approved by EPA at the end of the 360 calendar 
days unless the review period is extended at the request of the state, 
tribe, or local government submitting the application.
    (d) Except where an opportunity for public hearing is required under 
paragraph (c)(3) of this section, EPA's approval of a program revision 
or modification under this section will be effective upon publication of 
a notice of EPA's approval of the program revision or modification in 
the Federal Register. EPA will publish such a notice promptly after 
approving a program revision or modification under paragraph (c)(1) of 
this section or after an EPA approval occurs automatically under 
paragraph (c)(4) of this section.
    (e) If a state, tribe, or local government submits material to amend 
its application under paragraph (b)(1) of this section after the date 
that the Administrator sends notification under paragraph (b)(3)(i) of 
this section that the application is complete, this new submission will 
constitute withdrawal of the pending application and submission of a 
new, amended application for program revision or modification under 
paragraph (b)(1) of this section, and the 180-day time period in 
paragraph (c)(4) of this section or the 360-day time period in paragraph 
(c)(4)(ii) of this section will begin again only when the Administrator 
makes a new determination and notifies the state, tribe, or local 
government under paragraph (b)(3)(i) of this section that the amended 
application is complete.
    (f) For an application under this section that requests revision or 
modification of an authorized public water system program under part 142 
of this chapter:
    (1) The Administrator will publish notice of the Administrator's 
preliminary determination under paragraph (c)(1) of this section in the 
Federal Register, stating the reasons for the determination and 
informing interested persons that they may request a public hearing on 
the Administrator's determination. Frivolous or insubstantial requests 
for a hearing may be denied by the Administrator;
    (2) Requests for a hearing submitted under this section must be 
submitted to the Administrator within 30 days after publication of the 
notice of opportunity for hearing in the Federal Register. The 
Administrator will give notice in the Federal Register of any hearing to 
be held pursuant to a request submitted by an interested person or on 
the Administrator's own motion. Notice of hearing will be given not less 
than 15 days prior to the time scheduled for the hearing;

[[Page 77]]

    (3) The hearing will be conducted by a designated hearing officer in 
an informal, orderly, and expeditious manner. The hearing officer will 
have authority to take such action as may be necessary to assure the 
fair and efficient conduct of the hearing; and
    (4) After reviewing the record of the hearing, the Administrator 
will issue an order either affirming the determination the Administrator 
made under paragraph (c)(1) of this section or rescinding such 
determination and will promptly publish a notice of the order in the 
Federal Register. If the order is to approve the program revision or 
modification, EPA's approval will be effective upon publication of the 
notice in the Federal Register. If no timely request for a hearing is 
received and the Administrator does not determine to hold a hearing on 
the Administrator's own motion, the Administrator's determination made 
under paragraph (c)(1) of this section will be effective 30 days after 
notice is published pursuant to paragraph (f)(1) of this section.

[70 FR 59879, Oct. 13, 2005, as amended at 72 FR 43169, Aug. 3, 2007; 73 
FR 78994, Dec. 24, 2008]



Sec. 3.2000  What are the requirements authorized state, tribe, and local programs' reporting systems must meet?

    (a) Authorized programs that receive electronic documents in lieu of 
paper to satisfy requirements under such programs must:
    (1) Use an acceptable electronic document receiving system as 
specified under paragraphs (b) and (c) of this section; and
    (2) Require that any electronic document must bear the valid 
electronic signature of a signatory if that signatory would be required 
under the authorized program to sign the paper document for which the 
electronic document substitutes, unless the program has been approved by 
EPA to accept a handwritten signature on a separate paper submission. 
The paper submission must contain references to the electronic document 
sufficient for legal certainty that the signature was executed with the 
intention to certify to, attest to, or agree to the content of that 
electronic document.
    (b) An electronic document receiving system that receives electronic 
documents submitted in lieu of paper documents to satisfy requirements 
under an authorized program must be able to generate data with respect 
to any such electronic document, as needed and in a timely manner, 
including a copy of record for the electronic document, sufficient to 
prove, in private litigation, civil enforcement proceedings, and 
criminal proceedings, that:
    (1) The electronic document was not altered without detection during 
transmission or at any time after receipt;
    (2) Any alterations to the electronic document during transmission 
or after receipt are fully documented;
    (3) The electronic document was submitted knowingly and not by 
accident;
    (4) Any individual identified in the electronic document submission 
as a submitter or signatory had the opportunity to review the copy of 
record in a human-readable format that clearly and accurately associates 
all the information provided in the electronic document with 
descriptions or labeling of the information and had the opportunity to 
repudiate the electronic document based on this review; and
    (5) In the case of an electronic document that must bear electronic 
signatures of individuals as provided under paragraph (a)(2) of this 
section, that:
    (i) Each electronic signature was a valid electronic signature at 
the time of signing;
    (ii) The electronic document cannot be altered without detection at 
any time after being signed;
    (iii) Each signatory had the opportunity to review in a human-
readable format the content of the electronic document that he or she 
was certifying to, attesting to or agreeing to by signing;
    (iv) Each signatory had the opportunity, at the time of signing, to 
review the content or meaning of the required certification statement, 
including any applicable provisions that false certification carries 
criminal penalties;
    (v) Each signatory has signed either an electronic signature 
agreement or a subscriber agreement with respect to the electronic 
signature device used to create his or her electronic signature on the 
electronic document;

[[Page 78]]

    (vi) The electronic document receiving system has automatically 
responded to the receipt of the electronic document with an 
acknowledgment that identifies the electronic document received, 
including the signatory and the date and time of receipt, and is sent to 
at least one address that does not share the same access controls as the 
account used to make the electronic submission; and
    (vii) For each electronic signature device used to create an 
electronic signature on the document, the identity of the individual 
uniquely entitled to use the device and his or her relation to any 
entity for which he or she will sign electronic documents has been 
determined with legal certainty by the issuing state, tribe, or local 
government. In the case of priority reports identified in the table in 
Appendix 1 of Part 3, this determination has been made before the 
electronic document is received, by means of:
    (A) Identifiers or attributes that are verified (and that may be re-
verified at any time) by attestation of disinterested individuals to be 
uniquely true of (or attributable to) the individual in whose name the 
application is submitted, based on information or objects of independent 
origin, at least one item of which is not subject to change without 
governmental action or authorization; or
    (B) A method of determining identity no less stringent than would be 
permitted under paragraph (b)(5)(vii)(A) of this section; or
    (C) Collection of either a subscriber agreement or a certification 
from a local registration authority that such an agreement has been 
received and securely stored.
    (c) An authorized program that receives electronic documents in lieu 
of paper documents must ensure that:
    (1) A person is subject to any appropriate civil, criminal penalties 
or other remedies under state, tribe, or local law for failure to comply 
with a reporting requirement if the person fails to comply with the 
applicable provisions for electronic reporting.
    (2) Where an electronic document submitted to satisfy a state, 
tribe, or local reporting requirement bears an electronic signature, the 
electronic signature legally binds or obligates the signatory, or makes 
the signatory responsible, to the same extent as the signatory's 
handwritten signature on a paper document submitted to satisfy the same 
reporting requirement.
    (3) Proof that a particular electronic signature device was used to 
create an electronic signature that is included in or logically 
associated with an electronic document submitted to satisfy a state, 
tribe, or local reporting requirement will suffice to establish that the 
individual uniquely entitled to use the device at the time of signature 
did so with the intent to sign the electronic document and give it 
effect.
    (4) Nothing in the authorized program limits the use of electronic 
documents or information derived from electronic documents as evidence 
in enforcement proceedings.



               Sec. Appendix 1 to Part 3--Priority Reports

------------------------------------------------------------------------
           Category                   Description        40 CFR Citation
------------------------------------------------------------------------
                            Required Reports
------------------------------------------------------------------------
State Implementation Plan.....  Emissions data reports  51.60(c).
                                 for mobile sources.
Excess Emissions and            Excess emissions and    60.7(c),
 Monitoring Performance Report   monitoring              60.7(d).
 Compliance Notification         performance report
 Report.                         detailing the
                                 magnitude of excess
                                 emissions, and
                                 provides the date,
                                 time, and system
                                 status at the time of
                                 the excess emission.
New Source Performance          Semi-annual reports     60.49a(e) & (j)
 Standards Reporting             (quarterly, if report   & (v),
 Requirements.                   is approved for         60.49b(v).
                                 electronic submission
                                 by the permitting
                                 authority) on sulfur
                                 dioxide, nitrous
                                 oxides and
                                 particulate matter
                                 emission (includes
                                 reporting
                                 requirements in
                                 Subparts A through
                                 DDDD).

[[Page 79]]

 
Semi-annual Operations and      Semi-annual report      60.107(c),
 Corrective Action Reports.      provides information    60.107(d).
                                 on a company's
                                 exceedance of its
                                 sulfur dioxide
                                 emission rate, sulfur
                                 content of the fresh
                                 feed, and the average
                                 percent reduction and
                                 average concentration
                                 of sulfur dioxide.
                                 When emissions data
                                 is unavailable, a
                                 signed statement is
                                 required which
                                 documents the
                                 changes, if any, made
                                 to the emissions
                                 control system that
                                 would impact the
                                 company's compliance
                                 with emission limits.
National Emission Standards     Include such reports    61.11,
 for Hazardous Air Pollutants    as: Annual              61.24(a)(3) &
 Reporting Requirements.         compliance,             (a)(8),
                                 calculation, initial    61.70(c)(1) &
                                 startup, compliance     (c)(2)(v) &
                                 status,                 (c)(3) &
                                 certifications of       (c)(4)(iv),
                                 compliance, waivers     61.94(a) &
                                 from compliance         (b)(9),
                                 certifications,         61.104(a) &
                                 quarterly inspection    (a)(1)(x) &
                                 certifications,         (a)(1)(xi) &
                                 operations, and         (a)(1)(xvi),
                                 operations and          61.138(e) &
                                 process change.         (f),
                                                         61.165(d)(2) &
                                                         (d)(3) & (d)(4)
                                                         & (f)(1) &
                                                         (f)(2) &(f)(3),
                                                         61.177(a)(2) &
                                                         (c)(1) & (c)(2)
                                                         & (c)(3) &
                                                         (e)(1) &
                                                         (e)(3),
                                                         61.186(b)(1) &
                                                         (b)(2) & (b)(3)
                                                         & (c)(1) &
                                                         (f)(1),
                                                         61.247(a)(1) &
                                                         (a)(4) &
                                                         (a)(5)(v) &
                                                         (b)(5) & (d),
                                                         61.254(a)(4),
                                                         61.275(a) & (b)
                                                         & (c),
                                                         61.305(f) &
                                                         (i), 61.357(a)
                                                         & (b) & (c) &
                                                         (d), 63.9(h).
Hazardous Air Pollutants        Reports containing      63.10(d),
 Compliance Report.              results from            63.10(e)(1),
                                 performance test,       63.10(e)(3).
                                 opacity tests, and
                                 visible emissions
                                 tests. Progress
                                 reports; periodic and
                                 immediate startup,
                                 shutdown, and
                                 malfunction reports;
                                 results from
                                 continuous monitoring
                                 system performance
                                 evaluations; excess
                                 emissions and
                                 continuous monitoring
                                 system performance
                                 report; or summary
                                 report.
Notifications and Reports.....  Reports that document   65.5(d),
                                 a facility's initial    65.5(e).
                                 compliance status,
                                 notification of
                                 initial start-up, and
                                 periodic reports
                                 which includes the
                                 startup, shutdown,
                                 and malfunction
                                 reports discussed in
                                 40 CFR 65.6(c).
Continuous Emissions            Quarterly emissions     75.64, 75.65.
 Monitoring.                     monitoring reports
                                 and opacity reports
                                 which document a
                                 facility's excess
                                 emission.
Notice of Fuel or Fuel          Registration of new     79.10, 79.11,
 Additive Registration and       fuels and additives,    79.20, 79.21,
 Health Effects Testing.         and the submission      79.51.
                                 and certification of
                                 health effect data.
Manufacture In-Use and Product  Reports that document   86.1845,
 Line Emissions Testing.         the emissions testing   86.1846,
                                 results generated       86.1847,
                                 from the in-use         90.113,
                                 testing program for     90.1205,
                                 new and in-use          90.704, 91.805,
                                 highway vehicle         91.504, 92.607,
                                 ignition engines; non-  92.508, 92.509.
                                 road spark-ignition
                                 engines; marine spark-
                                 ignition engines; and
                                 locomotives and
                                 locomotive engines.
Industrial and Publicly Owned   Discharge monitoring    122.41(l)(4)(i),
 Treatment Works Reports.        reports for all         403.12(b) & (d)
                                 individual              & (e) & (h).
                                 permittees--including
                                 baseline reports,
                                 pretreatment
                                 standards report,
                                 periodic compliance
                                 reports, and reports
                                 made by significant
                                 industrial users.
------------------------------------------------------------------------
                          Event Driven Notices
------------------------------------------------------------------------
State Implementation Plan.....  Owners report           51.211.
                                 emissions data from
                                 stationary sources.
Report For Initial Performance  Report that provides    60.2200 (initial
 Test.                           the initial             performance
                                 performance test        tests).
                                 results, site-
                                 specific operating
                                 limits, and, if
                                 installed,
                                 information on the
                                 bag leak detection
                                 device used by the
                                 facility.
Emissions Control Report......  Report submitted by     61.153(a)(1),
                                 new sources within 90   61.153(a)(4)(i)
                                 days of set-up which    ,
                                 describes emission      61.153(a)(5)(ii
                                 control equipment       ).
                                 used, processes which
                                 generate asbestos-
                                 containing waste
                                 material, and
                                 disposal information.
State Operating Permits--       Monitoring and          70.6(a)(3)(iii)(
 Permit Content.                 deviation reports       A),
                                 under the State         70.6(a)(3)(iii)
                                 Operating Permit.       (B).
Title V Permits--Permit         Monitoring and          71.6(a)(3)(iii).
 Content.                        deviation reports
                                 under the Federal
                                 Operating Permit.
Annual Export Report..........  Annual report           262.56(a).
                                 summarizing the
                                 amount and type of
                                 hazardous waste
                                 exported.

[[Page 80]]

 
Exceptions Reports............  Reports submitted by a  262.42, 262.55.
                                 generator when the
                                 generator has not
                                 received confirmation
                                 from the Treatment,
                                 Storage, and Disposal
                                 Facility (TSDF) that
                                 it received the
                                 generator's waste and
                                 when hazardous waste
                                 shipment was received
                                 by the TSDF. For
                                 exports, reports
                                 submitted when the
                                 generator has not
                                 received a copy of
                                 the manifest from the
                                 transporter with
                                 departure date and
                                 place of export
                                 indicated; and
                                 confirmation from the
                                 consignee that the
                                 hazardous waste was
                                 received or when the
                                 hazardous waste is
                                 returned to the U.S.
Contingency Plan                Follow-up reports made  264.56(j),
 Implementation Reports.         to the Agency for all   265.56(j).
                                 incidents noted in
                                 the operating record
                                 which required the
                                 implementation of a
                                 facility's
                                 contingency plan.
Significant Manifest            Report filed by         264.72(b),
 Discrepancy Report.             Treatment, Storage,     265.72(b).
                                 and Disposal
                                 Facilities (TSDF)
                                 within 15 days of
                                 receiving wastes,
                                 when the TSDF is
                                 unable to resolve
                                 manifest
                                 discrepancies with
                                 the generator.
Unmanifested Waste Report.....  Report that documents   264.76, 265.76.
                                 hazardous waste
                                 received by a
                                 Treatment, Storage,
                                 and Disposal Facility
                                 without an
                                 accompanying manifest.
Noncompliance Report..........  An owner/operator       264.1090.
                                 submitted report
                                 which documents
                                 hazardous waste that
                                 was placed in
                                 hazardous waste
                                 management units in
                                 noncompliance with 40
                                 CFR sections
                                 264.1082(c)(1) and
                                 (c)(2); 264.1084(b);
                                 264.1035(c)(4); or
                                 264.1033(d).
Notification--Low Level Mixed   One-time notification   266.345.
 Waste.                          concerning
                                 transportation and
                                 disposal of
                                 conditionally
                                 exempted waste.
Notification--Land Disposal     One-time notification   268.9(d).
 Restrictions.                   and certification
                                 that characteristic
                                 waste is no longer
                                 hazardous.
Underground Storage Tank        Underground Storage     280.22.
 Notification.                   Tank system
                                 notifications
                                 concerning design,
                                 construction, and
                                 installation. As well
                                 as when systems are
                                 being placed in
                                 operation. (EPA Form
                                 7530-1 or state
                                 version.).
Free Product Removal Report     Report written and      280.64, 280.65.
 and Subsequent Investigation    submitted within 45
 Report.                         days after confirming
                                 a free product
                                 release, including
                                 information on the
                                 release and recovery
                                 methods used for the
                                 free product, and
                                 when test indicate
                                 presence of free
                                 product, response
                                 measures.
Manufacture or Import           Premanufacture          720.102, 721.25.
 Premanufacture Notification.    notification of
                                 intent to begin
                                 manufacturing,
                                 importing, or
                                 processing chemicals
                                 identified in Subpart
                                 E for significant new
                                 use (forms 7710-56
                                 and 7710-25).
------------------------------------------------------------------------
                         Permit Applications \1\
------------------------------------------------------------------------
State Implementation Plan.....  Information describing  52.21(n).
                                 the source, its
                                 construction
                                 schedule, and the
                                 planned continuous
                                 emissions reductions
                                 system.
State Operating Permits.......  Reports, notices, or    70.6(c)(1).
                                 other written
                                 submissions required
                                 by a State Operating
                                 Permit.
Title V Permits--Permit         Reports, notices, or    71.6(c)(1),
 Content.                        other written           71.25(c)(1).
                                 submissions required
                                 by a Title V
                                 Operating Permit.
Title V Permits...............  Specific criteria for   71.7(e(2)(ii)(c)
                                 permit modifications    .
                                 and or revisions,
                                 including a
                                 certification
                                 statement by a
                                 responsible official.
Reclaimer Certification.......  Certification made by   82.164.
                                 a reclaimer that the
                                 refrigerant was
                                 reprocessed according
                                 to specifications and
                                 that no more than
                                 1.5% of the
                                 refrigerant was
                                 released during the
                                 reclamation.
Application for Certification   Control of Emissions    86.007-21 (heavy
 and Statement of Compliance.    for New and In-Use      duty), 1844-01
                                 Highway Vehicles and    (light duty).
                                 Engines statement of
                                 compliance made by
                                 manufacturer,
                                 attesting that the
                                 engine family
                                 complies with
                                 standards for new and
                                 in-use highway
                                 vehicles and engines.
Application for Certification.  Application made by     89.115, 90.107,
                                 engine manufacturer     91.107, 92.203,
                                 to obtain certificate   94.203.
                                 of conformity.
National Pollutant Discharge    National Pollutant      122.21.
 Elimination System.             Discharge Elimination
                                 System (NPDES)
                                 Permits and Renewals
                                 (includes individual
                                 permit applications,
                                 NPDES General Form 1,
                                 and NPDES Forms 2A-F,
                                 and 2S).
Resource Conservation and       Signatures for permit   270.11, 270.42.
 Recovery Act Permit             applications and
 Applications and                reports; submission
 Modifications.                  of permit
                                 modifications. (This
                                 category excludes
                                 Class I permit
                                 modifications (40 CFR
                                 270.42, Appendix I)
                                 that do not require
                                 prior approval).
------------------------------------------------------------------------
             Certifications of Compliance/Non-Applicability
------------------------------------------------------------------------
State Implementation Plan       State implementation    51.212(c),
 Requirements.                   plan certifications     51.214(e).
                                 for testing,
                                 inspection,
                                 enforcement, and
                                 continuous emissions
                                 monitoring.

[[Page 81]]

 
Certification Statement.......  Chemical Accident       68.185.
                                 Prevention
                                 Provisions--Risk
                                 Management Plan
                                 certification
                                 statements.
Title V Permits...............  Federal compliance      70.5(c)(9),
                                 certifications and      70.5(d),
                                 permit applications.    70.6(c)(5).
State Operating Permits.......  State compliance        71.5(c)(9),
                                 certifications and      71.5(d),
                                 permit applications.    71.24(f).
Annual and Other Compliance     Annual compliance       72.90.
 Certification Reports.          certification report
                                 and is submitted by
                                 units subject to acid
                                 rain emissions
                                 limitations.
Annual Compliance               Annual compliance       74.43.
 Certification Report, Opt-In    certification report
 Report, and Confirmation        which is submitted in
 Report.                         lieu of annual
                                 compliance
                                 certification report
                                 listed in Subpart I
                                 of Part 72.
Quarterly Reports and           Continuous Emission     75.73.
 Compliance Certifications.      Monitoring
                                 certifications,
                                 monitoring plans, and
                                 quarterly reports for
                                 NOX emissions.
Certification Letters Recovery  Protection of           79.4, 80.161,
 and Recycling Equipment,        Stratospheric Ozone:    82.162, 82.42.
 Motor Vehicle Air               Recycling & Emissions
 Conditioners Recycling          Reduction.
 Program, Detergent Package.     Acquisition of
                                 equipment for
                                 recovery or recycling
                                 made by auto repair
                                 service technician
                                 and Fuels and Fuel
                                 Additives Detergent
                                 additive
                                 certification.
Response Plan Cover Sheet.....  Oil Pollution           112 (Appendix
                                 Prevention              f).
                                 certification to the
                                 truth and accuracy of
                                 information.
Closure Report................  Report which documents  146.71.
                                 that closure was in
                                 accordance with
                                 closure plan and/or
                                 details difference
                                 between actual
                                 closure and the
                                 procedures outlined
                                 in the closure plan.
Certification of Closure and    Certification that      264.115,
 Post Closure Care, Post-        Treatment, Storage,     264.119,
 Closure Notices.                and Disposal            264.119(b)(2),
                                 Facilities (TSDF) are   264.120,
                                 closed in accordance    265.115,
                                 with approved closure   265.119(b)(2),
                                 plan or post-closure    265.120,
                                 plan.                   265.19.
Certification of Testing Lab    Certification that the  270.63.
 Analysis.                       testing and/or lab
                                 analyses required for
                                 the treatment
                                 demonstration phase
                                 of a two-phase permit
                                 was conducted.
Periodic Certification........  Certification that      437.41(b).
                                 facility is operating
                                 its system to provide
                                 equivalent treatment
                                 as in initial
                                 certification.
------------------------------------------------------------------------
\1\ Included within each permit application category, though sometimes
  not listed, are the permits submitted to run/operate/maintain
  facilities and/or equipment/products under EPA or authorized programs.



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 5_NONDISCRIMINATION ON THE BASIS OF SEX IN EDUCATION PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE--Table of Contents



                         Subpart A_Introduction

Sec.
5.100 Purpose and effective date.
5.105 Definitions.
5.110 Remedial and affirmative action and self-evaluation.
5.115 Assurance required.
5.120 Transfers of property.
5.125 Effect of other requirements.
5.130 Effect of employment opportunities.
5.135 Designation of responsible employee and adoption of grievance 
          procedures.
5.140 Dissemination of policy.

                           Subpart B_Coverage

5.200 Application.
5.205 Educational institutions and other entities controlled by 
          religious organizations.
5.210 Military and merchant marine educational institutions.
5.215 Membership practices of certain organizations.
5.220 Admissions.

[[Page 82]]

5.225 Educational institutions eligible to submit transition plans.
5.230 Transition plans.
5.235 Statutory amendments.

     Subpart C_Discrimination on the Basis of Sex in Admission and 
                         Recruitment Prohibited

5.300 Admission.
5.305 Preference in admission.
5.310 Recruitment.

 Subpart D_Discrimination on the Basis of Sex in Education Programs or 
                          Activities Prohibited

5.400 Education programs or activities.
5.405 Housing.
5.410 Comparable facilities.
5.415 Access to course offerings.
5.420 Access to schools operated by LEAs.
5.425 Counseling and use of appraisal and counseling materials.
5.430 Financial assistance.
5.435 Employment assistance to students.
5.440 Health and insurance benefits and services.
5.445 Marital or parental status.
5.450 Athletics.
5.455 Textbooks and curricular material.

Subpart E_Discrimination on the Basis of Sex in Employment in Education 
                    Programs or Activities Prohibited

5.500 Employment.
5.505 Employment criteria.
5.510 Recruitment.
5.515 Compensation.
5.520 Job classification and structure.
5.525 Fringe benefits.
5.530 Marital or parental status.
5.535 Effect of state or local law or other requirements.
5.540 Advertising.
5.545 Pre-employment inquiries.
5.550 Sex as a bona fide occupational qualification.

                          Subpart F_Procedures

5.600 Notice of covered programs.
5.605 Enforcement procedures.

    Authority: 20 U.S.C. 1681, 1682, 1683, 1685, 1686, 1687, 1688.

    Source: 65 FR 52865, 52890, Aug. 30, 2000, unless otherwise noted.



                         Subpart A_Introduction



Sec. 5.100  Purpose and effective date.

    The purpose of these Title IX regulations is to effectuate Title IX 
of the Education Amendments of 1972, as amended (except sections 904 and 
906 of those Amendments) (20 U.S.C. 1681, 1682, 1683, 1685, 1686, 1687, 
1688), which is designed to eliminate (with certain exceptions) 
discrimination on the basis of sex in any education program or activity 
receiving Federal financial assistance, whether or not such program or 
activity is offered or sponsored by an educational institution as 
defined in these Title IX regulations. The effective date of these Title 
IX regulations shall be September 29, 2000.



Sec. 5.105  Definitions.

    As used in these Title IX regulations, the term:
    Administratively separate unit means a school, department, or 
college of an educational institution (other than a local educational 
agency) admission to which is independent of admission to any other 
component of such institution.
    Admission means selection for part-time, full-time, special, 
associate, transfer, exchange, or any other enrollment, membership, or 
matriculation in or at an education program or activity operated by a 
recipient.
    Applicant means one who submits an application, request, or plan 
required to be approved by an official of the Federal agency that awards 
Federal financial assistance, or by a recipient, as a condition to 
becoming a recipient.
    Designated agency official means the Director, Office of Civil 
Rights.
    Educational institution means a local educational agency (LEA) as 
defined by 20 U.S.C. 8801(18), a preschool, a private elementary or 
secondary school, or an applicant or recipient that is an institution of 
graduate higher education, an institution of undergraduate higher 
education, an institution of professional education, or an institution 
of vocational education, as defined in this section.
    Federal financial assistance means any of the following, when 
authorized or extended under a law administered by the Federal agency 
that awards such assistance:
    (1) A grant or loan of Federal financial assistance, including funds 
made available for:
    (i) The acquisition, construction, renovation, restoration, or 
repair of a

[[Page 83]]

building or facility or any portion thereof; and
    (ii) Scholarships, loans, grants, wages, or other funds extended to 
any entity for payment to or on behalf of students admitted to that 
entity, or extended directly to such students for payment to that 
entity.
    (2) A grant of Federal real or personal property or any interest 
therein, including surplus property, and the proceeds of the sale or 
transfer of such property, if the Federal share of the fair market value 
of the property is not, upon such sale or transfer, properly accounted 
for to the Federal Government.
    (3) Provision of the services of Federal personnel.
    (4) Sale or lease of Federal property or any interest therein at 
nominal consideration, or at consideration reduced for the purpose of 
assisting the recipient or in recognition of public interest to be 
served thereby, or permission to use Federal property or any interest 
therein without consideration.
    (5) Any other contract, agreement, or arrangement that has as one of 
its purposes the provision of assistance to any education program or 
activity, except a contract of insurance or guaranty.
    Institution of graduate higher education means an institution that:
    (1) Offers academic study beyond the bachelor of arts or bachelor of 
science degree, whether or not leading to a certificate of any higher 
degree in the liberal arts and sciences;
    (2) Awards any degree in a professional field beyond the first 
professional degree (regardless of whether the first professional degree 
in such field is awarded by an institution of undergraduate higher 
education or professional education); or
    (3) Awards no degree and offers no further academic study, but 
operates ordinarily for the purpose of facilitating research by persons 
who have received the highest graduate degree in any field of study.
    Institution of professional education means an institution (except 
any institution of undergraduate higher education) that offers a program 
of academic study that leads to a first professional degree in a field 
for which there is a national specialized accrediting agency recognized 
by the Secretary of Education.
    Institution of undergraduate higher education means:
    (1) An institution offering at least two but less than four years of 
college-level study beyond the high school level, leading to a diploma 
or an associate degree, or wholly or principally creditable toward a 
baccalaureate degree; or
    (2) An institution offering academic study leading to a 
baccalaureate degree; or
    (3) An agency or body that certifies credentials or offers degrees, 
but that may or may not offer academic study.
    Institution of vocational education means a school or institution 
(except an institution of professional or graduate or undergraduate 
higher education) that has as its primary purpose preparation of 
students to pursue a technical, skilled, or semiskilled occupation or 
trade, or to pursue study in a technical field, whether or not the 
school or institution offers certificates, diplomas, or degrees and 
whether or not it offers full-time study.
    Recipient means any State or political subdivision thereof, or any 
instrumentality of a State or political subdivision thereof, any public 
or private agency, institution, or organization, or other entity, or any 
person, to whom Federal financial assistance is extended directly or 
through another recipient and that operates an education program or 
activity that receives such assistance, including any subunit, 
successor, assignee, or transferee thereof.
    Student means a person who has gained admission.
    Title IX means Title IX of the Education Amendments of 1972, Public 
Law 92-318, 86 Stat. 235, 373 (codified as amended at 20 U.S.C. 1681-
1688) (except sections 904 and 906 thereof), as amended by section 3 of 
Public Law 93-568, 88 Stat. 1855, by section 412 of the Education 
Amendments of 1976, Public Law 94-482, 90 Stat. 2234, and by Section 3 
of Public Law 100-259, 102 Stat. 28, 28-29 (20 U.S.C. 1681, 1682, 1683, 
1685, 1686, 1687, 1688).
    Title IX regulations means the provisions set forth at Sec. Sec. 
5.100 through 5.605.
    Transition plan means a plan subject to the approval of the 
Secretary of

[[Page 84]]

Education pursuant to section 901(a)(2) of the Education Amendments of 
1972, 20 U.S.C. 1681(a)(2), under which an educational institution 
operates in making the transition from being an educational institution 
that admits only students of one sex to being one that admits students 
of both sexes without discrimination.

[65 FR 52865, 52890, Aug. 30, 2000]



Sec. 5.110  Remedial and affirmative action and self-evaluation.

    (a) Remedial action. If the designated agency official finds that a 
recipient has discriminated against persons on the basis of sex in an 
education program or activity, such recipient shall take such remedial 
action as the designated agency official deems necessary to overcome the 
effects of such discrimination.
    (b) Affirmative action. In the absence of a finding of 
discrimination on the basis of sex in an education program or activity, 
a recipient may take affirmative action consistent with law to overcome 
the effects of conditions that resulted in limited participation therein 
by persons of a particular sex. Nothing in these Title IX regulations 
shall be interpreted to alter any affirmative action obligations that a 
recipient may have under Executive Order 11246, 3 CFR, 1964-1965 Comp., 
p. 339; as amended by Executive Order 11375, 3 CFR, 1966-1970 Comp., p. 
684; as amended by Executive Order 11478, 3 CFR, 1966-1970 Comp., p. 
803; as amended by Executive Order 12086, 3 CFR, 1978 Comp., p. 230; as 
amended by Executive Order 12107, 3 CFR, 1978 Comp., p. 264.
    (c) Self-evaluation. Each recipient education institution shall, 
within one year of September 29, 2000:
    (1) Evaluate, in terms of the requirements of these Title IX 
regulations, its current policies and practices and the effects thereof 
concerning admission of students, treatment of students, and employment 
of both academic and non-academic personnel working in connection with 
the recipient's education program or activity;
    (2) Modify any of these policies and practices that do not or may 
not meet the requirements of these Title IX regulations; and
    (3) Take appropriate remedial steps to eliminate the effects of any 
discrimination that resulted or may have resulted from adherence to 
these policies and practices.
    (d) Availability of self-evaluation and related materials. 
Recipients shall maintain on file for at least three years following 
completion of the evaluation required under paragraph (c) of this 
section, and shall provide to the designated agency official upon 
request, a description of any modifications made pursuant to paragraph 
(c)(2) of this section and of any remedial steps taken pursuant to 
paragraph (c)(3) of this section.



