CFR 2021 Title40 Vol1

Title 40
Protection of Environment
Parts 1 to 49
Revised as of July 1, 2021
Containing a codification of documents

of general applicability and future effect
As of July 1, 2021
Published by the Office of the Federal Register

National Archives and Records Administration
as a Special Edition of the Federal Register
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Table of Contents
Page
Explanation ................................................................................................ v
Title 40:
Chapter I—Environmental Protection Agency ................................ 3
Finding Aids:
Table of CFR Titles and Chapters ....................................................... 797
Alphabetical List of Agencies Appearing in the CFR ......................... 817
List of CFR Sections Affected ............................................................. 827

iii
Cite this Code: CFR
To cite the regulations in

this volume use title,
part and section num-
ber. Thus, 40 CFR 1.1
refers to title 40, part 1,
section 1.
iv
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 agen-
cies 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 sub-
divided 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 deter-
mine 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, 2021), 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 Reg-
ister since the last revision of that volume of the Code. Source citations for
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Register and date of publication. Publication dates and effective dates are usu-
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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.
Many agencies have begun publishing numerous OMB control numbers as amend-
ments to existing regulations in the CFR. These OMB numbers are placed as
close as possible to the applicable recordkeeping or reporting requirements.
PAST PROVISIONS OF THE CODE
Provisions of the Code that are no longer in force and effect as of the revision
date stated on the cover of each volume are not carried. Code users may find
the text of provisions in effect on any given date in the past by using the appro-
priate List of CFR Sections Affected (LSA). For the convenience of the reader,
a ‘‘List of CFR Sections Affected’’ is published at the end of each CFR volume.
For changes to the Code prior to the LSA listings at the end of the volume,
consult previous annual editions of the LSA. For changes to the Code prior to
2001, consult the List of CFR Sections Affected compilations, published for 1949-
1963, 1964-1972, 1973-1985, and 1986-2000.
‘‘[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]’’ loca-
tion at any time. Occasionally ‘‘[Reserved]’’ is used editorially to indicate that
a portion of the CFR was left vacant and not dropped in 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 regu-
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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 pub-
lished 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
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CFR INDEXES AND TABULAR GUIDES
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volume, revised annually as of January 1, entitled CFR INDEX AND FINDING AIDS.
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lishing in the CFR are also included in this volume.
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vi
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 Reg-
ister.
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revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
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Code of Federal Regulations.
INQUIRIES
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Register and the Government Publishing Office. It is available at www.ecfr.gov.
OLIVER A. POTTS,
Director,
Office of the Federal Register
July 1, 2021.
vii
THIS TITLE
Title 40—PROTECTION OF ENVIRONMENT is composed of thirty-seven 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 (52.1019–52.2019), part 52 (52.2020–end of part
52), parts 53–59, part 60 (60.1–60.499), part 60 (60.500–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 72–79, part 80, part 81, parts 82–86, parts 87–
95, parts 96–99, 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 700–722, parts
723–789, parts 790–999, parts 1000–1059, and part 1060 to end. The contents of these
volumes represent all current regulations codified under this title of the CFR
as of July 1, 2021.
Chapter I—Environmental Protection Agency appears in all thirty-seven vol-

umes. OMB control numbers for title 40 appear in § 9.1 of this chapter.
Chapters IV–IX—Regulations issued by the Environmental Protection Agency

and Department of Justice, Council on Environmental Quality, Chemical Safety
and Hazard Investigation Board, Environmental Protection Agency and Depart-
ment of Defense; Uniform National Discharge Standards for Vessels of the Armed
Forces, Gulf Coast Ecosystem Restoration Council, and the Federal Permitting
Improvement Steering Council appear in volume thirty seven.
For this volume, Susannah C. Hurley was Chief Editor. The Code of Federal
Regulations publication program is under the direction of John Hyrum Martinez,
assisted by Stephen J. Frattini.
ix
Title 40—Protection of
Environment
(This book contains parts 1 to 49)
Part
CHAPTER I—Environmental Protection Agency ..................... 1

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 .................................................. 22
3 Cross-media electronic reporting ............................ 68
4 Uniform relocation assistance and real property
acquisition for Federal and federally assisted
programs .............................................................. 80
5 Nondiscrimination on the basis of sex in education
programs or activities receiving Federal finan-
cial assistance ...................................................... 80
6 Procedures for implementing the National Envi-
ronmental Policy Act and assessing the environ-
mental effects abroad of EPA actions .................. 96
7 Nondiscrimination in programs or activities re-
ceiving Federal assistance from the Environ-
mental Protection Agency ................................... 114
8 Environmental impact assessment of nongovern-
mental activities in Antarctica ........................... 130
9 OMB approvals under the Paperwork Reduction
Act ....................................................................... 138
10 Administrative claims under Federal Tort Claims
Act ....................................................................... 169
11 Security classification regulations pursuant to Ex-
ecutive Order 11652 ............................................... 173
12 Nondiscrimination on the basis of handicap in pro-
grams or activities conducted by the Environ-
mental Protection Agency ................................... 177
13 Claims collection standards .................................... 183
14 Employee personal property claims ........................ 199
16 Implementation of Privacy Act of 1974 ................... 203
17 Implementation of the Equal Access to Justice Act

in EPA administrative proceedings ..................... 215
40 CFR Ch. I (7–1–21 Edition)
Part Page
18 Environmental protection research fellowships and
special research consultants for environmental
protection ............................................................. 220
19 Adjustment of civil monetary penalties for infla-
tion ....................................................................... 223
20 Certification of facilities ........................................ 229
21 Small business ......................................................... 237
22 Consolidated rules of practice governing the ad-
ministrative assessment of civil penalties and
the revocation/termination or suspension of per-
mits ...................................................................... 246
23 Judicial review under EPA-administered statutes .. 273
24 Rules governing issuance of and administrative
hearings on interim status corrective action or-
ders ....................................................................... 275
25 Public participation in programs under the Re-
source Conservation and Recovery Act, the Safe
Drinking Water Act, and the Clean Water Act .... 283
26 Protection of human subjects ................................. 292
27 Program fraud civil remedies .................................. 330
29 Intergovernmental review of Environmental Pro-
tection Agency programs and activities .............. 347
30 [Reserved]
31 On-site civil inspection procedures ......................... 350
SUBCHAPTER B—GRANTS AND OTHER FEDERAL ASSISTANCE
33 Participation by disadvantaged business enter-

prises in United States Environmental Protec-
tion Agency programs .......................................... 352
34 New restrictions on lobbying .................................. 369
35 State and local assistance ....................................... 380
40 Research and demonstration grants ........................ 564
45 Training assistance ................................................. 573
46 Fellowships ............................................................. 575
47 National Environmental Education Act grants ...... 581
49 Indian Country: Air quality planning and manage-
ment ..................................................................... 582
SUBCHAPTER A—GENERAL
PART 1—STATEMENT OF ORGANI- tematic basis. Reorganization Plan 3 of

ZATION AND GENERAL INFOR- 1970 transferred to EPA a variety of re-
search, monitoring, standard setting,
MATION and enforcement activities related to
pollution abatement and control to
Subpart A—Introduction
provide for the treatment of the envi-
Sec. ronment as a single interrelated sys-
1.1 Creation and authority. tem. Complementary to these activi-
1.3 Purpose and functions. ties are the Agency’s coordination and
1.5 Organization and general information. support of research and antipollution
1.7 Location of principal offices.
activities carried out by State and
Subpart B—Headquarters local governments, private and public
groups, individuals, and educational in-
1.21 General. stitutions. EPA reinforces efforts
1.23 Office of the Administrator. among other Federal agencies with re-
1.25 Staff offices. spect to the impact of their operations
1.27 Offices of the Associate Administra- on the environment.
tors.
1.29 Office of Inspector General. § 1.5 Organization and general infor-
1.31 Office of General Counsel. mation.
1.33 Office of Administration and Resources
Management. (a) The U.S. Environmental Protec-
1.35 Office of Enforcement and Compliance tion Agency’s basic organization con-
Monitoring. sists of Headquarters and 10 Regional
1.37 Office of External Affairs. Offices. EPA Headquarters in Wash-
1.39 Office of Policy, Planning and Evalua- ington, DC maintains overall planning,
tion.
1.41 Office of Air and Radiation.
coordination and control of EPA pro-
1.43 Office of Chemical Safety and Pollution grams. Regional Administrators head
Prevention. the Regional Offices and are respon-
1.45 Office of Research and Development. sible directly to the Administrator for
1.47 Office of Land and Emergency Manage- the execution of the Agency’s programs
ment within the boundaries of their Regions.
1.49 Office of Water. (b) EPA’s Directives System contains
definitive statements of EPA’s organi-
Subpart C—Field Installations zation, policies, procedures, assign-
1.61 Regional Offices. ments of responsibility, and delega-
tions of authority. Copies are available
AUTHORITY: 5 U.S.C. 552; Reorganization
Plan No. 3 of 1970, 84 Stat. 2086 (July 9, 1970). for public inspection and copying at
the Management and Organization Di-
SOURCE: 50 FR 26721, June 28, 1985, unless vision, 1200 Pennsylvania Ave., NW.,
otherwise noted.
Washington, DC 20460. Information can
be obtained from the Office of Public
Subpart A—Introduction Affairs at all Regional Offices.
(c) EPA conducts procurement pursu-
§ 1.1 Creation and authority. ant to the Federal Property and Ad-
Reorganization Plan 3 of 1970, estab- ministrative Services Act, the Federal
lished the U.S. Environmental Protec- Procurement Regulations, and imple-
tion Agency (EPA) in the Executive menting EPA regulations.
branch as an independent Agency, ef-
fective December 2, 1970. § 1.7 Location of principal offices.
(a) The EPA Headquarters is in
§ 1.3 Purpose and functions. Washington, DC. The mailing address
The U.S. Environmental Protection is 1200 Pennsylvania Ave., NW., Wash-
Agency permits coordinated and effec- ington, DC 20460.
tive governmental action to assure the (b) The address of (and States served
protection of the environment by abat- by) the EPA Regional Offices (see § 1.61)
ing and controlling pollution on a sys- are:
§ 1.21 40 CFR Ch. I (7–1–21 Edition)
(1) Region I, U.S. Environmental Pro- Seattle, WA 98101. (Alaska, Idaho, Or-
tection Agency, 5 Post Office Square— egon, and Washington.)
Suite 100, Boston, MA 02109–3912. (Con-
[50 FR 26721, June 28, 1985, as amended at 62
necticut, Maine, Massachusetts, New FR 1833, Jan. 14, 1997; 75 FR 69349, Nov. 12,
Hampshire, Rhode Island, and 2010; 76 FR 49670, Aug. 11, 2011; 78 FR 37975,
Vermont.) June 25, 2013; 84 FR 44226, Aug. 23, 2019]
(2) Region II, U.S. Environmental
Protection Agency, Room 900, 26 Fed-
eral Plaza, New York, NY 10278. (New Subpart B—Headquarters
Jersey, New York, Puerto Rico, and the § 1.21 General.
Virgin Islands.)
(3) Region III, U.S. Environmental EPA Headquarters is comprised of:
Protection Agency, 841 Chestnut (a) The Office of the Administrator;
Street, Philadelphia, PA 19107. (Dela- (b) Two Associate Administrators
ware, Maryland, Pennsylvania, Vir- and four staff offices which advise the
ginia, West Virginia, and the District Administrator on cross-cutting Agency
of Columbia.) headquarters and regional issues and
(4) Region IV, U.S. Environmental conduct programs with respect to
Protection Agency, 345 Courtland EPA’s interface with other national
Street NE., Atlanta, GA 30365. (Ala- and international governmental orga-
bama, Florida, Georgia, Kentucky, nizations;
Mississippi, North Carolina, South (c) The Office of Inspector General;
Carolina, and Tennessee.) (d) The Office of General Counsel; and
(5) Region V, U.S. Environmental (e) Nine operational offices, each
Protection Agency, 77 West Jackson headed by an Assistant Administrator,
Boulevard, Chicago, IL 60604. (Illinois, responsible for carrying out EPA’s
Indiana, Michigan, Minnesota, Ohio major environmental and administra-
and Wisconsin.) tive programs.
(6) EPA Region 6, 1201 Elm Street,
Suite 500, Dallas, Texas 75270–2102. (Ar- § 1.23 Office of the Administrator.
kansas, Louisiana, New Mexico, Okla-
homa, and Texas.) The Environmental Protection Agen-
(7) Region 7, U.S. Environmental Pro- cy is headed by an Administrator who
tection Agency, 11201 Renner Boule- is appointed by the President, by and
vard, Lenexa, Kansas 66219. (Iowa, Kan- with the consent of the Senate. The
sas, Missouri, and Nebraska.) Administrator is responsible to the
(8) Region VIII, U.S. Environmental President for providing overall super-
Protection Agency, 999 18th street, One vision to the Agency, and is assisted by
Denver Place, Denver, CO 80202. (Colo- a Deputy Administrator also appointed
rado, Montana, North Dakota, South by the President, by and with the con-
Dakota, Utah, and Wyoming.) sent of the Senate. The Deputy Admin-
(9) Region IX, U.S. Environmental istrator assists the Administrator in
Protection Agency, 75 Hawthorne the discharge of Agency duties and re-
Street, San Francisco, California 94105. sponsibilities and serves as Acting Ad-
(Arizona, California, Hawaii, Nevada; ministrator in the absence of the Ad-
the territories of American Samoa and ministrator.
Guam; the Commonwealth of the
Northern Mariana Islands; the terri- § 1.25 Staff offices.
tories of Baker Island, Howland Island, (a) Office of Administrative Law
Jarvis Island, Johnston Atoll, Kingman Judges. The Office of Administrative
Reef, Midway Atoll, Palmyra Atoll, Law Judges, under the supervision of
and Wake Islands; and certain U.S. the Chief Administrative Law Judge, is
Government activities in the freely as- responsible for presiding over and con-
sociated states of the Republic of the ducting formal hearings, and issuance
Marshall Islands, the Federated States of initial decisions, if appropriate, in
of Micronesia, and the Republic of such proceedings. The Office provides
Palau.) supervision of the Administrative Law