Sec. 5.115  Assurance required.

    (a) General. Either at the application stage or the award stage, 
Federal agencies must ensure that applications for Federal financial 
assistance or awards of Federal financial assistance contain, be 
accompanied by, or be covered by a specifically identified assurance 
from the applicant or recipient, satisfactory to the designated agency 
official, that each education program or activity operated by the 
applicant or recipient and to which these Title IX regulations apply 
will be operated in compliance with these Title IX regulations. An 
assurance of compliance with these Title IX regulations shall not be 
satisfactory to the designated agency official if the applicant or 
recipient to whom such assurance applies fails to commit itself to take 
whatever remedial action is necessary in accordance with Sec. 5.110(a) 
to eliminate existing discrimination on the basis of sex or to eliminate 
the effects of past discrimination whether occurring prior to or 
subsequent to the submission to the designated agency official of such 
assurance.
    (b) Duration of obligation. (1) In the case of Federal financial 
assistance extended to provide real property or structures thereon, such 
assurance shall obligate the recipient or, in the case of a subsequent 
transfer, the transferee, for the period during which the real property 
or structures are used to provide an education program or activity.
    (2) In the case of Federal financial assistance extended to provide 
personal property, such assurance shall obligate

[[Page 85]]

the recipient for the period during which it retains ownership or 
possession of the property.
    (3) In all other cases such assurance shall obligate the recipient 
for the period during which Federal financial assistance is extended.
    (c) Form. (1) The assurances required by paragraph (a) of this 
section, which may be included as part of a document that addresses 
other assurances or obligations, shall include that the applicant or 
recipient will comply with all applicable Federal statutes relating to 
nondiscrimination. These include but are not limited to: Title IX of the 
Education Amendments of 1972, as amended (20 U.S.C. 1681-1683, 1685-
1688).
    (2) The designated agency official will specify the extent to which 
such assurances will be required of the applicant's or recipient's 
subgrantees, contractors, subcontractors, transferees, or successors in 
interest.



Sec. 5.120  Transfers of property.

    If a recipient sells or otherwise transfers property financed in 
whole or in part with Federal financial assistance to a transferee that 
operates any education program or activity, and the Federal share of the 
fair market value of the property is not upon such sale or transfer 
properly accounted for to the Federal Government, both the transferor 
and the transferee shall be deemed to be recipients, subject to the 
provisions of Sec. Sec. 5.205 through 5.235(a).



Sec. 5.125  Effect of other requirements.

    (a) Effect of other Federal provisions. The obligations imposed by 
these Title IX regulations are independent of, and do not alter, 
obligations not to discriminate on the basis of sex imposed by Executive 
Order 11246, 3 CFR, 1964-1965 Comp., p. 339; as amended by Executive 
Order 11375, 3 CFR, 1966-1970 Comp., p. 684; as amended by Executive 
Order 11478, 3 CFR, 1966-1970 Comp., p. 803; as amended by Executive 
Order 12087, 3 CFR, 1978 Comp., p. 230; as amended by Executive Order 
12107, 3 CFR, 1978 Comp., p. 264; sections 704 and 855 of the Public 
Health Service Act (42 U.S.C. 295m, 298b-2); Title VII of the Civil 
Rights Act of 1964 (42 U.S.C. 2000e et seq.); the Equal Pay Act of 1963 
(29 U.S.C. 206); and any other Act of Congress or Federal regulation.
    (b) Effect of State or local law or other requirements. The 
obligation to comply with these Title IX regulations is not obviated or 
alleviated by any State or local law or other requirement that would 
render any applicant or student ineligible, or limit the eligibility of 
any applicant or student, on the basis of sex, to practice any 
occupation or profession.
    (c) Effect of rules or regulations of private organizations. The 
obligation to comply with these Title IX regulations is not obviated or 
alleviated by any rule or regulation of any organization, club, athletic 
or other league, or association that would render any applicant or 
student ineligible to participate or limit the eligibility or 
participation of any applicant or student, on the basis of sex, in any 
education program or activity operated by a recipient and that receives 
Federal financial assistance.



Sec. 5.130  Effect of employment opportunities.

    The obligation to comply with these Title IX regulations is not 
obviated or alleviated because employment opportunities in any 
occupation or profession are or may be more limited for members of one 
sex than for members of the other sex.



Sec. 5.135  Designation of responsible employee and adoption of grievance procedures.

    (a) Designation of responsible employee. Each recipient shall 
designate at least one employee to coordinate its efforts to comply with 
and carry out its responsibilities under these Title IX regulations, 
including any investigation of any complaint communicated to such 
recipient alleging its noncompliance with these Title IX regulations or 
alleging any actions that would be prohibited by these Title IX 
regulations. The recipient shall notify all its students and employees 
of the name, office address, and telephone number of the employee or 
employees appointed pursuant to this paragraph.
    (b) Complaint procedure of recipient. A recipient shall adopt and 
publish grievance procedures providing for prompt

[[Page 86]]

and equitable resolution of student and employee complaints alleging any 
action that would be prohibited by these Title IX regulations.



Sec. 5.140  Dissemination of policy.

    (a) Notification of policy. (1) Each recipient shall implement 
specific and continuing steps to notify applicants for admission and 
employment, students and parents of elementary and secondary school 
students, employees, sources of referral of applicants for admission and 
employment, and all unions or professional organizations holding 
collective bargaining or professional agreements with the recipient, 
that it does not discriminate on the basis of sex in the educational 
programs or activities that it operates, and that it is required by 
Title IX and these Title IX regulations not to discriminate in such a 
manner. Such notification shall contain such information, and be made in 
such manner, as the designated agency official finds necessary to 
apprise such persons of the protections against discrimination assured 
them by Title IX and these Title IX regulations, but shall state at 
least that the requirement not to discriminate in education programs or 
activities extends to employment therein, and to admission thereto 
unless Sec. Sec. 5.300 through 5.310 do not apply to the recipient, and 
that inquiries concerning the application of Title IX and these Title IX 
regulations to such recipient may be referred to the employee designated 
pursuant to Sec. 5.135, or to the designated agency official.
    (2) Each recipient shall make the initial notification required by 
paragraph (a)(1) of this section within 90 days of September 29, 2000 or 
of the date these Title IX regulations first apply to such recipient, 
whichever comes later, which notification shall include publication in:
    (i) Newspapers and magazines operated by such recipient or by 
student, alumnae, or alumni groups for or in connection with such 
recipient; and
    (ii) Memoranda or other written communications distributed to every 
student and employee of such recipient.
    (b) Publications. (1) Each recipient shall prominently include a 
statement of the policy described in paragraph (a) of this section in 
each announcement, bulletin, catalog, or application form that it makes 
available to any person of a type, described in paragraph (a) of this 
section, or which is otherwise used in connection with the recruitment 
of students or employees.
    (2) A recipient shall not use or distribute a publication of the 
type described in paragraph (b)(1) of this section that suggests, by 
text or illustration, that such recipient treats applicants, students, 
or employees differently on the basis of sex except as such treatment is 
permitted by these Title IX regulations.
    (c) Distribution. Each recipient shall distribute without 
discrimination on the basis of sex each publication described in 
paragraph (b)(1) of this section, and shall apprise each of its 
admission and employment recruitment representatives of the policy of 
nondiscrimination described in paragraph (a) of this section, and shall 
require such representatives to adhere to such policy.



                           Subpart B_Coverage



Sec. 5.200  Application.

    Except as provided in Sec. Sec. 5.205 through 5.235(a), these Title 
IX regulations apply to every recipient and to each education program or 
activity operated by such recipient that receives Federal financial 
assistance.



Sec. 5.205  Educational institutions and other entities controlled by religious organizations.

    (a) Exemption. These Title IX regulations do not apply to any 
operation of an educational institution or other entity that is 
controlled by a religious organization to the extent that application of 
these Title IX regulations would not be consistent with the religious 
tenets of such organization.
    (b) Exemption claims. An educational institution or other entity 
that wishes to claim the exemption set forth in paragraph (a) of this 
section shall do so by submitting in writing to the designated agency 
official a statement by the highest-ranking official of the institution, 
identifying the provisions of these Title IX regulations that conflict

[[Page 87]]

with a specific tenet of the religious organization.



Sec. 5.210  Military and merchant marine educational institutions.

    These Title IX regulations do not apply to an educational 
institution whose primary purpose is the training of individuals for a 
military service of the United States or for the merchant marine.



Sec. 5.215  Membership practices of certain organizations.

    (a) Social fraternities and sororities. These Title IX regulations 
do not apply to the membership practices of social fraternities and 
sororities that are exempt from taxation under section 501(a) of the 
Internal Revenue Code of 1954, 26 U.S.C. 501(a), the active membership 
of which consists primarily of students in attendance at institutions of 
higher education.
    (b) YMCA, YWCA, Girl Scouts, Boy Scouts, and Camp Fire Girls. These 
Title IX regulations do not apply to the membership practices of the 
Young Men's Christian Association (YMCA), the Young Women's Christian 
Association (YWCA), the Girl Scouts, the Boy Scouts, and Camp Fire 
Girls.
    (c) Voluntary youth service organizations. These Title IX 
regulations do not apply to the membership practices of a voluntary 
youth service organization that is exempt from taxation under section 
501(a) of the Internal Revenue Code of 1954, 26 U.S.C. 501(a), and the 
membership of which has been traditionally limited to members of one sex 
and principally to persons of less than nineteen years of age.



Sec. 5.220  Admissions.

    (a) Admissions to educational institutions prior to June 24, 1973, 
are not covered by these Title IX regulations.
    (b) Administratively separate units. For the purposes only of this 
section, Sec. Sec. 5.225 and 5.230, and Sec. Sec. 5.300 through 5.310, 
each administratively separate unit shall be deemed to be an educational 
institution.
    (c) Application of Sec. Sec. 5.300 through .310. Except as provided 
in paragraphs (d) and (e) of this section, Sec. Sec. 5.300 through 
5.310 apply to each recipient. A recipient to which Sec. Sec. 5.300 
through 5.310 apply shall not discriminate on the basis of sex in 
admission or recruitment in violation of Sec. Sec. 5.300 through 5.310.
    (d) Educational institutions. Except as provided in paragraph (e) of 
this section as to recipients that are educational institutions, 
Sec. Sec. 5.300 through 5.310 apply only to institutions of vocational 
education, professional education, graduate higher education, and public 
institutions of undergraduate higher education.
    (e) Public institutions of undergraduate higher education. 
Sec. Sec. 5.300 through 5.310 do not apply to any public institution of 
undergraduate higher education that traditionally and continually from 
its establishment has had a policy of admitting students of only one 
sex.



Sec. 5.225  Educational institutions eligible to submit transition plans.

    (a) Application. This section applies to each educational 
institution to which Sec. Sec. 5.300 through 5.310 apply that:
    (1) Admitted students of only one sex as regular students as of June 
23, 1972; or
    (2) Admitted students of only one sex as regular students as of June 
23, 1965, but thereafter admitted, as regular students, students of the 
sex not admitted prior to June 23, 1965.
    (b) Provision for transition plans. An educational institution to 
which this section applies shall not discriminate on the basis of sex in 
admission or recruitment in violation of Sec. Sec. 5.300 through 5.310.



Sec. 5.230  Transition plans.

    (a) Submission of plans. An institution to which Sec. 5.225 applies 
and that is composed of more than one administratively separate unit may 
submit either a single transition plan applicable to all such units, or 
a separate transition plan applicable to each such unit.
    (b) Content of plans. In order to be approved by the Secretary of 
Education, a transition plan shall:
    (1) State the name, address, and Federal Interagency Committee on 
Education Code of the educational institution submitting such plan, the 
administratively separate units to which the plan is applicable, and the 
name, address, and telephone number of the person to whom questions 
concerning the

[[Page 88]]

plan may be addressed. The person who submits the plan shall be the 
chief administrator or president of the institution, or another 
individual legally authorized to bind the institution to all actions set 
forth in the plan.
    (2) State whether the educational institution or administratively 
separate unit admits students of both sexes as regular students and, if 
so, when it began to do so.
    (3) Identify and describe with respect to the educational 
institution or administratively separate unit any obstacles to admitting 
students without discrimination on the basis of sex.
    (4) Describe in detail the steps necessary to eliminate as soon as 
practicable each obstacle so identified and indicate the schedule for 
taking these steps and the individual directly responsible for their 
implementation.
    (5) Include estimates of the number of students, by sex, expected to 
apply for, be admitted to, and enter each class during the period 
covered by the plan.
    (c) Nondiscrimination. No policy or practice of a recipient to which 
Sec. 5.225 applies shall result in treatment of applicants to or 
students of such recipient in violation of Sec. Sec. 5.300 through 
5.310 unless such treatment is necessitated by an obstacle identified in 
paragraph (b)(3) of this section and a schedule for eliminating that 
obstacle has been provided as required by paragraph (b)(4) of this 
section.
    (d) Effects of past exclusion. To overcome the effects of past 
exclusion of students on the basis of sex, each educational institution 
to which Sec. 5.225 applies shall include in its transition plan, and 
shall implement, specific steps designed to encourage individuals of the 
previously excluded sex to apply for admission to such institution. Such 
steps shall include instituting recruitment programs that emphasize the 
institution's commitment to enrolling students of the sex previously 
excluded.



Sec. 5.235  Statutory amendments.

    (a) This section, which applies to all provisions of these Title IX 
regulations, addresses statutory amendments to Title IX.
    (b) These Title IX regulations shall not apply to or preclude:
    (1) Any program or activity of the American Legion undertaken in 
connection with the organization or operation of any Boys State 
conference, Boys Nation conference, Girls State conference, or Girls 
Nation conference;
    (2) Any program or activity of a secondary school or educational 
institution specifically for:
    (i) The promotion of any Boys State conference, Boys Nation 
conference, Girls State conference, or Girls Nation conference; or
    (ii) The selection of students to attend any such conference;
    (3) Father-son or mother-daughter activities at an educational 
institution or in an education program or activity, but if such 
activities are provided for students of one sex, opportunities for 
reasonably comparable activities shall be provided to students of the 
other sex;
    (4) Any scholarship or other financial assistance awarded by an 
institution of higher education to an individual because such individual 
has received such award in a single-sex pageant based upon a combination 
of factors related to the individual's personal appearance, poise, and 
talent. The pageant, however, must comply with other nondiscrimination 
provisions of Federal law.
    (c) Program or activity or program means:
    (1) All of the operations of any entity described in paragraphs 
(c)(1)(i) through (iv) of this section, any part of which is extended 
Federal financial assistance:
    (i)(A) A department, agency, special purpose district, or other 
instrumentality of a State or of a local government; or
    (B) The entity of such State or local government that distributes 
such assistance and each such department or agency (and each other State 
or local government entity) to which the assistance is extended, in the 
case of assistance to a State or local government;
    (ii)(A) A college, university, or other postsecondary institution, 
or a public system of higher education; or

[[Page 89]]

    (B) A local educational agency (as defined in section 8801 of title 
20), system of vocational education, or other school system;
    (iii)(A) An entire corporation, partnership, or other private 
organization, or an entire sole proprietorship--
    (1) If assistance is extended to such corporation, partnership, 
private organization, or sole proprietorship as a whole; or
    (2) Which is principally engaged in the business of providing 
education, health care, housing, social services, or parks and 
recreation; or
    (B) The entire plant or other comparable, geographically separate 
facility to which Federal financial assistance is extended, in the case 
of any other corporation, partnership, private organization, or sole 
proprietorship; or
    (iv) Any other entity that is established by two or more of the 
entities described in paragraphs (c)(1)(i), (ii), or (iii) of this 
section.
    (2)(i) Program or activity does not include any operation of an 
entity that is controlled by a religious organization if the application 
of 20 U.S.C. 1681 to such operation would not be consistent with the 
religious tenets of such organization.
    (ii) For example, all of the operations of a college, university, or 
other postsecondary institution, including but not limited to 
traditional educational operations, faculty and student housing, campus 
shuttle bus service, campus restaurants, the bookstore, and other 
commercial activities are part of a ``program or activity'' subject to 
these Title IX regulations if the college, university, or other 
institution receives Federal financial assistance.
    (d)(1) Nothing in these Title IX regulations shall be construed to 
require or prohibit any person, or public or private entity, to provide 
or pay for any benefit or service, including the use of facilities, 
related to an abortion. Medical procedures, benefits, services, and the 
use of facilities, necessary to save the life of a pregnant woman or to 
address complications related to an abortion are not subject to this 
section.
    (2) Nothing in this section shall be construed to permit a penalty 
to be imposed on any person or individual because such person or 
individual is seeking or has received any benefit or service related to 
a legal abortion. Accordingly, subject to paragraph (d)(1) of this 
section, no person shall be excluded from participation in, be denied 
the benefits of, or be subjected to discrimination under any academic, 
extracurricular, research, occupational training, employment, or other 
educational program or activity operated by a recipient that receives 
Federal financial assistance because such individual has sought or 
received, or is seeking, a legal abortion, or any benefit or service 
related to a legal abortion.



     Subpart C_Discrimination on the Basis of Sex in Admission and 
                         Recruitment Prohibited



Sec. 5.300  Admission.

    (a) General. No person shall, on the basis of sex, be denied 
admission, or be subjected to discrimination in admission, by any 
recipient to which Sec. Sec. 5.300 through Sec. Sec. 5.310 apply, 
except as provided in Sec. Sec. 5.225 and 5.230.
    (b) Specific prohibitions. (1) In determining whether a person 
satisfies any policy or criterion for admission, or in making any offer 
of admission, a recipient to which Sec. Sec. 5.300 through 5.310 apply 
shall not:
    (i) Give preference to one person over another on the basis of sex, 
by ranking applicants separately on such basis, or otherwise;
    (ii) Apply numerical limitations upon the number or proportion of 
persons of either sex who may be admitted; or
    (iii) Otherwise treat one individual differently from another on the 
basis of sex.
    (2) A recipient shall not administer or operate any test or other 
criterion for admission that has a disproportionately adverse effect on 
persons on the basis of sex unless the use of such test or criterion is 
shown to predict validly success in the education program or activity in 
question and alternative tests or criteria that do not have such a 
disproportionately adverse effect are shown to be unavailable.
    (c) Prohibitions relating to marital or parental status. In 
determining whether a person satisfies any policy or criterion for 
admission, or in making any

[[Page 90]]

offer of admission, a recipient to which Sec. Sec. 5.300 through 5.310 
apply:
    (1) Shall not apply any rule concerning the actual or potential 
parental, family, or marital status of a student or applicant that 
treats persons differently on the basis of sex;
    (2) Shall not discriminate against or exclude any person on the 
basis of pregnancy, childbirth, termination of pregnancy, or recovery 
therefrom, or establish or follow any rule or practice that so 
discriminates or excludes;
    (3) Subject to Sec. 5.235(d), shall treat disabilities related to 
pregnancy, childbirth, termination of pregnancy, or recovery therefrom 
in the same manner and under the same policies as any other temporary 
disability or physical condition; and
    (4) Shall not make pre-admission inquiry as to the marital status of 
an applicant for admission, including whether such applicant is ``Miss'' 
or ``Mrs.'' A recipient may make pre-admission inquiry as to the sex of 
an applicant for admission, but only if such inquiry is made equally of 
such applicants of both sexes and if the results of such inquiry are not 
used in connection with discrimination prohibited by these Title IX 
regulations.



Sec. 5.305  Preference in admission.

    A recipient to which Sec. Sec. 5.300 through 5.310 apply shall not 
give preference to applicants for admission, on the basis of attendance 
at any educational institution or other school or entity that admits as 
students only or predominantly members of one sex, if the giving of such 
preference has the effect of discriminating on the basis of sex in 
violation of Sec. Sec. 5.300 through 5.310.



Sec. 5.310  Recruitment.

    (a) Nondiscriminatory recruitment. A recipient to which Sec. Sec. 
5.300 through 5.310 apply shall not discriminate on the basis of sex in 
the recruitment and admission of students. A recipient may be required 
to undertake additional recruitment efforts for one sex as remedial 
action pursuant to Sec. 5.110(a), and may choose to undertake such 
efforts as affirmative action pursuant to Sec. 5.110(b).
    (b) Recruitment at certain institutions. A recipient to which 
Sec. Sec. 5.300 through 5.310 apply shall not recruit primarily or 
exclusively at educational institutions, schools, or entities that admit 
as students only or predominantly members of one sex, if such actions 
have the effect of discriminating on the basis of sex in violation of 
Sec. Sec. 5.300 through 5.310.



 Subpart D_Discrimination on the Basis of Sex in Education Programs or 
                          Activities Prohibited



Sec. 5.400  Education programs or activities.

    (a) General. Except as provided elsewhere in these Title IX 
regulations, no person shall, on the basis of sex, be excluded from 
participation in, be denied the benefits of, or be subjected to 
discrimination under any academic, extracurricular, research, 
occupational training, or other education program or activity operated 
by a recipient that receives Federal financial assistance. Sections 
5.400 through 5.455 do not apply to actions of a recipient in connection 
with admission of its students to an education program or activity of a 
recipient to which Sec. Sec. 5.300 through 5.310 do not apply, or an 
entity, not a recipient, to which Sec. Sec. 5.300 through 5.310 would 
not apply if the entity were a recipient.
    (b) Specific prohibitions. Except as provided in Sec. Sec. 5.400 
through 5.455, in providing any aid, benefit, or service to a student, a 
recipient shall not, on the basis of sex:
    (1) Treat one person differently from another in determining whether 
such person satisfies any requirement or condition for the provision of 
such aid, benefit, or service;
    (2) Provide different aid, benefits, or services or provide aid, 
benefits, or services in a different manner;
    (3) Deny any person any such aid, benefit, or service;
    (4) Subject any person to separate or different rules of behavior, 
sanctions, or other treatment;
    (5) Apply any rule concerning the domicile or residence of a student 
or applicant, including eligibility for in-state fees and tuition;

[[Page 91]]

    (6) Aid or perpetuate discrimination against any person by providing 
significant assistance to any agency, organization, or person that 
discriminates on the basis of sex in providing any aid, benefit, or 
service to students or employees;
    (7) Otherwise limit any person in the enjoyment of any right, 
privilege, advantage, or opportunity.
    (c) Assistance administered by a recipient educational institution 
to study at a foreign institution. A recipient educational institution 
may administer or assist in the administration of scholarships, 
fellowships, or other awards established by foreign or domestic wills, 
trusts, or similar legal instruments, or by acts of foreign governments 
and restricted to members of one sex, that are designed to provide 
opportunities to study abroad, and that are awarded to students who are 
already matriculating at or who are graduates of the recipient 
institution; Provided, that a recipient educational institution that 
administers or assists in the administration of such scholarships, 
fellowships, or other awards that are restricted to members of one sex 
provides, or otherwise makes available, reasonable opportunities for 
similar studies for members of the other sex. Such opportunities may be 
derived from either domestic or foreign sources.
    (d) Aids, benefits or services not provided by recipient. (1) This 
paragraph (d) applies to any recipient that requires participation by 
any applicant, student, or employee in any education program or activity 
not operated wholly by such recipient, or that facilitates, permits, or 
considers such participation as part of or equivalent to an education 
program or activity operated by such recipient, including participation 
in educational consortia and cooperative employment and student-teaching 
assignments.
    (2) Such recipient:
    (i) Shall develop and implement a procedure designed to assure 
itself that the operator or sponsor of such other education program or 
activity takes no action affecting any applicant, student, or employee 
of such recipient that these Title IX regulations would prohibit such 
recipient from taking; and
    (ii) Shall not facilitate, require, permit, or consider such 
participation if such action occurs.



Sec. 5.405  Housing.

    (a) Generally. A recipient shall not, on the basis of sex, apply 
different rules or regulations, impose different fees or requirements, 
or offer different services or benefits related to housing, except as 
provided in this section (including housing provided only to married 
students).
    (b) Housing provided by recipient. (1) A recipient may provide 
separate housing on the basis of sex.
    (2) Housing provided by a recipient to students of one sex, when 
compared to that provided to students of the other sex, shall be as a 
whole:
    (i) Proportionate in quantity to the number of students of that sex 
applying for such housing; and
    (ii) Comparable in quality and cost to the student.
    (c) Other housing. (1) A recipient shall not, on the basis of sex, 
administer different policies or practices concerning occupancy by its 
students of housing other than that provided by such recipient.
    (2)(i) A recipient which, through solicitation, listing, approval of 
housing, or otherwise, assists any agency, organization, or person in 
making housing available to any of its students, shall take such 
reasonable action as may be necessary to assure itself that such housing 
as is provided to students of one sex, when compared to that provided to 
students of the other sex, is as a whole:
    (A) Proportionate in quantity; and
    (B) Comparable in quality and cost to the student.
    (ii) A recipient may render such assistance to any agency, 
organization, or person that provides all or part of such housing to 
students of only one sex.



Sec. 5.410  Comparable facilities.

    A recipient may provide separate toilet, locker room, and shower 
facilities on the basis of sex, but such facilities provided for 
students of one sex shall be comparable to such facilities provided for 
students of the other sex.

[[Page 92]]



Sec. 5.415  Access to course offerings.

    (a) A recipient shall not provide any course or otherwise carry out 
any of its education program or activity separately on the basis of sex, 
or require or refuse participation therein by any of its students on 
such basis, including health, physical education, industrial, business, 
vocational, technical, home economics, music, and adult education 
courses.
    (b)(1) With respect to classes and activities in physical education 
at the elementary school level, the recipient shall comply fully with 
this section as expeditiously as possible but in no event later than one 
year from September 29, 2000. With respect to physical education classes 
and activities at the secondary and post-secondary levels, the recipient 
shall comply fully with this section as expeditiously as possible but in 
no event later than three years from September 29, 2000.
    (2) This section does not prohibit grouping of students in physical 
education classes and activities by ability as assessed by objective 
standards of individual performance developed and applied without regard 
to sex.
    (3) This section does not prohibit separation of students by sex 
within physical education classes or activities during participation in 
wrestling, boxing, rugby, ice hockey, football, basketball, and other 
sports the purpose or major activity of which involves bodily contact.
    (4) Where use of a single standard of measuring skill or progress in 
a physical education class has an adverse effect on members of one sex, 
the recipient shall use appropriate standards that do not have such 
effect.
    (5) Portions of classes in elementary and secondary schools, or 
portions of education programs or activities, that deal exclusively with 
human sexuality may be conducted in separate sessions for boys and 
girls.
    (6) Recipients may make requirements based on vocal range or quality 
that may result in a chorus or choruses of one or predominantly one sex.



Sec. 5.420  Access to schools operated by LEAs.

    A recipient that is a local educational agency shall not, on the 
basis of sex, exclude any person from admission to:
    (a) Any institution of vocational education operated by such 
recipient; or
    (b) Any other school or educational unit operated by such recipient, 
unless such recipient otherwise makes available to such person, pursuant 
to the same policies and criteria of admission, courses, services, and 
facilities comparable to each course, service, and facility offered in 
or through such schools.



Sec. 5.425  Counseling and use of appraisal and counseling materials.

    (a) Counseling. A recipient shall not discriminate against any 
person on the basis of sex in the counseling or guidance of students or 
applicants for admission.
    (b) Use of appraisal and counseling materials. A recipient that uses 
testing or other materials for appraising or counseling students shall 
not use different materials for students on the basis of their sex or 
use materials that permit or require different treatment of students on 
such basis unless such different materials cover the same occupations 
and interest areas and the use of such different materials is shown to 
be essential to eliminate sex bias. Recipients shall develop and use 
internal procedures for ensuring that such materials do not discriminate 
on the basis of sex. Where the use of a counseling test or other 
instrument results in a substantially disproportionate number of members 
of one sex in any particular course of study or classification, the 
recipient shall take such action as is necessary to assure itself that 
such disproportion is not the result of discrimination in the instrument 
or its application.
    (c) Disproportion in classes. Where a recipient finds that a 
particular class contains a substantially disproportionate number of 
individuals of one sex, the recipient shall take such action as is 
necessary to assure itself that such disproportion is not the result of 
discrimination on the basis of sex in counseling or appraisal materials 
or by counselors.

[[Page 93]]



Sec. 5.430  Financial assistance.

    (a) General. Except as provided in paragraphs (b) and (c) of this 
section, in providing financial assistance to any of its students, a 
recipient shall not:
    (1) On the basis of sex, provide different amounts or types of such 
assistance, limit eligibility for such assistance that is of any 
particular type or source, apply different criteria, or otherwise 
discriminate;
    (2) Through solicitation, listing, approval, provision of 
facilities, or other services, assist any foundation, trust, agency, 
organization, or person that provides assistance to any of such 
recipient's students in a manner that discriminates on the basis of sex; 
or
    (3) Apply any rule or assist in application of any rule concerning 
eligibility for such assistance that treats persons of one sex 
differently from persons of the other sex with regard to marital or 
parental status.
    (b) Financial aid established by certain legal instruments. (1) A 
recipient may administer or assist in the administration of 
scholarships, fellowships, or other forms of financial assistance 
established pursuant to domestic or foreign wills, trusts, bequests, or 
similar legal instruments or by acts of a foreign government that 
require that awards be made to members of a particular sex specified 
therein; Provided, that the overall effect of the award of such sex-
restricted scholarships, fellowships, and other forms of financial 
assistance does not discriminate on the basis of sex.
    (2) To ensure nondiscriminatory awards of assistance as required in 
paragraph (b)(1) of this section, recipients shall develop and use 
procedures under which:
    (i) Students are selected for award of financial assistance on the 
basis of nondiscriminatory criteria and not on the basis of availability 
of funds restricted to members of a particular sex;
    (ii) An appropriate sex-restricted scholarship, fellowship, or other 
form of financial assistance is allocated to each student selected under 
paragraph (b)(2)(i) of this section; and
    (iii) No student is denied the award for which he or she was 
selected under paragraph (b)(2)(i) of this section because of the 
absence of a scholarship, fellowship, or other form of financial 
assistance designated for a member of that student's sex.
    (c) Athletic scholarships. (1) To the extent that a recipient awards 
athletic scholarships or grants-in-aid, it must provide reasonable 
opportunities for such awards for members of each sex in proportion to 
the number of students of each sex participating in interscholastic or 
intercollegiate athletics.
    (2) A recipient may provide separate athletic scholarships or 
grants-in-aid for members of each sex as part of separate athletic teams 
for members of each sex to the extent consistent with this paragraph (c) 
and Sec. 5.450.



Sec. 5.435  Employment assistance to students.

    (a) Assistance by recipient in making available outside employment. 
A recipient that assists any agency, organization, or person in making 
employment available to any of its students:
    (1) Shall assure itself that such employment is made available 
without discrimination on the basis of sex; and
    (2) Shall not render such services to any agency, organization, or 
person that discriminates on the basis of sex in its employment 
practices.
    (b) Employment of students by recipients. A recipient that employs 
any of its students shall not do so in a manner that violates Sec. Sec. 
5.500 through 5.550.



Sec. 5.440  Health and insurance benefits and services.

    Subject to Sec. 5.235(d), in providing a medical, hospital, 
accident, or life insurance benefit, service, policy, or plan to any of 
its students, a recipient shall not discriminate on the basis of sex, or 
provide such benefit, service, policy, or plan in a manner that would 
violate Sec. Sec. 5.500 through 5.550 if it were provided to employees 
of the recipient. This section shall not prohibit a recipient from 
providing any benefit or service that may be used by a different 
proportion of students of one sex than of the other, including family 
planning services. However, any recipient that provides full coverage 
health service shall provide gynecological care.

[[Page 94]]



Sec. 5.445  Marital or parental status.