(10) Region X, U.S. Environmental Judges, who operate as a component of
Protection Agency, 1200 Sixth Avenue, the Office of Administrative Law
Environmental Protection Agency § 1.25
Judges, in certain Agency Regional Of- Agency’s small and disadvantaged busi-
fices. The Office provides the Agency ness utilization responsibilities. The
Hearing Clerk. Office provides information and assist-
(b) Office of Civil Rights. The Office of ance to components of the Agency’s
Civil Rights, under the supervision of a field offices responsible for carrying
Director, serves as the principal ad- out related activities. The Office devel-
viser to the Administrator with respect ops and implements a program to pro-
to EPA’s civil rights programs. The Of- vide the maximum utilization of
fice develops policies, procedures, and women-owned business enterprises in
regulations to implement the Agency’s all aspects of EPA contract work; in
civil rights responsibilities, and pro- collaboration with the Procurement
vides direction to Regional and field and Contracts Management Division,
activities in the Office’s area of respon- develops programs to stimulate and
sibilities. The Office implements and improve involvement of small and mi-
monitors the Agency’s equal employ- nority business enterprises; and rec-
ment opportunity program; provides ommends the assignment of technical
advice and guidance to EPA program advisers to assist designated Procure-
officials and Regional Administrators ment Center Representatives of the
on EEO matters; serves as advocate for Small Business Administration in their
furthering career opportunities for mi- duties. The Office represents EPA at
norities and women; and processes hearings, interagency meetings, con-
complaints of discrimination for Agen- ferences and other appropriate forums
cy disposition. The office assures: on matters related to the advancement
(1) Maximum participation of minor- of these cited business enterprises in
ity business enterprises under EPA EPA’s Federal Contracting Program.
contracts and grants; (e)(1) Environmental Appeals Board.
(2) Equal employment opportunity The Environmental Appeals Board is a
under Agency service contracts, con- permanent body with continuing func-
struction contracts, and grants; tions composed of no more than four
(3) Compliance with the Davis-Bacon Board Members designated by the Ad-
Act and related acts; ministrator. The Board shall decide
(4) Compliance with the provisions of each matter before it in accordance
laws affecting Agency programs requir- with applicable statutes and regula-
ing nondiscrimination on account of tions. The Board typically shall sit on
age and physical handicap and; matters before it in three-Member pan-
(5) Services or benefits are dispensed els, and shall decide each matter by a
under any program or activity receiv- majority vote. In the event that ab-
ing Agency financial assistance on a sence or recusal prevents a three-Mem-
nondiscrimination basis. ber panel, the Board shall sit on a mat-
(c) Science Advisory Board. The ter as a panel of two Members, and two
Science Advisory Board, under the di- Members shall constitute a quorum
rection of a Director, provides expert under such circumstances. The Board
and independent advice to the Adminis- in its sole discretion shall establish
trator on the scientific and technical panels to consider matters before it.
issues facing the Agency. The Office The Board’s decisions regarding panel
advises on broad, scientific, technical size and composition shall not be re-
and policy matters; assesses the results viewable. In the case of a tie vote, the
of specific research efforts; assists in matter shall be referred to the Admin-
identifying emerging environmental istrator to break the tie.
problems; and advises the Adminis- (2) Functions. The Environmental Ap-
trator on the cohesiveness and cur- peals Board shall exercise any author-
rency of the Agency’s scientific pro- ity expressly delegated to it in this
grams. title. With respect to any matter for
(d) Office of Small and Disadvantaged which authority has not been expressly
Business Utilization. The Office of Small delegated to the Environmental Ap-
and Disadvantaged Business Utiliza- peals Board, the Environmental Ap-
tion, under the supervision of a Direc- peals Board shall, at the Administra-
tor, is responsible for developing policy tor’s request, provide advice and con-
and procedures implementing the sultation, make findings of fact and
§ 1.27 40 CFR Ch. I (7–1–21 Edition)
conclusions of law, prepare a rec- ministrator. The Office advises the Ad-
ommended decision, or serve as the ministrator and principal Agency offi-
final decisionmaker, as the Adminis- cials on the progress and effect of for-
trator deems appropriate. In per- eign and international programs and
forming its functions, the Environ- issues. The Office serves as the Admin-
mental Appeals Board may consult istrator’s representative in contacts
with any EPA employee concerning with the Department of State and
any matter governed by the rules set other Federal agencies concerned with
forth in this title, provided such con- international affairs. It negotiates ar-
sultation does not violate applicable ex rangements or understandings relating
parte rules in this title. to international cooperation with for-
(3) Qualifications. Each member of the eign organizations. The Office coordi-
Environmental Appeals Board shall be nates Agency international contacts
a graduate of an accredited law school and commitments; serves as the focal
and a member in good standing of a point for responding to requests for in-
recognized bar association of any State formation relating to EPA inter-
or the District of Columbia. Board national activities; and provides an ini-
Members shall not be employed by the tial point of contact for all foreign
Office of Enforcement, the Office of the visitors. The Office maintains liaison
General Counsel, a Regional Office, or with all relevant international organi-
any other office directly associated zations and provides representation
with matters that could come before where appropriate. It establishes Agen-
the Environmental Appeals Board. A cy policy, and approves annual plans
Board Member shall recuse himself or and modifications for travel abroad and
herself from deciding a particular case attendance at international con-
if that Board Member in previous em- ferences and events. It provides admin-
ployment performed prosecutorial or istrative support for the general activi-
investigative functions with respect to ties of the Executive Secretary of the
the case, participated in the prepara- U.S. side of the US-USSR/PRC agree-
tion or presentation of evidence in the ments on environmental protection
case, or was otherwise personally in- and of the U.S. Coordinator for the
volved in the case. NATO Committee on the Challenges of
[50 FR 26721, June 28, 1985, as amended at 57 Modern Society. The Office supervises
FR 5323, Feb. 13, 1992; 63 FR 67780, Dec. 9, these programs with respect to activi-
1998; 85 FR 51655, Aug. 21, 2020; 86 FR 31176, ties which are completely within the
June 11, 2021] purview of EPA.
(b) Office of Regional Operations. The
§ 1.27 Offices of the Associate Adminis- Office of Regional Operations, under
trators. the supervision of an Associate Admin-
(a) Office of International Activities. istrator, reports directly to the Admin-
The Office of International Activities, istrator and Deputy Administrator.
under the supervision of an Associate The Office serves as the primary com-
Administrator, provides direction to munications link between the Adminis-
and supervision of the activities, pro- trator/Deputy Administrator and the
grams, and staff assigned to the Office Regional Administrators. It provides a
of International Activities. All of the Headquarters focus for ensuring the in-
functions and responsibilities of the volvement of Regions, or consideration
Associate Administrator are Agency- of Regional views and needs, in all as-
wide, and apply to all international ac- pects of the Agency’s work. The Office
tivities of the Agency. The Office de- is responsible for assuring Regional
velops policies and procedures for the participation in Agency decision-mak-
direction of the Agency’s international ing processes, assessing the impact of
programs and activities, subject to Headquarters actions on Regional oper-
U.S. foreign policy, and assures that ations, and acting as ombudsman to re-
adequate program, scientific, and legal solve Regional problems on behalf of
inputs are provided. It conducts con- the Administrator. The Associate Ad-
tinuing evaluations of the Agency’s ministrator coordinates Regional

international activities and makes ap- issues, organizes Regional Adminis-
propriate recommendations to the Ad- trator meetings and work groups; and
coordinates Regional responses to spe- with respect to all Agency programs

cific issues. In addition, the Office is and activities and also provides legal
responsible for working with the Re- opinions, legal counsel, and litigation
gional Offices to further the consistent support; and assists in the formulation
application of national program poli- and administration of the Agency’s
cies by reinforcing existing administra- policies and programs as legal adviser.
tive, procedural, and program policy
mechanisms as well as through initi- § 1.33 Office of Administration and Re-
ation of reviews of significant Regional sources Management.
issues of interest to the Administrator. The Office of Administration and Re-
It continually monitors responsiveness sources Management is under the su-
and compliance with established poli- pervision of the Assistance Adminis-
cies and technical needs through for- trator for Administration and Re-
mal and informal contact and free dia- sources Management who provides
logue. The Office initiates and con- services to all of the programs and ac-
ducts on-site field visits to study, ana- tivities of the Agency, except as may
lyze, and resolve problems of Regional, be specifically noted. In addition, the
sectional, and national scale. Assistant Administrator has primary
responsibility Agencywide for policy
§ 1.29 Office of Inspector General. and procedures governing the func-
The Office of Inspector General as- tional areas outlined below. The major
sumes overall responsibility for audits functions of the Office include re-
and investigations relating to EPA pro- sources management and systems (in-
grams and operations. The Office pro- cluding budget and financial manage-
vides leadership and coordination and ment), personnel services, occupational
recommends policies for other Agency health and safety, administrative serv-
activities designed to promote econ- ices, organization and management
omy and efficiency and to prevent and analysis and systems development, in-
detect fraud and abuse is such pro- formation management and services,
grams and operations. The Office of the automated data processing systems,
Inspector General informs the Admin- procurement through contracts and
istrator, Deputy Administrator, and grants, and human resources manage-
Congress of serious problems, abuses ment. This Office is the primary point
and deficiencies relating to EPA proof contact and manages Agencywide in-
grams and operations, and of the neces- ternal controls, audit resolution and
sity for and progress of corrective ac- follow up, and government-wide man-
tion; and reviews existing and proposed agement improvement initiatives. In
legislation and regulations to assess the performance of the above functions
the impact on the administration of and responsibilities, the Assistant Ad-
EPA’s programs and operations. The ministrator for Administration and Re-
Office recommends policies for, and sources Management represents the
conducts or coordinates relationships Administrator in communications with
between, the Agency and other Fed- the Office of Management and Budget,
eral, State and local government agen- Office of Personnel Management, Gen-
cies, and nongovernmental entities on eral Accounting Office, General Serv-
all matters relating to the promotion ices Administration, Department of the
of economy and efficiency in the ad- Treasury, and other Federal agencies
ministration of, or the prevention and prescribing requirements for the con-
detection of fraud and abuse in, product of Government budget, fiscal man-
grams and operations administered by agement and administrative activities.
the Agency. (a) Office of Administration and Re-
sources Management, Research Triangle
§ 1.31 Office of General Counsel. Park, North Carolina, (RTP). The Office
The Office of General Counsel is of Administration and Resources Man-
under the supervision of the General agement (OARM), RTP, under the su-
Counsel who serves as the primary pervision of a Director, provides serv-
legal adviser to the Administrator. The ices to all of the programs and activi-
office provides legal services to all or- ties at RTP and certain financial and
ganizational elements of the Agency automated data processing services
§ 1.33 40 CFR Ch. I (7–1–21 Edition)
Agencywide. The major functions of the provisions of Public Law 96–511.

the Office include personnel services, The Office establishes policy, goals and
financial management, procurement objectives for implementation of IRM;
through contracts, library and other develops annual and long-range plans
information services, general services and budgets for IRM functions and ac-
(including safety and security, prop- tivities; and promotes IRM concepts
erty and supply, printing, distribution, throughout the Agency. The Office co-
facilities and other administrative ordinates IRM activities; plans, devel-
services) and providing both local RTP ops and operates information systems
and Agencywide automated data proc- and services in support of the Agency’s
essing systems services. The Director, management and administrative func-
OARM, RTP, supervises the Office of
tions, and other Agency programs and
Administration, Financial Manage-
functions as required. The Office over-
ment and Data Processing, RTP.
(b) Office of Administration, Cincinnati, sees the performance of these activities
Ohio. The Office of Administration at when carried out by other Agency com-
Cincinnati, Ohio, under the supervision ponents. The Office performs liaison
of a Director, provides and administers for interagency sharing of information
personnel, procurement, safety and se- and coordinates IRM activities with
curity, property and supply, printing, OMB and GSA. The Office ensures com-
distribution, facilities, and other ad- pliance with requirements of Public
ministrative service programs at Cin- Law 96–511 and other Federal laws, reg-
cinnati and other specified geographic ulations, and guidelines relative to
locations. IRM; and chairs the Agency’s IRM
(c) Office of the Comptroller. The Of- Steering Committee. The Office devel-
fice of the Comptroller, under the su- ops Agency policies and standards; and
pervision of the Comptroller, is respon- administers or oversees Agency pro-
sible for Agencywide budget, resources grams for library systems and services,
management and financial manage- internal records management, and the
ment functions, including program automated collection, processing, stor-
analysis and planning; budget formula- age, retrieval and transmission of data
tion, preparation and execution; fund- by or for Agency components and pro-
ing allotments and allocations; and de- grams. The Office provides national
veloping and maintaining accounting program policy and technical guidance
systems, fiscal controls, and systems for: The acquisition of all information
for payroll and disbursements. The As- technology, systems and services by or
sistant Administrator’s resource sys- for Agency components and programs,
tems responsibilities are administered inculding those systems and services
by this Office. acquired by grantees and contractors
(d) Office of Administration. The Office using Agency funds; the operation of
of Administration, under the super- all Agency computers and tele-
vision of a Director, is responsible for
communications hardware and facili-
the development and conduct of pro-
ties; and the establishment and/or ap-
grams for personnel policies, proce-
plication of telecommunications and
dures and operations; organization and
management systems, control, and Federal information processing stand-
services; facilities, property and space ards. The Office reviews and evaluates
management; personnel and property information systems and services, in-
security; policies, procedures, and oper- cluding office automation, which are
ations related to procurement through operated by other Agency components;
grants, contracts, and interagency and sets standards for and approves the
agreements; and occupational health selection of Agency personnel who are
and safety. responsible for the technical manage-
(e) Office of Information Resources ment of these activities. The Office co-
Management. The Office of Information ordinates its performance of these
Resources Management (OIRM), under functions and activities with the Agen-
the supervision of a Director, provides cy’s information collection policies and

for an information resource manage- budgets managed by the Office of Pol-
ment program (IRM) consistent with icy, Planning and Evaluation.
10
(f) The Office of Human Resources and the Management and Organization
Management. The Office of Human Re- Division), the Office of the Comp-
sources Management (OHRM), under troller, the Office of Information Re-
the supervision of a Director, designs sources Management, and the Office of
strategies, plans, and policies aimedat Policy, Planning and Evaluation.
developing and training all employees,
revitalizing EPA organizations, and § 1.35 Office of Enforcement and Com-
matching the right people with the pliance Monitoring.
right jobs. The Office is responsible for The Office of Enforcement and Com-
developing and assuring implementa- pliance Monitoring, under the super-
tion of policies and practices necessary vision of the Assistant Administrator
for EPA to meet its present and future for Enforcement and Compliance Moni-
workforce needs. This includes consid- toring, serves as the principal adviser
eration of the interrelationships be- to the Administrator in matters con-
tween the environmental protection cerning enforcement and compliance;
workforce needs of EPA and State gov- and provides the principal direction
ernments. For Senior Executive Serv- and review of civil enforcement activi-
ice (SES) personnel, SES candidates, ties for air, water, waste, pesticides,
Presidential Executive Interchange toxics, and radiation. The Assistant
Participants, and Management Interns, Administrator reviews the efforts of
OHRM establishes policies; assesses each Assistant and Regional Adminis-
and projects Agency executive needs trator to assure that EPA develops and
and workforce capabilities; creates, es- conducts a strong and consistent en-
tablishes, and implements training and forcement and compliance monitoring
development strategies and programs; program. The Office manages the na-
provides the full range of personnel tional criminal enforcement program;
functions; supports the Performance ensures coordination of media office
Review Board (PRB) and the Executive administrative compliance programs,
Resources Board (ERB); and reassigns and civil and criminal enforcement ac-
SES personnel with the concurrence of tivities; and provides technical exper-
the ERB. For the areas of workforce tise for enforcement activities.
management and employee and organi-
zational development, OHRM develops § 1.37 Office of External Affairs.
strategies, plans, and policies; coordi- (a) Office of Federal Activities. The Of-
nates Agencywide implementation of fice of Federal Activities is headed by
those strategies, plans, and policies; a Director who reports to the Assistant
and provides technical assistance to Administrator for External Affairs and
operating personnel offices and States. supervises all the functions of the Of-
OHRM, in cooperation with the Office fice. The Director acts as national pro-
of the Comptroller, evaluates problems gram manager for five major programs
with previous workyear use, monitors that include:
current workyear utilization, and (1) The review of other agency envi-
projects future workyear needs in co- ronmental impact statements and
ordination with the Agency’s budget other major actions under the author-
process. The Office is the lead office for ity of Section 309 of the Clean Air Act;
coordination of human resources man- (2) EPA compliance with the Na-
agement with the Agency’s Strategic tional Environmental Policy Act
Planning and Management System. (NEPA) and related laws, directives,
The Office develops methodologies and and Executive policies concerning spe-
procedures for evaluations of Agency cial environmental areas and cultural
human resources management activi- resources;
ties; conducts evaluations of human re- (3) Compliance with Executive policy
sources management activities Agen- on American Indian affairs and the de-
cywide; and carries out human re- velopment of programs for environ-
sources management projects of special mental protection on Indian lands; and
interest to Agency management. The (4) The development and oversight of
Office coordinates its efforts with the national programs and internal poli-
Office of Administration (specifically cies, strategies, and procedures for im-
the Personnel Management Division plementing Executive Order 12088 and
11
§ 1.37 40 CFR Ch. I (7–1–21 Edition)
other administrative or statutory pro- issues and assures that there are oppor-
visions concerning compliance with en- tunities for public involvement in the
vironmental requirements by Federal resolution of problems. The Office su-
facilities. The Director chairs the pervises the production of audio-visual
Standing Committee on Implementa- materials, including graphics, radio
tion of Executive Order 12088. The Of- and video materials, for the general
fice serves as the Environmental Pro- public and for internal audiences, in
tection Agency’s (EPA) principal point support of EPA policies and programs.
of contact and liaison with other Fed- The Office provides program direction
eral agencies and provides consultation and professional review of the perform-
and technical assistance to those agen- ance of public affairs functions in the
cies relating to EPA’s areas of exper- Regional Offices of EPA, as well as at
tise and responsibility. The Office ad- laboratories and other field offices. The
ministers the filing and information Office of Public Affairs is responsible
system for all Federal Environmental for reviewing interagency agreements
Impact Statements under agreement and Headquarters purchase request req-
with the Council on Environmental uisitions expected to result in con-
Quality (CEQ) and provides liaison tracts in the area of public information
with CEQ on this function and related and community relations. It develops
matters of NEPA program administra- proposals and reviews Headquarters
tion. The Office provides a central grant applications under consideration
point of information for EPA and the when public affairs goals are involved.
public on environmental impact assess- (c) Office of Legislative Analysis. The
ment techniques and methodologies. Office of Legislative Analysis, under
(b) Office of Public Affairs. The Office the supervision of a Director who
of Public Affairs is under the super- serves in the capacity of Legislative
vision of a Director who serves as chief Counsel, is responsible for legislative
spokesperson for the Agency and as a drafting and liaison activities relating
principal adviser, along with the As- to the Agency’s programs. It exercises
sistant Administrator for External Af- responsibility for legislative drafting;
fairs, to the Adminstrator, Deputy Ad- reports to the Office of Management
ministrator, and Senior Management and Budget and congressional commit-
Officials, on public affairs aspects of tees on proposed legislation and pend-
the Agency’s activities and programs. ing and enrolled bills, as required by
The Office of Public Affairs provides to OMB Circular No. A–19 and Bulletin
the media adequate and timely infor- No. 72–6; provides testimony on legisla-
mation as well as responses to queries tion and other matters before congres-
from the media on all EPA program ac- sional committees; and reviews tran-
tivities. It assures that the policy of scripts of legislative hearings. It main-
openness in all information matters, as tains liaison with the Office of Con-
enunciated by the Administrator, is gressional Liaison on all Agency ac-
honored in all respects. Develops publi- tivities of interest to the Congress. The
cations to inform the general public of Office works closely with the staffs of
major EPA programs and activities; it various Assistant Administrators, As-
also develops informational materials sociate Administrators, Regional Ad-
for internal EPA use in Headquarters ministrators, and Staff Office Directors
and at the Regions, Labs and Field Of- in accordance with established Agency
fices. It maintains clearance systems procedures, in the development of the
and procedures for periodicals and non- Agency’s legislative program. The Of-
technical information developed by fice assists the Assistant Adminis-
EPA for public distribution, and re- trator for External Affairs and the
views all publications for public affairs Agency’s senior policy officials in guid-
interests. The Office of Public Affairs ing legislative initiatives through the
provides policy direction for, and co- legislative process. It advises the As-
ordination and oversight of EPA’s com- sistant Administrator for Administra-
munity relations program. It provides tion and Resources Management in
a system for ensuring that EPA edu- matters pertaining to appropriations