    (a) Status generally. A recipient shall not apply any rule 
concerning a student's actual or potential parental, family, or marital 
status that treats students differently on the basis of sex.
    (b) Pregnancy and related conditions. (1) A recipient shall not 
discriminate against any student, or exclude any student from its 
education program or activity, including any class or extracurricular 
activity, on the basis of such student's pregnancy, childbirth, false 
pregnancy, termination of pregnancy, or recovery therefrom, unless the 
student requests voluntarily to participate in a separate portion of the 
program or activity of the recipient.
    (2) A recipient may require such a student to obtain the 
certification of a physician that the student is physically and 
emotionally able to continue participation as long as such a 
certification is required of all students for other physical or 
emotional conditions requiring the attention of a physician.
    (3) A recipient that operates a portion of its education program or 
activity separately for pregnant students, admittance to which is 
completely voluntary on the part of the student as provided in paragraph 
(b)(1) of this section, shall ensure that the separate portion is 
comparable to that offered to non-pregnant students.
    (4) Subject to Sec. 5.235(d), a recipient shall treat pregnancy, 
childbirth, false pregnancy, termination of pregnancy and recovery 
therefrom in the same manner and under the same policies as any other 
temporary disability with respect to any medical or hospital benefit, 
service, plan, or policy that such recipient administers, operates, 
offers, or participates in with respect to students admitted to the 
recipient's educational program or activity.
    (5) In the case of a recipient that does not maintain a leave policy 
for its students, or in the case of a student who does not otherwise 
qualify for leave under such a policy, a recipient shall treat 
pregnancy, childbirth, false pregnancy, termination of pregnancy, and 
recovery therefrom as a justification for a leave of absence for as long 
a period of time as is deemed medically necessary by the student's 
physician, at the conclusion of which the student shall be reinstated to 
the status that she held when the leave began.



Sec. 5.450  Athletics.

    (a) General. No person shall, on the basis of sex, be excluded from 
participation in, be denied the benefits of, be treated differently from 
another person, or otherwise be discriminated against in any 
interscholastic, intercollegiate, club, or intramural athletics offered 
by a recipient, and no recipient shall provide any such athletics 
separately on such basis.
    (b) Separate teams. Notwithstanding the requirements of paragraph 
(a) of this section, a recipient may operate or sponsor separate teams 
for members of each sex where selection for such teams is based upon 
competitive skill or the activity involved is a contact sport. However, 
where a recipient operates or sponsors a team in a particular sport for 
members of one sex but operates or sponsors no such team for members of 
the other sex, and athletic opportunities for members of that sex have 
previously been limited, members of the excluded sex must be allowed to 
try out for the team offered unless the sport involved is a contact 
sport. For the purposes of these Title IX regulations, contact sports 
include boxing, wrestling, rugby, ice hockey, football, basketball, and 
other sports the purpose or major activity of which involves bodily 
contact.
    (c) Equal opportunity. (1) A recipient that operates or sponsors 
interscholastic, intercollegiate, club, or intramural athletics shall 
provide equal athletic opportunity for members of both sexes. In 
determining whether equal opportunities are available, the designated 
agency official will consider, among other factors:
    (i) Whether the selection of sports and levels of competition 
effectively accommodate the interests and abilities of members of both 
sexes;
    (ii) The provision of equipment and supplies;
    (iii) Scheduling of games and practice time;
    (iv) Travel and per diem allowance;
    (v) Opportunity to receive coaching and academic tutoring;
    (vi) Assignment and compensation of coaches and tutors;

[[Page 95]]

    (vii) Provision of locker rooms, practice, and competitive 
facilities;
    (viii) Provision of medical and training facilities and services;
    (ix) Provision of housing and dining facilities and services;
    (x) Publicity.
    (2) For purposes of paragraph (c)(1) of this section, unequal 
aggregate expenditures for members of each sex or unequal expenditures 
for male and female teams if a recipient operates or sponsors separate 
teams will not constitute noncompliance with this section, but the 
designated agency official may consider the failure to provide necessary 
funds for teams for one sex in assessing equality of opportunity for 
members of each sex.
    (d) Adjustment period. A recipient that operates or sponsors 
interscholastic, intercollegiate, club, or intramural athletics at the 
elementary school level shall comply fully with this section as 
expeditiously as possible but in no event later than one year from 
September 29, 2000. A recipient that operates or sponsors 
interscholastic, intercollegiate, club, or intramural athletics at the 
secondary or postsecondary school level shall comply fully with this 
section as expeditiously as possible but in no event later than three 
years from September 29, 2000.



Sec. 5.455  Textbooks and curricular material.

    Nothing in these Title IX regulations shall be interpreted as 
requiring or prohibiting or abridging in any way the use of particular 
textbooks or curricular materials.



Subpart E_Discrimination on the Basis of Sex in Employment in Education 
                    Programs or Activities Prohibited



Sec. 5.500  Employment.

    (a) General. (1) No person shall, on the basis of sex, be excluded 
from participation in, be denied the benefits of, or be subjected to 
discrimination in employment, or recruitment, consideration, or 
selection therefor, whether full-time or part-time, under any education 
program or activity operated by a recipient that receives Federal 
financial assistance.
    (2) A recipient shall make all employment decisions in any education 
program or activity operated by such recipient in a nondiscriminatory 
manner and shall not limit, segregate, or classify applicants or 
employees in any way that could adversely affect any applicant's or 
employee's employment opportunities or status because of sex.
    (3) A recipient shall not enter into any contractual or other 
relationship which directly or indirectly has the effect of subjecting 
employees or students to discrimination prohibited by Sec. Sec. 5.500 
through 5.550, including relationships with employment and referral 
agencies, with labor unions, and with organizations providing or 
administering fringe benefits to employees of the recipient.
    (4) A recipient shall not grant preferences to applicants for 
employment on the basis of attendance at any educational institution or 
entity that admits as students only or predominantly members of one sex, 
if the giving of such preferences has the effect of discriminating on 
the basis of sex in violation of these Title IX regulations.
    (b) Application. The provisions of Sec. Sec. 5.500 through 5.550 
apply to:
    (1) Recruitment, advertising, and the process of application for 
employment;
    (2) Hiring, upgrading, promotion, consideration for and award of 
tenure, demotion, transfer, layoff, termination, application of nepotism 
policies, right of return from layoff, and rehiring;
    (3) Rates of pay or any other form of compensation, and changes in 
compensation;
    (4) Job assignments, classifications, and structure, including 
position descriptions, lines of progression, and seniority lists;
    (5) The terms of any collective bargaining agreement;
    (6) Granting and return from leaves of absence, leave for pregnancy, 
childbirth, false pregnancy, termination of pregnancy, leave for persons 
of either sex to care for children or dependents, or any other leave;
    (7) Fringe benefits available by virtue of employment, whether or 
not administered by the recipient;
    (8) Selection and financial support for training, including 
apprenticeship,

[[Page 96]]

professional meetings, conferences, and other related activities, 
selection for tuition assistance, selection for sabbaticals and leaves 
of absence to pursue training;
    (9) Employer-sponsored activities, including social or recreational 
programs; and
    (10) Any other term, condition, or privilege of employment.



Sec. 5.505  Employment criteria.

    A recipient shall not administer or operate any test or other 
criterion for any employment opportunity that has a disproportionately 
adverse effect on persons on the basis of sex unless:
    (a) Use of such test or other criterion is shown to predict validly 
successful performance in the position in question; and
    (b) Alternative tests or criteria for such purpose, which do not 
have such disproportionately adverse effect, are shown to be 
unavailable.



Sec. 5.510  Recruitment.

    (a) Nondiscriminatory recruitment and hiring. A recipient shall not 
discriminate on the basis of sex in the recruitment and hiring of 
employees. Where a recipient has been found to be presently 
discriminating on the basis of sex in the recruitment or hiring of 
employees, or has been found to have so discriminated in the past, the 
recipient shall recruit members of the sex so discriminated against so 
as to overcome the effects of such past or present discrimination.
    (b) Recruitment patterns. A recipient shall not recruit primarily or 
exclusively at entities that furnish as applicants only or predominantly 
members of one sex if such actions have the effect of discriminating on 
the basis of sex in violation of Sec. Sec. 5.500 through 5.550.



Sec. 5.515  Compensation.

    A recipient shall not make or enforce any policy or practice that, 
on the basis of sex:
    (a) Makes distinctions in rates of pay or other compensation;
    (b) Results in the payment of wages to employees of one sex at a 
rate less than that paid to employees of the opposite sex for equal work 
on jobs the performance of which requires equal skill, effort, and 
responsibility, and that are performed under similar working conditions.



Sec. 5.520  Job classification and structure.

    A recipient shall not:
    (a) Classify a job as being for males or for females;
    (b) Maintain or establish separate lines of progression, seniority 
lists, career ladders, or tenure systems based on sex; or
    (c) Maintain or establish separate lines of progression, seniority 
systems, career ladders, or tenure systems for similar jobs, position 
descriptions, or job requirements that classify persons on the basis of 
sex, unless sex is a bona fide occupational qualification for the 
positions in question as set forth in Sec. 5.550.



Sec. 5.525  Fringe benefits.

    (a) ``Fringe benefits'' defined. For purposes of these Title IX 
regulations, fringe benefits means: Any medical, hospital, accident, 
life insurance, or retirement benefit, service, policy or plan, any 
profit-sharing or bonus plan, leave, and any other benefit or service of 
employment not subject to the provision of Sec. 5.515.
    (b) Prohibitions. A recipient shall not:
    (1) Discriminate on the basis of sex with regard to making fringe 
benefits available to employees or make fringe benefits available to 
spouses, families, or dependents of employees differently upon the basis 
of the employee's sex;
    (2) Administer, operate, offer, or participate in a fringe benefit 
plan that does not provide for equal periodic benefits for members of 
each sex and for equal contributions to the plan by such recipient for 
members of each sex; or
    (3) Administer, operate, offer, or participate in a pension or 
retirement plan that establishes different optional or compulsory 
retirement ages based on sex or that otherwise discriminates in benefits 
on the basis of sex.



Sec. 5.530  Marital or parental status.

    (a) General. A recipient shall not apply any policy or take any 
employment action:

[[Page 97]]

    (1) Concerning the potential marital, parental, or family status of 
an employee or applicant for employment that treats persons differently 
on the basis of sex; or
    (2) Which is based upon whether an employee or applicant for 
employment is the head of household or principal wage earner in such 
employee's or applicant's family unit.
    (b) Pregnancy. A recipient shall not discriminate against or exclude 
from employment any employee or applicant for employment on the basis of 
pregnancy, childbirth, false pregnancy, termination of pregnancy, or 
recovery therefrom.
    (c) Pregnancy as a temporary disability. Subject to Sec. 5.235(d), 
a recipient shall treat pregnancy, childbirth, false pregnancy, 
termination of pregnancy, recovery therefrom, and any temporary 
disability resulting therefrom as any other temporary disability for all 
job-related purposes, including commencement, duration, and extensions 
of leave, payment of disability income, accrual of seniority and any 
other benefit or service, and reinstatement, and under any fringe 
benefit offered to employees by virtue of employment.
    (d) Pregnancy leave. In the case of a recipient that does not 
maintain a leave policy for its employees, or in the case of an employee 
with insufficient leave or accrued employment time to qualify for leave 
under such a policy, a recipient shall treat pregnancy, childbirth, 
false pregnancy, termination of pregnancy, and recovery therefrom as a 
justification for a leave of absence without pay for a reasonable period 
of time, at the conclusion of which the employee shall be reinstated to 
the status that she held when the leave began or to a comparable 
position, without decrease in rate of compensation or loss of 
promotional opportunities, or any other right or privilege of 
employment.



Sec. 5.535  Effect of state or local law or other requirements.

    (a) Prohibitory requirements. The obligation to comply with 
Sec. Sec. 5.500 through 5.550 is not obviated or alleviated by the 
existence of any State or local law or other requirement that imposes 
prohibitions or limits upon employment of members of one sex that are 
not imposed upon members of the other sex.
    (b) Benefits. A recipient that provides any compensation, service, 
or benefit to members of one sex pursuant to a State or local law or 
other requirement shall provide the same compensation, service, or 
benefit to members of the other sex.



Sec. 5.540  Advertising.

    A recipient shall not in any advertising related to employment 
indicate preference, limitation, specification, or discrimination based 
on sex unless sex is a bona fide occupational qualification for the 
particular job in question.



Sec. 5.545  Pre-employment inquiries.

    (a) Marital status. A recipient shall not make pre-employment 
inquiry as to the marital status of an applicant for employment, 
including whether such applicant is ``Miss'' or ``Mrs.''
    (b) Sex. A recipient may make pre-employment inquiry as to the sex 
of an applicant for employment, but only if such inquiry is made equally 
of such applicants of both sexes and if the results of such inquiry are 
not used in connection with discrimination prohibited by these Title IX 
regulations.



Sec. 5.550  Sex as a bona fide occupational qualification.

    A recipient may take action otherwise prohibited by Sec. Sec. 5.500 
through 5.550 provided it is shown that sex is a bona fide occupational 
qualification for that action, such that consideration of sex with 
regard to such action is essential to successful operation of the 
employment function concerned. A recipient shall not take action 
pursuant to this section that is based upon alleged comparative 
employment characteristics or stereotyped characterizations of one or 
the other sex, or upon preference based on sex of the recipient, 
employees, students, or other persons, but nothing contained in this 
section shall prevent a recipient from considering an employee's sex in 
relation to employment in a locker room or toilet facility used only by 
members of one sex.

[[Page 98]]



                          Subpart F_Procedures



Sec. 5.600  Notice of covered programs.

    Within 60 days of September 29, 2000, each Federal agency that 
awards Federal financial assistance shall publish in the Federal 
Register a notice of the programs covered by these Title IX regulations. 
Each such Federal agency shall periodically republish the notice of 
covered programs to reflect changes in covered programs. Copies of this 
notice also shall be made available upon request to the Federal agency's 
office that enforces Title IX.



Sec. 5.605  Enforcement procedures.

    The investigative, compliance, and enforcement procedural provisions 
of Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d) (``Title 
VI'') are hereby adopted and applied to these Title IX regulations. 
These procedures may be found at 40 CFR 7.105 through 7.135.

[65 FR 52890, Aug. 30, 2000]



PART 6_PROCEDURES FOR IMPLEMENTING THE NATIONAL ENVIRONMENTAL POLICY ACT AND ASSESSING THE ENVIRONMENTAL EFFECTS ABROAD OF EPA ACTIONS--Table of Contents



      Subpart A_General Provisions for EPA Actions Subject to NEPA

Sec.
6.100 Policy and Purpose.
6.101 Applicability.
6.102 Definitions.
6.103 Responsibilities of the NEPA and Responsible Officials.

          Subpart B_EPA's NEPA Environmental Review Procedures

6.200 General requirements.
6.201 Coordination with other environmental review requirements.
6.202 Interagency cooperation.
6.203 Public participation.
6.204 Categorical exclusions and extraordinary circumstances.
6.205 Environmental assessments.
6.206 Findings of no significant impact.
6.207 Environmental impact statements.
6.208 Records of decision.
6.209 Filing requirements for EPA EISs.
6.210 Emergency circumstances.

   Subpart C_Requirements for Environmental Information Documents and 
         Third-Party Agreements for EPA Actions Subject to NEPA

6.300 Applicability.
6.301 Applicant requirements.
6.302 Responsible Official requirements.
6.303 Third-party agreements.

   Subpart D_Assessing the Environmental Effects Abroad of EPA Actions

6.400 Purpose and policy.
6.401 Applicability.
6.402 Definitions.
6.403 Environmental review and assessment requirements.
6.404 Lead or cooperating agency.
6.405 Exemptions and considerations.
6.406 Implementation.

    Authority: 42 U.S.C. 4321 et seq., 7401-7671q, unless otherwise 
noted.

    Source: 72 FR 53662, Sept. 19, 2007, unless otherwise noted.



      Subpart A_General Provisions for EPA Actions Subject to NEPA



Sec. 6.100  Policy and purpose.

    (a) The National Environmental Policy Act of 1969 (NEPA), 42 U.S.C. 
4321 et seq., as implemented by the Council on Environmental Quality 
(CEQ) Regulations (40 CFR Parts 1500 through 1508), 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 to the extent practicable. The U.S. Environmental 
Protection Agency (EPA) shall integrate these NEPA requirements as early 
in the Agency planning processes as possible. The environmental review 
process shall be the focal point to ensure NEPA considerations are taken 
into account.
    (b) Through this part, EPA adopts the CEQ Regulations (40 CFR Parts 
1500 through 1508) implementing NEPA; subparts A through C of this part 
supplement those regulations, for actions

[[Page 99]]

proposed by EPA that are subject to NEPA requirements. Subparts A 
through C supplement, and are to be used in conjunction with, the CEQ 
Regulations.



Sec. 6.101  Applicability.

    (a) Subparts A through C of this part apply to the proposed actions 
of EPA that are subject to NEPA. EPA actions subject to NEPA include the 
award of wastewater treatment construction grants under Title II of the 
Clean Water Act, EPA's issuance of new source National Pollutant 
Discharge Elimination System (NPDES) permits under section 402 of the 
Clean Water Act, certain research and development projects, development 
and issuance of regulations, EPA actions involving renovations or new 
construction of facilities, and certain grants awarded for projects 
authorized by Congress through the Agency's annual Appropriations Act.
    (b) Subparts A through C of this part do not apply to EPA actions 
for which NEPA review is not required. EPA actions under the Clean Water 
Act, except those identified in Sec. 6.101(a), and EPA actions under 
the Clean Air Act are statutorily exempt from NEPA. Additionally, the 
courts have determined that certain EPA actions for which analyses that 
have been conducted under another statute are functionally equivalent 
with NEPA.
    (c) The appropriate Responsible Official will undertake certain EPA 
actions required by the provisions of subparts A through C of this part.
    (d) Certain procedures in subparts A through C of this part apply to 
the responsibilities of the NEPA Official.
    (e) Certain procedures in subparts A through C of this part apply to 
applicants who are required to provide environmental information to EPA.
    (f) When the Responsible Official decides to perform an 
environmental review under the Policy for EPA's Voluntary Preparation of 
National Environmental Policy Act (NEPA) Documents, the Responsible 
Official generally will follow the procedures set out in subparts A 
through C of this part.



Sec. 6.102  Definitions.

    (a) Subparts A through C of this part use the definitions found at 
40 CFR part 1508. Additional definitions are listed in this subpart.
    (b) Definitions. (1) Administrator means the Administrator of the 
United States Environmental Protection Agency.
    (2) Applicant means any individual, agency, or other entity that 
has:
    (i) Filed an application for federal assistance;
    (ii) Applied to EPA for a permit; or
    (iii) Requested other EPA approval.
    (3) Assistance agreement means an award of federal assistance in the 
form of money or property in lieu of money from EPA to an eligible 
applicant including grants or cooperative agreements.
    (4) Environmental information document (EID) means a written 
analysis prepared by an applicant that provides sufficient information 
for the Responsible Official to undertake an environmental review and 
prepare either an EA and FONSI or an EIS and record of decision (ROD) 
for the proposed action.
    (5) Environmental review or NEPA review means the process used to 
comply with section 102(2) of NEPA or the CEQ Regulations including 
development, supplementation, adoption, and revision of NEPA documents.
    (6) Extraordinary circumstances means those circumstances listed in 
section 6.204 of this part that may cause a significant environmental 
effect such that a proposed action that otherwise meets the requirements 
of a categorical exclusion may not be categorically excluded.
    (7) NEPA document is a document prepared pursuant to NEPA.
    (8) NEPA Official is the Assistant Administrator for Enforcement and 
Compliance Assurance, who is responsible for EPA's NEPA compliance.
    (9) Responsible Official means the EPA official responsible for 
compliance with NEPA for individual proposed actions.

[72 FR 53662, Sept. 19, 2007, as amended at 74 FR 5993, Feb. 4, 2009]



Sec. 6.103  Responsibilities of the NEPA and Responsible Officials.

    (a) The NEPA Official will:

[[Page 100]]

    (1) Ensure EPA's compliance with NEPA pursuant to 40 CFR 1507.2(a) 
and the regulations in subparts A through C of this part.
    (2) Act as EPA's liaison with the CEQ and other federal agencies, 
state and local governments, and federally-recognized Indian tribes on 
matters of policy and administrative procedures regarding compliance 
with NEPA.
    (3) Approve procedural deviations from subparts A through C of this 
part.
    (4) Monitor the overall timeliness and quality of EPA's compliance 
with subparts A through C of this part.
    (5) Advise the Administrator on NEPA-related actions that involve 
more than one EPA office, are highly controversial, are nationally 
significant, or establish new EPA NEPA-related policy.
    (6) Support the Administrator by providing policy guidance on NEPA-
related issues.
    (7) Assist EPA's Responsible Officials with establishing and 
maintaining adequate administrative procedures to comply with subparts A 
through C of this part, performing their NEPA duties, and training 
personnel and applicants involved in the environmental review process.
    (8) Consult with Responsible Officials and CEQ regarding proposed 
changes to subpart A through C of this part, including:
    (i) The addition, amendment, or deletion of a categorical exclusion, 
or
    (ii) Changes to the listings of types of actions that normally 
require the preparation of an EA or EIS.
    (9) Determine whether proposed changes are appropriate, and if so, 
coordinate with CEQ, pursuant to 40 CFR 1507.3, and initiate a process 
to amend this part.
    (b) The Responsible Official will:
    (1) Ensure EPA's compliance with the CEQ regulations and subparts A 
through C of this part for proposed actions.
    (2) Ensure that environmental reviews are conducted on proposed 
actions at the earliest practicable point in EPA's decision-making 
process and in accordance with the provisions of subparts A through C of 
this part.
    (3) Ensure, to the extent practicable, early and continued 
involvement of interested federal agencies, state and local governments, 
federally-recognized Indian tribes, and affected applicants in the 
environmental review process.
    (4) Coordinate with the NEPA Official and other Responsible 
Officials, as appropriate, on resolving issues involving EPA-wide NEPA 
policy and procedures (including the addition, amendment, or deletion of 
a categorical exclusion and changes to the listings of the types of 
actions that normally requires the preparation of an EA or EIS) and/or 
unresolved conflicts with other federal agencies, state and local 
governments, and federally-recognized Indian tribes, and/or advising the 
Administrator when necessary.
    (5) Coordinate with other Responsible Officials, as appropriate, on 
NEPA-related actions involving their specific interests.
    (6) Consistent with national NEPA guidance, provide specific policy 
guidance, as appropriate, and ensure that the Responsible Official's 
office establishes and maintains adequate administrative procedures to 
comply with subparts A through C of this part.
    (7) Upon request of an applicant and consistent with 40 CFR 1501.8, 
set time limits on the NEPA review appropriate to individual proposed 
actions.
    (8) Make decisions relating to the preparation of the appropriate 
NEPA documents, including preparing an EA or EIS, and signing the 
decision document.
    (9) Monitor the overall timeliness and quality of the Responsible 
Official's respective office's efforts to comply with subparts A through 
C of this part.
    (c) The NEPA Official and the Responsible Officials may delegate 
NEPA-related responsibilities to a level no lower than the Branch Chief 
or equivalent organizational level.



          Subpart B_EPA's NEPA Environmental Review Procedures



Sec. 6.200  General requirements.

    (a) The Responsible Official must determine whether the proposed 
action meets the criteria for categorical exclusion or whether it 
requires preparation of an EA or an EIS to identify and

[[Page 101]]

evaluate its environmental impacts. The Responsible Official may decide 
to prepare an EIS without first undertaking an EA.
    (b) The Responsible Official must determine the scope of the 
environmental review by considering the type of proposed action, the 
reasonable alternatives, and the type of environmental impacts. The 
scope of an EIS will be determined as provided in 40 CFR 1508.25.
    (c) During the environmental review process, the Responsible 
Official must:
    (1) Integrate the NEPA process and the procedures of subparts A 
through C of this part into early planning to ensure appropriate 
consideration of NEPA's policies and to minimize or eliminate delay;
    (2) Emphasize cooperative consultation among federal agencies, state 
and local governments, and federally-recognized Indian tribes before an 
EA or EIS is prepared to help ensure compliance with the procedural 
provisions of subparts A through C of this part and with other 
environmental review requirements, to address the need for interagency 
cooperation, to identify the requirements for other agencies' reviews, 
and to ensure appropriate public participation.
    (3) Identify at an early stage any potentially significant 
environmental issues to be evaluated in detail and insignificant issues 
to be de-emphasized, focusing the scope of the environmental review 
accordingly;
    (4) Involve other agencies and the public, as appropriate, in the 
environmental review process for proposed actions that are not 
categorically excluded to:
    (i) Identify the federal, state, local, and federally-recognized 
Indian tribal entities and the members of the public that may have an 
interest in the action;
    (ii) Request that appropriate federal, state, and local agencies and 
federally-recognized Indian tribes serve as cooperating agencies 
consistent with 40 CFR 1501.6 and 1508.5; and
    (iii) Integrate, where possible, review of applicable federal laws 
and executive orders into the environmental review process in 
conjunction with the development of NEPA documents.
    (d) When preparing NEPA documents, the Responsible Official must:
    (1) Utilize a systematic, interdisciplinary approach to integrate 
the natural and social sciences with the environmental design arts in 
planning and making decisions on proposed actions subject to 
environmental review under subparts A through C of this part (see 40 CFR 
1501.2(a) and 1507.2);
    (2) Plan adequate time and funding for the NEPA review and 
preparation of the NEPA documents. Planning includes consideration of 
whether an applicant will be required to prepare an EID for the proposed 
action.
    (3) Review relevant planning or decision-making documents, whether 
prepared by EPA or another federal agency, to determine if the proposed 
action or any of its alternatives have been considered in a prior 
federal NEPA document. EPA may adopt the existing document, or will 
incorporate by reference any pertinent part of it, consistent with 40 
CFR 1506.3 and 1502.21.
    (4) Review relevant environmental review documents prepared by a 
state or local government or a federally-recognized Indian tribe to 
determine if the proposed action or any of its alternatives have been 
considered in such a document. EPA will incorporate by reference any 
pertinent part of that document consistent with 40 CFR 1502.21.
    (e) During the decision-making process for the proposed action, the 
Responsible Official must:
    (1) Incorporate the NEPA review in decision-making on the action. 
Processing and review of an applicant's application must proceed 
concurrently with the NEPA review procedures set out in subparts A 
through C of this part. EPA must complete its NEPA review before making 
a decision on the action.
    (2) Consider the relevant NEPA documents, public and other agency 
comments (if any) on those documents, and EPA responses to those 
comments, as part of consideration of the action (see 40 CFR 1505.1(d)).
    (3) Consider the alternatives analyzed in an EA or EIS before 
rendering a decision on the action; and
    (4) Ensure that the decision on the action is to implement an 
alternative

[[Page 102]]

analyzed or is within the range of alternatives analyzed in the EA or 
EIS (see 40 CFR 1505.1(e)).
    (f) To eliminate duplication and to foster efficiency, the 
Responsible Official should use tiering (see 40 CFR 1502.20 and 1508.28) 
and incorporate material by reference (see 40 CFR 1502.21) as 
appropriate.
    (g) For applicant-related proposed actions:
    (1) The Responsible Official may request that the applicant submit 
information to support the application of a categorical exclusion to the 
applicant's pending action.
    (2) The Responsible Official may gather the information and prepare 
the NEPA document without assistance from the applicant, or, pursuant to 
Subpart C of this part, have the applicant prepare an EID or a draft EA 
and supporting documents, or enter into a third-party agreement with the 
applicant.
    (3) During the environmental review process, applicants may continue 
to compile additional information needed for the environmental review 
and/or information necessary to support an application for a permit or 
assistance agreement from EPA.
    (h) For all NEPA determinations (CEs, EA/FONSIs, or EIS/RODs) that 
are five years old or older, and for which the subject action has not 
yet been implemented, the Responsible Official must re-evaluate the 
proposed action, environmental conditions, and public views to determine 
whether to conduct a supplemental environmental review of the action and 
complete an appropriate NEPA document or reaffirm EPA's original NEPA 
determination. If there has been substantial change in the proposed 
action that is relevant to environmental concerns, or if there are 
significant new circumstances or information relevant to environmental 
concerns and bearing on the proposed action or its impacts, the 
Responsible Official must conduct a supplemental environmental review of 
the action and complete an appropriate NEPA document.



Sec. 6.201  Coordination with other environmental review requirements.

    Consistent with 40 CFR 1500.5(g) and 1502.25, the Responsible 
Official must determine the applicability of other environmental laws 
and executive orders, to the fullest extent possible. The Responsible 
Official should incorporate applicable requirements as early in the NEPA 
review process as possible.



Sec. 6.202  Interagency cooperation.

    (a) Consistent with 40 CFR 1501.5, 1501.6, and 1508.5, the 
Responsible Official will request other appropriate federal and non-
federal agencies to be joint lead or cooperating agencies as a means of 
encouraging early coordination and cooperation with federal agencies, 
state and local governments, and federally-recognized Indian tribes with 
jurisdiction by law or special expertise.
    (b) For an EPA action related to an action of any other federal 
agency, the Responsible Official must comply with the requirements of 40 
CFR 1501.5 and 1501.6 relating to lead agencies and cooperating 
agencies, respectively. The Responsible Official will work with the 
other involved agencies to facilitate coordination and to reduce delay 
and duplication.
    (c) To prepare a single document to fulfill both NEPA and state or 
local government, or federally-recognized Indian tribe requirements, 
consistent with 40 CFR 1506.2, the Responsible Official should enter 
into a written agreement with the involved state or local government, or 
federally-recognized Indian tribe that sets out the intentions of the 
parties, including the responsibilities each party intends to assume and 
procedures the parties intend to follow.



Sec. 6.203  Public participation.

    (a) General requirements. (1) The procedures in this section apply 
to EPA's environmental review processes, including development, 
supplementation, adoption, and revision of NEPA documents.
    (2) The Responsible Official will make diligent efforts to involve 
the public, including applicants, in the preparation of EAs or EISs 
consistent

[[Page 103]]

with 40 CFR 1501.4 and 1506.6 and applicable EPA public participation 
regulations (e.g., 40 CFR Part 25).
    (3) EPA NEPA documents will use plain language to the extent 
possible.
    (4) The Responsible Official will, to the greatest extent possible, 
give notice to any state or local government, or federally-recognized 
Indian tribe that, in the Official's judgment, may be affected by an 
action for which EPA plans to prepare an EA or an EIS.
    (5) The Responsible Official must use appropriate communication 
procedures to ensure meaningful public participation throughout the NEPA 
process. The Responsible Official must make reasonable efforts to 
involve the potentially affected communities where the proposed action 
is expected to have environmental impacts or where the proposed action 
may have human health or environmental effects in any communities, 
including minority communities, low-income communities, or federally-
recognized Indian tribal communities.
    (b) EA and FONSI requirements. (1) At least thirty (30) calendar 
days before making the decision on whether, and if so how, to proceed 
with a proposed action, the Responsible Official must make the EA and 
preliminary FONSI available for review and comment to the interested 
federal agencies, state and local governments, federally-recognized 
Indian tribes and the affected public. The Responsible Official must 
respond to any substantive comments received and finalize the EA and 
FONSI before making a decision on the proposed action.
    (2) Where circumstances make it necessary to take the action without 
observing the 30 calendar day comment period, the Responsible Official 
must notify the NEPA Official before taking such action. If the NEPA 
Official determines that a reduced comment period would be in the best 
interest of the Government, the NEPA Official will inform the 
Responsible Official, as soon as possible, of this approval. The 
Responsible Official will make the EA and preliminary FONSI available 
for review and comment for the reduced comment period.
    (c) EIS and ROD requirements. (1) As soon as practicable after the 
decision to prepare an EIS and before beginning the scoping process, the 
Responsible Official must ensure that a notice of intent (NOI) (see 40 
CFR 1508.22) is published in the Federal Register. The NOI must briefly 
describe the proposed action; a preliminary list of environmental issues 
to be analyzed, and possible alternatives; EPA's proposed scoping 
process including, if available, whether, when, and where any scoping 
meeting will be held; and the name and contact information for the 
person designated by EPA to answer questions about the proposed action 
and the EIS. The NOI must invite comments and suggestions on the scope 
of the EIS.
    (2) The Responsible Official must disseminate the NOI consistent 
with 40 CFR 1506.6.
    (3) The Responsible Official must conduct the scoping process 
consistent with 40 CFR 1501.7 and any applicable EPA public 
participation regulations (e.g., 40 CFR Part 25).
    (i) Publication of the NOI in the Federal Register begins the 
scoping process.
    (ii) The Responsible Official must ensure that the scoping process 
for an EIS allows a minimum of thirty (30) days for the receipt of 
public comments.
    (iii) The Responsible Official may hold one or more public meetings 
as part of the scoping process for an EPA EIS. The Responsible Official 
must announce the location, date, and time of public scoping meetings in 
the NOI or by other appropriate means, such as additional notices in the 
Federal Register, news releases to the local media, or letters to 
affected parties. Public scoping meetings should be held at least 
fifteen (15) days after public notification.
    (iv) The Responsible Official must use appropriate means to 
publicize the availability of draft and final EISs and the time and 
place for public meetings or hearings on draft EISs. The methods chosen 
for public participation must focus on reaching persons who may be 
interested in the proposed action. Such persons include those in 
potentially affected communities where the proposed

[[Page 104]]

action is known or expected to have environmental impacts including 
minority communities, low-income communities, or federally-recognized 
Indian tribal communities.
    (v) The Responsible Official must circulate the draft and final EISs 
consistent with 40 CFR 1502.19 and any applicable EPA public 
participation regulations and in accordance with the 45-day public 
review period for draft EISs and the 30-day public review period for 
final EISs (see Sec. 6.209 of this part). Consistent with section 
6.209(b) of this part, the Responsible Official may establish a longer 
public comment period for a draft or final EIS.
    (vi) After preparing a draft EIS and before preparing a final EIS, 
the Responsible Official must solicit the comments of appropriate 
federal agencies, state and/or local governments, and/or federally-
recognized Indian tribes, and the public (see 40 CFR 1503.1). The 
Responsible Official must respond in the final EIS to substantive 
comments received (see 40 CFR 1503.4).
    (vii) The Responsible Official may conduct one or more public 
meetings or hearings on the draft EIS as part of the public involvement 
process. If meetings or hearings are held, the Responsible Official must 
make the draft EIS available to the public at least thirty (30) days in 
advance of any meeting or hearing.
    (4) The Responsible Official must make the ROD available to the 
public upon request.



Sec. 6.204  Categorical exclusions and extraordinary circumstances.

    (a) A proposed action may be categorically excluded if the action 
fits within a category of action that is eligible for exclusion and the 
proposed action does not involve any extraordinary circumstances.
    (1) Certain actions eligible for categorical exclusion require the 
Responsible Official to document a determination that a categorical 
exclusion applies. The documentation must include: A brief description 
of the proposed action; a statement identifying the categorical 
exclusion that applies to the action; and a statement explaining why no 
extraordinary circumstances apply to the proposed action. The 
Responsible Official must make a copy of the determination document 
available to the public upon request. The categorical exclusions 
requiring this documentation are listed in paragraphs (a)(1)(i) through 
(a)(1)(v) of this section.
    (i) Actions at EPA owned or operated facilities involving routine 
facility maintenance, repair, and grounds-keeping; minor rehabilitation, 
restoration, renovation, or revitalization of existing facilities; 
functional replacement of equipment; acquisition and installation of 
equipment; or construction of new minor ancillary facilities adjacent to 
or on the same property as existing facilities.
    (ii) Actions relating to existing infrastructure systems (such as 
sewer systems; drinking water supply systems; and stormwater systems, 
including combined sewer overflow systems) that involve minor upgrading, 
or minor expansion of system capacity or rehabilitation (including 
functional replacement) of the existing system and system components 
(such as the sewer collection network and treatment system; the system 
to collect, treat, store and distribute drinking water; and stormwater 
systems, including combined sewer overflow systems) or construction of 
new minor ancillary facilities adjacent to or on the same property as 
existing facilities. This category does not include actions that: 
involve new or relocated discharges to surface or ground water; will 
likely result in the substantial increase in the volume or the loading 
of pollutant to the receiving water; will provide capacity to serve a 
population 30% greater than the existing population; are not supported 
by the state, or other regional growth plan or strategy; or directly or 
indirectly involve or relate to upgrading or extending infrastructure 
systems primarily for the purposes of future development.
    (iii) Actions in unsewered communities involving the replacement of 
existing onsite systems, providing the new onsite systems do not result 
in substantial increases in the volume of discharge or the loadings of 
pollutants from existing sources, or relocate existing discharge.

[[Page 105]]

    (iv) Actions involving re-issuance of a NPDES permit for a new 
source providing the conclusions of the original NEPA document are still 
valid (including the appropriate mitigation), there will be no 
degradation of the receiving waters, and the permit conditions do not 
change or are more environmentally protective.
    (v) Actions for award of grants authorized by Congress under EPA's 
annual Appropriations Act that are solely for reimbursement of the costs 
of a project that was completed prior to the date the appropriation was 
enacted.
    (2) Certain actions eligible for categorical exclusion do not 
require the Responsible Official to document a determination that a 
categorical exclusion applies. These categorical exclusions are listed 
in paragraphs (a)(2)(i) through (a)(2)(x) of this section.
    (i) Procedural, ministerial, administrative, financial, personnel, 
and management actions necessary to support the normal conduct of EPA 
business.
    (ii) Acquisition actions (compliant with applicable procedures for 
sustainable or ``green'' procurement) and contracting actions necessary 
to support the normal conduct of EPA business.
    (iii) Actions involving information collection, dissemination, or 
exchange; planning; monitoring and sample collection wherein no 
significant alteration of existing ambient conditions occurs; 
educational and training programs; literature searches and studies; 
computer studies and activities; research and analytical activities; 
development of compliance assistance tools; and architectural and 
engineering studies. These actions include those conducted directly by 
EPA and EPA actions relating to contracts or assistance agreements 
involving such actions.
    (iv) Actions relating to or conducted completely within a permanent, 
existing contained facility, such as a laboratory, or other enclosed 
building, provided that reliable and scientifically-sound methods are 
used to appropriately dispose of wastes and safeguards exist to prevent 
hazardous, toxic, and radioactive materials in excess of allowable 
limits from entering the environment. Where such activities are 
conducted at laboratories, the Lab Director or other appropriate 
official must certify in writing that the laboratory follows good 
laboratory practices and adheres to all applicable federal, state, 
local, and federally-recognized Indian tribal laws and regulations. This 
category does not include activities related to construction and/or 
demolition within the facility (see paragraph (a)(1)(i) of this 
section).
    (v) Actions involving emergency preparedness planning and training 
activities.
    (vi) Actions involving the acquisition, transfer, lease, 
disposition, or closure of existing permanent structures, land, 
equipment, materials or personal property provided that the property: Is 
either vacant or has been used solely for office functions; has never 
been used for laboratory purposes by any party; does not require site 
remediation; and will be used in essentially the same manner such that 
the type and magnitude of the impacts will not change substantially. 
This category does not include activities related to construction and/or 
demolition of structures on the property (see paragraph (a)(1)(i) of 
this section).
    (vii) Actions involving providing technical advice to federal 
agencies, state or local governments, federally-recognized Indian 
tribes, foreign governments, or public or private entities.
    (viii) Actions involving approval of EPA participation in 
international ``umbrella'' agreements for cooperation in environmental-
related activities that would not commit the United States to any 
specific projects or actions.
    (ix) Actions involving containment or removal and disposal of 
asbestos-containing material or lead-based paint from EPA owned or 
operated facilities when undertaken in accordance with applicable 
regulations.
    (x) Actions involving new source NPDES permit modifications that 
make only technical corrections to the NPDES permit (such as correcting 
typographical errors) that do not result in a change in environmental 
impacts or conditions.

[[Page 106]]

    (b) The Responsible Official must review actions eligible for 
categorical exclusion to determine whether any extraordinary 
circumstances are involved. Extraordinary circumstances are listed in 
paragraphs (b)(1) through (b)(10) of this section. (See 40 CFR 1508.4.)
    (1) The proposed action is known or expected to have potentially 
significant environmental impacts on the quality of the human 
environment either individually or cumulatively over time.
    (2) The proposed action is known or expected to have 
disproportionately high and adverse human health or environmental 
effects on any community, including minority communities, low-income 
communities, or federally-recognized Indian tribal communities.
    (3) The proposed action is known or expected to significantly affect 
federally listed threatened or endangered species or their critical 
habitat.
    (4) The proposed action is known or expected to significantly affect 
national natural landmarks or any property with nationally significant 
historic, architectural, prehistoric, archeological, or cultural value, 
including but not limited to, property listed on or eligible for the 
National Register of Historic Places.
    (5) The proposed action is known or expected to significantly affect 
environmentally important natural resource areas such as wetlands, 
floodplains, significant agricultural lands, aquifer recharge zones, 
coastal zones, barrier islands, wild and scenic rivers, and significant 
fish or wildlife habitat.
    (6) The proposed action is known or expected to cause significant 
adverse air quality effects.
    (7) The proposed action is known or expected to have a significant 
effect on the pattern and type of land use (industrial, commercial, 
agricultural, recreational, residential) or growth and distribution of 
population including altering the character of existing residential 
areas, or may not be consistent with state or local government, or 
federally-recognized Indian tribe approved land use plans or federal 
land management plans.
    (8) The proposed action is known or expected to cause significant 
public controversy about a potential environmental impact of the 
proposed action.
    (9) The proposed action is known or expected to be associated with 
providing financial assistance to a federal agency through an 
interagency agreement for a project that is known or expected to have 
potentially significant environmental impacts.
    (10) The proposed action is known or expected to conflict with 
federal, state or local government, or federally-recognized Indian tribe 
environmental, resource-protection, or land-use laws or regulations.
    (c) The Responsible Official may request that an applicant submit 
sufficient information to enable the Responsible Official to determine 
whether a categorical exclusion applies to the applicant's proposed 
action or whether an exceptional circumstance applies. Pursuant to 
Subpart C of this part, applicants are not required to prepare EIDs for 
actions that are being considered for categorical exclusion.
    (d) The Responsible Official must prepare an EA or EIS when a 
proposed action involves extraordinary circumstances.
    (e) After a determination has been made that a categorical exclusion 
applies to an action, if new information or changes in the proposed 
action involve or relate to at least one of the extraordinary 
circumstances or otherwise indicate that the action may not meet the 
criteria for categorical exclusion and the Responsible Official 
determines that an action no longer qualifies for a categorical 
exclusion, the Responsible Official will prepare an EA or EIS.
    (f) The Responsible Official, or other interested parties, may 
request the addition, amendment, or deletion of a categorical exclusion.
    (1) Such requests must be made in writing, be directed to the NEPA 
Official, and contain adequate information to support and justify the 
request.
    (2) Proposed new categories of actions for exclusion must meet these 
criteria:
    (i) Actions covered by the proposed categorical exclusion generally 
do not individually or cumulatively have a

[[Page 107]]

significant effect on the human environment and have been found by EPA 
to have no such effect.
    (ii) Actions covered by the proposed categorical exclusion generally 
do not involve extraordinary circumstances as set out in paragraphs 
(b)(1) through (b)(10) of this section and generally do not require 
preparation of an EIS; and
    (iii) Information adequate to determine that a proposed action is 
properly covered by the proposed category will generally be available.
    (3) The NEPA Official must determine that the addition, amendment, 
or deletion of a categorical exclusion is appropriate.
    (g) Any addition, amendment, or deletion of a categorical exclusion 
will be done by rule-making and in coordination with CEQ pursuant to 40 
CFR 1507.3 to amend paragraph (a)(1) or paragraph (a)(2) of this 
section.

[72 FR 53662, Sept. 19, 2007, as amended at 74 FR 5993, Feb. 4, 2009]



Sec. 6.205  Environmental assessments.

    (a) The Responsible Official must prepare an environmental 
assessment (EA) (see 40 CFR 1508.9) for a proposed action that is 
expected to result in environmental impacts and the significance of the 
impacts is not known. An EA is not required if the proposed action is 
categorically excluded, or if the Responsible Official has decided to 
prepare an EIS. (See 40 CFR 1501.3.)
    (b) Types of actions that normally require the preparation of an EA 
include:
    (1) The award of wastewater treatment construction grants under 
Title II of the Clean Water Act;
    (2) EPA's issuance of new source NPDES permits under section 402 of 
the Clean Water Act;
    (3) EPA actions involving renovations or new construction of 
facilities;
    (4) Certain grants awarded for special projects authorized by 
Congress through the Agency's annual Appropriations Act; and
    (5) Research and development projects, such as initial field 
demonstration of a new technology, field trials of a new product or new 
uses of an existing technology, alteration of a local habitat by 
physical or chemical means, or actions that may result in the release of 
radioactive, hazardous, or toxic substances, or biota.
    (c) The Responsible Official, or other interested parties, may 
request changes to the list of actions that normally require the 
preparation of an EA (i.e., the addition, amendment, or deletion of a 
type of action).
    (d) Consistent with 40 CFR 1508.9, an EA must provide sufficient 
information and analysis for determining whether to prepare an EIS or to 
issue a FONSI (see 40 CFR 1508.9(a)), and may include analyses needed 
for other environmental determinations. The EA must focus on resources 
that might be impacted and any environmental issues that are of public 
concern.
    (e) An EA must include:
    (1) A brief discussion of:
    (i) The need for the proposed action;
    (ii) The alternatives, including the no action alternative (which 
must be assessed even when the proposed action is specifically required 
by legislation or a court order);
    (iii) The affected environment, including baseline conditions that 
may be impacted by the proposed action and alternatives;
    (iv) The environmental impacts of the proposed action and 
alternatives, including any unresolved conflicts concerning alternative 
uses of available resources; and
    (v) Other applicable environmental laws and executive orders.
    (2) A listing or summary of any coordination or consultation 
undertaken with any federal agency, state or local government, or 
federally-recognized Indian tribe regarding compliance with applicable 
laws and executive orders;
    (3) Identification and description of any mitigation measures 
considered, including any mitigation measures that must be adopted to 
ensure the action will not have significant impacts; and
    (4) Incorporation of documents by reference, if appropriate, 
including, when available, the EID for the action.



Sec. 6.206  Findings of no significant impact.

    (a) The Responsible Official may issue a finding of no significant 
impact (FONSI) (see 40 CFR 1508.13) only if the

[[Page 108]]

EA supports the finding that the proposed action will not have a 
significant effect on the human environment. If the EA does not support 
a FONSI, the Responsible Official must prepare an EIS and issue a ROD 
before taking action on the proposed action.
    (b) Consistent with 40 CFR 1508.13, a FONSI must include:
    (1) The EA, or in lieu of the EA, a summary of the supporting EA 
that includes a brief description of the proposed action and 
alternatives considered in the EA, environmental factors considered, and 
project impacts; and
    (2) A brief description of the reasons why there are no significant 
impacts.
    (c) In addition, the FONSI must include:
    (1) Any commitments to mitigation that are essential to render the 
impacts of the proposed action not significant;
    (2) The date of issuance; and
    (3) The signature of the Responsible Official.
    (d) The Responsible Official must ensure that an applicant that has 
committed to mitigation possesses the authority and ability to fulfill 
the commitments.
    (e) The Responsible Official must make a preliminary FONSI available 
to the public in accordance with section 6.203(b) of this part before 
taking action.
    (f) The Responsible Official may proceed with the action subject to 
any mitigation measures described in the FONSI after responding to any 
substantive comments received on the preliminary FONSI during the 30-day 
comment period, or 30 days after issuance of the FONSI if no substantive 
comments are received.
    (g) The Responsible Official must ensure that the mitigation 
measures necessary to the FONSI determination, at a minimum, are 
enforceable, and conduct appropriate monitoring of the mitigation 
measures.
    (h) The Responsible Official may revise a FONSI at any time provided 
the revision is supported by an EA. A revised FONSI is subject to all 
provisions of paragraph (d) of this section.



Sec. 6.207  Environmental impact statements.

    (a) The Responsible Official will prepare an environmental impact 
statement (EIS) (see 40 CFR 1508.11) for major federal actions 
significantly affecting the quality of the human environment, including 
actions for which the EA analysis demonstrates that significant impacts 
will occur that will not be reduced or eliminated by changes to or 
mitigation of the proposed action.
    (1) EISs are normally prepared for the following actions:
    (i) New regional wastewater treatment facilities or water supply 
systems for a community with a population greater than 100,000.
    (ii) Expansions of existing wastewater treatment facilities that 
will increase existing discharge to an impaired water by greater than 10 
million gallons per day (mgd).
    (iii) Issuance of new source NPDES permit for a new major industrial 
discharge.
    (iv) Issuance of a new source NPDES permit for a new oil/gas 
development and production operation on the outer continental shelf.
    (v) Issuance of a new source NPDES permit for a deepwater port with 
a projected discharge in excess of 10 mgd.
    (2) The Responsible Official, or other interested party, may request 
changes to the list of actions that normally require the preparation of 
an EIS (i.e., the addition, amendment, or deletion of a type of action).
    (3) A proposed action normally requires an EIS if it meets any of 
the following criteria. (See 40 CFR 1507.3(b)(2)).
    (i) The proposed action would result in a discharge of treated 
effluent from a new or modified existing facility into a body of water 
and the discharge is likely to have a significant effect on the quality 
of the receiving waters.
    (ii) The proposed action is likely to directly, or through induced 
development, have significant adverse effect upon local ambient air 
quality or local ambient noise levels.
    (iii). The proposed action is likely to have significant adverse 
effects on surface water reservoirs or navigation projects.

[[Page 109]]

    (iv) The proposed action would be inconsistent with state or local 
government, or federally-recognized Indian tribe approved land use plans 
or regulations, or federal land management plans.
    (v) The proposed action would be inconsistent with state or local 
government, or federally-recognized Indian tribe environmental, 
resource-protection, or land-use laws and regulations for protection of 
the environment.
    (vi) The proposed action is likely to significantly affect the 
environment through the release of radioactive, hazardous or toxic 
substances, or biota.
    (vii) The proposed action involves uncertain environmental effects 
or highly unique environmental risks that are likely to be significant.
    (viii) The proposed action is likely to significantly affect 
national natural landmarks or any property on or eligible for the 
National Register of Historic Places.
    (ix) The proposed action is likely to significantly affect 
environmentally important natural resources such as wetlands, 
significant agricultural lands, aquifer recharge zones, coastal zones, 
barrier islands, wild and scenic rivers, and significant fish or 
wildlife habitat.
    (x) The proposed action in conjunction with related federal, state 
or local government, or federally-recognized Indian tribe projects is 
likely to produce significant cumulative impacts.
    (xi) The proposed action is likely to significantly affect the 
pattern and type of land use (industrial, commercial, recreational, 
residential) or growth and distribution of population including altering 
the character of existing residential areas.
    (4) An EIS must be prepared consistent with 40 CFR Part 1502.
    (b) When appropriate, the Responsible Official will prepare a 
legislative EIS consistent with 40 CFR 1506.8.
    (c) In preparing an EIS, the Responsible Official must determine if 
an applicant, other federal agencies or state or local governments, or 
federally-recognized Indian tribes are involved with the project and 
apply the applicable provisions of Sec. 6.202 and Subpart C of this 
part.
    (d) An EIS must:
    (1) Comply with all requirements at 40 CFR parts 1500 through 1508.
    (2) Analyze all reasonable alternatives and the no action 
alternative (which may be the same as denying the action). Assess the no 
action alternative even when the proposed action is specifically 
required by legislation or a court order.
    (3) Describe the potentially affected environment including, as 
appropriate, the size and location of new and existing facilities, land 
requirements, operation and maintenance requirements, auxiliary 
structures such as pipelines or transmission lines, and construction 
schedules.
    (4) Summarize any coordination or consultation undertaken with any 
federal agency, state and/or local government, and/or federally-
recognized Indian tribe, including copies or summaries of relevant 
correspondence.
    (5) Summarize any public meetings held during the scoping process 
including the date, time, place, and purpose of the meetings. The final 
EIS must summarize the public participation process including the date, 
time, place, and purpose of meetings or hearings held after publication 
of the draft EIS.
    (6) Consider substantive comments received during the public 
participation process. The draft EIS must consider the substantive 
comments received during the scoping process. The final EIS must include 
or summarize all substantive comments received on the draft EIS, respond 
to any substantive comments on the draft EIS, and explain any changes to 
the draft EIS and the reason for the changes.
    (7) Include the names and qualifications of the persons primarily 
responsible for preparing the EIS including an EIS prepared under a 
third-party contract (if applicable), significant background papers, and 
the EID (if applicable).
    (e) The Responsible Official must prepare a supplemental EIS when 
appropriate, consistent with 40 CFR 1502.9.



Sec. 6.208  Records of decision.

    (a) The Responsible Official may not make any decisions on the 
action until the time periods in 40 CFR 1506.10 have been met.

[[Page 110]]

    (b) A record of decision (ROD) records EPA's decision on the action. 
Consistent with 40 CFR 1505.2, a ROD must include:
    (1) A brief description of the proposed action and alternatives 
considered in the EIS, environmental factors considered, and project 
impacts;
    (2) Any commitments to mitigation; and
    (3) An explanation if the environmentally preferred alternative was 
not selected.
    (c) In addition, the ROD must include:
    (1) Responses to any substantive comments on the final EIS;
    (2) The date of issuance; and
    (3) The signature of the Responsible Official.
    (d) The Responsible Official must ensure that an applicant that has 
committed to mitigation possesses the authority and ability to fulfill 
the commitment.
    (e) The Responsible Official must make a ROD available to the 
public.
    (f) Upon issuance of the ROD, the Responsible Official may proceed 
with the action subject to any mitigation measures described in the ROD. 
The Responsible Official must ensure adequate monitoring of mitigation 
measures identified in the ROD.
    (g) If the mitigation identified in the ROD will be included as a 
condition in the permit or grant, the Responsible Official must ensure 
that EPA has the authority to impose the conditions. The Responsible 
Official should ensure that compliance with assistance agreement or 
permit conditions will be monitored and enforced under EPA's assistance 
agreement and permit authorities.
    (h) The Responsible Official may revise a ROD at any time provided 
the revision is supported by an EIS. A revised ROD is subject to all 
provisions of paragraph (d) of this section.



Sec. 6.209  Filing requirements for EPA EISs.

    (a) The Responsible Official must file an EIS with the NEPA Official 
no earlier than the date the document is transmitted to commenting 
agencies and made available to the public. The Responsible Official must 
comply with any guidelines established by the NEPA Official for the 
filing system process and comply with 40 CFR 1506.9 and 1506.10. The 
review periods are computed through the filing system process and 
published in the Federal Register in the Notice of Availability.
    (b) The Responsible Official may request that the NEPA Official 
extend the review periods for an EIS. The NEPA Official will publish 
notice of an extension of the review period in the Federal Register and 
notify the CEQ.



Sec. 6.210  Emergency circumstances.

    If emergency circumstances make it necessary to take an action that 
has a significant environmental impact without observing the provisions 
of subparts A through C of this part that are required by the CEQ 
Regulations, the Responsible Official must consult with the NEPA 
Official at the earliest possible time. Consistent with 40 CFR 1506.11, 
the Responsible Official and the NEPA Official should consult with CEQ 
about alternative arrangements at the earliest opportunity. Actions 
taken without observing the provisions of subparts A through C of this 
part will be limited to actions necessary to control the immediate 
impacts of the emergency; other actions remain subject to the 
environmental review process.



   Subpart C_Requirements for Environmental Information Documents and 
         Third-Party Agreements for EPA Actions Subject to NEPA



Sec. 6.300  Applicability.

    (a) This section applies to actions that involve applications to EPA 
for permits or assistance agreements, or request other EPA approval.
    (b) The Responsible Official is responsible for the environmental 
review process on EPA's action (that is, issuing the permit or awarding 
the assistance agreement) with the applicant contributing through 
submission of an EID or a draft EA and supporting documents.
    (c) An applicant is not required to prepare an EID when:

[[Page 111]]

    (1) The action has been categorically excluded or requires the 
preparation of an EIS; or
    (2) The applicant will prepare and submit a draft EA and supporting 
documents.
    (d) The Responsible Official must notify the applicant if EPA will 
not require submission of an EID.

[72 FR 53662, Sept. 19, 2007, as amended at 74 FR 5994, Feb. 4, 2009]



Sec. 6.301  Applicant requirements.

    (a) The applicant must prepare an EID in consultation with the 
Responsible Official, unless the Responsible Official has notified the 
applicant that an EID is not required. The EID must be of sufficient 
scope and content to enable the Responsible Official to prepare an EA 
and FONSI or, if necessary, an EIS and ROD. The applicant must submit 
the EID to the Responsible Official.
    (b) The applicant must consult with the Responsible Official as 
early as possible in the planning process to obtain guidance with 
respect to the appropriate level and scope of environmental information 
required for the EID.
    (c) As part of the EID process, the applicant may consult with 
appropriate federal agencies, state and local governments, federally-
recognized Indian tribes, and other potentially affected parties to 
identify their interests in the project and the environmental issues 
associated with the project.
    (d) The applicant must notify the Responsible Official as early as 
possible of other federal agency, state or local government, or 
federally-recognized Indian tribe requirements related to the project. 
The applicant also must notify the Responsible Official of any private 
entities and organizations affected by the proposed project. (See 40 CFR 
1501.2(d)(2).)
    (e) The applicant must notify the Responsible Official if, during 
EPA's environmental review process, the applicant:
    (1) Changes its plans for the project as originally submitted to 
EPA; and/or
    (2) Changes its schedule for the project from that originally 
submitted to EPA.
    (f) In accordance with Sec. 6.204, where appropriate, the applicant 
may request a categorical exclusion determination by the Responsible 
Official. If requested by the Responsible Official, the applicant must 
submit information to the Responsible Official regarding the application 
of a categorical exclusion to EPA's pending action and the applicant's 
project.



Sec. 6.302  Responsible Official requirements.

    (a) Consistent with 40 CFR 1501.2(d), the Responsible Official must 
ensure early involvement of applicants in the environmental review 
process to identify environmental effects, avoid delays, and resolve 
conflicts.
    (b) The Responsible Official must notify the applicant if a 
determination has been made that the action has been categorically 
excluded, or if EPA needs additional information to support the 
application of a categorical exclusion or if the submitted information 
does not support the application of a categorical exclusion and that an 
EA, or an EIS, will be required.
    (c) When an EID is required for a project, the Responsible Official 
must consult with the applicant and provide the applicant with guidance 
describing the scope and level of environmental information required.
    (1) The Responsible Official must provide guidance on a project-by-
project basis to any applicant seeking such assistance. For major 
categories of actions involving a large number of applicants, the 
Responsible Official may prepare and make available generic guidance 
describing the recommended level and scope of environmental information 
that applicants should provide.
    (2) The Responsible Official must consider the extent to which the 
applicant is capable of providing the required information. The 
Responsible Official may not require the applicant to gather data or 
perform analyses that unnecessarily duplicate either existing data or 
the results of existing analyses available to EPA. The Responsible 
Official must limit the request for environmental information to that 
necessary for the environmental review.

[[Page 112]]

    (d) If, prior to completion of the environmental review for a 
project, the Responsible Official receives notification, that the 
applicant is proposing to or taking an action that would result in 
significant impacts or would limit alternatives, the Responsible 
Official must notify the applicant promptly that EPA will take 
appropriate action to ensure that the objectives and procedures of NEPA 
are achieved (see 40 CFR 1506.1(b)). Such actions may include 
withholding grant funds or denial of permits.
    (e) The Responsible Official must begin the NEPA review as soon as 
possible after receiving the applicant's EID or draft EA. The 
Responsible Official must independently evaluate the information 
submitted and be responsible for its accuracy (see 40 CFR 1506.5).
    (f) At the request of an applicant and at the discretion of the 
Responsible Official, an applicant may prepare an EA or EIS and 
supporting documents or enter into a third-party contract pursuant to 
Sec. 6.303.
    (g) The Responsible Official must review, and take responsibility 
for the completed NEPA documents, before rendering a final decision on 
the proposed action.



Sec. 6.303  Third-party agreements.

    (a) If an EA or EIS is to be prepared for an action subject to 
subparts A through C of this part, the Responsible Official and the 
applicant may enter into an agreement whereby the applicant engages and 
pays for the services of a third-party contractor to prepare an EA or 
EIS and any associated documents for consideration by EPA. In such 
cases, the Responsible Official must approve the qualifications of the 
third-party contractor. The third-party contractor must be selected on 
the basis of ability and absence of any conflict of interest. Consistent 
with 40 CFR 1506.5(c), in consultation with the applicant, the 
Responsible Official shall select the contractor. The Responsible 
Official must provide guidance to the applicant and contractor regarding 
the information to be developed, including the project's scope, and 
guide and participate in the collection, analysis, and presentation of 
the information. The Responsible Official has sole authority for final 
approval of and EA or EIS.
    (1) The applicant must engage and pay for the services of a 
contractor to prepare the EA or EIS and any associated documents without 
using EPA financial assistance (including required match).
    (2) The Responsible Official, in consultation with the applicant, 
must ensure that the contractor is qualified to prepare an EA or EIS, 
and that the substantive terms of the contract specify the information 
to be developed, and the procedures for gathering, analyzing and 
presenting the information.
    (3) The Responsible Official must prepare a disclosure statement for 
the applicant to include in the contract specifying that the contractor 
has no financial or other interest in the outcome of the project (see 40 
CFR 1506.5(c)).
    (4) The Responsible Official will ensure that the EA or EIS and any 
associated documents contain analyses and conclusions that adequately 
assess the relevant environmental issues.
    (b) In order to make a decision on the action, the Responsible 
Official must independently evaluate the information submitted in the EA 
or EIS and any associated documents, and issue an EA or draft and final 
EIS. After review of, and appropriate changes to, the EA or EIS 
submitted by the applicant, the Responsible Official may accept it as 
EPA's document. The Responsible Official is responsible for the scope, 
accuracy, and contents of the EA or EIS and any associated documents 
(see 40 CFR 1506.5).
    (c) A third-party agreement may not be initiated unless both the 
applicant and the Responsible Official agree to its creation and terms.
    (d) The terms of the contract between the applicant and the third-
party contractor must ensure that the contractor does not have recourse 
to EPA for financial or other claims arising under the contract, and 
that the Responsible Official, or other EPA designee, may give technical 
advice to the contractor.

[[Page 113]]



   Subpart D_Assessing the Environmental Effects Abroad of EPA Actions

    Authority: 42 U.S.C. 4321, note, E.O. 12114, 44 FR 1979, 3 CFR, 1979 
Comp., p. 356.



Sec. 6.400  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. 6.401  Applicability.

    (a) Administrative actions requiring environmental review. The 
environmental review requirements apply to the activities of EPA as 
follows:
    (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 addressed in the facility 
plan would have environmental effects abroad.
    (5) Other EPA activities as determined by OFA and OIA (see Sec. 
6.406(c)).
    (b) [Reserved]



Sec. 6.402  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.

[[Page 114]]



Sec. 6.403  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 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, 
and for the establishment or revision of criteria under section 102(a) 
of the MPRSA, EPA shall prepare appropriate environmental documents 
consistent with EPA's Notice of Policy and Procedures for Voluntary 
Preparation of National Environmental Policy Act (NEPA) Documents dated 
October 29, 1998.
    (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 conduct a concise 
environmental review for permits subject to this paragraph.
    (d) Wastewater treatment facility planning. 40 CFR part 6, subparts 
A through C, detail 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 of 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

[[Page 115]]

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.



Sec. 6.404  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. 6.405  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 Federal Activities (OFA), and 
the Assistant Administrator, Office of International Affairs (OIA), may 
approve modifications for situations described in section 2-5(b). The 
responsible official, in consultation with the Director, OFA and 
Assistant Administrator, 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. 6.406  Implementation.