cates citizens and responds to their legislation. It works closely with the
concerns about all environmental Office of Federal Activities to assure
12
compliance with Agency procedures for Administrator for External Affairs on

the preparation of environmental im- intergovernmental relations. The Of-
pact statements, in relation to pro- fice maintains liaison on intergovern-
posed legislation and reports on legis- mental issues with the White House
lation. The Office coordinates with the and Office of Management and Budget
Office of Management and Budget, (OMB); identifies and seeks solutions
other agencies, and congressional staff to emerging intergovernmental issues;
members on matters within its area of recommends and coordinates personal
responsibility; and develops suggested involvement by the Administrator and
State and local environmental legisla- Deputy Administrator in relations
tive proposals, using inputs provided with State, county, and local govern-
by other Agency components. The Leg- ment officials; coordinates and assists
islative Reference Library provides leg- Headquarters components in their han-
islative research services for the Agen- dling of broad-gauged and issue-ori-
cy. The Library secures and furnishes ented intergovernmental problems. It
congressional materials to all EPA em- works with the Regional Administra-
ployees and, if available, to other Gov- tors and the Office of Regional Oper-
ernment agencies and private organiza- ations to encourage the adoption of im-
tions; and it also provides the service proved methods for dealing effectively
of securing, upon request, EPA reports with State and local governments on
and materials for the Congress. specific EPA program initiatives;
(d) Office of Congressional Liaison. The works with the Immediate Office of the
Office of Congressional Liaison is Administrator, Office of Congressional
under the supervision of a Director who Liaison, Office of Public Affairs, and
serves as the principal adviser to the the Regional Offices to develop and
Administrator with respect to congres- carry out a comprehensive liaison pro-
sional activities. All of the functions gram; and tracks legislative initiatives
and responsibilities of the Director are which affect the Agency’s intergovern-
Agencywide and apply to the provision mental relations. It advises and sup-
of services with respect to all of the ports the Office Director in imple-
programs and activities of the Agency. menting the President’s Environ-
The Office serves as the principal point mental Youth Awards program.
of congressional contact with the [50 FR 26721, June 28, 1985, as amended at 52
Agency and maintains an effective liai- FR 30359, Aug. 14, 1987]
son with the Congress on Agency ac-
tivities of interest to the Congress and, § 1.39 Office of Policy, Planning and
as necessary, maintains liaison with Evaluation.
Agency Regional and field officials, The Assistant Administrator for Pol-
other Government agencies, and public icy, Planning and Evaluation services
and private groups having an interest as principal adviser to the Adminis-
in legislative matters affecting the trator on Agency policy and planning
Agency. It assures the provision of issues and as such is responsible for su-
prompt response to the Congress on all pervision and management of the fol-
inquiries relating to activities of the lowing: Policy analysis; standards and
Agency; and monitors and coordinates regulations; and management strategy
the continuing operating contacts be- and evaluation. The Assistant Admin-
tween the staff of the Office of the istrator represents the Administrator
Comptroller and staff of the Appropria- with Congress and the Office of Man-
tions Subcommittees of Congress. agement and Budget, and other Federal
(e) Office of Community and Intergov- agencies prescribing requirements for
ernmental Relations. The Office of Com- conduct for Government management
munity and Intergovernmental Rela- activities.
tions is under the supervision of a Di- (a) Office of Policy Analysis. The Of-
rector who serves as the principal point fice of Policy Analysis is under the su-
of contact with public interest groups pervision of a Director who performs
representing general purpose State and the following functions on an Agency-
local governments, and is the principal wide basis: economic analysis of Agen-
source of advice and information for cy programs, policies, standards, and
the Administrator and the Assistant regulations, including the estimation
13
§ 1.41 40 CFR Ch. I (7–1–21 Edition)
of abatement costs; research into de- objectives, and ensures that programs
veloping new benefits models; benefit- are evaluated against their accom-
cost analyses; impact assessments; in- plishments of goals.
termediate and long-range strategic
studies; consultation and analytical as- § 1.41 Office of Air and Radiation.
sistance in the areas described above to The Office of Air and Radiation is
senior policy and program officials and under supervision of the Assistant Ad-
other offices in the Agency; develop- ministrator for Air and Radiation who
ment and coordination proposals for serves as principal adviser to the Ad-
major new Agency initiatives; liaison ministrator in matters pertaining to
with other agencies; universities, and air and radiation programs, and is re-
interest groups on major policy issues sponsible for the management of these
and development of a coordinated EPA programs: Program policy devel-
Agency position; and development of opment and evaluation; environmental
integrated pollution control strategies and pollution sources’ standards devel-
for selected industrial and geo- opment; enforcement of standards; pro-
graphical areas. gram policy guidance and overview,
(b) Office of Standards and Regula- technical support or conduct of compli-
tions. The Office of Standards and Reg- ance activities and evaluation of Re-
ulations is under the supervision of a gional air and radiation program ac-
Director who is responsible for: involv- tivities; development of programs for
ing the Office of Policy, Planning and technical assistance and technology
Evaluation (OPPE) in regulatory re- transfer; and selected demonstration
view; conducting technical and statis- programs.
tical analyses of proposed standards, (a) Office of Mobile Sources. The Office
regulations and guidelines; serving as of Mobile Sources, under the super-
the Agency focal point for identifying, vision of a Director, is responsible for
developing and implementing alter- the mobile source air pollution control
natives to conventional ‘‘command and functions of the Office of Air and Radi-
control’’ regulations; conducting anal- ation. The Office is responsible for:
yses of Agency activities related to Characterizing emissions from mobile
chemical substances and providing sources and related fuels; developing
mechanisms for establishing regu- programs for their control, including
latory priorities and resolving sci- assessment of the status of control
entific issues affecting rulemaking; en- technology and in-use vehicle emis-
suring Agency compliance with the Pa- sions; for carrying out, in coordination
perwork Reduction Act; evaluating and with the Office of Enforcement and
reviewing all Agency information col- Compliance Monitoring as appropriate,
lection requests and activities, and, in a regulatory compliance program to
cooperation with the Office of Adminis- ensure adherence of mobile sources to
tration and Resources Management standards; and for fostering the devel-
and the Office of Management Systems opment of State motor vehicles emis-
and Evaluation, evaluating Agency sion inspection and maintenance pro-
management and uses of data for deci- grams.
sion-making. (b) Office of Air Quality Planning and
(c) Office of Management Systems and Standards. The Office of Air Quality
Evaluation. The Office of Management Planning and Standards, under the su-
Systems and Evaluation is under the pervision of a Director, is responsible
supervision of a Director who directs for the air quality planning and stand-
and coordinates the development, im- ards functions of the Office of Air and
plementation and administration of Radiation. The Director for Air Quality
Agencywide systems for planning, Planning and Standards is responsible
tracking, and evaluating the accom- for emission standards for new sta-
plishments of Agency programs. In tionary sources, and emission stand-
consultation with other offices, the Of- ards for hazardous pollutants; for de-
fice develops a long-range policy veloping national programs, technical
framework for Agency goals, and objec- policies, regulations, guidelines, and
tives, identifies strategies for achiev- criteria for air pollution control; for
ing goals, establishes timetables for assessing the national air pollution
14
control program and the success in regulation of pesticides and toxic sub-
achieving air quality goals; for pro- stances and is responsible for managing
viding assistance to the States, indus- the Agency’s pesticides and toxic sub-
try and other organizations through stances programs under the Federal In-
personnel training activities and tech- secticide, Fungicide, and Rodenticide
nical information; for providing tech- Act (FIFRA); the Federal Food, Drug,
nical direction and support to Regional and Cosmetic Act (FFDCA); the Toxic
Offices and other organizations; for Substances Control Act (TSCA); the
evaluating Regional programs with re- Pollution Prevention Act (PPA); and
spect to State implementation plans portions of several other statutes. The
and strategies, technical assistance, Assistant Administrator has responsi-
and resource requirements and alloca- bility for establishing Agency strate-
tions for air related programs; for de- gies for implementation and integra-
veloping and maintaining a national tion of the pesticides and the toxic sub-
air programs data system, including stances programs under applicable Fed-
air quality, emissions and other tech- eral statutes; developing and operating
nical data; and for providing effective Agency programs and policies for as-
technology transfer through the trans- sessment and control of pesticides and
lation of technological developments toxic substances; developing rec-
into improved control program proce- ommendations for Agency priorities for
dures. research, monitoring, regulatory, and
(c) Office of Radiation Programs. The information-gathering activities relat-
Office of Radiation Programs, under ing to pesticides and toxic substances;
the supervision of a Director, is respon- developing scientific, technical, eco-
sible to the Assistant Administrator nomic, and social databases for the
for Air and Radiation for the radiation conduct of hazard assessments and
activities of the Agency, including de- evaluations in support of toxic sub-
velopment of radiation protection cri- stances and pesticides activities; pro-
teria, standards, and policies; measure- viding toxic substances and pesticides
ment and control of radiation expo- program guidance to EPA Regional Of-
sure; and research requirements for ra- fices and monitoring, evaluating, and
diation programs. The Office provides assessing pesticides and toxic sub-
technical assistance to States through stances program operations in EPA
EPA Regional Offices and other agen- Headquarters and Regional Offices.
cies having radiation protection pro- (a) Office of Pesticide Programs. The
grams; establishes and directs a na- Office of Pesticide Programs (OPP),
tional surveillance and investigation under the management of a Director
program for measuring radiation levels and Deputy Director are responsible to
in the environment; evaluates and as- the Assistant Administrator for leader-
sesses the impact of radiation on the ship of the overall pesticide activities
general public and the environment; of the Agency under the authority of
and maintains liaison with other public FIFRA, FFDCA, and portions of sev-
and private organizations involved in eral other statutes. Responsibilities in-
environmental radiation protection ac- clude the development of strategic
tivities. The Office coordinates with plans for the control of the national
and assists the Office of Enforcement environmental pesticide situation.
and Compliance Monitoring in enforce- Such plans are implemented by OPP,
ment activities where EPA has juris- other EPA components, other Federal
diction. The Office provides editorial agencies, or by State, local, and pri-
policy and guidance, and assists in pre- vate sectors. OPP is also responsible
paring publications. for establishment of tolerance levels
for pesticide residues which occur in or
§ 1.43 Office of Chemical Safety and on food; registration and reregistration
Pollution Prevention. of pesticides; special review of pes-
The Assistant Administrator, Office ticides suspected of posing unreason-
of Chemical Safety and Pollution Pre- able risks to human health or the envi-
vention (OCSPP), serves as the prin- ronment; monitoring of pesticide res-

cipal adviser to the Administrator in idue levels in food, humans, and non-
matters pertaining to assessment and target fish and wildlife; preparation of
15
§ 1.45 40 CFR Ch. I (7–1–21 Edition)
pesticide registration guidelines; devel- tion and Policy (OSCP) provides co-
opment of standards for the registra- ordination, leadership, peer review, and
tion and reregistration of pesticide synthesis of science and science policy
products; provision of program policy within OCSPP. OSCP provides guid-
direction to technical and manpower ance to assure sound scientific deci-
training activities in the pesticides sions are made regarding safe pesticide
area; development of research needs and chemical management through the
and monitoring requirements for the leadership of the Scientific Advisory
pesticide program and related areas; Panel (SAP). OSCP also coordinates
review of impact statements dealing emerging exposure and hazard assess-
with pesticides; providing operational ment topics such as endocrine
guidance to EPA Regional Offices; and disruptors and biotechnology.
carrying out of assigned international [77 FR 46290, Aug. 3, 2012]
activities.
(b) Office of Pollution Prevention and § 1.45 Office of Research and Develop-
Toxics. The Office of Pollution Preven- ment.
tion and Toxics (OPPT), under the The Office of Research and Develop-
management of a Director and Deputy ment is under the supervision of the
Director is responsible to the Assistant Assistant Administrator for Research
Administrator for those activities of and Development who serves as the
the Agency mandated by TSCA, PPA, principal science adviser to the Admin-
and portions of several other statutes. istrator, and is responsible for the de-
The Director is responsible for devel- velopment, direction, and conduct of a
oping and operating Agency programs national research, development and
and policies for new and existing demonstration program in: Pollution
chemicals. In each of these areas, the sources, fate, and health and welfare
Director is responsible for information effects; pollution prevention and con-
collection and coordination; data de- trol, and waste management and utili-
velopment; health, environmental, and zation technology; environmental
economic assessment; and negotiated sciences; and monitoring systems. The
or regulatory control actions. The Di- Office participates in the development
rector provides operational guidance to of Agency policy, standards, and regu-
EPA Regional Offices, reviews and lations and provides for dissemination
evaluates toxic substances activities at of scientific and technical knowledge,
EPA Headquarters and Regional Of- including analytical methods, moni-
fices; coordinates TSCA activities with toring techniques, and modeling meth-
other EPA offices and Federal and odologies. The Office serves as coordi-
State agencies, and conducts the ex- nator for the Agency’s policies and pro-
port notification required by TSCA and grams concerning carcinogenesis and
provides information to importers. The related problems and assures appro-
Director is responsible for developing priate quality control and standardiza-
policies and procedures for the coordi- tion of analytical measurement and
nation and integration of Agency and monitoring techniques utilized by the
Federal activities concerning toxic Agency. The Office exercises review
substances. The Director is also re- and concurrence responsibilities on an
sponsible for coordinating communica- Agencywide basis in all budgeting and
tion with the industrial community, planning actions involving monitoring
environmental groups, and other inter- which require Heardquarters approval.
ested parties on matters relating to the (a) Office of Acid Deposition, Environ-
implementation of TSCA; providing mental Monitoring and Quality Assur-
technical support to international ac- ance. The Office of Acid Deposition, En-
tivities managed by the Office of Inter- vironmental Monitoring and Quality
national Activities; and managing the Assurance (OADEMQA), under the su-
joint planning of toxic research and de- pervision of an Office Director, is re-
velopment under the auspices of the sponsible for planning, managing and
Pesticides/Toxic Substances Research evaluating a comprehensive program
Committee. for:
(c) Office of Science Coordination and (1) Monitoring the cause and effects
Policy. The Office of Science Coordina- of acid deposition;
16
(2) Research and development on the essing, conversion, and transportation

causes, effects and corrective steps for of energy, minerals, and other re-
the acid deposition phenomenon; sources, and with industrial processing
(3) Research with respect to the and manufacturing facilities;
transport and fate of pollutants which (2) Control environmental impacts of
are released into the atmosphere; public sector activities including pub-
(4) Development and demonstration licly-owned waste water and solid
of techniques and methods to measure waste facilities;
exposure and to relate ambient con- (3) Control and manage hazardous
centrations to exposure by critical re- waste generation, storage, treatment,
ceptors; and disposal;
(5) Research, development and dem- (4) Provide innovative technologies
onstration of new monitoring methods, for response actions under Superfund
systems, techniques and equipment for and technologies for control of emer-
detection, identification and character- gency spills of oils and hazardous
ization of pollutants at the source and waste;
in the ambient environment and for (5) Improve drinking water supply
use as reference or standard moni- and system operations, including im-
toring methods; proved understanding of water supply
(6) Establishment, direction and co- technology and water supply criteria;
ordination of Agencywide Quality As- (6) Characterize, reduce, and mitigate
surance Program; and indoor air pollutants including radon;
(7) Development and provision of and
quality assurance methods, techniques (7) Characterize, reduce, and mitigate
and material including validation and acid rain precursors from stationary
standardization of analytical methods, sources. Development of engineering
sampling techniques, quality control data needed by the Agency in review-
methods, standard reference materials, ing premanufacturing notices relative
and techniques for data collection, to assessing potential release and expo-
evaluation and interpretation. The Of- sure to chemicals, treatability by
fice identifies specific research, devel- waste treatment systems, containment
opment, demonstration and service and control of genetically engineered
needs and priorities; establishes pro- organisms, and development of alter-
gram policies and guidelines; develops natives to mitigate the likelihood of
program plans including objectives and release and exposure to existing chemi-
estimates of resources required to ac- cals. In carrying out these responsibil-
complish objectives; administers the ities, the Office develops program plans
approved program and activities; as- and manages the resources assigned to
signs program responsibility and re- it; implements the approved programs
sources to the laboratories assigned by and activities; assigns objectives and
the Assistant Administrator; directs resources to the OEETD laboratories;
and supervises assigned laboratories in conducts appropriate reviews to assure
program administration; and conducts the quality, timeliness, and responsive-
reviews of program progress and takes ness of outputs; and conducts analyses
action as necessary to assure timeli- of the relative environmental and so-
ness, quality and responsiveness of out- cioeconomic impacts of engineering
puts. methods and control technologies and
(b) Office of Environmental Engineering strategies. The Office of Environ-
and Technology Demonstration. The Of- mental Engineering and Technology
fice of Environmental Engineering and Demonstration is the focal point with-
Technology Demonstration (OEETD) in the Office of Research and Develop-
under the supervision of a Director, is ment for providing liaison with the
responsible for planning, managing, rest of the Agency and with the De-
and evaluating a comprehensive pro- partment of Energy on issues associ-
gram of research, development, and ated with energy development. The Of-
demonstration of cost effective meth- fice is also the focal point within the
ods and technologies to: Office of Research and Development for

(1) Control Environmental impacts liaison with the rest of the Agency on
associated with the extraction, proc- issues related to engineering reseach
17
§ 1.45 40 CFR Ch. I (7–1–21 Edition)
and development and the control of (7) development and demonstration of

pollution discharges. methods for restoring degraded eco-
(c) Office of Environmental Processes system by means other than source
and Effects Research. The Office of Envi- control.
ronmental Processes and Effects Re- (d) Office of Health Research. The Of-
search, under the supervision of the Di- fice of Health Research under the su-
rector, is responsible for planning, pervision of a Director, is responsible
managing, and evaluating a com- for the management of planning, im-
prehensive research program to de- plementing, and evaluating a com-
velop the scientific and technological prehensive, integrated human health
methods and data necessary to under- research program which documents
stand ecological processes, and predict acute and chronic adverse effects to
broad ecosystems impacts, and to man- man from environmental exposure to
age the entry, movement, and fate of pollutants and determines those expo-
pollutants upon nonhuman organisms sures which have a potentially adverse
and ecosystems. The comprehensive effect on humans. This documentation
program includes: is utilized by ORD for criteria develop-
(1) The development of organism and ment and scientific assessments in sup-
ecosystem level effect data needed for port of the Agency’s regulating and
the establishment of standards, cri- standard-setting activities. To attain
teria or guidelines for the protection of this objective, the program develops
nonhuman components of the environ- tests systems and associated methods
ment and ecosystems integrity and the and protocols, such as predictive mod-
prevention of harmful human exposure els to determine similarities and dif-
to pollutants; ferences among test organisms and
man; develops methodology and con-
(2) The development of methods to
ducts laboratory and field research
determine and predict the fate, trans-
studies; and develops interagency pro-
port, and environmental levels which
grams which effectively use pollutants.
may result in human exposure and ex-
The Office of Health Research is the
posure of nonhuman components of the
Agency’s focal point within the Office
environment, resulting from the dis- of Research and Development for pro-
charge of pollutants, singly or in com- viding liaison relative to human health
bination into the environment, includ- effects and related human exposure
ing development of source criteria for issues (excluding issues related to the
protection of environmental quality; planning and implementation of re-
(3) The development and demonstra- search on the human health effects of
tion of methods for the control or man- energy pollutants that is conducted
agement of adverse environmental im- under the Interagency Energy/Environ-
pacts from agriculture and other rural ment Program). It responds with recog-
nonprofit sources; nized authority to changing require-
(4) The development and demonstra- ments of the Regions, program offices
tion of integrated pest management and other offices for priority technical
strategies for the management of agri- assistance. In close coordination with
culture and urban pests which utilize Agency research and advisory commit-
alternative biological, cultural and tees, other agencies and offices, and
chemical controls; interaction with academic and other
(5) The development of a laboratory independent scientific bodies, the Of-
and fieldscale screening tests to pro- fice develops health science policy for
vide data that can be used to predict the Agency. Through these relation-
the behavior of pollutants in terms of ships and the scientific capabilities of
movement in the environmental, accu- its laboratories and Headquarters
mulation in the food chain, effects on staffs, the Office provides a focal point
organisms, and broad escosystem im- for matters pertaining to the effects of
pacts; human exposure to environmental pol-
(6) Coordination of interagency re- lutants.
search activities associated with the (e) Office of Health and Environmental
health and environmental impacts of Assessment (OHEA). The Office of
energy production and use; and Health and Environmental Assessment,
18
under the supervision of a Director, is institutions in environmental research