    (a) Oversight. OFA 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. OFA shall assist the responsible officials in carrying out their 
responsibilities under these procedures.
    (b) Information exchange. OFA 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 OFA 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.



PART 7_NONDISCRIMINATION IN PROGRAMS OR ACTIVITIES 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.

[[Page 116]]

7.55 Separate or different aid, benefits, or services.
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.

         Subpart F_Discrimination Prohibited on the Basis of Age

7.140 General prohibition.
7.145 Specific prohibitions.
7.150 Exceptions to the rules against age discrimination--normal 
          operation or statutory objective of any program or activity.
7.155 Exceptions to the rules against age discrimination--reasonable 
          factors other than age.
7.160 Burden of proof.
7.165 Special benefits for children and the elderly.
7.170 Alternative funds disbursal procedures.
7.175 Exhaustion of administrative remedy.
7.180 Mediation of age discrimination complaints.

Appendix A to Part 7--Types of EPA Assistance as Listed in the ``Catalog 
          of Federal Domestic Assistance''

    Authority: 42 U.S.C. 2000d to 2000d-7; 29 U.S.C. 794; 33 U.S.C. 1251 
nt.

    Effective Date Note: At 75 FR 31707, June 4, 2010, the authority 
citation for part 7 was revised, effective Oct. 4, 2010. For the 
convenience of the user, the revised text is set forth as follows:
    Authority: 42 U.S.C. 2000d to 2000d-7 and 6101 et seq.; 29 U.S.C. 
794; 33 U.S.C. 1251nt.

    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).

    Effective Date Note: At 75 FR 31707, June 4, 2010, Sec. 7.10 was 
revised, effective Oct. 4, 2010. For the convenience of the user, the 
revised text is set forth as follows:



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; the 
Age Discrimination Act of 1975, 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 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 means of ensuring compliance 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

[[Page 117]]

technical assistance or guidance upon request.

[49 FR 1659, Jan. 12, 1984, as amended at 68 FR 51372, Aug. 26, 2003]



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 
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.

[[Page 118]]

    (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 contact with the 
recipient; Project Officers are responsible for monitoring the project.
    Program or activity and program mean all of the operations of any 
entity described in paragraphs (1) through (4) of this definition, any 
part of which is extended Federal financial assistance:
    (1)(i) A department, agency, special purpose district, or other 
instrumentality of a State or of a local government; or
    (ii) The entity of such State or local government that distributes 
such assistance and each such department or agency (and each other State 
or local government entity) to which the assistance is extended, in the 
case of assistance to a State or local government;
    (2)(i) A college, university, or other postsecondary institution, or 
a public system of higher education; or
    (ii) A local educational agency (as defined in 20 U.S.C. 7801), 
system of vocational education, or other school system;
    (3)(i) An entire corporation, partnership, or other private 
organization, or an entire sole proprietorship--
    (A) If assistance is extended to such corporation, partnership, 
private organization, or sole proprietorship as a whole; or
    (B) Which is principally engaged in the business of providing 
education, health care, housing, social services, or parks and 
recreation; or
    (ii) The entire plant or other comparable, geographically separate 
facility to which Federal financial assistance is extended, in the case 
of any other corporation, partnership, private organization, or sole 
proprietorship; or
    (4) Any other entity which is established by two or more of the 
entities described in paragraph (1), (2), or (3) of this definition.
    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

[[Page 119]]

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.

[49 FR 1659, Jan. 12, 1984, as amended at 68 FR 51372, Aug. 26, 2003]

    Effective Date Note: At 75 FR 31707, June 4, 2010, Sec. 7.25 was 
amended by adding the definitions for ``Action,'' ``Age,'' ``Age 
distinction,'' ``Age-related term,'' ``Normal operation,'' and 
``Statutory objective'', effective Oct. 4, 2010. For the convenience of 
the user, the added text is set forth as follows:



Sec. 7.25  Definitions.

                                * * * * *

    Action, for purposes of subpart F of this part, means any act, 
activity, policy, rule, standard, or method of administration; or the 
use of any policy, rule, standard, or method of administration.

                                * * * * *

    Age, for purposes of subpart F of this part, means how old a person 
is, or the number of elapsed years from the date of a person's birth.
    Age distinction, for purposes of subpart F of this part, means any 
action using age or an age-related term.
    Age-related term, for purposes of subpart F of this part, means a 
word or words which necessarily imply a particular age or range of ages 
(for example; ``children,'' ``adult,'' ``older persons,'' but not 
``student'' or ``grade'').

                                * * * * *

    Normal operation, for purposes of subpart F of this part, means the 
operation of a program or activity without significant changes that 
would impair its ability to meet its objectives.

                                * * * * *

    Statutory objective, for purposes of subpart F of this part, means 
any purpose of a program or activity expressly stated in any Federal 
statute, State statute, or local statute or ordinance adopted by an 
elected, general purpose legislative body.



    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 
or activity;
    (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 or activity;

[[Page 120]]

    (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 or activity;
    (4) Subject a person to segregation in any manner or separate 
treatment in any way related to receiving services or benefits under the 
program or activity;
    (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 or activity, such as a local sanitation 
board or sewer authority;
    (6) Discriminate in employment on the basis of sex in any program or 
activity subject to section 13, or on the basis of race, color, or 
national origin in any program or activity whose purpose is to create 
employment; or, by means of employment discrimination, deny intended 
beneficiaries the benefits of EPA assistance, 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 or activity 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 or activity 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 or activity 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.

[49 FR 1659, Jan. 12, 1984, as amended at 68 FR 51372, Aug. 26, 2003]



      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 or activity;
    (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 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 or activity;
    (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 or 
activity.

[[Page 121]]

    (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 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 aid, benefits, or services limited by Federal 
statute or Executive Order to handicapped persons or a different class 
of handicapped persons is not prohibited by this subpart.

[49 FR 1659, Jan. 12, 1984, as amended at 68 FR 51372, Aug. 26, 2003]



Sec. 7.55  Separate or different aid, benefits, or services.

    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 or activity receiving 
EPA assistance. Recipients shall administer programs or activities in 
the most integrated setting appropriate to the needs of qualified 
handicapped persons.

[49 FR 1659, Jan. 12, 1984, as amended at 68 FR 51372, Aug. 26, 2003]



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 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;
    (8) Employer sponsored activities, including those that are social 
or recreational; 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 
apprenticeships.

[[Page 122]]

    (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 or activity.
    (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.

[49 FR 1659, Jan. 12, 1984, as amended at 68 FR 51372, Aug. 26, 2003]



Sec. 7.65  Accessibility.

    (a) General. A recipient shall operate each program or activity 
receiving EPA assistance so that when each part is viewed in its 
entirety it 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 ensuring compliance in existing facilities. 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 serve 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 comply with paragraph (a) of this section 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 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 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 statute under which such assistance is 
provided, and the relative cost of accomplishing such alterations in 
manners consistent and inconsistent with accessibility.

[49 FR 1659, Jan. 12, 1984, as amended at 68 FR 51372, Aug. 26, 2003]



Sec. 7.70  New construction.

    (a) General. New facilities shall be designed and constructed to be 
readily

[[Page 123]]

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 or activity 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 
accessibility under Sec. 7.65(a), 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.

[49 FR 1659, Jan. 12, 1984, as amended at 68 FR 51372, Aug. 26, 2003]



          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 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

[[Page 124]]

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)

    Effective Date Note: At 75 FR 31707, June 4, 2010, Sec. 7.80(c)(1) 
was revised, effective Oct. 4, 2010. For the convenience of the user, 
the revised text is set forth as follows:



Sec. 7.80  Applicants.

                                * * * * *

    (c) * * *
    (1) Notice of any lawsuit pending against the applicant alleging 
discrimination on the basis of race, color, sex, age, handicap, or 
national origin;

                                * * * * *



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 or activities 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

[[Page 125]]

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 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)

[49 FR 1659, Jan. 12, 1984, as amended at 68 FR 51372, Aug. 26, 2003]

    Effective Date Note: At 75 FR 31707, June 4, 2010, Sec. 7.85 was 
amended by revising paragraph (a)(2), by redesignating the introductory 
text of paragraph (c) after the heading as paragraph (c)(1), and adding 
paragraph (c)(2), effective Oct. 4, 2010. For the convenience of the 
user, the added and revised text is set forth as follows:



Sec. 7.85  Recipients.

    (a) * * *
    (2) Racial/ethnic, national origin, age, sex and handicap data, or 
EPA Form 4700-4 information submitted with its application;

                                * * * * *

    (c) Self-evaluation. (1) * * *
    (2) Each recipient employing the equivalent of 15 or more full time 
employees may be required to complete a written self-evaluation of its 
compliance under the Age Discrimination Act as part of a compliance 
review or complaint investigation. This self-evaluation will pertain to 
any age distinction imposed in its program or activity receiving Federal 
assistance from EPA. If required, each recipient's self-evaluation shall 
identify and justify each age distinction imposed by the recipient and 
each recipient shall take corrective and remedial action whenever a 
self-evaluation indicates a violation of the Age Discrimination Act.

                                * * * * *



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 or activities 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.

[49 FR 1659, Jan. 12, 1984, as amended at 68 FR 51372, Aug. 26, 2003]

    Effective Date Note: At 75 FR 31707, June 4, 2010, the first 
sentence in Sec. 7.95(a) was revised, effective Oct. 4, 2010. For the 
convenience of the user, the revised text is set forth as follows:



Sec. 7.95  Notice of nondiscrimination.

                                * * * * *

[[Page 126]]

    (a) Requirements. A recipient shall provide initial and continuing 
notice that it does not discriminate on the basis of race, color, 
national origin, age, or handicap in a program or activity receiving EPA 
assistance or, in programs or activities covered by section 13, on the 
basis of sex. * * *

                                * * * * *



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 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.

    Effective Date Note: At 75 FR 31707, June 4, 2010, the third 
sentence in Sec. 7.110(a) was revised, effective Oct. 4, 2010. For the 
convenience of the user, the revised text is set forth as follows:



Sec. 7.110  Preaward compliance.

                                * * * * *

    (a) * * * 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 aged and handicapped persons or organizations 
representing such persons. * * *

                                * * * * *



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

[[Page 127]]

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). 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

[[Page 128]]

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.

    Effective Date Note: At 75 FR 31707, June 4, 2010, Sec. 7.120 was 
amended by adding a new fifth sentence to paragraph (a) and adding 
paragraph (d)(1)(iv), effective Oct. 4, 2010. For the convenience of the 
user, the added text is set forth as follows:



Sec. 7.120  Complaint investigations.

                                * * * * *

    (a) Who may file a complaint. * * * Complaints of employment 
discrimination based on age against an individual by recipients of 
Federal financial assistance are subject to the Age Discrimination in 
Employment Act of 1967 and should be filed administratively with the 
Equal Employment Opportunity Commission (see 29 CFR part 1626). * * *

                                * * * * *

    (d) * * *
    (1) * * *
    (iv) Complaints alleging age discrimination under the Age 
Discrimination Act of 1975 will be referred to a mediation agency in 
accordance with Sec. 7.180.

                                * * * * *



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 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

[[Page 129]]

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, 
1200 Pennsylvania Ave., NW., 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 activity or the part of it in which the 
discrimination was found.

[49 FR 1659, Jan. 12, 1984, as amended at 68 FR 51372, Aug. 26, 2003]



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.



         Subpart F_Discrimination Prohibited on the Basis of Age

    Source: 75 FR 31707, June 4, 2010, unless otherwise noted.

    Effective Date Note: At 75 FR 31707, June 4, 2010, subpart F, 
consisting of Sec. Sec. 7.140 through 7.180, was added, effective Oct. 
4, 2010.



Sec. 7.140  General prohibition.

    No person in the United States may, on the basis of age, be excluded 
from participation in, be denied the benefits of, or be subjected to 
discrimination under any program or activity receiving EPA assistance.

[[Page 130]]



Sec. 7.145  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 age:
    (1) Exclude any individuals from, deny them the service, aid or 
benefits of, or subject them to discrimination under, a program or 
activity;
    (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 or activity;
    (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 or activity;
    (4) Subject a person to segregation in any manner or separate 
treatment in any way related to receiving services or benefits under the 
program or activity;
    (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 or activity, such as a local sanitation 
board or sewer authority;
    (6) In administering a program or activity receiving Federal 
financial assistance in which the recipient has previously discriminated 
on the basis of age, 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 or activity which have the effect of subjecting individuals 
to discrimination because of their age, or have the effect of defeating 
or substantially impairing accomplishment of the objectives of the 
program or activity with respect to individuals of a particular age.
    (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 or activity to which this part applies on the ground of age; 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. 7.140.



Sec. 7.150  Exceptions to the rules against age discrimination--normal operation or statutory objective of any program or activity.

    A recipient is permitted to take an action, otherwise prohibited by 
Sec. Sec. 7.140 and 7.145, if the action reasonably takes into account 
age as a factor necessary to the normal operation or achievement of any 
statutory objective of a program or activity. An action reasonably takes 
into account age as a factor necessary to the normal operation or the 
achievement of any statutory objective of a program or activity if:
    (a) Age is used as a measure or approximation of one or more other 
characteristics;
    (b) The other characteristic(s) must be measured or approximated in 
order for the normal operation of the program or activity to continue, 
or to achieve any statutory objective of the program or activity;
    (c) The other characteristic(s) can be reasonably measured or 
approximated by the use of age; and
    (d) The other characteristic(s) are impractical to measure directly 
on an individual basis.



Sec. 7.155  Exceptions to the rules against age discrimination--reasonable factors other than age.

    A recipient is permitted to take an action otherwise prohibited by 
Sec. Sec. 7.140 and 7.145 which is based on a factor other than age, 
even though that action may have a disproportionate effect on persons of 
different ages. An action may be based on a factor other than age only 
if the factor bears a direct and substantial relationship to the normal 
operation of the program or activity or to the achievement of a 
statutory objective.



Sec. 7.160  Burden of proof.

    The burden of proving that an age distinction or other action falls 
within the exceptions outlined in Sec. Sec. 7.150 and

[[Page 131]]

7.155 is on the recipient of EPA financial assistance.



Sec. 7.165  Special benefits for children and the elderly.

    If a recipient operating a program which serves the elderly or 
children in addition to persons of other ages, provides special benefits 
to the elderly or to children the provision of those benefits shall be 
presumed to be voluntary affirmative action provided that it does not 
have the effect of excluding otherwise eligible persons from 
participation in the program.



Sec. 7.170  Alternative funds disbursal procedures.

    (a) When EPA withholds funds from a recipient under Subpart F of 
these regulations, the Administrator may disburse the withheld funds 
directly to an alternate recipient: Any public or non-profit private 
organization or agency, or State or political subdivision of the State.
    (b) The Administrator will require any alternate recipient to 
demonstrate the ability to achieve the goals of the Federal statute 
authorizing the funds and these regulations (40 CFR Part 7).



Sec. 7.175  Exhaustion of administrative remedy.

    (a) A complainant may file a civil action following the exhaustion 
of administrative remedies under the Age Discrimination Act. 
Administrative remedies are exhausted if:
    (1) 180 days have elapsed since the complainant filed the complaint 
and EPA has made no finding with regard to the complaint; or
    (2) EPA issues any finding in favor of the recipient.
    (b) If EPA fails to make a finding within 180 days or issues a 
finding in favor of the recipient, EPA shall:
    (1) Promptly advise the complainant of this fact; and
    (2) Advise the complainant of his or her right to bring a civil 
action for injunctive relief; and
    (3) Inform the complainant that:
    (i) The complainant may bring a civil action only in a United States 
district court for the district in which the recipient is found or 
transacts business;
    (ii) A complainant prevailing in a civil action has the right to be 
awarded the costs of the action, including reasonable attorney's fees, 
but that the complainant must demand these costs in the complaint;
    (iii) Before commencing the action, the complainant shall give 30 
days notice by registered mail to the Secretary of the Department of 
Health and Human Services, the Administrator, the Attorney General of 
the United States, and the recipient;
    (iv) The notice must state: The alleged violation of the Age 
Discrimination Act; the relief requested; the court in which the 
complainant is bringing the action; and, whether or not attorney's fees 
are demanded in the event the complainant prevails; and
    (v) The complainant may not bring an action if the same alleged 
violation of the Age Discrimination Act by the same recipient is the 
subject of a pending action in any court of the United States.



Sec. 7.180  Mediation of age discrimination complaints.

    (a) The OCR will refer all accepted complaints alleging age 
discrimination to the Mediation Agency designated by the Secretary of 
the Department of Health and Human Services.
    (b) Both the complainant and the recipient must participate in the 
mediation process to the extent necessary to reach an agreement or make 
an informed judgment that an agreement is not possible. The recipient 
and the complainant must meet with the mediator at least once before the 
OCR will accept a judgment that an agreement is not possible. The 
recipient and the complainant, however, need not meet with the mediator 
at the same time.
    (c) If the complainant and the recipient reach an agreement, the 
mediator must prepare a written statement of the agreement and have the 
complainant and recipient sign it. The mediator will send a copy of the 
agreement to the OCR, which will take no further action on the complaint 
unless the complainant or the recipient fails to comply with the 
agreement.
    (d) The mediator must protect the confidentiality of all information 
obtained in the course of the mediation

[[Page 132]]

process. No mediator may testify in any adjudicative proceeding, produce 
any document, or otherwise disclose any information obtained in the 
course of the mediation process without prior approval of the head of 
the agency appointing the mediator.
    (e) Mediation ends after sixty (60) days from the time EPA received 
the complaint or if:
    (1) An agreement is reached; or
    (2) The Mediator determines that an agreement cannot be reached.
    (f) The mediator must return unresolved complaints to OCR to be 
processed in accordance with the procedure in Sec. 7.120.



  Sec. Appendix A to Part 7--Types of EPA Assistance 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 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.

[[Page 133]]

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.
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: 66 FR 63468, Dec. 6, 2001, 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.



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.

[[Page 134]]

    Annex I refers to Annex I, Environmental Impact Assessment, of the 
Protocol.
    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.
    Antarctica means the Antarctic Treaty area; i.e., the area south of 
60 degrees south latitude.
    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: Sec. 8.8.)
    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 Sec. 8.7.
    More than a minor or transitory impact has the same meaning as the 
term ``significantly'' as defined in regulations under the National 
Environmental Policy Act at 40 CFR 1508.27.
    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 Sec. 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,

[[Page 135]]

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;
    (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 Sec. 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 Sec. 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 Sec. 8.8.)
    (d) Incorporation of information, consolidation of environmental 
documentation, and multi-year 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.
    (e) Multi-year environmental documentation. (1) Provided that 
environmental documentation complies with all applicable provisions of 
Annex I to the Protocol and this part, an operator may submit 
environmental documentation for proposed expeditions for a period of up 
to five consecutive austral summer seasons, provided that the conditions 
described in the multi-year environmental document, including the 
assessment of cumulative impacts, are unchanged and meets the provisions 
of paragraphs (e)(1) (i) through (iii) of this section.
    (i) The operator shall identify the environmental documentation 
submitted for multi-year documentation purposes in the first year it is 
submitted. If the operator, or operators, fail to make

[[Page 136]]

this initial identification to EPA, this provision shall not be in 
effect although subsequent years' submissions by the operator, or 
operators, may use this environmental documentation as provided in 
paragraphs (d) (1) and (2) of this section.
    (ii) In subsequent years, up to a total maximum of five years, the 
operator, or operators, shall reference the multi-year documentation 
identified initially if it is necessary to update the basic information 
requirements listed in paragraph (a) of this section.
    (iii) An operator, or operators, may supplement a multi-year 
environmental document for an additional activity or activities by 
providing information regarding the proposed activity in accordance with 
the appropriate provisions of this part. The operator, or operators, 
shall identify this submission as a proposed supplement to the multi-
year documentation in effect. Addition of the supplemental information 
shall not extend the period of the multi-year environmental 
documentation beyond the time period associated with the documentation 
as originally submitted.
    (2) Multi-year environmental documentation may include more than one 
proposed expedition within the environmental document and the multi-year 
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.
    (3) The schedules for multi-year environmental documentation depend 
on the level of the environmental document and shall be the same as the 
schedules for comparable environmental documentation submitted on an 
annual basis; e.g., a multi-year PERM shall comply with the schedule in 
Sec. 8.6, a multi-year IEE shall comply with the schedule in Sec. 8.7, 
and a multi-year CEE shall comply with the schedule in Sec. 8.8. These 
schedules apply to the operator's submission of the initial multi-year 
environmental document; the operator's subsequent annual submissions 
pursuant to paragraphs (e)(1) (ii) and (iii) of this section; EPA's 
review, in consultation with other interested federal agencies, and 
comment on the multi-year environmental documentation and subsequent 
annual submissions; and a finding the EPA may make, with the concurrence 
of the National Science Foundation, 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.



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 137]]

    (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 Sec. 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 Sec. 8.8.



Sec. 8.7  Initial environmental evaluation.

    (a) Submission of IEE to the EPA. Unless a PERM has been submitted 
pursuant to Sec. 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 of receiving the final IEE from the operator or, if 
the operator does not provide a final IEE, within sixty (60) days

[[Page 138]]

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: Sec. 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) Any operator who plans a nongovernmental expedition that 
would require a CEE must submit a draft of the CEE by December 1 of the 
preceding year. 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 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 address and must include (or summarize) any 
comments

[[Page 139]]

on the draft CEE received from EPA, the public, and the Parties. 
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.



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 preparation of a CEE shall be provided 
within fifteen (15) days to the Department of State, as provided in this 
paragraph, 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.

[[Page 140]]



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 assessments 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, 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.......................................       2020-0003
------------------------------------------------------------------------
    Environmental Impact Assessment of Nongovernmental Activities in
                               Antarctica
------------------------------------------------------------------------
Part 3..................................................       2025-0003
8.5-8.10................................................       2020-0007
------------------------------------------------------------------------
                      Protection of Human Subjects
------------------------------------------------------------------------
26.1125.................................................      2070-0169
26.1303.................................................       2070-0169
------------------------------------------------------------------------
   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

[[Page 141]]

 
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
35.3540 (c).............................................       2040-0185
35.3545 (a)-(f).........................................       2040-0185
35.3550 (a)-(p).........................................       2040-0185
35.3555 (a)-(d).........................................       2040-0185
35.3560 (a), (d)-(g)....................................       2040-0185
35.3565 (a)-(f).........................................       2040-0185
35.3570 (a)-(d).........................................       2040-0185
35.3575 (a)-(e).........................................       2040-0185
35.3580 (a)-(h).........................................       2040-0185
35.3585 (b)-(c).........................................       2040-0185
35.6055(a)(2)...........................................       2050-0179
35.6055(b)(1)...........................................       2050-0179
35.6055(b)(2)(i)-(ii)...................................       2050-0179
35.6105(a)(2)(i)-(v), (vii).............................       2050-0179
35.6120.................................................       2050-0179
35.6145.................................................       2050-0179
35.6155(a), (c).........................................       2050-0179
35.6230(a), (c).........................................       2050-0179
35.6300(a)(3)...........................................       2050-0179
35.6315(c)..............................................       2050-0179
35.6320.................................................       2050-0179
35.6340(a)..............................................       2050-0179
35.6350.................................................       2050-0179
35.6500.................................................       2050-0179
35.6550(b)(2)(i)........................................       2050-0179
35.6585.................................................       2050-0179
35.6595(a), (b).........................................       2050-0179
35.6600(a)..............................................       2050-0179
35.6650.................................................       2050-0179
35.6655.................................................       2050-0179
35.6660.................................................       2050-0179
35.6665(a), (b).........................................       2050-0179
35.6700.................................................       2050-0179
35.6705.................................................       2050-0179
35.6710.................................................       2050-0179
35.6805.................................................       2050-0179
35.6815(a), (c), (d)....................................       2050-0179
35.9000-35.9070.........................................       2040-0138
------------------------------------------------------------------------
                               Fellowships
------------------------------------------------------------------------
46.155..................................................       2030-0004
46.170(a)...............................................       2030-0020
46.185(a)...............................................       2030-0020
46.190(a) and (b).......................................       2030-0020
46.200(a)...............................................       2030-0020
46.230(a)...............................................       2030-0020
------------------------------------------------------------------------
                     Tribal Clean Air Act Authority
------------------------------------------------------------------------
49.6....................................................       2060-0306
49.7....................................................       2060-0306
49.126(e)(1)(i).........................................       2060-0558
49.126(e)(1)(iii).......................................       2060-0558
49.126(e)(1)(v).........................................       2060-0558
49.127(e)...............................................       2060-0558
49.130(f)(1)-(2)........................................       2060-0558
49.131(c)(4)-(5)........................................       2060-0558
49.132(d)(1)............................................       2060-0558
49.132(e)(1)............................................       2060-0558
49.133(c)(1)............................................       2060-0558
49.133(d)(1)............................................       2060-0558
49.134(c)(1)............................................       2060-0558
49.134(d)(1)............................................       2060-0558
49.138(d)-(f)...........................................       2060-0558
49.139(c)(1)............................................       2060-0558
49.139(d)...............................................       2060-0558
49.139(e)(2)............................................       2060-0558
------------------------------------------------------------------------
 Requirements for Preparation, Adoption, and Submittal of Implementation
                                  Plans
------------------------------------------------------------------------
51.121-51.122...........................................       2060-0445
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
------------------------------------------------------------------------
         Ambient Air Monitoring Reference and Equivalent Methods
------------------------------------------------------------------------
53.4....................................................       2080-0005
53.9(f), (h), (i).......................................       2080-0005
53.14...................................................       2080-0005
53.15...................................................       2080-0005
53.16(a)-(d), (f).......................................       2080-0005
------------------------------------------------------------------------

[[Page 142]]

 
                 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
------------------------------------------------------------------------
   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.........................................       2060-0443
60.113b-60.116b.........................................       2060-0443
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
60.165 (a) (d)..........................................       2060-0110
60.175 (b) (c)..........................................       2060-0110
60.185 (b) (c)..........................................       2060-0110
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
60.264 (b) (c)..........................................       2060-0110
60.265 (a)..............................................       2060-0110
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................................................       2060-0443
60.482-3................................................       2060-0443
60.482-4................................................       2060-0443
60.482-7................................................       2060-0443
60.482-8................................................       2060-0443
60.482-10...............................................       2060-0443
60.483-1................................................       2060-0443
60.483-2................................................       2060-0443
60.484-60.487...........................................       2060-0443
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................................................       2060-0443
60.562-2................................................       2060-0443
60.563-60.565...........................................       2060-0443
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...........................................       2060-0443
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...........................................       2060-0443
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...........................................       2060-0443
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
------------------------------------------------------------------------

[[Page 143]]

 
      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................................................       2060-0443
61.242-2................................................       2060-0443
61.242-3................................................       2060-0443
61.242-4................................................       2060-0443
61.242-7................................................       2060-0443
61.242-8................................................       2060-0443
61.242-10...............................................       2060-0443
61.242-11...............................................       2060-0443
61.243-1................................................       2060-0443
61.243-2................................................       2060-0443
61.244-61.247...........................................       2060-0443
61.253-61.255...........................................       2060-0191
61.271-61.276...........................................       2060-0443
61.300..................................................       2060-0443
61.302-61.305...........................................       2060-0443
61.342..................................................       2060-0183
61.344-61.349...........................................       2060-0183
61.354-61.357...........................................       2060-0183
------------------------------------------------------------------------
 Approval and Promulgation of State Plans for Designated Facilities and
                               Pollutants
------------------------------------------------------------------------
62.14355................................................       2060-0430
------------------------------------------------------------------------
   National Emission Standards for Hazardous Air Pollutants for Source
                             Categories \3\
------------------------------------------------------------------------
63.5(d).................................................       2060-0330
63.52-63.56.............................................       2060-0266
63.72...................................................       2060-0222
63.74-63.79.............................................       2060-0222
63.91-63.97.............................................       2060-0264
63.103..................................................       2060-0282
63.105..................................................       2060-0443
63.117-63.118...........................................       2060-0443
63.122-63.123...........................................       2060-0443
63.129-63.130...........................................       2060-0443
63.146-63.148...........................................       2060-0443
63.151-63.152...........................................       2060-0443
63.181-63.182...........................................       2060-0443
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
63.450, 63.453-63.455, and 63.457.......................       2060-0387
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
63.655..................................................       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
63.1155-63.1174.........................................       2060-0419
63.1178-63.1194.........................................       2060-0362
63.1200-63.1221.........................................       2050-0171
63.1259-63.1260.........................................       2060-0358
63.1290-63.1309.........................................       2060-0357
63.1311.................................................       2060-0351
63.1314.................................................       2060-0351
63.1315.................................................       2060-0351
63.1319.................................................       2060-0351
63.1320.................................................       2060-0351
63.1325-63.1332.........................................       2060-0351
63.1335.................................................       2060-0351
63.1367-63.1368.........................................       2060-0370
63.1383.................................................       2060-0359
63.1386.................................................       2060-0359
63.1387.................................................       2060-0359
63.1420-63.1439.........................................       2060-0415
63.1620-63.1679.........................................       2060-0391
------------------------------------------------------------------------
                      Consolidated Federal Air Rule
------------------------------------------------------------------------
65.5....................................................       2060-0443
65.6....................................................       2060-0443
65.47...................................................       2060-0443
65.48...................................................       2060-0443
65.66...................................................       2060-0443
65.63...................................................       2060-0443
65.67...................................................       2060-0443
65.83...................................................       2060-0443
65.87...................................................       2060-0443
65.102..................................................       2060-0443
65.103-65.106...........................................       2060-0443
65.109..................................................       2060-0443
65.111..................................................       2060-0443
65.117-65.120...........................................       2060-0443
65.159..................................................       2060-0443
65.160..................................................       2060-0443
65.162..................................................       2060-0443
65.163..................................................       2060-0443
65.164..................................................       2060-0443
65.165..................................................       2060-0443
65.166..................................................       2060-0443
------------------------------------------------------------------------
                 Chemical Accident Prevention Provisions
------------------------------------------------------------------------
68.12...................................................       2050-0144
68.15...................................................       2050-0144
68.39...................................................       2050-0144
68.42...................................................       2050-0144
68.48...................................................       2050-0144
68.50...................................................       2050-0144
68.52...................................................       2050-0144
68.56...................................................       2050-0144
68.58...................................................       2050-0144

[[Page 144]]