the principal adviser on matters relat- and development activities; and con-
ing to the development of health cri- ducting special studies in response to
teria, health affects assessment and high priority national environmental
risk estimation, to the Assistant Ad- needs and problems. This office serves
ministrator for Research and Develop- as an ORD focal point for university re-
ment. The Director’s Office: Develops lations and other Federal research and
recommendations on OHEA programs development agencies related to EPA’s
including the identification and devel- extramural research program.
opment of alternative program goals, [50 FR 26721, June 28, 1985, as amended at 52
priorities, objectives and work plans; FR 30360, Aug. 14, 1987]
develops recommendations on overall
office policies and means for their im- § 1.47 Office of Land and Emergency
plementation; performs the critical Management.
path planning necessary to assure a The Office of Land and Emergency
timely production of OHEA informa- Management (OLEM), also referred to
tion in response to program office as the Office of Solid Waste, or the Of-
needs; serves as an Agency health as- fice of Solid Waste and Emergency Re-
sessment advocate for issue resolution sponse, under the supervision of the
and regulatory review in the Agency Assistant Administrator for Land and
Steering Committee, Science Advisory Emergency Management, also referred
Board, and in cooperation with other to as the Assistant Administrator of
Federal agencies and the scientific and the Office of Solid Waste, provides
technical community; and provides ad- Agencywide policy, guidance, and di-
ministrative support services to the rection for the Agency’s solid and haz-
components of OHEA. The Director’s ardous wastes and emergency response
Office provides Headquarters coordina- programs. This Office has primary re-
tion for the Environmental Criteria sponsibility for implementing the Re-
and Assessment Offices. source Conservation and Recovery Act
(f) Office of Exploratory Research. The (RCRA); the Comprehensive Environ-
Office of Exploratory Research (OER), mental Response, Compensation and
under the supervision of a Director, is Liability Act (CERCLA—‘‘Superfund’’),
responsible for overall planning, ad- as amended by the Superfund Amend-
ministering, managing, and evaluating ments and Reauthorization Act
EPA’s anticipatory and extramural (SARA); the Emergency Planning and
grant research in response to Agency Community Right-to-Know Act; the Oil
priorities, as articulated by Agency Pollution Act; Clean Water Act section
planning mechanisms and ORD’s Re- 311; and the Mercury-Containing and
search Committees. The Director ad- Rechargeable Battery Management
vises the Assistance Administrator on Act; among other laws. In addition to
the direction, scientific quality and ef- managing those programs, the Assist-
fectiveness of ORD’s long-term sci- ant Administrator serves as principal
entific review and evaluation; and re- adviser to the Administrator in mat-
search funding assistance efforts. The ters pertaining to them. The Assistant
responsibilities of this office include: Administrator’s responsibilities in-
Administering ORD’s scientific review clude: Program policy development and
of extramural requests for research evaluation; development of appropriate
funding assistance; developing research hazardous waste standards and regula-
proposal solicitations; managing grant tions; ensuring compliance with appli-
projects; and ensuring project quality cable laws and regulations; program
and optimum dissemination of results. policy guidance and overview, tech-
The OER is responsible for analyzing nical support, and evaluation of Re-
EPA’s long-range environmental regional solid and hazardous wastes and
search concerns; forecasting emerging emergency response activities; develop-
and potential environmental problems ment of programs for technical, pro-
and manpower needs; identifying Fed- grammatic, and compliance assistance
eral workforce training programs to be to States and local governments; devel-

used by State and local governments; opment of guidelines and standards for
assuring the participation of minority the land disposal of hazardous wastes;
19
§ 1.49 40 CFR Ch. I (7–1–21 Edition)
analyses of the recovery of useful en- permit program. The office has over-
ergy from solid waste; development and view responsibilities and provides tech-
implementation of a program to re- nical assistance to the regional activi-
spond to uncontrolled hazardous waste ties in both enforcement and permit-
sites and spills (including oil spills); ting programs.
long-term strategic planning and spe- (b) Office of Water Regulations and
cial studies; economic and long-term Standards. The Office of Water Regula-
environmental analyses; economic im- tions and Standards, under the super-
pact assessment of regulations under vision of a Director, is responsible for
RCRA, CERCLA, and other relevant the Agency’s water regulations and
statutes; analyses of alternative tech- standards functions. The Office is re-
nologies and trends; and cost-benefit sponsible for developing an overall pro-
analyses and development of OLEM en- gram strategy for the achievement of
vironmental criteria. For purposes of water pollution abatement in coopera-
42 U.S.C. 6911(a), OLEM carries out the tion with other appropriate program
functions of the Office of Solid Waste. offices. The Office assures the coordi-
For purposes of 42 U.S.C. 6911a, the nation of all national water-related ac-
functions and duties of the Assistant tivities within this water program
Administrator of the Office of Solid strategy, and monitors national
Waste are carried out by the Assistant progress toward the achievement of
Administrator for the Office of Land water quality goals and is responsible
and Emergency Management. for the development of effluent guide-
[80 FR 77577, Dec. 15, 2015] lines and water quality standards, and
other pollutant standards, regulations,
§ 1.49 Office of Water. and guidelines within the program re-
The Office of Water, under the super- sponsibilities of the Office. It exercises
vision of the Assistant Administrator overall responsibility for the develop-
for Water who serves as the principal ment of effective State and Regional
adviser to the Administrator in mat- water quality regulatory control pro-
ters pertaining to water programs, is grams. The Office is responsible for the
responsible for management of EPA’s development and maintenance of a cen-
water programs. Functions of the Of- tralized water programs data system
fice include program policy develop- including compatible water quality,
ment and evaluation; environmental discharger, and program data files uti-
and pollution source standards develop- lizing, but not displacing, files devel-
ment; program policy guidance and oped and maintained by other program
overview; technical support; and eval- offices. It is responsible for developing
uation of Regional water activities; the national accomplishment plans and re-
conduct of compliance and permitting source and schedule guidelines for
activities as they relate to drinking monitoring and evaluating the per-
water and water programs; develop- formance, progress, and fiscal status of
ment of programs for technical assist- the organization in implementing pro-
ance and technology transfer; develop- gram plans. The Office represents EPA
ment of selected demonstration pro- in activities with other Federal agen-
grams; economic and long-term envi- cies concerned with water quality regu-
ronmental analysis; and marine and es- lations and standards.
tuarine protection. (c) Office of Municipal Pollution Con-
(a) Office of Water Enforcement and trol. The Office of Municipal Pollution
Permits. The Office of Water Enforce- Control, under the supervision of a Di-
ment and Permits, under the super- rector, is responsible for the Agency’s
vision of a Director, develops policies, water program operations functions.
strategies, procedures and guidance for The Office is responsible for developing
EPA and State compliance monitoring, national strategies, program and policy
evaluation, and enforcement programs recommendations, regulations and
for the Clean Water Act and the Marine guidelines for municipal water pollu-
Protection Research and Sanctuaries tion control; for providing technical di-
Act. The Office also provides national rection and support to Regional Offices
program direction to the National Pol- and other organizations; and for evalu-
lutant Discharge Elimination System ating Regional and State programs
20
with respect to municipal point source oversees implementation of the Agen-

abatement and control, and manpower cy’s Ground-water Protection Strat-
development for water-related activi- egy. This Office coordinates support of
ties. The Office assures that priority Headquarters and regional activities to
Headquarters and regional activities develop stronger State government or-
are planned and carried out in a coordi- ganizations and programs which foster
nated and integrated fashion, including ground-water protection. The Office di-
developing and implementing data sub- rects and coordinates Agency analysis
mission systems. and approaches to unaddressed prob-
(d) Office of Drinking Water. The Of- lems of ground-water contamination; is
fice of Drinking Water, under the su- principally responsible for establishing
pervision of a Director, is responsible and implementing a framework for de-
for water supply activities of the Agen- cision-making at EPA on ground-water
cy, including the development of an protection issues; and serves as the
implementation strategy which pro- focus of internal EPA policy coordina-
vides the national policy direction and tion for ground-water.
coordination for the program. This Of- (f) Office of Marine and Estuarine Pro-
fice develops regulations and guide- tection. The Office of Marine and Estua-
lines to protect drinking water quality rine Protection, under the supervision
and existing and future underground of a Director, is responsible for the de-
sources of drinking water, develops velopment of policies and strategies
program policy and guidance for en- and implementation of a program to
forcement and compliance activities, protect the marine/estuarine environ-
and recommends policy for water sup- ment, including ocean dumping. The
ply protection activities. The office Office provides national direction for
provides guidance and technical infor- the Chesapeake Bay and other estua-
mation to State agencies, local utili- rine programs, and policy oversight of
ties, and Federal facilities through the the Great Lakes Program.
Regional Offices on program planning (g) Office of Wetlands Protection. The
and phasing; evaluates the national Office of Wetlands Protection, under
level of compliance with the regula- the supervision of a Director, admin-
tions; plans and develops policy guid- isters the 404/Wetlands Program and
ance for response to national, Re- develops policies, procedures, regula-
gional, and local emergencies; reviews tions, and strategies addressing the
and evaluates, with Regional Offices, maintenance, enhancement, and pro-
technical data for the designation of tection of the Nations Wetlands. The
sole-source aquifers; designs a national Office coordinates Agency issues re-
program of public information; pro- lated to wetlands.
vides program policy direction for
[50 FR 26721, June 28, 1985, as amended at 52
technical assistance and manpower
FR 30360, Aug. 14, 1987]
training activities in the water supply
area; identifies research needs and de-
velops monitoring requirements for the Subpart C—Field Installations
national water supply program; devel-
ops national accomplishments’ plans § 1.61 Regional Offices.
and resource schedule guidelines for Regional Administrators are respon-
monitoring and evaluating the pro- sible to the Administrator, within the
gram plans, and program performance, boundaries of their Regions, for the
and fiscal status; develops program execution of the Regional Programs of
plans, and budget and program status the Agency and such other responsibil-
reports for the water supply program; ities as may be assigned. They serve as
coordinates water supply activities the Administrator’s prinicipal rep-
with other Federal agencies as nec- resentatives in their Regions in con-
essary; and serves as liaison with the tacts and relationships with Federal,
National Drinking Water Advisory State, interstate and local agencies, in-
Council. dustry, academic institutions, and
(e) Office of Ground-Water Protection. other public and private groups. Re-
The Office of Ground-Water Protection, gional Administrators are responsible
under the supervision of a Director, for:
21
Pt. 2 40 CFR Ch. I (7–1–21 Edition)
(a) Accomplishing national program 2.206 Advance confidentiality determina-