 
68.60...................................................       2050-0144
68.65...................................................       2050-0144
68.67...................................................       2050-0144
68.69...................................................       2050-0144
68.71...................................................       2050-0144
68.73...................................................       2050-0144
68.75...................................................       2050-0144
68.79...................................................       2050-0144
68.81...................................................       2050-0144
68.83...................................................       2050-0144
68.85...................................................       2050-0144
68.95...................................................       2050-0144
68.120(a), (e), and (g).................................       2050-0144
68.150..................................................       2050-0144
68.155..................................................       2050-0144
68.160..................................................       2050-0144
68.165..................................................       2050-0144
68.168..................................................       2050-0144
68.170..................................................       2050-0144
68.175..................................................       2050-0144
68.180..................................................       2050-0144
68.185..................................................       2050-0144
68.190..................................................       2050-0144
68.200..................................................       2050-0144
68.215..................................................       2050-0144
68.220..................................................       2050-0144
------------------------------------------------------------------------
                     State Operating Permit Programs
------------------------------------------------------------------------
70.3-70.11..............................................       2060-0243
------------------------------------------------------------------------
                    Federal Operating Permit Programs
------------------------------------------------------------------------
71.5....................................................       2060-0336
71.6(a),(c),(d),(g).....................................       2060-0336
71.7....................................................       2060-0336
71.9(e)-(j).............................................       2060-0336
71.24-71.26.............................................       2060-0276
------------------------------------------------------------------------
                           Permits Regulation
------------------------------------------------------------------------
72.7-72.10..............................................       2060-0258
72.14...................................................       2060-0258
72.20-72.25.............................................       2060-0258
72.30-72.33.............................................       2060-0258
72.40-72.44.............................................       2060-0258
72.50-72.51.............................................       2060-0258
72.60-72.69.............................................       2060-0258
72.70-72.74.............................................       2060-0258
72.80-72.85.............................................       2060-0258
72.90-72.96.............................................       2060-0258
------------------------------------------------------------------------
                            Allowance System
------------------------------------------------------------------------
73.10-73.13.............................................       2060-0261
73.16...................................................       2060-0261
73.18-73.21.............................................       2060-0261
73.30-73.38.............................................       2060-0258
73.50-73.53.............................................       2060-0258
73.70-73.77.............................................       2060-0221
73.80-73.86.............................................       2060-0258
73.90...................................................       2060-0258
------------------------------------------------------------------------
                         Sulfur Dioxide Opt-ins
------------------------------------------------------------------------
74.12...................................................       2060-0258
74.14...................................................       2060-0258
74.16...................................................       2060-0258
74.18...................................................       2060-0258
74.20...................................................       2060-0258
74.22...................................................       2060-0258
74.24-74.25.............................................       2060-0258
74.41...................................................       2060-0258
74.43-74.44.............................................       2060-0258
74.46-74.47.............................................       2060-0258
74.60-74.64.............................................       2060-0258
------------------------------------------------------------------------
                     Continuous Emission Monitoring
------------------------------------------------------------------------
75.4-75.5...............................................       2060-0258
75.10-75.18.............................................       2060-0258
75.20-75.24.............................................       2060-0258
75.30-75.34.............................................       2060-0258
75.40-75.48.............................................       2060-0258
75.50-75.52.............................................       2060-0258
75.53-75.56.............................................       2060-0258
75.60-75.67.............................................       2060-0258
------------------------------------------------------------------------
               Nitrogen Oxides Emission Reduction Program
------------------------------------------------------------------------
76.8-76.15..............................................       2060-0258
------------------------------------------------------------------------
                            Excess Emissions
------------------------------------------------------------------------
77.3-77.6...............................................       2060-0258
------------------------------------------------------------------------
                 Appeal Procedures for Acid Rain Program
------------------------------------------------------------------------
78.1-78.20..............................................       2060-0258
------------------------------------------------------------------------
                Registration of Fuels and Fuel Additives
------------------------------------------------------------------------
79.10-79.11.............................................       2060-0150
79.20-79.21.............................................       2060-0150
79.31-79.33.............................................       2060-0150
79.51(a), (c), (d), (g), (h)............................       2060-0150
79.52...................................................       2060-0150
79.57(a)(5).............................................       2060-0150
79.57(f)(5).............................................       2060-0150
79.58(e)................................................       2060-0150
79.59(b)-(d)............................................       2060-0150
79.60...................................................       2060-0150
79.61(e)................................................       2060-0150
79.62-79.68.............................................       2060-0297
------------------------------------------------------------------------
                 Regulation of Fuels and Fuel Additives
------------------------------------------------------------------------
80.20...................................................       2060-0066
80.25...................................................       2060-0066
80.27...................................................       2060-0178
80.29(c)................................................       2060-0308
80.40...................................................       2060-0277
80.46...................................................       2060-0277
80.65...................................................       2060-0277
80.68-80.69.............................................       2060-0277
80.74-80.77.............................................       2060-0277
80.79...................................................       2060-0277
80.83...................................................       2060-0277
80.91-80.93.............................................       2060-0277
80.101-80.106...........................................       2060-0277
80.125..................................................       2060-0277
80.127-80.130...........................................       2060-0277
80.141(c)-(f)...........................................       2060-0275
80.157..................................................       2060-0275
80.158..................................................       2060-0275
80.160..................................................       2060-0275
80.161..................................................       2060-0275
80.162..................................................       2060-0275
80.163(d)(3)............................................       2060-0275
80.164..................................................       2060-0275
80.165..................................................       2060-0275
80.166..................................................       2060-0275
80.167(d)...............................................       2060-0275
80.170..................................................       2060-0275
80.171..................................................       2060-0275
80.173..................................................       2060-0275
------------------------------------------------------------------------

[[Page 145]]

 
                    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
85.1504.................................................       2060-0095
85.1505.................................................       2060-0095
85.1507.................................................       2060-0095
85.1508.................................................       2060-0095
85.1509.................................................       2060-0095
85.1511.................................................       2060-0095
85.1512.................................................       2060-0095
85.1514.................................................       2060-0095
85.1705.................................................       2060-0104
85.1706.................................................       2060-0104
85.1708.................................................       2060-0104
85.1710.................................................       2060-0104
85.1712.................................................       2060-0104
85.1802.................................................       2060-0104
85.1803.................................................       2060-0104
85.1806.................................................       2060-0104
85.1808.................................................       2060-0104
85.1903.................................................       2060-0104
85.1904.................................................       2060-0104
85.1905.................................................       2060-0104
85.1906.................................................       2060-0104
85.1908.................................................       2060-0104
85.1909.................................................       2060-0104
85.2110.................................................       2060-0104
85.2114.................................................       2060-0060
85.2115.................................................       2060-0060
85.2116.................................................       2060-0060
85.2117.................................................       2060-0060
85.2118.................................................       2060-0060
85.2119.................................................       2060-0060
85.2120.................................................       2060-0060
85.2123.................................................       2060-0104
85.2208.................................................       2060-0104
85.2401-85.2409.........................................      2060-0104,
                                                               2060-0545
------------------------------------------------------------------------
  Control of Emissions From New and In-Use Highway Vehicles and Engines
------------------------------------------------------------------------
86.000-7................................................       2060-0104
86.000-8................................................       2060-0104
86.000-9................................................       2060-0104
86.000-21...............................................       2060-0104
86.000-23...............................................       2060-0104
86.000-24...............................................       2060-0104
86.000-25...............................................       2060-0104
86.000-26...............................................       2060-0104
86.000-28...............................................       2060-0104
86.001-9................................................       2060-0104
86.001-21...............................................       2060-0104
86.001-23...............................................       2060-0104
86.001-24...............................................       2060-0104
86.001-25...............................................       2060-0104
86.001-26...............................................       2060-0104
86.001-28...............................................       2060-0104
86.004-9................................................       2060-0104
86.004-28...............................................       2060-0104
86.004-38...............................................       2060-0104
86.004-40...............................................       2060-0104
86.079-31--86.079-33....................................       2060-0104
86.079-36...............................................       2060-0104
86.079-39...............................................       2060-0104
86.080-12...............................................       2060-0104
86.082-34...............................................       2060-0104
86.085-37...............................................       2060-0104
86.087-38...............................................       2060-0104
86.090-27...............................................       2060-0104
86.091-7................................................       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
86.094-25...............................................       2060-0104
86.094-30...............................................       2060-0104
86.095-14...............................................       2060-0104
86.095-23...............................................       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
86.107-98...............................................       2060-0104
86.108-00...............................................       2060-0104
86.111-94...............................................       2060-0104
86.113-03...............................................       2060-0104
86.113-07...............................................       2060-0104
86.113-94...............................................       2060-0104
86.129-00...............................................       2060-0104
86.142-90...............................................       2060-0104

[[Page 146]]

 
86.144-94...............................................       2060-0104
86.150-98...............................................       2060-0104
86.155-98...............................................       2060-0104
86.159-00...............................................       2060-0104
86.160-00...............................................       2060-0104
86.161-00...............................................       2060-0104
86.162-00...............................................       2060-0104
86.162-03...............................................       2060-0104
86.163-00...............................................       2060-0104
86.336-79...............................................       2060-0104
86.337-79...............................................       2060-0104
86.412-78...............................................       2060-0104
86.414-78...............................................       2060-0104
86.415-78...............................................       2060-0104
86.416-80...............................................       2060-0104
86.421-78...............................................       2060-0104
86.423-78...............................................       2060-0104
86.427-78...............................................       2060-0104
86.428-80...............................................       2060-0104
86.429-78...............................................       2060-0104
86.431-78...............................................       2060-0104
86.432-78...............................................       2060-0104
86.434-78...............................................       2060-0104
86.435-78...............................................       2060-0104
86.436-78...............................................       2060-0104
86.437-78...............................................       2060-0104
86.438-78...............................................       2060-0104
86.439-78...............................................       2060-0104
86.440-78...............................................       2060-0104
86.445-2006.............................................       2060-0104
86.446-2006.............................................       2060-0104
86.447-2006.............................................       2060-0104
86.448-2006.............................................       2060-0104
86.449..................................................       2060-0104
86.513-94...............................................       2060-0104
86.537-90...............................................       2060-0104
86.542-90...............................................       2060-0104
86.603-88...............................................       2060-0104
86.603-98...............................................       2060-0104
86.604-84...............................................       2060-0104
86.605-88...............................................       2060-0104
86.605-98...............................................       2060-0104
86.606-84...............................................       2060-0104
86.607-84...............................................       2060-0104
86.609-98...............................................       2060-0104
86.612-97...............................................       2060-0104
86.614-84...............................................       2060-0104
86.615-84...............................................       2060-0104
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..............................................      2060-0104,
                                                               2060-0287
86.1003-2001............................................      2060-0104,
                                                               2060-0287
86.1004-84..............................................      2060-0104,
                                                               2060-0287
86.1005-90..............................................      2060-0104,
                                                               2060-0287
86.1006-84..............................................      2060-0104,
                                                               2060-0287
86.1007-84..............................................      2060-0104,
                                                               2060-0287
86.1009-2001............................................      2060-0104,
                                                               2060-0287
86.1012-84..............................................      2060-0104,
                                                               2060-0287
86.1012-97..............................................      2060-0104,
                                                               2060-0287
86.1014-84..............................................      2060-0104,
                                                               2060-0287
86.1015-87..............................................      2060-0104,
                                                               2060-0287
86.1106-87..............................................       2060-0104
86.1107-87..............................................       2060-0104
86.1108-87..............................................       2060-0104
86.1110-87..............................................       2060-0104
86.1111-87..............................................       2060-0104
86.1113-87..............................................       2060-0104
86.1114-87..............................................       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
86.1313-94..............................................       2060-0104
86.1313-98..............................................       2060-0104
86.1319-84..............................................       2060-0104
86.1319-90..............................................       2060-0104
86.1323-84..............................................       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.................................................       2060-0104
86.1707.................................................       2060-0104
86.1708.................................................       2060-0104
86.1709.................................................       2060-0104
86.1710.................................................       2060-0104
86.1712.................................................       2060-0104
86.1713.................................................       2060-0104
86.1714.................................................       2060-0104
86.1717.................................................       2060-0104
86.1721.................................................       2060-0104
86.1723.................................................       2060-0104
86.1724.................................................       2060-0104
86.1725.................................................       2060-0104
86.1726.................................................       2060-0104
86.1728.................................................       2060-0104
86.1734.................................................       2060-0104
86.1735.................................................       2060-0104
86.1770.................................................       2060-0104
86.1771.................................................       2060-0104
86.1776.................................................       2060-0104
86.1777.................................................       2060-0104
86.1778.................................................       2060-0104
86.1805-01..............................................       2060-0104
86.1805-04..............................................       2060-0104
86.1806-01..............................................       2060-0104
86.1806-05..............................................       2060-0104
86.1809-01..............................................       2060-0104
86.1811-01..............................................       2060-0104
86.1811-04..............................................       2060-0104
86.1817-05..............................................       2060-0104
86.1817-08..............................................       2060-0104
86.1823-01..............................................       2060-0104

[[Page 147]]

 
86.1826-01..............................................       2060-0104
86.1829-01..............................................       2060-0104
86.1839-01..............................................       2060-0104
86.1840-01..............................................       2060-0104
86.1842-01..............................................       2060-0104
86.1843-01..............................................       2060-0104
86.1844-01..............................................       2060-0104
86.1845-01..............................................       2060-0104
86.1845-05..............................................       2060-0104
86.1847-01..............................................       2060-0104
86.1862-04..............................................       2060-0104
86.1920-86.1925.........................................       2060-0287
------------------------------------------------------------------------
                           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
------------------------------------------------------------------------
Part 93, subpart A......................................       2060-0561
93.150-93.160...........................................       2060-0279
------------------------------------------------------------------------
  Control of Emissions From New and In-Use Marine Compression-Ignition
                                 Engines
------------------------------------------------------------------------
94.7-94.12..............................................      2060-0460.
94.101-94.109...........................................       2060-0460
94.203-94.222...........................................       2060-0460
94.303-94.310...........................................       2060-0460
94.403-94.408...........................................       2060-0460
94.508-94.509...........................................       2060-0460
94.804..................................................       2060-0460
94.904-94.911...........................................       2060-0460
------------------------------------------------------------------------
                        Mandatory Patent Licenses
------------------------------------------------------------------------
95.2....................................................       2060-0307
------------------------------------------------------------------------
              Recognition Awards Under the Clean Water Act
------------------------------------------------------------------------
105.4(c)................................................      2040-0009,
                                                               2040-0101
105.7...................................................      2040-0009,
                                                               2040-0101
105.10..................................................      2040-0009,
                                                               2040-0101
------------------------------------------------------------------------
                        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(f)...............................................       2040-0250
122.21(i)...............................................       2040-0250
122.21(j), (q)..........................................       2040-0086
122.21(m)-(p)...........................................      2040-0068,
                                                               2040-0170
122.21(r)...............................................      2040-0241,
                                                              2040-0257,
                                                               2040-0268
122.23 (d), (e), (h)....................................       2040-0250
122.23(i)...............................................       2040-0250
122.26(c), (d)..........................................       2040-0086
122.26(g)...............................................       2040-0211
122.28(b)...............................................       2040-0250
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
122.42(e)...............................................       2040-0250
122.44(g), (i)..........................................      2040-0004,
                                                              2040-0170,
                                                               2040-0110

[[Page 148]]

 
122.44(j)...............................................       2040-0150
122.44(r)...............................................       2040-0180
122.45(b)...............................................      2040-0004,
                                                               2040-0110
122.45(b)(4)............................................       2040-0068
122.47(a)...............................................      2040-0110,
                                                               2040-0170
122.47(b)...............................................      2040-0110,
                                                              2040-0068,
                                                               2040-0170
122.48..................................................      2040-0004,
                                                               2040-0170
122.62(a)...............................................      2040-0068,
                                                               2040-0170
122.63..................................................      2040-0068,
                                                               2040-0170
------------------------------------------------------------------------
                        State Permit Requirements
------------------------------------------------------------------------
123.21-123.24...........................................      2040-0057,
                                                               2040-0170
123.25..................................................       2040-0004
                                                               2040-0110
                                                               2040-0170
                                                               2040-0180
                                                               2040-0086
123.26-123.29...........................................      2040-0057,
                                                               2040-0170
123.35(b)...............................................       2040-0211
123.43..................................................      2040-0057,
                                                               2040-0170
123.44..................................................      2040-0057,
                                                              2040-0170,
                                                               2040-0180
123.45..................................................      2040-0057,
                                                               2040-0170
123.62..................................................      2040-0057,
                                                              2040-0170,
                                                               2040-0180
123.63..................................................      2040-0057,
                                                              2040-0170,
                                                               2040-0180
123.64..................................................      2040-0057,
                                                               2040-0170
------------------------------------------------------------------------
                      Procedures for Decisionmaking
------------------------------------------------------------------------
124.5...................................................       2040-0068
124.31..................................................       2050-0149
124.32..................................................       2050-0149
124.33..................................................       2050-0149
124.53-124.54...........................................       2040-0057
------------------------------------------------------------------------
 Criteria and Standards for the National Pollutant Discharge Elimination
                                 System
------------------------------------------------------------------------
125.59-125.67, and appendix A and B.....................       2040-0088
125.86..................................................       2040-0241
125.87..................................................       2040-0241
125.88..................................................       2040-0241
125.89..................................................       2040-0241
125.95..................................................       2040-0257
125.96..................................................       2040-0257
125.97..................................................       2040-0257
125.98..................................................       2040-0257
125.99..................................................       2040-0257
125.134.................................................       2040-0268
125.135.................................................       2040-0268
125.136.................................................       2040-0268
125.137.................................................       2040-0268
125.138.................................................       2040-0268
125.139.................................................       2040-0268
------------------------------------------------------------------------
                  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..................................................       2040-0205
141.22..................................................       2040-0090
141.23A(a)-(b)..........................................       2040-0204
141.23(d)-141.24........................................       2040-0204
141.25..................................................       2040-0090
141.25(a)-(e)...........................................       2040-0090
141.26..................................................       2040-0204
141.26(a)-(b)...........................................       2040-0228
141.27-141.30...........................................       2040-0090
141.31(a)-(c) and (e)...................................       2040-0204
141.31(d)...............................................       2040-0090
141.32(a)-(g)...........................................       2040-0090
141.33(a)-(d)...........................................       2040-0204
141.33(e)...............................................       2040-0090
141.35..................................................       2040-0270
141.40..................................................       2040-0270
141.41..................................................       2040-0090
141.42-141.43...........................................       2040-0204
141.50-141.52...........................................       2040-0090
141.60-141.63...........................................       2040-0090
141.70-141.74...........................................       2040-0090
141.75..................................................       2040-0205
141.76..................................................       2040-0205
141.80-141.91...........................................       2040-0204
141.100.................................................       2040-0090
141.110.................................................       2040-0090
141.111.................................................       2040-0204
141.130-141.132.........................................       2040-0204
141.134-141.135.........................................       2040-0204
141.140-141.144.........................................       2040-0090
141.153-141.154.........................................       2040-0090
141.155(a)-(g)(1) and (h)...............................       2040-0090
141.170.................................................       2040-0205
141.172.................................................       2040-0205
141.173.................................................       2040-0205

[[Page 149]]

 
141.174(a)-(b)..........................................       2040-0205
141.175(a)-(b)..........................................       2040-0205
141.175(c)..............................................       2040-0090
141.201-141.210.........................................       2040-0090
141.401-141.405.........................................       2040-0271
141.530-141.536.........................................       2040-0229
141.540-141.544.........................................       2040-0229
141.550-141.553.........................................       2040-0229
141.560-141.564.........................................       2040-0229
141.570-141.571.........................................       2040-0229
141.600-141.605.........................................       2040-0265
141.620-141.626.........................................       2040-0265
141.629.................................................       2040-0265
141.706-141.710.........................................       2040-0266
141.713-141.714.........................................       2040-0266
141.716-141.723.........................................       2040-0266
------------------------------------------------------------------------
       National Primary Drinking Water Regulations Implementation
------------------------------------------------------------------------
142.2-142.3.............................................       2040-0090
142.10..................................................       2040-0090
142.11..................................................       2040-0090
142.12..................................................       2040-0090
142.14(a)(1)-(7)........................................       2040-0205
142.14(a)(8)............................................       2040-0265
142.14(a)(9)............................................       2040-0266
142.14(b)-(d)...........................................       2040-0090
142.14(b)-(d)(1)........................................       2040-0090
142.14(d)(2)-(7)........................................       2040-0204
142.14(d)(4)-(5)........................................       2040-0228
142.14(d)(6)-(7)........................................       2040-0090
142.14(d)(12)(i)-(iv)...................................       2040-0204
142.14(d)(13)-(16)......................................       2040-0204
142.14(d)(17)...........................................       2040-0271
142.14(e)-(g)...........................................       2040-0090
142.15(a)-(b)...........................................       2040-0090
142.15(c)(1)-(5)........................................       2040-0205
142.15(c)(5)............................................       2040-0090
142.15(c)(6)............................................       2040-0266
142.15(c)(7)............................................       2040-0271
142.15(d)...............................................       2040-0090
142.16(a)...............................................       2040-0090
142.16(b)...............................................       2040-0205
142.16(c)...............................................       2040-0090
142.16(e)...............................................       2040-0204
142.16(f)...............................................       2040-0090
142.16(g)...............................................       2040-0205
142.16(h)...............................................       2040-0204
142.16(i)...............................................       2040-0205
142.16(j)...............................................       2040-0229
142.16(k)(1)............................................       2040-0204
142.16(l)(1) and (2)....................................       2040-0204
142.16(m)...............................................       2040-0265
142.16(n)...............................................       2040-0266
142.16(o)...............................................       2040-0271
142.17-142.24...........................................       2040-0090
142.51..................................................       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..................................................       2040-0090
142.306-142.308.........................................       2040-0090
142.311-142.312.........................................       2040-0090
------------------------------------------------------------------------
                  Underground Injection Control Program
------------------------------------------------------------------------
144.8...................................................       2040-0042
144.12..................................................       2040-0042
144.14-144.15...........................................       2040-0042
144.23..................................................       2040-0042
144.25-144.28...........................................       2040-0042
144.31-144.33...........................................       2040-0042
144.38..................................................       2040-0042
144.41..................................................       2040-0042
144.51-144.55...........................................       2040-0042
144.62-144.66...........................................       2040-0042
144.70..................................................       2040-0042
144.79-144.89...........................................       2040-0214
145.23..................................................       2040-0214
------------------------------------------------------------------------
      Underground Injection Control Program: Criteria and Standards
------------------------------------------------------------------------
146.10..................................................       2040-0042
146.12-146.15...........................................       2040-0042
146.22-146.25...........................................       2040-0042
146.32-146.35...........................................       2040-0042
146.52..................................................       2040-0042
146.64..................................................       2040-0042
146.66-146.73...........................................       2040-0042
------------------------------------------------------------------------
              State Underground Injection Control Programs
------------------------------------------------------------------------
147.104.................................................       2040-0042
147.304-147.305.........................................       2040-0042
147.504.................................................       2040-0042
147.754.................................................       2040-0042
147.904.................................................       2040-0042
147.1154................................................       2040-0042
147.1354-147.1355.......................................       2040-0042
147.1454................................................       2040-0042
147.1654................................................       2040-0042
147.1954................................................       2040-0042
147.2103-147.2104.......................................       2040-0042
147.2154................................................       2040-0042
147.2402................................................       2040-0042
147.2905................................................       2040-0042
147.2912-147.2913.......................................       2040-0042
147.2915................................................       2040-0042
147.2918................................................       2040-0042
147.2920-147.2926.......................................       2040-0042
147.2929................................................       2040-0042
147.3002-147.3003.......................................       2040-0042
147.3006-147.3007.......................................       2040-0042
147.3011................................................       2040-0042
147.3014-147.3016.......................................       2040-0042
147.3101................................................       2040-0042
147.3104-147.3105.......................................       2040-0042
147.3107-147.3109.......................................       2040-0042
------------------------------------------------------------------------
                 Hazardous Waste Injection Restrictions
------------------------------------------------------------------------
148.5...................................................       2040-0042
148.20-148.23...........................................       2040-0042
------------------------------------------------------------------------
          Pesticide Registration and Classification Procedures
------------------------------------------------------------------------
152.46..................................................       2070-0060
152.50..................................................      2070-0024,
                                                              2070-0040,
                                                               2070-0060
152.80..................................................      2070-0040,
                                                               2070-0060
152.85..................................................      2070-0040,
                                                               2070-0060
152.98..................................................       2070-0060
152.122.................................................       2070-0060
152.132.................................................       2070-0044
152.135.................................................       2070-0060
152.164.................................................       2070-0060
152.404.................................................      2070-0040,
                                                               2070-0060
152.406.................................................      2070-0040,
                                                               2070-0060

[[Page 150]]

 
152.412.................................................      2070-0040,
                                                               2070-0060
152.414.................................................      2070-0040,
                                                               2070-0060
------------------------------------------------------------------------
             Registration Standards and Registration Review
------------------------------------------------------------------------
Part 155................................................       2070-0174
------------------------------------------------------------------------
            Labeling Requirements for Pesticides and Devices
------------------------------------------------------------------------
Part 156................................................       2070-0060
------------------------------------------------------------------------
            Packaging Requirements for Pesticides and Devices
------------------------------------------------------------------------
Part 157................................................       2070-0052
------------------------------------------------------------------------
                   Data Requirements for Registration
------------------------------------------------------------------------
Part 158................................................      2070-0040,
                                                              2070-0060,
                                                               2070-0174
------------------------------------------------------------------------
               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,
                                                              2070-0060,
                                                               2070-0174
------------------------------------------------------------------------
     Data Requirements for Registration of Antimicrobial Pesticides
------------------------------------------------------------------------
Part 161................................................      2070-0040,
                                                              2070-0060,
                                                               2070-0174
------------------------------------------------------------------------
                State Registration of Pesticide Products
------------------------------------------------------------------------
162.153.................................................       2070-0055
------------------------------------------------------------------------
                    Pesticide Management and Disposal
------------------------------------------------------------------------
Part 165................................................       2070-0133
------------------------------------------------------------------------
   Exemption of Federal and State Agencies for Use of Pesticides Under
                          Emergency Conditions
------------------------------------------------------------------------
Part 166................................................       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
------------------------------------------------------------------------
Part 171................................................       2070-0029
------------------------------------------------------------------------
                        Experimental Use Permits
------------------------------------------------------------------------
Part 172................................................       2070-0040
------------------------------------------------------------------------
     Procedures and Requirements for Plant-Incorporated Protectants
------------------------------------------------------------------------
Part 174................................................       2070-0142
------------------------------------------------------------------------
    Tolerances and Exemptions for Pesticide Chemical Residues in Food
------------------------------------------------------------------------
Part 180................................................       2070-0024
------------------------------------------------------------------------
                      404 State Program Regulations
------------------------------------------------------------------------
233.10-233.12...........................................       2040-0168
233.21..................................................       2040-0168
233.30..................................................       2040-0168
233.50..................................................       2040-0168
233.52..................................................       2040-0168
233.61..................................................       2040-0140
------------------------------------------------------------------------
   Criteria for Classification of Solid Waste Disposal Facilities and
                                Practices
------------------------------------------------------------------------
257.8...................................................       2050-0154
257.21(b)...............................................       2050-0154
257.21(h)...............................................       2050-0154
257.23..................................................       2050-0154
257.24..................................................       2050-0154
257.25..................................................       2050-0154
257.27..................................................       2050-0154
257.30..................................................       2050-0154
------------------------------------------------------------------------
              Criteria for Municipal Solid Waste Landfills
------------------------------------------------------------------------
Part 258................................................       2050-0122
258.10-258.16...........................................       2050-0122
258.20..................................................       2050-0122
258.23..................................................       2050-0122
258.28-258.29...........................................       2050-0122
258.51..................................................       2050-0122
258.53-258.55...........................................       2050-0122
258.57-258.58...........................................       2050-0122
258.60-258.61...........................................       2050-0122
258.71-258.74...........................................       2050-0122
------------------------------------------------------------------------
               Hazardous Waste Management System: General
------------------------------------------------------------------------
260.20-260.22...........................................       2050-0053
260.23..................................................       2050-0145
260.31-260.33...........................................       2050-0053
------------------------------------------------------------------------
              Identification and Listing of Hazardous Waste
------------------------------------------------------------------------
261.3...................................................       2050-0085
261.4...................................................       2050-0053
261.35..................................................       2050-0115
261.39..................................................       2050-0053
261.40..................................................       2050-0053
261.41..................................................       2050-0053
------------------------------------------------------------------------
          Standards Applicable to Generators of Hazardous Waste
------------------------------------------------------------------------
262.12..................................................       2050-0028
262.20..................................................       2050-0039

[[Page 151]]

 
262.22-262.23...........................................       2050-0039
262.34..................................................      2050-0035,
                                                               2050-0085
262.40(a)...............................................       2050-0039
262.40(b)...............................................       2050-0024
262.40(c)...............................................       2050-0035
262.41..................................................       2050-0024
262.42..................................................       2050-0039
262.43..................................................       2050-0035
262.44(a)-(b)...........................................       2050-0039
262.44(c)...............................................       2050-0035
262.53-262.57...........................................       2050-0035
262.60..................................................       2050-0035
262.83-262.85...........................................       2050-0143
262.87..................................................       2050-0143
262.90(c), (d), (f), (g)................................       2010-0026
------------------------------------------------------------------------
         Standards Applicable to Transporters of Hazardous Waste
------------------------------------------------------------------------
263.11..................................................       2050-0028
263.20-263.22...........................................       2050-0039
263.30..................................................       2050-0039
------------------------------------------------------------------------
    Standards for Owners and Operators of Hazardous Waste Treatment,
                    Storage, and Disposal Facilities
------------------------------------------------------------------------
264.11..................................................       2050-0028
264.12(a)...............................................       2050-0120
264.13..................................................      2050-0120,
                                                               2050-0009
264.14..................................................       2050-0009
264.15..................................................      2050-0120,
                                                               2050-0009
264.16..................................................      2050-0120,
                                                               2050-0009
264.17..................................................       2050-0120
264.18..................................................       2050-0009
264.19..................................................       2050-0009
264.32..................................................       2050-0009
264.35..................................................       2050-0009
264.37..................................................       2050-0120
264.51..................................................       2050-0009
264.52..................................................       2050-0009
264.53..................................................       2050-0120
264.54..................................................       2050-0120
264.56..................................................       2050-0120
264.71..................................................       2050-0039
264.72..................................................       2050-0039
264.73..................................................       2050-0120
264.74..................................................       2050-0120
264.75..................................................       2050-0024
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

[[Page 152]]

 
264.1061................................................       2050-0050
264.1062................................................       2050-0050
264.1063................................................       2050-0050
264.1064................................................      2050-0050,
                                                               2050-0009
264.1065................................................       2050-0050
264.1089................................................       2060-0318
264.1090................................................       2060-0318
264.1100................................................       2050-0050
264.1101................................................       2050-0050
------------------------------------------------------------------------
  Interim Status Standards for Owners and Operators of Hazardous Waste
               Treatment, Storage, and Disposal Facilities
------------------------------------------------------------------------
265.11..................................................       2050-0028
265.12(a)...............................................       2050-0120
265.13..................................................       2050-0120
265.15..................................................       2050-0120
265.16..................................................       2050-0120
265.19..................................................       2050-0120
265.37..................................................       2050-0120
265.51..................................................       2050-0120
265.52..................................................       2050-0120
265.53..................................................       2050-0120
265.54..................................................       2050-0120
265.56..................................................       2050-0120
265.71..................................................       2050-0039
265.72..................................................       2050-0039
265.73..................................................       2050-0120
265.75..................................................       2050-0024
265.76..................................................       2050-0039
265.90..................................................       2050-0033
265.92..................................................       2050-0033
265.93..................................................       2050-0033
265.94..................................................       2050-0033
265.112.................................................       2050-0120
265.113(a), (b), (d)....................................       2050-0120
265.113(e)..............................................       2050-0050
265.115.................................................       2050-0120
265.116.................................................       2050-0120
265.118.................................................       2050-0120
265.119.................................................       2050-0120
265.120.................................................       2050-0120
265.142.................................................       2050-0120
265.143.................................................       2050-0120
265.144.................................................       2050-0120
265.145.................................................       2050-0120
265.147.................................................       2050-0120
265.148.................................................       2050-0120
265.149.................................................       2050-0120
265.150.................................................       2050-0120
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

[[Page 153]]

 
270.18..................................................       2050-0009
270.19..................................................       2050-0009
270.20..................................................       2050-0009
270.21..................................................       2050-0009
270.22..................................................       2050-0073
270.23..................................................       2050-0009
270.24..................................................       2050-0009
270.25..................................................       2050-0009
270.26..................................................       2050-0115
270.30..................................................       2050-0120
270.33..................................................       2050-0009
270.40..................................................       2050-0009
270.41..................................................       2050-0009
270.42..................................................       2050-0009
270.51..................................................       2050-0009
270.62..................................................      2050-0009,
                                                               2050-0149
270.63..................................................       2050-0009
270.65..................................................       2050-0009
270.66..................................................      2050-0073,
                                                               2050-0149
270.72..................................................       2050-0034
270.73..................................................       2050-0009
------------------------------------------------------------------------
    Requirements for Authorization of State Hazardous Waste Programs
------------------------------------------------------------------------
271.5-271.8.............................................       2050-0041
271.20-271.21...........................................       2050-0041
271.23..................................................       2050-0041
------------------------------------------------------------------------
                Standards for Universal Waste Management
------------------------------------------------------------------------
273.14..................................................       2050-0145
273.15..................................................       2050-0145
273.18..................................................       2050-0145
273.32..................................................       2050-0145
273.34..................................................       2050-0145
273.35..................................................       2050-0145
273.38..................................................       2050-0145
273.39..................................................       2050-0145
273.61..................................................       2050-0145
273.62..................................................       2050-0145
273.80..................................................       2050-0145
------------------------------------------------------------------------
                  Standards for Management of Used Oil
------------------------------------------------------------------------
279.10-279.11...........................................       2050-0124
279.42..................................................      2050-0028,
                                                               2050-0124
279.43-279.44...........................................       2050-0124
279.46..................................................       2050-0050
279.51..................................................       2050-0028
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 154]]