objectives within the Regions as estab- tions.
lished by the Administrator, Deputy 2.207 Class determinations.
2.208 Substantive criteria for use in con-
Administrator, Assistant Administra- fidentiality determinations.
tors, Associate Administrators, and 2.209 Disclosure in special circumstances.
Heads of Headquarters Staff Offices; 2.210 Nondisclosure for reasons other than
(b) Developing, proposing, and imple- business confidentiality or where disclo-
menting approved Regional programs sure is prohibited by other statute.
for comprehensive and integrated envi- 2.211 Safeguarding of business information;
ronmental protection activities; penalty for wrongful disclosure.
(c) Total resource management in 2.212 Establishment of control offices for
categories of business information.
their Regions within guidelines pro- 2.213 Designation by business of addressee
vided by Headquarters; for notices and inquiries.
(d) Conducting effective Regional en- 2.214 Defense of Freedom of Information
forcement and compliance programs; Act suits; participation by affected busi-
(e) Translating technical program di- ness.
rection and evaluation provided by the 2.215 Confidentiality agreements.
various Assistant Administrators, As- 2.216–2.300 [Reserved]
2.301 Special rules governing certain infor-
sociate Administrators and Heads of
mation obtained under the Clean Air
Headquarters Staff Offices, into effec- Act.
tive operating programs at the Re- 2.302 Special rules governing certain infor-
gional level, and assuring that such mation obtained under the Clean Water
programs are executed efficiently; Act.
(f) Exercising approval authority for 2.303 Special rules governing certain infor-
proposed State standards and imple- mation obtained under the Noise Control
mentation plans; and Act of 1972.
(g) Providing for overall and specific
mation obtained under the Safe Drinking
evaluations of Regional programs, both Water Act.
internal Agency and State activities. 2.305 Special rules governing certain infor-
mation obtained under the Solid Waste
PART 2—PUBLIC INFORMATION Disposal Act, as amended.
Subpart A—Procedures for Disclosure of mation obtained under the Toxic Sub-
stances Control Act.
Records Under the Freedom of Infor- 2.307 Special rules governing certain infor-
mation Act mation obtained under the Federal Insec-
2.100 General provisions. ticide, Fungicide and Rodenticide Act.
2.101 Where to file requests for records. 2.308 Special rules governing certain infor-
2.102 Procedures for making requests. mation obtained under the Federal Food,
2.103 Responsibility for responding to re- Drug and Cosmetic Act.
quests. 2.309 Special rules governing certain infor-
2.104 Responses to requests and appeals. mation obtained under the Marine Pro-
2.105 [Reserved] tection, Research and Sanctuaries Act of
2.106 Preservation of records. 1972.
2.107 Fees. 2.310 Special rules governing certain infor-
2.108 Other rights and services. mation obtained under the Comprehen-
sive Environmental Response, Compensa-
Subpart B—Confidentiality of Business tion, and Liability Act of 1980, as amend-
Information ed.
2.201 Definitions. mation obtained under the Motor Vehicle
2.202 Applicability of subpart; priority Information and Cost Savings Act.
where provisions conflict; records con-
taining more than one kind of informa- Subpart C—Testimony by Employees and
tion. Production of Documents in Civil Legal
2.203 Notice to be included in EPA requests, Proceedings Where the United States Is
demands, and forms; method of asserting Not a Party
business confidentiality claim; effect of
failure to assert claim at time of submis- 2.401 Scope and purpose.
sion. 2.402 Policy on presentation of testimony
2.204 Initial action by EPA office. and production of documents.

2.205 Final confidentiality determination 2.403 Procedures when voluntary testimony
by EPA legal office. is requested.
22
2.404 Procedures when an employee is sub- quester Service Center. A FOIA Public
poenaed. Liaison is responsible for assisting in
2.405 Subpoenas duces tecum. reducing delays, increasing trans-
2.406 Requests for authenticated copies of
EPA documents. parency and understanding of the sta-
tus of requests, and assisting in the
AUTHORITY: 5 U.S.C. 552, 552a, 553; 28 U.S.C. resolution of disputes. The public can
509, 510, 534; 31 U.S.C. 3717.
find more information about the FOIA
SOURCE: 41 FR 36902, Sept. 1, 1976, unless Public Liaisons at EPA’s website.
otherwise noted.
§ 2.101 Where to file requests for
Subpart A—Procedures for Disclo- records.
sure of Records Under the (a) Requesters must submit all re-
Freedom of Information Act quests for records from EPA under the
FOIA in writing and by one of the fol-
SOURCE: 84 FR 30032, June 26, 2019, unless lowing methods:
otherwise noted. (1) EPA’s FOIA submission website at
https://www.foiaonline.gov;
§ 2.100 General provisions. (2) An electronic government submis-
(a) This Subpart contains the rules sion website established pursuant to 5
that the Environmental Protection U.S.C. 552(m), such as FOIA.gov;
Agency (EPA or Agency) follows in (3) U.S. Mail sent to the following ad-
processing requests for records under dress: National FOIA Office, U.S. Envi-
the Freedom of Information Act ronmental Protection Agency, 1200
(FOIA), 5 U.S.C. 552. The Agency also Pennsylvania Avenue NW (2310A),
has rules that it follows in processing Washington, DC 20460; or
FOIA requests for records submitted to (4) Overnight delivery service to Na-
it as Confidential Business Information tional FOIA Office, U.S. Environmental
(CBI). Such records are covered in Sub- Protection Agency, 1200 Pennsylvania
part B of this Part. Requests made by NW, Room 5315, Washington, DC 20460.
individuals for records about them- EPA will not treat a request submitted
selves under the Privacy Act of 1974, by any other method as a FOIA re-
which are processed under 40 CFR part quest, and the Agency will not re-route
16, will also be treated as FOIA re- the request. The requester or requester
quests under this Subpart. This ensures organization must include the full
that the requestor has access to all re- name of their point of contact and
sponsive records. Information rou- their mailing address for EPA to proc-
tinely provided to the public as part of ess the request. For all requests, re-
a regular EPA activity may be pro- questers should provide an email ad-
vided to the public without following dress and daytime telephone number
this Subpart. whenever possible. For requests sub-
(b) EPA will inform the requester of mitted through EPA’s FOIA submis-
the steps necessary to obtain records sion website or as provided by an elec-
from agencies operating statutory- tronic government submission website
based fee schedule programs, such as, established pursuant to 5 U.S.C. 552(m),
but not limited to, the Government requesters must include an email ad-
Printing Office or the National Tech- dress. For requests submitted through
nical Information Service. U.S. Mail, the requester must mark
(c) The Chief FOIA Officer designates both the request letter and envelope
the office that performs the duties of ‘‘Freedom of Information Act Re-
the National FOIA Office. The National quest.’’ The requester should not pro-
FOIA Office reports to the Chief FOIA vide social security numbers when
Officer. making a request for information
(d) The Chief FOIA Officer designates under the FOIA. Requesters submitting
the FOIA Public Liaisons. The FOIA requests electronically must do so be-
Public Liaisons report to the Chief fore 5:00 p.m. Eastern Time for the
FOIA Officer. A FOIA Public Liaison is Agency to consider the request as re-
an official to whom a requester can ceived on that date.