 
       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........................       2050-0092
------------------------------------------------------------------------
          Hazardous Chemical Reporting: Community Right-to-Know
------------------------------------------------------------------------
370.21..................................................       2050-0072
370.25..................................................       2050-0072
370.30..................................................       2050-0072
------------------------------------------------------------------------
        Toxic Chemical Release Reporting: Community Right-to-Know
------------------------------------------------------------------------
Part 372, subpart A.....................................      2070-0093,
                                                              2070-0143,
                                                               2025-0007
372.22..................................................      2070-0093,
                                                              2070-0143,
                                                               2025-0007
372.25..................................................      2070-0093,
                                                               2025-0007
372.27..................................................       2070-0143
372.30..................................................      2070-0093,
                                                              2070-0143,
                                                               2025-0007
372.38..................................................      2070-0093,
                                                              2070-0143,
                                                               2025-0007
Part 372, subpart C.....................................      2070-0093,
                                                              2070-0143,
                                                               2025-0007
Part 372, subpart D.....................................      2070-0093,
                                                              2070-0143,
                                                               2025-0007
372.85..................................................      2070-0093,
                                                               2025-0007
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
403.12(q)...............................................       2040-0009
403.13..................................................       2040-0009
403.15..................................................       2040-0009
403.17-403.18...........................................      2040-0009,
                                                               2040-0170
------------------------------------------------------------------------
                     Feedlots Point Source Category
------------------------------------------------------------------------
412.31-412.37...........................................       2040-0250
412.41-412.47...........................................       2040-0250
------------------------------------------------------------------------
             Steam Electric Generating Point Source Category
------------------------------------------------------------------------
423.12-423.13...........................................       2040-0033
423.15..................................................       2040-0033
------------------------------------------------------------------------
            Pulp, Paper, and Paperboard Point Source Category
------------------------------------------------------------------------
430.02(a)-(e)...........................................       2040-0243
430.02(f)...............................................       2040-0242
430.03..................................................       2040-0207
430.14-430.17...........................................       2040-0033
430.24(a)...............................................       2040-0033
430.24(b)...............................................       2040-0033
                                                               2040-0202
430.24(c)...............................................       2040-0202
430.24(d)...............................................       2040-0033
430.24(e)...............................................       2040-0033
430.25-430.27...........................................       2040-0033
430.54-430.57...........................................       2040-0033
430.64-430.67...........................................       2040-0033
430.74-430.77...........................................       2040-0033
430.84-430.87...........................................       2040-0033
430.94-430.97...........................................       2040-0033
430.104-430.107.........................................       2040-0033
430.114-430.117.........................................       2040-0033
430.134-430.137.........................................       2040-0033
430.144-430.147.........................................       2040-0033
430.154-430.157.........................................       2040-0033
430.164-430.167.........................................       2040-0033
430.174-430.177.........................................       2040-0033
430.184-430.187.........................................       2040-0033
430.194-430.197.........................................       2040-0033
430.204-430.207.........................................       2040-0033
430.214-430.217.........................................       2040-0033
430.224-430.227.........................................       2040-0033
430.234-430.237.........................................       2040-0033
430.244-430.247.........................................       2040-0033
430.254-430.257.........................................       2040-0033
430.264-430.267.........................................       2040-0033
------------------------------------------------------------------------
        The Builders' Paper and Board Mills Point Source Category
------------------------------------------------------------------------
431.14-431.17...........................................       2040-0033
------------------------------------------------------------------------
                    Coal Mining Point Source Category
------------------------------------------------------------------------
434.72-434.75...........................................       2040-0239
434.82-434.83...........................................       2040-0239
434.85..................................................       2040-0239
Part 434, Appendix B....................................       2040-0239
------------------------------------------------------------------------

[[Page 155]]

 
              Oil and Gas Extraction Point Source Category
------------------------------------------------------------------------
435.13..................................................       2040-0230
435.15..................................................       2040-0230
435.43..................................................       2040-0230
435.45..................................................       2040-0230
------------------------------------------------------------------------
           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
------------------------------------------------------------------------
      Concentrated Aquatic Animal Production Point Source Category
------------------------------------------------------------------------
451.3...................................................       2040-0258
451.11(d)...............................................       2040-0258
451.21(g)...............................................       2040-0258
------------------------------------------------------------------------
                   Coil Coating Point Source Category
------------------------------------------------------------------------
465.03..................................................       2040-0033
------------------------------------------------------------------------
                Porcelain Enameling Point Source Category
------------------------------------------------------------------------
466.03..................................................       2040-0033
------------------------------------------------------------------------
                 Aluminum Forming Point Source Category
------------------------------------------------------------------------
467.03..................................................       2040-0033
------------------------------------------------------------------------
              State Sludge Management Program Requirements
------------------------------------------------------------------------
501.15(a)...............................................      2040-0086,
                                                               2040-0110
501.15(b)...............................................      2040-0004,
                                                              2040-0068,
                                                               2040-0110
501.15(c)...............................................       2040-0068
501.16..................................................       2040-0057
501.21..................................................       2040-0057
------------------------------------------------------------------------
           Standards for the Use or Disposal of Sewage Sludge
------------------------------------------------------------------------
503.17-503.18...........................................       2040-0157
503.27-503.28...........................................       2040-0157
503.47-503.48...........................................       2040-0157
------------------------------------------------------------------------
                     Fuel Economy of Motor Vehicles
------------------------------------------------------------------------
600.005-87..............................................       2060-0104
600.006-86..............................................       2060-0104
600.006-89..............................................       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
600.206-93..............................................       2060-0104
600.207-86..............................................       2060-0104
600.207-93..............................................       2060-0104
600.209-85..............................................       2060-0104
600.305-77..............................................       2060-0104
600.306-86..............................................       2060-0104
600.307-86..............................................       2060-0104
600.307-95..............................................       2060-0104
600.310-86..............................................       2060-0104
600.311-86..............................................       2060-0104
600.312-86..............................................       2060-0104
600.313-01..............................................       2060-0104
600.313-86..............................................       2060-0104
600.314-01..............................................       2060-0104
600.314-86..............................................       2060-0104
600.507-86..............................................       2060-0104
600.509-86..............................................       2060-0104
600.510-86..............................................       2060-0104
600.510-93..............................................       2060-0104
600.512-86..............................................       2060-0104
------------------------------------------------------------------------
                  Toxic Substances Control Act: General
------------------------------------------------------------------------
700.45..................................................      2070-0012,
                                                               2070-0038
------------------------------------------------------------------------
                Reporting and Recordkeeping Requirements
------------------------------------------------------------------------
Part 704................................................       2070-0067
------------------------------------------------------------------------
                      Chemical Imports and Exports
------------------------------------------------------------------------
Part 707................................................       2070-0030
------------------------------------------------------------------------
                   TSCA Chemical Inventory Regulations
------------------------------------------------------------------------
Part 710, Subpart B.....................................       2070-0070
Part 710, Subpart C.....................................       2070-0162
------------------------------------------------------------------------
                       Chemical Information Rules
------------------------------------------------------------------------
Part 712................................................       2070-0054
------------------------------------------------------------------------
                    Health and Safety Data Reporting
------------------------------------------------------------------------
Part 716................................................       2070-0004
------------------------------------------------------------------------
    Records and Reports of Allegations That Chemical Substances Cause
       Significant Adverse Reactions to Health or the Environment
------------------------------------------------------------------------
Part 717................................................       2070-0017
------------------------------------------------------------------------
                       Premanufacture Notification
------------------------------------------------------------------------
Part 720................................................       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
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[[Page 156]]

 
721.430.................................................       2070-0012
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721.1425................................................       2070-0038
721.1430................................................       2070-0038
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721.1440................................................       2070-0038
721.1450................................................       2070-0012
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721.1650................................................       2070-0012
721.1655................................................       2070-0012
721.1660................................................       2070-0038
721.1675................................................       2070-0012
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721.1700................................................       2070-0012
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721.1760................................................       2070-0012
721.1765................................................       2070-0012
721.1767................................................       2070-0012
721.1775................................................       2070-0012
721.1790................................................       2070-0038
721.1800................................................       2070-0012
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721.1820................................................       2070-0012
721.1825................................................       2070-0012
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[[Page 157]]

 
721.1878................................................       2070-0012
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721.1930................................................       2070-0012
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721.2060................................................       2070-0012
721.2075................................................       2070-0012
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721.2081................................................       2070-0012
721.2083................................................       2070-0012
721.2084................................................       2070-0038
721.2085................................................       2070-0012
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721.2087................................................       2070-0012
721.2088................................................       2070-0012
721.2089................................................       2070-0012
721.2091................................................       2070-0012
721.2092................................................       2070-0038
721.2093................................................       2070-0012
721.2094................................................       2070-0012
721.2095................................................       2070-0012
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721.2120................................................       2070-0012
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721.2140................................................       2070-0012
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721.2222................................................       2070-0012
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721.2270................................................       2070-0012
721.2275................................................       2070-0012
721.2280................................................       2070-0012
721.2287................................................       2070-0038
721.2340................................................       2070-0012
721.2345................................................       2070-0012
721.2350................................................       2070-0012
721.2355................................................       2070-0038
721.2380................................................       2070-0012
721.2385................................................       2070-0012
721.2410................................................       2070-0012
721.2420................................................       2070-0012
721.2465................................................       2070-0012
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721.2485................................................       2070-0012
721.2520................................................       2070-0012
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721.2532................................................       2070-0012
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721.2540................................................       2070-0012
721.2560................................................       2070-0012
721.2565................................................       2070-0012
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721.2580................................................       2070-0012
721.2582................................................       2070-0012
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721.2600................................................       2070-0038
721.2625................................................       2070-0012
721.2673................................................       2070-0012
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721.2685................................................       2070-0012
721.2725................................................       2070-0038
721.2752................................................       2070-0012
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721.2800................................................       2070-0038
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721.2900................................................       2070-0012
721.2920................................................       2070-0012
721.2925................................................       2070-0012
721.2950................................................       2070-0012
721.3000................................................       2070-0012
721.3020................................................       2070-0012
721.3025................................................       2070-0012
721.3031................................................       2070-0012
721.3032................................................       2070-0012
721.3034................................................       2070-0012
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721.3100................................................       2070-0012
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721.3140................................................       2070-0012
721.3152................................................       2070-0012
721.3155................................................       2070-0012
721.3160................................................       2070-0038
721.3220................................................       2070-0038
721.3248................................................       2070-0012
721.3260................................................       2070-0012
721.3310................................................       2070-0012
721.3320................................................       2070-0012
721.3340................................................       2070-0012
721.3350................................................       2070-0038
721.3360................................................       2070-0012
721.3364................................................       2070-0012
721.3374................................................       2070-0012
721.3380................................................       2070-0012
721.3420................................................       2070-0012
721.3430................................................       2070-0038
721.3435................................................       2070-0012
721.3437................................................       2070-0012
721.3438................................................       2070-0012
721.3440................................................       2070-0012
721.3465................................................       2070-0012
721.3480................................................       2070-0012
721.3485................................................       2070-0012
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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
721.3629................................................       2070-0012
721.3635................................................       2070-0012
721.3680................................................       2070-0012
721.3700................................................       2070-0012
721.3710................................................       2070-0012
721.3720................................................       2070-0012
721.3740................................................       2070-0012
721.3760................................................       2070-0012
721.3764................................................       2070-0012
721.3780................................................       2070-0012
721.3790................................................       2070-0012
721.3800................................................       2070-0012

[[Page 158]]

 
721.3805................................................       2070-0012
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721.3818................................................       2070-0012
721.3820................................................       2070-0012
721.3821................................................       2070-0012
721.3830................................................       2070-0012
721.3835................................................       2070-0012
721.3840................................................       2070-0012
721.3845................................................       2070-0012
721.3848................................................       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
721.4096................................................       2070-0012
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721.4098................................................       2070-0012
721.4100................................................       2070-0012
721.4105................................................       2070-0012
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721.4110................................................       2070-0012
721.4128................................................       2070-0012
721.4133................................................       2070-0012
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721.4140................................................       2070-0038
721.4155................................................       2070-0038
721.4158................................................       2070-0038
721.4160................................................       2070-0038
721.4180................................................       2070-0038
721.4215................................................       2070-0012
721.4250................................................       2070-0012
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721.4260................................................       2070-0012
721.4265................................................       2070-0012
721.4270................................................       2070-0012
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721.4300................................................       2070-0012
721.4320................................................       2070-0012
721.4340................................................       2070-0012
721.4360................................................       2070-0038
721.4365................................................       2070-0012
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721.4385................................................       2070-0012
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721.4420................................................       2070-0012
721.4460................................................       2070-0012
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721.4467................................................       2070-0012
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721.4500................................................       2070-0012
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721.4550................................................       2070-0012
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721.4596................................................       2070-0012
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721.4720................................................       2070-0012
721.4740................................................       2070-0038
721.4792................................................       2070-0012
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721.4820................................................       2070-0012
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721.4925................................................       2070-0038
721.5050................................................       2070-0012
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721.5225................................................       2070-0012
721.5250................................................       2070-0012
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721.5280................................................       2070-0012
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721.5330................................................       2070-0012
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[[Page 159]]

 
721.5380................................................       2070-0012
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721.5600................................................       2070-0038
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721.5710................................................       2070-0038
721.5713................................................       2070-0012
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721.6000................................................       2070-0038
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721.7046................................................       2070-0012
721.7160................................................       2070-0012
721.7200................................................       2070-0012
721.7210................................................       2070-0012
721.7220................................................       2070-0012
721.7250................................................       2070-0012
721.7255................................................       2070-0012
721.7260................................................       2070-0012
721.7270................................................       2070-0012
721.7280................................................       2070-0012
721.7285................................................       2070-0012
721.7286................................................       2070-0038
721.7290................................................       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
721.7785................................................       2070-0012

[[Page 160]]

 
721.8079................................................       2070-0012
721.8082................................................       2070-0012
721.8085................................................       2070-0012
721.8090................................................       2070-0012
721.8095................................................       2070-0012
721.8100................................................       2070-0012
721.8130................................................       2070-0012
721.8140................................................       2070-0012
721.8145................................................       2070-0012
721.8153................................................       2070-0012
721.8155................................................       2070-0012
721.8160................................................       2070-0012
721.8175................................................       2070-0012
721.8225................................................       2070-0012
721.8250................................................       2070-0012
721.8340................................................       2070-0012
721.8350................................................       2070-0012
721.8450................................................       2070-0012
721.8485................................................       2070-0012
721.8500................................................       2070-0012
721.8657................................................       2070-0012
721.8658................................................       2070-0012
721.8660................................................       2070-0012
721.8670................................................       2070-0012
721.8673................................................       2070-0012
721.8675................................................       2070-0012
721.8700................................................       2070-0012
721.8750................................................       2070-0012
721.8775................................................       2070-0012
721.8780................................................       2070-0012
721.8825................................................       2070-0012
721.8850................................................       2070-0012
721.8875................................................       2070-0012
721.8900................................................       2070-0012
721.8920................................................       2070-0012
721.8940................................................       2070-0012
721.8950................................................       2070-0012
721.8965................................................       2070-0012
721.9000................................................       2070-0038
721.9005................................................       2070-0012
721.9010................................................       2070-0012
721.9075................................................       2070-0012
721.9078................................................       2070-0012
721.9079................................................       2070-0012
721.9080................................................       2070-0012
721.9100................................................       2070-0012
721.9220................................................       2070-0012
721.9265................................................       2070-0012
721.9270................................................       2070-0012
721.9280................................................       2070-0012
721.9285................................................       2070-0012
721.9300................................................       2070-0012
721.9400................................................       2070-0012
721.9460................................................       2070-0012
721.9470................................................       2070-0038
721.9480................................................       2070-0012
721.9484................................................       2070-0012
721.9485................................................       2070-0012
721.9486................................................       2070-0012
721.9487................................................       2070-0012
721.9488................................................       2070-0012
721.9490................................................       2070-0012
721.9492................................................       2070-0012
721.9495................................................       2070-0012
721.9497................................................       2070-0012
721.9499................................................       2070-0012
721.9500................................................       2070-0012
721.9501................................................       2070-0012
721.9502................................................       2070-0012
721.9503................................................       2070-0012
721.9504................................................       2070-0012
721.9505................................................       2070-0012
721.9506................................................       2070-0012
721.9507................................................       2070-0012
721.9508................................................       2070-0012
721.9509................................................       2070-0012
721.9511................................................       2070-0012
721.9513................................................       2070-0012
721.9514................................................       2070-0012
721.9515................................................       2070-0012
721.9516................................................       2070-0012
721.9517................................................       2070-0012
721.9518................................................       2070-0012
721.9520................................................       2070-0012
721.9526................................................       2070-0012
721.9527................................................       2070-0012
721.9530................................................       2070-0012
721.9535................................................       2070-0012
721.9538................................................       2070-0012
721.9540................................................       2070-0012
721.9545................................................       2070-0012
721.9550................................................       2070-0012
721.9570................................................       2070-0012
721.9572................................................       2070-0012
721.9573................................................       2070-0012
721.9575................................................       2070-0012
721.9576................................................       2070-0012
721.9577................................................       2070-0012
721.9580................................................       2070-0038
721.9582................................................       2070-0038
721.9595................................................       2070-0012
721.9597................................................       2070-0012
721.9620................................................       2070-0012
721.9630................................................       2070-0012
721.9635................................................       2070-0012
721.9640................................................       2070-0012
721.9650................................................       2070-0012
721.9656................................................       2070-0012
721.9657................................................       2070-0012
721.9658................................................       2070-0012
721.9659................................................       2070-0012
721.9660................................................       2070-0038
721.9661................................................       2070-0012
721.9662................................................       2070-0012
721.9663................................................       2070-0012
721.9664................................................       2070-0012
721.9665................................................       2070-0012
721.9668................................................       2070-0012
721.9670................................................       2070-0012
721.9671................................................       2070-0012
721.9672................................................       2070-0012
721.9674................................................       2070-0012
721.9675................................................       2070-0012
721.9680................................................       2070-0012
721.9685................................................       2070-0012
721.9700................................................       2070-0012
721.9717................................................       2070-0012
721.9719................................................       2070-0012
721.9720................................................       2070-0012
721.9730................................................       2070-0012
721.9740................................................       2070-0012
721.9750................................................       2070-0012
721.9790................................................       2070-0012
721.9795................................................       2070-0012
721.9798................................................       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

[[Page 161]]

 
721.9929................................................       2070-0012
721.9930................................................       2070-0038
721.9952................................................       2070-0012
721.9957................................................       2070-0038
721.9959................................................       2070-0012
721.9965................................................       2070-0012
721.9969................................................       2070-0012
721.9970................................................       2070-0012
721.9973................................................       2070-0012
721.10000...............................................       2070-0012
721.10001...............................................       2070-0012
721.10002...............................................       2070-0012
721.10003...............................................       2070-0012
721.10004...............................................       2070-0012
721.10005...............................................       2070-0012
721.10006...............................................       2070-0012
721.10007...............................................       2070-0012
721.10008...............................................       2070-0012
721.10009...............................................       2070-0012
721.10010...............................................       2070-0012
721.10011...............................................       2070-0012
721.10012...............................................       2070-0012
721.10013...............................................       2070-0012
721.10014...............................................       2070-0012
721.10015...............................................       2070-0012
721.10016...............................................       2070-0012
721.10017...............................................       2070-0012
721.10018...............................................       2070-0012
721.10019...............................................       2070-0012
721.10020...............................................       2070-0012
721.10021...............................................       2070-0012
721.10022...............................................       2070-0012
721.10023...............................................       2070-0012
721.10024...............................................       2070-0012
721.10025...............................................       2070-0012
721.10026...............................................       2070-0012
721.10027...............................................       2070-0012
721.10028...............................................       2070-0012
721.10029...............................................       2070-0012
721.10030...............................................       2070-0012
721.10031...............................................       2070-0012
721.10032...............................................       2070-0012
721.10033...............................................       2070-0012
721.10034...............................................       2070-0012
721.10035...............................................       2070-0012
721.10036...............................................       2070-0012
721.10037...............................................       2070-0012
721.10038...............................................       2070-0012
721.10039...............................................       2070-0012
721.10040...............................................       2070-0012
721.10041...............................................       2070-0012
721.10042...............................................       2070-0012
721.10043...............................................       2070-0012
721.10044...............................................       2070-0012
721.10045...............................................       2070-0012
721.10046...............................................       2070-0012
721.10047...............................................       2070-0012
721.10048...............................................       2070-0012
721.10049...............................................       2070-0012
721.10050...............................................       2070-0012
721.10051...............................................       2070-0012
721.10052...............................................       2070-0012
721.10053...............................................       2070-0012
721.10054...............................................       2070-0012
721.10055...............................................       2070-0012
721.10056...............................................       2070-0012
721.10058...............................................       2070-0012
721.10059...............................................       2070-0012
721.10060...............................................       2070-0012
721.10061...............................................       2070-0012
721.10062...............................................       2070-0012
721.10063...............................................       2070-0012
721.10064...............................................       2070-0012
721.10065...............................................       2070-0012
721.10066...............................................       2070-0012
721.10067...............................................       2070-0012
721.10068...............................................       2070-0038
721.10070...............................................       2070-0012
721.10071...............................................       2070-0012
721.10072...............................................       2070-0012
721.10073...............................................       2070-0012
721.10074...............................................       2070-0012
721.10075...............................................       2070-0012
721.10076...............................................       2070-0012
721.10077...............................................       2070-0012
721.10078...............................................       2070-0012
721.10079...............................................       2070-0012
721.10080...............................................       2070-0012
721.10081...............................................       2070-0012
721.10082...............................................       2070-0012
721.10083...............................................       2070-0012
721.10084...............................................       2070-0012
721.10085...............................................       2070-0012
721.10086...............................................       2070-0012
721.10087...............................................       2070-0012
721.10089...............................................       2070-0012
721.10090...............................................       2070-0012
721.10091...............................................       2070-0012
721.10092...............................................       2070-0012
721.10093...............................................       2070-0012
721.10094...............................................       2070-0012
721.10095...............................................       2070-0012
721.10096...............................................       2070-0012
721.10097...............................................       2070-0012
721.10098...............................................       2070-0012
721.10099...............................................       2070-0012
721.10100...............................................       2070-0012
721.10101...............................................       2070-0012
721.10102...............................................       2070-0012
721.10103...............................................       2070-0012
721.10104...............................................       2070-0012
721.10105...............................................       2070-0012
721.10106...............................................       2070-0012
721.10107...............................................       2070-0012
721.10108...............................................       2070-0012
721.10109...............................................       2070-0012
721.10110...............................................       2070-0012
721.10111...............................................       2070-0012
721.10112...............................................       2070-0012
721.10113...............................................       2070-0012
721.10114...............................................       2070-0012
721.10115...............................................       2070-0012
721.10116...............................................       2070-0012
721.10117...............................................       2070-0012
721.10118...............................................       2070-0012
721.10119...............................................       2070-0012
721.10120...............................................       2070-0012
721.10121...............................................       2070-0012
721.10122...............................................       2070-0012
721.10123...............................................       2070-0012
721.10124...............................................       2070-0012
721.10125...............................................       2070-0012
721.10126...............................................       2070-0012
721.10127...............................................       2070-0012
721.10128...............................................       2070-0012
721.10129...............................................       2070-0012
721.10130...............................................       2070-0012
721.10131...............................................       2070-0012
721.10132...............................................       2070-0012
721.10133...............................................       2070-0012
721.10134...............................................       2070-0012
721.10135...............................................       2070-0012
721.10136...............................................       2070-0012
721.10137...............................................       2070-0012
721.10138...............................................       2070-0012
721.10139...............................................       2070-0012

[[Page 162]]

 
721.10140...............................................       2070-0012
721.10141...............................................       2070-0012
721.10142...............................................       2070-0012
721.10143...............................................       2070-0012
721.10144...............................................       2070-0012
721.10145...............................................       2070-0012
721.10146...............................................       2070-0012
721.10147...............................................       2070-0012
721.10148...............................................       2070-0012
721.10149...............................................       2070-0012
721.10150...............................................       2070-0012
721.10151...............................................       2070-0012
721.10152...............................................       2070-0012
721.10153...............................................       2070-0012
721.10154...............................................       2070-0012
721.10157...............................................       2070-0012
721.10158...............................................       2070-0012
721.10159...............................................       2070-0012
721.10160...............................................       2070-0012
721.10161...............................................       2070-0012
721.10162...............................................       2070-0012
721.10163...............................................       2070-0012
721.10164...............................................       2070-0012
721.10165...............................................       2070-0012
721.10166...............................................       2070-0012
721.10167...............................................       2070-0012
721.10168...............................................       2070-0012
721.10169...............................................       2070-0012
721.10170...............................................       2070-0012
721.10171...............................................       2070-0012
721.10172...............................................       2070-0012
721.10173...............................................       2070-0012
721.10174...............................................       2070-0012
721.10175...............................................       2070-0012
721.10176...............................................       2070-0012
721.10177...............................................       2070-0012
721.10178...............................................       2070-0012
721.10179...............................................       2070-0012
721.10180...............................................       2070-0012
721.10181...............................................       2070-0012
------------------------------------------------------------------------
                 Premanufacture Notification Exemptions
------------------------------------------------------------------------
Part 723................................................       2070-0012
------------------------------------------------------------------------
     Reporting Requirements and Review Processes for Microorganisms
------------------------------------------------------------------------
Part 725................................................       2060-0012
------------------------------------------------------------------------
Lead-Based Paint Poisioning Prevention in Certain Residential Structures
------------------------------------------------------------------------
Part 745, subpart E.....................................       2070-0158
Part 745, subpart F.....................................       2070-0151
Part 745, subpart L.....................................       2070-0155
Part 745, subpart Q.....................................       2070-0155
------------------------------------------------------------------------
                        Water Treatment Chemicals
------------------------------------------------------------------------
Part 749................................................       2060-0193
------------------------------------------------------------------------
Polychlorinated Biphenyls (PCBs) Manufacturing, Processing, Distribution
                    in Commerce, and Use Prohibitions
------------------------------------------------------------------------
Part 761................................................       2060-0112
------------------------------------------------------------------------
                                Asbestos
------------------------------------------------------------------------
Part 763, subpart E.....................................       2070-0091
Part 763, subpart G.....................................       2070-0072
------------------------------------------------------------------------
                    Dibenzo-para-dioxin/Dibenzofurans
------------------------------------------------------------------------
766.35(b)(1)............................................       2070-0054
766.35(b)(2)............................................       2070-0054
766.35(b)(3)............................................       2070-0017
766.35(b)(4)(iii).......................................       2070-0054
766.35(c)(1)(i).........................................       2070-0054
766.35(c)(1)(ii)........................................       2070-0054
766.35(c)(1)(iii).......................................       2070-0017
766.38..................................................       2070-0054
------------------------------------------------------------------------
     Procedures Governing Testing Consent Agreements and Test Rules
------------------------------------------------------------------------
Part 790................................................       2060-0033
                   Good Laboratory Practice Standards
------------------------------------------------------------------------
Part 792................................................      2070-0004,
                                                              2070-0017,
                                                              2070-0033,
                                                              2070-0054,
                                                               2070-0067
------------------------------------------------------------------------
                       Provisional Test Guidelines
------------------------------------------------------------------------
795.232.................................................       2070-0033
------------------------------------------------------------------------
    Identification of Specific Chemical Substance and Mixture Testing
                              Requirements
------------------------------------------------------------------------
Part 799................................................       2060-0033
------------------------------------------------------------------------
       Fees for Engine, Vehicle, and Equipment Compliance Programs
------------------------------------------------------------------------
1027.140................................................      2060-0104,
                                                               2060-0545
------------------------------------------------------------------------
                  Control of Emissions from Locomotives
------------------------------------------------------------------------
1033.825................................................       2060-0287
------------------------------------------------------------------------
  Control of Emissions from New and In-use Nonroad Compression-Ignition
                                 Engines
------------------------------------------------------------------------
1039.825................................................       2060-0287
------------------------------------------------------------------------
  Control of Emissions From New and In-use Marine Compression-ignition
                           Engines and Vessels
------------------------------------------------------------------------
1042.825................................................       2060-0827
------------------------------------------------------------------------
   Control of Emissions from Spark-ignition Propulsion Marine Engines
------------------------------------------------------------------------
1045.825................................................       2060-0321
------------------------------------------------------------------------
   Control of Emissions From New, Large Nonroad Spark-Ignition Engines
------------------------------------------------------------------------
1048.825................................................       2060-0338
------------------------------------------------------------------------
       Control of Emissions from Recreational Engines and Vehicles
------------------------------------------------------------------------
1051.825................................................       2060-0338
------------------------------------------------------------------------
 Control of Emissions from New, Small Nonroad Spark-ignition Engines and
                                Equipment
------------------------------------------------------------------------
1054.825................................................       2060-0338
------------------------------------------------------------------------

[[Page 163]]

 
    Control of Evaporative Emissions from New and In-use Nonroad and
                          Stationary Equipment
------------------------------------------------------------------------
1060.825................................................      2060-0321,
                                                               2060-0338
------------------------------------------------------------------------
           General Compliance Provisions for Nonroad Programs
------------------------------------------------------------------------
1068.5..................................................       2040-0460
1068.25.................................................       2040-0460
1068.27.................................................       2040-0460
1068.120................................................       2040-0460
1068.201-260............................................       2040-0460
1068.301-355............................................       2040-0460
1068.450................................................       2040-0460
1068.455................................................       2040-0460
1068.501................................................       2040-0460
1068.525................................................       2040-0460
1068.530................................................       2040-0460
------------------------------------------------------------------------
        Distribution of Off-Site Consequence Analysis Information
------------------------------------------------------------------------
1400.3..................................................       2050-0172
1400.4..................................................       2050-0172
1400.6..................................................       2050-0172
1400.9..................................................       2050-0172
------------------------------------------------------------------------
  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, which appears in the Finding Aids 
section of the printed volume and on GPO Access.

    Editorial Notes: 1. At 65 FR 76745, Dec. 7, 2000, the table in Sec. 
9.1 was amended, but amendments could not be incorporated because of 
inaccurate amendatory instructions.

    2. At 71 FR 767, Jan. 5, 2006, the table was amended under the 
heading ``National Primary Drinking Water Regulations Implementation'' 
by removing the entry for Sec. 142.15(c); however, the amendment could 
not be incorporated because that entry does not exist.

    Effective Date Note: At 75 FR 29431, May 26, 2010, the table in 
Sec. 9.1 was amended by removing under the undesignated center heading 
``Significant New Uses of Chemical Substances'' Sec. 721.5995, 
effective July 26, 2010.

    Effective Date Note: At 75 FR 35986, June 24, 2010, the table in 
Sec. 9.1 was amended by adding the following sections in numerical 
order under the undesignated center heading ``Significant New Uses of 
Chemical Substances'', effective Aug. 23, 2010. For the convenience of 
the user, the added text is set forth as follows:



Sec. 9.1  OMB approvals under the Paperwork Reduction Act.

                                * * * * *

------------------------------------------------------------------------
                   40 CFR citation                      OMB control No.
------------------------------------------------------------------------
                                * * * * *
 
------------------------------------------------------------------------
               Significant New Uses of Chemical Substances
------------------------------------------------------------------------
                                * * * * *
721.10184............................................          2070-0012
721.10185............................................          2070-0012
721.10186............................................          2070-0012
721.10187............................................          2070-0012
721.10188............................................          2070-0012
721.10189............................................          2070-0012
721.10190............................................          2070-0012
721.10191............................................          2070-0012
721.10192............................................          2070-0012
721.10193............................................          2070-0012
721.10194............................................          2070-0012
721.10195............................................          2070-0012
721.10196............................................          2070-0012
721.10197............................................          2070-0012
721.10198............................................          2070-0012
721.10199............................................          2070-0012
721.10200............................................          2070-0012
                                * * * * *
------------------------------------------------------------------------

                                * * * * *



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.


[[Page 164]]


    Authority: Sec. 1, 80 Stat. 306; 28 U.S.C. 2672; 28 CFR part 14.

    Source: 38 FR 16868, June 27, 1973, unless otherwise noted.



                            Subpart A_General



Sec. 10.1  Scope of regulations.

    The regulations in this part apply only to claims asserted under the 
Federal Tort Claims Act, as amended, 28 U.S.C. 2671-2680, for money 
damages against the United States because of damage to or loss of 
property or personal injury or death, caused by the negligent or 
wrongful act or omission of any employee of the Environmental Protection 
Agency (EPA) while acting within the scope of his/her employment.

[51 FR 25832, July 16, 1986]



                          Subpart B_Procedures



Sec. 10.2  Administrative claim; when presented; place of filing.

    (a) For purpose of the regulations in this part, a claim shall be 
deemed to have been presented when the Environmental Protection Agency 
receives, at a place designated in paragraph (c) of this section, an 
executed Standard Form 95 or other written notification of an incident 
accompanied by a claim for money damages in a sum certain for damage to 
or loss of property, for personal injury, or for death, alleged to have 
occurred by reason of the incident. A claim which should have been 
presented to EPA, but which was mistakenly addressed to or filed with 
another Federal agency, shall be deemed to be presented to EPA as of the 
date that the claim is received by EPA. A claim mistakenly addressed to 
or filed with EPA shall forthwith be transferred to the appropriate 
Federal agency, if ascertainable, or returned to the claimant.
    (b) A claim presented in compliance with paragraph (a) of this 
section may be amended by the claimant at any time prior to final action 
by the Administrator, or his designee, or prior to the exercise of the 
claimant's option to bring suit under 28 U.S.C. 2675(a). Amendments 
shall be submitted in writing and signed by the claimant or his duly 
authorized agent or legal representative. Upon the timely filing of an 
amendment to a pending claim, EPA shall have 6 months in which to make a 
final disposition of the claim as amended and the claimant's option 
under 28 U.S.C. 2675(a) shall not accrue until 6 months after the filing 
of an amendment.
    (c) Forms may be obtained and claims may be filed with the EPA 
office having jurisdiction over the employee involved in the accident or 
incident, or with the EPA Claims Officer, Office of General Counsel 
(2311), 1200 Pennsylvania Ave., NW., 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

[[Page 165]]

agent, executor, administrator, parent, guardian, or other 
representative.



Sec. 10.4  Evidence to be submitted.

    (a) Death. In support of a claim based on death, the claimant may be 
required to submit the following evidence or information:
    (1) An authenticated death certificate or other competent evidence 
showing cause of death, date of death, and age of the decedent.
    (2) Decedent's employment or occupation at time of death, including 
his monthly or yearly salary or earnings (if any), and the duration of 
his last employment or occupation.
    (3) Full names, addresses, birth dates, kinship, and marital status 
of the decedent's survivors, including identification of those survivors 
who were dependent for support upon the decedent at the time of his 
death.
    (4) Degree of support afforded by the decendent to each survivor 
dependent upon him for support at the time of his death.
    (5) Decedent's general physical and mental condition before death.
    (6) Itemized bills for medical and burial expenses incurred by 
reason of the incident causing death, or itemized receipts of payments 
for such expenses.
    (7) If damages for pain and suffering prior to death are claimed, a 
physician's detailed statement specifying the injuries suffered, 
duration of pain and suffering, any drugs administered for pain and the 
decedent's physical condition in the interval between injury and death.
    (8) Any other evidence or information which may have a bearing on 
either the responsibility of the United States for the death or the 
damages claimed.
    (b) Personal Injury. In support of a claim for personal injury, 
including pain and suffering, the claimant may be required to submit the 
following evidence or information:
    (1) A written report by his attending physician or dentist setting 
forth the nature and extent of the injury, nature and extent of 
treatment, any degree of temporary or permanent disability, the 
prognosis, period of hospitalization, and any diminished earning 
capacity. In addition, the claimant may be required to submit to a 
physical or mental examination by a physician employed or designated by 
EPA. A copy of the report of the examining physician shall be made 
available to the claimant upon the claimant's written request provided 
that the claimant has, upon request, furnished the report referred to in 
the first sentence of this subparagraph and has made or agrees in 
writing to make available to EPA any other physician's reports 
previously or thereafter made of the physical or mental condition which 
is the subject matter of his claim.
    (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

[[Page 166]]

for the injury to or loss of property or for the damage claimed.
    (d) Time limit. All evidence required to be submitted by this 
section shall be furnished by the claimant within a reasonable time. 
Failure of a claimant to furnish evidence necessary to a determination 
of his claim within three months after a request therefor has been 
mailed to his last known address may be deemed an abandonment of the 
claim. The claim may be thereupon disallowed.



Sec. 10.5  Investigation, examination, and determination of claims.

    The EPA Claims Officer adjusts, determines, compromises and settles 
all administrative tort claims filed with EPA. In carrying out these 
functions, the EPA Claims Officer makes such investigations as are 
necessary for a determination of the validity of the claim. The decision 
of the EPA Claims Officer is a final agency decision of purposes of 28 
U.S.C. 2675.

[51 FR 25832, July 16, 1986]



Sec. 10.6  Final denial of claim.

    (a) Final denial of an administrative claim shall be in writing and 
sent to the claimant, his attorney, or legal representative by certified 
or registered mail. The notification of final denial may include a 
statement of the reasons for the denial and shall include a statement 
that, if the claimant is dissatisfied with EPA's action, he may file 
suit in an appropriate U.S. District Court not later than 6 months after 
the date of mailing of the notification.
    (b) Prior to the commencement of suit and prior to the expiration of 
the 6-month period after the date of mailing by certified or registered 
mail of notice of final denial of the claim as provided in 28 U.S.C. 
2401(b), a claimant, his duly authorized agent, or legal representative, 
may file a written request with the EPA for reconsideration of a final 
denial of a claim under paragraph (a) of this section. Upon the timely 
filing of a request for reconsideration, EPA shall have 6 months from 
the date of filing in which to make a final disposition of the claim and 
the claimant's option under 28 U.S.C. 2675(a) to bring suit shall not 
accrue until 6 months after the filing of a request for reconsideration. 
Final action on a request for reconsideration shall be effected in 
accordance with the provisions of paragraph (a) of this section.



Sec. 10.7  Payment of approved claim.

    (a) Upon allowance of his claim, claimant or his duly authorized 
agent shall sign the voucher for payment, Standard Form 1145, before 
payment is made.
    (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

[[Page 167]]

General or his designee. For the purposes of this paragraph, a principal 
claim and any derivative or subrogated claim shall be treated as a 
single claim.
    (b) An administrative claim may be adjusted, determined, compromised 
or settled hereunder only after consultation with the Department of 
Justice when, in the opinion of the Environmental Protection Agency:
    (1) A new precedent or a new point of law is involved; or
    (2) A question of policy is or may be involved; or
    (3) The United States is or may be entitled to indemnity or 
contribution from a third party and the Agency is unable to adjust the 
third party claim; or
    (4) The compromise of a particular claim, as a practical matter, 
will or may control the disposition of a related claim in which the 
amount to be paid may exceed $25,000.
    (c) An administrative claim may be adjusted, determined, 
compromised, or settled by EPA hereunder only after consultation with 
the Department of Justice when EPA is informed or is otherwise aware 
that the United States or an employee, agent, or cost-plus contractor of 
the United States is involved in litigation based on a claim arising out 
of the same incident or transaction.



Sec. 10.11  Relationship to other agency regulations.

    The regulations in this part supplement the Attorney General's 
regulations in part 14 of chapter 1 of title 28, CFR, as amended. Those 
regulations, including subsequent amendments thereto, and the 
regulations in this part apply to the consideration by the Environmental 
Protection Agency of administrative claims under the Federal Tort Claims 
Act.

[38 FR 16868, June 27, 1973, as amended at 51 FR 25832, July 16, 1986]



PART 11_SECURITY CLASSIFICATION REGULATIONS PURSUANT TO EXECUTIVE ORDER 11652--Table of Contents



Sec.
11.1 Purpose.
11.2 Background.
11.3 Responsibilities.
11.4 Definitions.
11.5 Procedures.
11.6 Access by historical researchers and former Government officials.

    Authority: Executive Order 11652 (37 FR 5209, March 10, 1972) and 
the National Security Directive of May 17, 1972 (37 FR 10053, May 19, 
1972).

    Source: 37 FR 23541, Nov. 4, 1972, unless otherwise noted.



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

[[Page 168]]

no longer required. If the committee determines that continued 
classification is required under section 5(B) of Executive Order 11652, 
it shall promptly so notify the requester and advise him that he may 
appeal the denial to the Interagency Classification Review Committee.
    (b) Director, Security and Inspection Division, Office of 
Administration: The Director, Security and Inspection Division, is 
responsible for the overall management and direction of a program 
designed to assure the proper handling and protection of classified 
information, and that classified information in the Agency's possession 
bears the appropriate classification markings. He also will assure that 
the program operates in accordance with the policy established herein, 
and will serve as Secretary of the Classification and Declassification 
Committee.
    (c) Assistant Administrators, Regional Administrators, Heads of 
Staff Offices, Directors of National Environmental Research Centers are 
responsible for designating an official within their respective areas 
who shall be responsible for:
    (1) Serving as that area's liaison with the Director, Security and 
Inspection Division, for questions or suggestions concerning security 
classification matters.
    (2) Reviewing and approving, as the representative of the 
contracting offices, the DD Form 254, Contract Security Classification 
Specification, issued to contractors.
    (d) Employees; (1) Those employees generating documents 
incorporating classified information properly originated by other 
agencies of the Federal Government are responsible for assuring that the 
documents are marked in a manner consistent with security classification 
assignments.
    (2) Those employees preparing information for public release are 
responsible for assuring that such information is reviewed to eliminate 
classified information.
    (3) All employees are responsible for bringing to the attention of 
the Director, Security and Inspection Division, any security 
classification problems needing resolution.



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.

[[Page 169]]

    (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 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.

[[Page 170]]

    (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 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

[[Page 171]]

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.



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--

[[Page 172]]

    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 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

[[Page 173]]

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, 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.



Sec. Sec. 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.



Sec. Sec. 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

[[Page 174]]

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 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.



Sec. Sec. 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.



Sec. Sec. 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--

[[Page 175]]

    (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 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,

[[Page 176]]

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.



Sec. Sec. 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.
    (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.



Sec. Sec. 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.

[[Page 177]]

    (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.
    (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.



Sec. Sec. 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.

[[Page 178]]

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 
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.

[[Page 179]]

    (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.



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

[[Page 180]]

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 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

[[Page 181]]

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 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,

[[Page 182]]

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 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

[[Page 183]]

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 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 
Sec. Sec. 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 Sec. Sec. 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

[[Page 184]]

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;
    (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.

[[Page 185]]

    (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.



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;

[[Page 186]]

    (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--
    (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 (2734R) , U.S. Environmental Protection Agency, 1200 
Pennsylvania Ave., NW., 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

[[Page 187]]

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 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.

[[Page 188]]

    (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 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 (2734R), U.S. Environmental Protection 
Agency, 1200 Pennsylvania Ave., NW., 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

[[Page 189]]

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.
    (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;

[[Page 190]]

    (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 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.

[[Page 191]]



                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 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

[[Page 192]]

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:
    (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.



        Subpart 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;

[[Page 193]]

    (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;
    (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.

[[Page 194]]



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.
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

[[Page 195]]

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 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 (2311), 1200 Pennsylvania Ave., NW., 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;

[[Page 196]]

    (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
    (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

[[Page 197]]

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 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 accessing, correcting, or amending personal records.
16.4 Times, places, and requirements for identification of individuals 
          making requests.
16.5 Request for correction or amendment of record.
16.6 Initial decision on request for access to, or correction or 
          amendment of, records.
16.7 The appeal process.
16.8 Special procedures: Medical Records.
16.9 Fees.
16.10 Penalties.
16.11 General exemptions.
16.12 Specific exemptions.

    Authority: 5 U.S.C. 301, 552a (as revised).

    Source: 71 FR 234, Jan. 4, 2006, unless otherwise noted.



Sec. 16.1  Purpose and scope.

    (a) This part implements the Privacy Act of 1974 (5 U.S.C. 552a) (PA 
or Act) by establishing Environmental Protection Agency (EPA or Agency) 
policies and procedures that permit individuals to obtain access to and 
request amendment or correction of information about themselves that is 
maintained in Agency systems of records. This part also establishes 
policies and procedures for administrative appeals of requests for 
access to, or correction or amendment of, records. This part does not 
expand or restrict any rights granted under the PA.
    (b) These procedures apply only to requests by individuals seeking 
their own records and only to records maintained by EPA. These 
procedures do not apply to those systems specifically exempt under 
Sec. Sec. 16.11 and 16.12 herein or to any government-wide systems 
maintained by other Federal agencies.
    (c) Privacy Act requests made by individuals for records about 
themselves and which are processed under this Part, will also be treated 
as FOIA requests and processed as appropriate under 40 CFR Part 2 to 
ensure full disclosure.



Sec. 16.2  Definitions.

    As used in this part:
    (a) The terms individual, maintain, record, and system of records 
have the same meanings as specified in 5 U.S.C. 552a.
    (b) EPA means the Environmental Protection Agency.

[[Page 198]]

    (c) Working days means calendar days excluding Saturdays, Sundays, 
and Federal holidays.



Sec. 16.3  Procedures for accessing, correcting, or amending personal records.

    (a) Any individual who--
    (1) Wishes to be informed whether a system of records maintained by 
EPA contains any record pertaining to him or her,
    (2) Seeks access to an EPA record about him or her that is 
maintained in an EPA PA system of records, including an accounting of 
any disclosures of that record; or
    (3) Seeks to amend or correct a record about him or her that is 
maintained in a system of records, may submit a written request to the 
EPA Privacy Act Officer, Environmental Protection Agency, Headquarters 
Freedom of Information Office, Office of Environmental Information (MC-
2822T), 1200 Pennsylvania Avenue, NW., Washington, DC 20460 or via the 
Agency's Privacy Act Web site at http://www.epa.gov/privacy or by fax, 
(202) 566-1639.
    (b) All requests for access to, or the correction or amendment of 
personal records should cite the Privacy Act of 1974 and reference the 
type of request being made (i.e., access, correction or amendment). 
Requests must include:
    (1) The name and signature of the individual making the request;
    (2) The name of the PA system of records (as set forth in EPA's 
Federal Register PA systems of records notices) to which the request 
relates; and
    (3) A statement whether a personal inspection of the records or a 
copy of them by mail is desired.
    (c) 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.
    (d) A requester who cannot determine which PA system of records to 
request may ask for assistance by writing to the Headquarters Freedom of 
Information Office, Attention: Privacy Act Officer, Environmental 
Protection Agency, (MC-2822T), 1200 Pennsylvania Avenue, NW., 
Washington, DC 20460 or via e-mail to http://www.epa.gov/privacy or by 
fax, (202) 566-1639.



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

    (a) If an individual requesting access under Sec. 16.3 asks for 
personal inspection of records, and if EPA grants the request, the 
individual may appear at the time and place specified in EPA's response 
or arrange another time with the appropriate Agency official.
    (b) Before conducting a personal inspection of his or her records, 
an individual must present sufficient identification (e.g., driver's 
license, employee identification card, social security card, or credit 
card) to establish that he or she is the subject of the records. EPA 
reserves the right to determine the adequacy of the identification. An 
individual who is unable to provide such identification described under 
paragraph (b) of this section will 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) An individual may have another person accompany him or her 
during inspection of the records, and the system manager may require the 
requesting individual to sign a statement authorizing disclosure of the 
record in the presence of that other person.
    (d) An individual may request a copy of the requested record.
    (e) No verification of identity will be required where the records 
sought have been determined to be publicly available under the Freedom 
of Information Act.



Sec. 16.5  Request for correction or amendment of record.

    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 a request in writing to the Freedom of Information Office, or 
via the Agency's Privacy Act Web site at http://www.epa.gov/privacy or 
by fax, (202) 566-

[[Page 199]]

1639. The following information must be provided:
    (a) The name and signature of the individual making the request;
    (b) The name of the system of records;
    (c) A description of the information sought to be corrected or 
amended and the specific reasons for the correction or amendment; and
    (d) Sufficient documentation of identity as described under Sec. 
16.4(b). (An individual who is unable to provide the identification 
under Sec. 16.4(b) or is submitting a request on line, must provide 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).



Sec. 16.6  Initial decision on request for access to, or correction or amendment of, records.

    (a) Within 10 working days of receipt of a request, the Agency 
Privacy Act Officer will send a letter to the requester acknowledging 
receipt of the request and promptly forward it to the manager of the 
system of records where the requested record is located with 
instructions to:
    (1) Make a determination whether to permit access to the record, or 
to make the requested correction or amendment;
    (2) Inform the requester of that determination and, if the 
determination is to deny access to the record, or to not correct or 
amend it, the reason for that decision and the procedures for appeal.
    (b) If the system manager is unable to decide whether to grant a 
request of access to, or amendment or correction of a record within 20 
working days of the Agency's receipt of the request, he or she will 
inform the requester reasons for the delay, and an estimate of when a 
decision will be made.
    (c) In reviewing a request for the correction or amendment of a 
record, the system manager will be guided by the requirements of 5 
U.S.C. 552a(e)(1) and (e)(5).
    (d) A system manager who decides to grant all or any portion of a 
request to correct or amend a record will inform any person or entity 
outside EPA that was provided the record of the correction or amendment, 
and, where there is an accounting of that disclosure, make a note of the 
action taken in the accounting.
    (e) 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 or 
designee will decide whether any information will nonetheless be made 
available. If the decision is to deny access, the reason for denial and 
the appeal procedure will be given to the requester.
    (f) A person whose request for access is initially denied may appeal 
that denial to EPA's Privacy Act Officer. EPA's General Counsel will 
decide the appeal within 30 working days. If an appeal concerns a system 
of records maintained by the Office of Inspector General, the Privacy 
Act Officer will forward the appeal to the Counsel to the Inspector 
General who will decide on the appeal in accordance with Sec. 16.7. The 
Counsel to the Inspector General will carry out all responsibilities 
with respect to the appeal that are otherwise assigned to EPA's General 
Counsel under Sec. 16.7.
    (g) If the appeal under Sec. 16.7(e)(6) is denied, the requester 
will be notified of the right to seek judicial review in accordance with 
subsection (g) of the Privacy Act.



Sec. 16.7  The appeal process.

    (a) An individual whose request for access to, or correction or 
amendment of a record is initially denied and who wishes to appeal that 
denial may do so by sending a letter to EPA's Privacy Act Officer within 
30 days of the receipt of the initial denial. The appeal must identify 
and restate the initial request. If an appeal concerns an adverse 
decision by the Office of Inspector General, the Privacy Act Officer 
will forward it to the Counsel to the Inspector General, or his or her 
designee, who will then act on the appeal. The Counsel to the Inspector 
General, or his or her designee, will carry out all responsibilities 
with respect to PA appeals that are otherwise assigned to

[[Page 200]]

EPA's General Counsel under this section; however, if the Counsel to the 
Inspector General has signed the initial adverse determination, the 
General Counsel, or his or her designee, will act on the appeal.
    (b) EPA's General Counsel, or his or her designee, will make final 
decisions on PA appeals within 30 working days from the date on which 
the appeal is properly received in the Office of General Counsel, 
unless, for good cause shown, the 30-day period is extended and the 
requester is notified of the extension in writing. Such extensions will 
be utilized only in exceptional circumstances.
    (c) In conducting PA appeals, the General Counsel, or his or her 
designee, will be guided by the requirements of 5 U.S.C. 552a(e)(1) and 
(e)(5).
    (d) If an appeal is granted in whole or in part, the requester will 
be notified, in writing, and access to the record will be granted, or 
the correction or amendment of the record will be made. In all such 
cases, the Privacy Act Officer will ensure that Sec. 16.7(d) is 
complied with.
    (e) If the General Counsel or the Counsel to the Inspector General 
decides not to grant all or any portion of an appeal, the requester will 
be informed:
    (1) Of the decision 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. 16.8  Special procedures: Medical Records.

    Should EPA receive a request for access to medical records 
(including psychological records) disclosure of which the system manager 
decides would be harmful to the individual to whom 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. 16.9  Fees.

    No fees will be charged for providing the first copy of a record or 
any portion of a record 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 21.07.



Sec. 16.10  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. 16.11  General exemptions.

    (a) Systems of records affected. EPA-17 OCEFT Criminal Investigative 
Index and Files.
    EPA-40 Inspector General's Operation and Reporting (IGOR) System 
Investigative Files.
    EPA-46 OCEFT/NEIC Master Tracking System.
    (b) Authority. Under 5 U.S.C. 552a(j)(2), the head of any Federal 
agency may by rule exempt any PA system of records within the agency 
from certain provisions of the Act, 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

[[Page 201]]

    (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) Qualification for exemption. (1) The Agency's system of records, 
EPA-17 system of records is maintained by the Criminal Investigation 
Division, Office of Criminal Enforcement, Forensics, and Training, a 
component of EPA which performs as its principal function activities 
pertaining to the enforcement of criminal laws. Authority for the 
Division's criminal law enforcement activities comes from Powers of 
Environmental Protection Agency, 18 U.S.C. 3063; Comprehensive 
Environmental Response, Compensation and Liability Act, 42 U.S.C. 9603; 
Resource Conservation and Recovery Act, 42 U.S.C. 6928; Federal Water 
Pollution Control Act, 33 U.S.C. 1319, 1321; Toxic Substances Control 
Act, 15 U.S.C. 2614, 2615; Clean Air Act, 42 U.S.C. 7413; Federal 
Insecticide, Fungicide and Rodenticide Act, 7 U.S.C. 136j, 136l; Safe 
Drinking Water Act, 42 U.S.C. 300h-2, 300i-1; Noise Control Act of 1972, 
42 U.S.C. 4912; Emergency Planning and Community Right-To-Know Act of 
1986, 42 U.S.C. 11045; and the Marine Protection, Research, and 
Sanctuaries Act of 1972, 33 U.S.C. 1415.
    (2) The Agency's system of records, EPA-40 system of records is 
maintained by the Office of Investigations of the Office of Inspector 
General (OIG), a component of EPA that 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, as 
amended, 5 U.S.C. app. 3.
    (3) The Agency's system of records, EPA-46 system of records is 
maintained by the National Enforcement Investigations Center, Office of 
Criminal Enforcement, Forensics, and Training, 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 comes from Reorganization Plan No. 3 of 1970 (5 U.S.C. app. 
1), effective December 2, 1970; Powers of Environmental Protection 
Agency, 18 U.S.C. 3063; Comprehensive Environmental Response 
Compensation and Liability Act , 42 U.S.C. 9603; Resource Conservation 
and Recovery Act, 42 U.S.C. 6928; Federal Water Pollution Control Act, 
33 U.S.C. 1319, 1321; Toxic Substances Control Act, 15 U.S.C. 2614, 
2615; Clean Air Act, 42 U.S.C. 7413; Federal Insecticide, Fungicide and 
Rodenticide Act, 7 U.S.C. 136j, 136l; Safe Drinking Water Act, 42 U.S.C. 
300h-2, 300i-1; Emergency Planning and Community Right-To-Know Act of 
1986, 42 U.S.C. 11045; and the Marine Protection, Research, and 
Sanctuaries Act of 1972, 33 U.S.C. 1415.
    (d) Scope of Exemption. EPA systems of records 17, 40, and 46 are 
exempted from the following provisions of the PA: 5 U.S.C. 552a(c)(3) 
and (4); (d); (e)(1), (2), (3), (4)(G), and (H), (5), and (8); (f)(2) 
through (5); and (g). To the extent that the exemption for EPA systems 
of records 17, 40, and 46 claimed under 5 U.S.C. 552a(j)(2) of the Act 
is held to be invalid, then an exemption under 5 U.S.C. 552a(k)(2) is 
claimed for these systems of records from (c)(3), (d), (e)(1), 
(e)(4)(G), (H), and (f)(2) through (5). For Agency's system of records, 
EPA system 40, an exemption is separately claimed under 5 U.S.C. 
552(k)(5) from (c)(3), (d), (e)(1), (e)(4)(G), (4)(H), and (f)(2) 
through (5).
    (e) Reasons for exemption. EPA systems of records 17, 40, and 46 are 
exempted from the above provisions of the PA 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 upon 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,

[[Page 202]]

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 or her, 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 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

[[Page 203]]

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 or her, how to gain access to such a record, and how 
to contest its content. Since EPA is claiming that these systems of 
records are exempted from parts of subsection (f)(2) through (5) 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, the Agency 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 the individual's 
records in these systems of records.
    (8) 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 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 that 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.
    (9) 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.
    (10) 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 or her. 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)(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 these systems of records. These procedures are 
described elsewhere in this part.
    (11) 5 U.S.C. 552a(g) provides for civil remedies if an agency fails 
to comply

[[Page 204]]

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.
    (f) Exempt records provided by another agency. Individuals may not 
have access to records maintained by the EPA if such records were 
provided by another Federal 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.
    (g) Exempt records included in a nonexempt system of records. All 
records obtained from a system of records that 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.



Sec. 16.12  Specific exemptions.

    (a) Exemption under 5 U.S.C. 552a(k)(2)--(1) Systems of records 
affected. EPA-17 OCEFT Criminal Investigative Index and Files.
    EPA-21 External Compliance Program Discrimination Complaint Files.
    EPA-30 OIG Hotline Allegation System.
    EPA-40 Inspector General's Operation and Reporting (IGOR) System 
Investigative Files.
    EPA-41 Inspector General's Operation and Reporting (IGOR) System 
Personnel Security Files.
    EPA-46 OCEFT/NEIC Master Tracking System.
    (2) Authority. Under 5 U.S.C. 552a(k)(2), the head of any Federal 
agency may by rule exempt any PA system of records within the agency 
from certain provisions of the Act, if the system of records is 
investigatory material compiled for law enforcement purposes, other than 
material within the scope of subsection (j)(2) of the Act. However, if 
any individual is denied any right, privilege, or benefit that the 
individual would otherwise be entitled to by Federal law, or for which 
he or she would otherwise be eligible, as a result of the maintenance of 
the material, the material must be provided, except to the extent that 
the disclosure would reveal the identify of a confidential source.
    (3) Qualification for exemption. All of the affected PA systems of 
records contain investigatory material compiled for law enforcement 
purposes, material which is not within the scope of subsection (j)(2) of 
the Act.
    (4) Scope of exemption. (i) EPA systems of records 17, 30, 40, 41, 
and 46 are exempted from the following provisions of the PA, 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) and (4)(H); and (f)(2) through (5). EPA system of 
records 21 is exempt from the following provisions of the PA, subject to 
the limitations set forth in 5 U.S.C. 552a(k)(2): 5 U.S.C. 552a(c)(3), 
(d), and (e)(1).
    (ii) An individual is ``denied any right, privilege, or benefit that 
he or she would otherwise be entitled by Federal law, or for which he or 
she would otherwise be eligible, as a result of the maintenance of such 
material,'' only if EPA actually uses the material in denying or 
proposing to deny such right, privilege, or benefit.
    (iii) EPA-17 OCEFT Criminal Investigative Index and Files, EPA-40 
Inspector General's Operation and Reporting (IGOR) System Investigative 
Files, and EPA-46 OCEFT/NEIC Master Tracking System are exempted under 5 
U.S.C. 552a(j)(2), and these systems are exempted under 5 U.S.C. 
552a(k)(2) only to the extent that the (j)(2) exemption is held to be 
invalid.
    (5) Reasons for exemption. EPA systems of records 17, 21, 30, 40, 
41, and 46 are exempted from the above provisions of the PA for the 
following reasons:

[[Page 205]]

    (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 or her 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 or her, to request amendment of 
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 affected PA 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 or 
her 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 by statute or 
by Executive order of the President. Maintaining records in this way 
could impair investigations and law enforcement efforts, because it is 
not always possible to detect the relevance or necessity of specific 
information in the early stages of an investigation. The relevance and 
necessity of maintaining information are often questions of judgment and 
timing, and it is only after that information is evaluated that its 
relevance and necessity can be established. In addition, during the 
course of an 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 an investigation, the investigator may obtain 
information concerning the violation of laws other than those within the 
scope of the agency's 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 upon request if the system of records contains a record 
pertaining to him or her, how the individual can gain access to the 
record, and how to contest its content. Since EPA is claiming that these 
systems of records are exempt from subsection (f)(2) through (5) 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

[[Page 206]]

(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(f)(1) requires an agency to promulgate rules which 
shall establish procedures whereby an individual can be notified in 
response to his or her request if any system of records named by the 
individual contains a record pertaining to him or her. 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)(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 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. EPA 36 Research Grant, Cooperative Agreement, and Fellowship 
Application Files.
    EPA 40 Inspector General's Operation and Reporting (IGOR) System 
Investigative Files.
    EPA 41 Inspector General's Operation and Reporting (IGOR) System 
Personnel Security Files.
    (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 PA, 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) Qualification for exemption. These systems contain investigatory 
material compiled solely for the purpose of determining suitability, 
eligibility, or qualifications for Federal civilian employment, military 
service, Federal contracts, or access to classified information.
    (4) Scope of exemption. (i) EPA 36 is exempted from 5 U.S.C. 
552a(c)(3) and (d). EPA 40 and 41 are exempted from the following 
provisions of the PA, 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 (f)(2) through (5).
    (ii) To the extent that records in EPA 40 and 41 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. EPA 40 is also exempt 
under 5 U.S.C. 552a(j)(2) of the Act.
    (5) Reasons for exemption. EPA 36, 40, and 41 are exempted from the 
above provisions of the PA 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 or her 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 ability 
of the EPA to compile, in the future, 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 or her, to request amendment to 
such

[[Page 207]]

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 ability of the EPA to compile, in the 
future, 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 
upon request how to gain access to any record pertaining to him or her 
and how to 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 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(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 exempt to the extent that this system of 
records is exempt 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. EPA 41 Inspector General's Operation and Reporting (IGOR) 
System Personnel Security Files.
    (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.
    (3) Qualification for Exemption. EPA 41 may contain some records 
that bear a national defense/foreign policy classification of 
Confidential, Secret, or Top Secret.
    (4) Scope of exemption. To the extent that EPA 41 contains records 
provided by other Federal agencies that are specifically authorized 
under criteria established by Executive Order 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 
PA: 5 U.S.C. 552a(c)(3); (d); (e)(1), (4)(G)

[[Page 208]]

and (4)(H); and (f)(2) through (5) of the Act.
    (5) Reasons for exemption. EPA 41 is exempted from the above 
provisions of the PA 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 or her, 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 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 upon request if the system of records contains a record 
pertaining to him or her, how to gain access to such a record, and how 
to 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(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 or her. 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 exempt 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 or her records in 
this system of records. These procedures are described elsewhere in this 
part.
    (d) Exempt records provided by another Federal agency. Individuals 
may not have access to records maintained by the EPA if such records 
were provided by another Federal 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

[[Page 209]]

status even if such records are also included in a system of records for 
which a specific exemption has not been claimed.



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.
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));

[[Page 210]]

    (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 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,

[[Page 211]]

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.



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))

[[Page 212]]

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)).
    (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 descr