raise concerns about the service the re- (b) EPA provides access to all records
quester received from the FOIA Re- that the FOIA requires an agency to
23
§ 2.102 40 CFR Ch. I (7–1–21 Edition)
make regularly available for public in- ther what additional information the
spection and copying. Each office is re- requester needs to provide or why the
sponsible for determining which of the request is otherwise insufficient. EPA
records it generates are required to be will also give the requester an oppor-
made publicly available and for pro- tunity to discuss and modify the re-
viding access by the public to them. quest to meet the requirements of this
The Agency will also maintain and Section.
make available for public inspection (d) Agreement to pay fees. If the re-
and copying a current subject matter quester makes a FOIA request, EPA
index of such records and provide a will consider the request to be an
copy or a link to the respective website agreement that the requester will pay
for Headquarters or the Regions. Each all applicable fees charged under
index will be updated regularly, at § 2.107, up to $25.00, unless the requester
least quarterly, with respect to newly- seeks a waiver of fees. The EPA office
included records. responsible for responding to the re-
(c) All records created by EPA on or quest ordinarily will confirm this
after November 1, 1996, which the FOIA agreement in writing. When making a
requires an agency to make regularly request, the requester may specify a
available for public inspection and willingness to pay a greater or lesser
copying, will be made available elec- amount.
tronically through EPA’s website, lo-
cated at http://www.epa.gov, or, upon re- § 2.103 Responsibility for responding
quest, through other electronic means. to requests.
EPA will also include on its website (a) In general. Upon receipt of a FOIA
the current subject matter index of all request under § 2.101(a) of this Subpart,
such records. the National FOIA Office will assign
the request to an appropriate office
§ 2.102 Procedures for making re- within the Agency for processing. To
quests. determine which records are within the
(a) General information. EPA will con- scope of a request, an office will ordi-
sider a request received when the Agen- narily include only those records in the
cy receives a request by one of the Agency’s possession as of the date the
methods identified in § 2.101(a). request was received by one of the
(b) EPA employees may attempt in methods described in § 2.101(a). The
good faith to comply with oral requests Agency will inform the requester if any
for inspection or disclosure of EPA other date is used.
records publicly available under (b) Authority to issue final determina-
§ 2.201(a) and (b), but such requests are tions. The Administrator, Deputy Ad-
not subject to the FOIA or this Part. ministrators, Assistant Administra-
(c) Description of records sought. A re- tors, Deputy Assistant Administrators,
quest should reasonably describe the Regional Administrators, Deputy Re-
records the requester seeks in a way gional Administrators, General Coun-
that will permit EPA employees to sel, Deputy General Counsels, Regional
identify and locate them. Whenever Counsels, Deputy Regional Counsels,
possible, a request should include spe- and Inspector General or those individ-
cific information about each record uals’ delegates, are authorized to make
sought, such as the date, title or name, determinations required by 5 U.S.C.
author, recipient, and subject matter. 552(a)(6)(A), including to issue final de-
If known, the requester should include terminations whether to release or
any file designations or descriptions withhold a record or a portion of a
for the records that the requester record on the basis of responsiveness or
wants. The more specific the requester under one or more exemptions under
is about the records or type of records the FOIA, and to issue ‘‘no records’’ re-
that the requester wants, the more sponses.
likely EPA will be able to identify and (c) Authority to grant or deny fee waiv-
locate records responsive to the re- ers or requests for expedited processing.
quest. If EPA determines that the re- EPA’s Chief FOIA Officer or EPA’s
quest does not reasonably describe the Chief FOIA Officer’s delegates are au-
records, EPA will tell the requester ei- thorized to grant or deny requests for
24
fee waivers or requests for expedited essing number assigned to the request
processing. for future reference.
(d) Consultations and referrals. When a (c) Multitrack processing. The Agency
request to EPA seeks records in its uses three or more processing tracks
possession that originated with an- by distinguishing between simple and
other Federal agency, the EPA office complex requests based on the amount
assigned to process the request shall ei- of work, time needed to process the re-
ther: quest, or both, including limits based
(1) In coordination with the National on the number of pages involved. The
FOIA Office, consult with the Federal Agency will advise the requester of the
agency where the record or portion processing track in which the Agency
thereof originated and then respond to placed the request and the limits of the
the request, or different processing tracks. The Agen-
(2) With the concurrence of the Na- cy may place the request in a slower
tional FOIA Office, refer the request to track while providing the requester
the Federal agency where the record or with the opportunity to limit the scope
portion thereof originated. The Na- of the request to qualify for faster
tional FOIA Office will notify the re- processing within the specified limits
quester whenever all or any part of the of a faster track. If the Agency places
responsibility for responding to a re- the request in a slower track, the
Agency will contact the requester.
quest has been referred to another
(d) Tolling the request. Once the re-
agency.
quest is received, the Agency shall not
(e) Law enforcement information.
toll the processing time-period except:
Whenever a requester makes a request (1) The Agency may toll the proc-
for a record containing information essing time-period one time while seek-
that relates to an investigation of a ing clarification from the requester; or
possible violation of law and the inves- (2) The Agency may toll the proc-
tigation originated with another agen- essing time-period as many times as
cy, the assigned office, with the con- necessary to resolve fee issues.
currence of the National FOIA Office, (e) Unusual circumstances. When the
will refer the request to that other Agency cannot meet statutory time
agency or consult with that other limits for processing a request because
agency prior to making any release de- of ‘‘unusual circumstances,’’ as defined
termination. in the FOIA, and the time limits are
extended on that basis, the Agency will
§ 2.104 Responses to requests and ap-
peals. notify the requester in writing, as soon
as practicable, of the unusual cir-
(a) Timing of response. The EPA office cumstances and of the date by which
assigned to process the FOIA request processing of the request should be
will initiate the search, collection, and completed. If the 20 working-day period
review process, and respond to a re- is extended, EPA will give the re-
quest within 20 working days from the quester an opportunity to limit the
date the request was received by one of scope of the request, modify the re-
the methods identified in § 2.101(a), un- quest, or agree to an alternative time-
less unusual or exceptional cir- period for processing, as described by
cumstances exist as provided in para- the FOIA. EPA will also provide con-
graph (e) of this section. If EPA fails to tact information for its FOIA Public
respond to the request within the stat- Liaison to assist in the resolution of
utory time-period, or any authorized any disputes between the requester and
extension of time, the requester may the Agency, and the Agency will notify
seek judicial review to obtain the the requester of their right to seek dis-
records without first making an admin- pute resolution services from the Office
istrative appeal. of Government Information Services
(b) On receipt of a request, the Na- within the National Archives and
tional FOIA Office ordinarily will send Records Administration.
a written acknowledgment advising the (f) Expedited processing. (1) EPA will
requester of the date the Agency re- take requests or appeals out of order
ceived the request and of the proc- and give expedited treatment whenever
25
§ 2.104 40 CFR Ch. I (7–1–21 Edition)
EPA determines that such requests or quester and notify the requester of any
appeals involve a compelling need, as applicable fee charged under § 2.107.
follows: The office will annotate records re-
(i) Circumstances in which the lack leased in part, whenever technically
of expedited treatment could reason- feasible, with the applicable FOIA ex-
ably be expected to pose an imminent emption or exemptions at that part of
threat to the life or physical safety of the record from which the exempt in-
an individual; or formation was deleted.
(ii) An urgency to inform the public (h) Adverse determinations of requests.
about an actual or alleged Federal gov- When the Agency makes an adverse de-
ernment activity, if the information is termination, the Agency will notify
requested by a person primarily en- the requester of that determination in
gaged in disseminating information to writing. Adverse determinations in-
the public. clude:
(2) Requesters must make a request (1) A decision that the requested
for expedited processing at the time of record is exempt from disclosure, in
the initial request for records or at the whole or in part;
time of appeal. (2) A decision that the information
(3) If the requester seeks expedited requested is not a record subject to the
processing, the requester must submit FOIA;
a statement, certified to be true and (3) A decision that the requested
correct to the best of the requester’s record does not exist or cannot be lo-
knowledge and belief, explaining in de- cated;
tail the basis for the request. For ex-
(4) A decision that the requested
ample, if the requester fits within the
record is not readily reproducible in
category described in paragraph
the form or format sought by the re-
(f)(1)(ii) of this section and is not a
quester;
full-time member of the news media,
the requester must establish that they (5) A determination on any disputed
are a person whose primary profes- fee matter, including a denial of a re-
sional activity or occupation is infor- quest for a fee waiver; or
mation dissemination, although it need (6) A denial of a request for expedited
not be the requester’s sole occupation. processing.
If the requester fits within the cat- (i) Content of final determination letter.
egory described in paragraph (f)(1)(ii) The appropriate official will issue the
of this section, the requester must also final determination letter in accord-
establish a particular urgency to in- ance with § 2.103(b) of this subpart and
form the public about the government will include:
activity involved in the request, be- (1) The name and title or position of
yond the public’s right to know about the person responsible for the deter-
government activity generally. mination;
(4) Within 10 calendar days from the (2) A brief statement of the reason or
date of the request for expedited proc- reasons for the denial, including an
essing, the Chief FOIA Officer, or the identification of records being withheld
Chief FOIA Officer’s delegates, will de- (either individually or, if a large num-
cide whether to grant the request and ber of similar records are being denied,
will notify the requester of the deci- described by category) and any FOIA
sion. If the Agency grants the request exemption applied by the office in de-
for expedited processing, the Agency nying the request;
will give the request priority and will (3) An estimate of the volume of
process the request as soon as prac- records or information withheld, in
ticable. If the Agency denies the re- number of pages or in some other rea-
quest for expedited processing, the sonable form of estimation. This esti-
Agency will act on any appeal of that mate does not need to be provided if
decision expeditiously. the volume is otherwise indicated
(g) Grants of requests. Once the Agen- through annotated deletions on records
cy determines to grant a request in disclosed in part, or if providing an es-

whole or in part, it will release the timate would harm an interest pro-
records or parts of records to the re- tected by an applicable exemption;
26
(4) A statement that an adverse de- (3) If a requester seeks judicial re-
termination may be appealed under (j) view because the Agency has not re-
of this section and description of the sponded in a timely manner, any fur-
requirements for submitting an admin- ther action on an appeal will take
istrative appeal; and place through the lawsuit.
(5) A statement that the requester (k) EPA will make the decision on
has the right to seek dispute resolution the appeal in writing, normally within
services from an EPA FOIA Public Li- 20 working days of its receipt by the
aison or the Office of Government In- National FOIA Office. A decision af-
formation Service. firming an adverse determination in
(j) Appeals of adverse determinations. If whole or in part will contain a state-
the requester is dissatisfied with any ment of the reason or reasons for the
adverse determination of their request, decision, including any FOIA exemp-
the requester may appeal that deter- tion or exemptions applied, and inform
mination by letter to the National the requester of the FOIA provisions
FOIA Office, U.S. Environmental Pro- for judicial review of the decision. If
tection Agency, 1200 Pennsylvania Ave- the Agency reverses or modifies the ad-
nue NW (2310A), Washington, DC 20460 verse determination on appeal, the
or hq.foia@epa.gov. The requester must Agency will notify the requester in a
make their appeal in writing, and the written decision. In the written deci-
Agency must receive the requester’s sion, the Agency will attach the re-
appeal no later than 90 calendar days quested information that the Agency
determined on appeal to be releasable,
from the date of the letter that denied
or the Agency will return the request
the request. The Agency will not con-
to the appropriate office so that the of-
sider appeals received after the 90-cal-
fice may reprocess the request in ac-
endar day limit. Requesters submitting
cordance with the appeal decision.
appeals electronically must do so be-
(l) If the requester wishes to seek ju-
fore 5:00 p.m. Eastern Time for the
dicial review of any adverse determina-
Agency to consider the appeal as re-
tion, the requester must first appeal
ceived on that date. The appeal letter
that adverse determination under this
may include as much or as little re-
Section, except when EPA has not re-
lated information as the requester
sponded to the request within the ap-
wishes, as long as it clearly identifies plicable time-period. In such cases, the
the determination being appealed (in- requester may seek judicial review
cluding the assigned FOIA request without making an administrative ap-
number, if known). For quickest han- peal.
dling, the requester must mark their
appeal letter and its envelope with § 2.105 [Reserved]
‘‘Freedom of Information Act Appeal.’’
Unless the Administrator directs oth- § 2.106 Preservation of records.
erwise, the General Counsel or the Gen- The Agency shall preserve all cor-
eral Counsel’s delegate will act on be- respondence pertaining to the FOIA re-
half of the Administrator on all ap- quests that it receives until disposition
peals under this Section, except that: or destruction is authorized by title 44
(1) The Counsel to the Inspector Gen- of the United States Code or the Na-
eral will act on any appeal where the tional Archives and Records Adminis-
Inspector General or the Inspector tration’s General Records Schedule 14.
General’s delegate has made the final Copies of all responsive records should
adverse determination; however, if the be maintained by the appropriate pro-
Counsel to the Inspector General has gram office. Records shall not be dis-
signed the final adverse determination, posed of while they are the subject of a
the General Counsel or the General pending request, appeal, or lawsuit
Counsel’s delegate will act on the ap- under the FOIA.
peal;
(2) An adverse determination by the § 2.107 Fees.
Administrator on an initial request (a) In general. The Agency will charge

will serve as the final action of the for processing requests under the FOIA
Agency; and in accordance with paragraph (c) of
27
§ 2.107 40 CFR Ch. I (7–1–21 Edition)
this section, except where fees are lim- er education, an institution of profes-
ited under paragraph (d) of this section sional education, or an institution of
or where a waiver or reduction of fees vocational education, that operates a
is granted under paragraph (l) of this program of scholarly research. To be in
section. Requesters will pay fees by this category, a requester must show
check or money order made payable to that the request is authorized by, and
the U.S. Environmental Protection is made under the auspices of, a quali-
Agency. fying institution and that the records
(b) Definitions. For purposes of this are not sought for a commercial use
section: but are sought to further scholarly re-
(1) Commercial use request means a search.
request from or on behalf of a person (5) Noncommercial scientific institu-
who seeks information for a use or pur- tion means an institution not operated
pose that furthers the requester’s com- on a ‘‘commercial’’ basis, as defined in
mercial, trade, or profit interests, paragraph (b)(1) of this section, and
which can include furthering those in- that is operated solely for conducting
terests through litigation. The Agency scientific research that is not intended
will determine, whenever reasonably to promote any particular product or
possible, the use to which a requester industry. To be in this category, a re-
will put the requested records. When it quester must show that a qualifying in-
appears that the requester will put the stitution authorizes the request, that
records to a commercial use, either be- the requester makes the request under
cause of the nature of the request itself the auspices of the qualifying institu-
or because the Agency has reasonable tion, and that the requester does not
cause to doubt a requester’s stated use, seek the records for a commercial use
the Agency will provide the requester a but to further scientific research.
reasonable opportunity to submit fur- (6) Representative of the news media
ther clarification. has the meaning provided at 5 U.S.C.
(2) Direct costs means those expenses 552(a)(4)(A)(ii).
that the Agency actually incurs in (7) Review means the examination of
searching for and duplicating (and, in a record located in response to a re-
the case of commercial use requests, quest to determine whether any por-
reviewing) records to respond to a tion of it is exempt from disclosure. It
FOIA request. Direct costs include, for also includes processing any record for
example, the salary of the employee disclosure (for example, doing all that
performing the work and the cost of is necessary to redact it and prepare it
operating duplication equipment. Not for disclosure). Review costs are recov-
included in direct costs are overhead erable even if a record ultimately is
expenses such as the costs of space and not disclosed. Review time includes
heating or lighting of the facility in time spent considering any formal ob-
which the records are kept. jection to disclosure made by a busi-
(3) Duplication means the making of ness submitter requesting confidential
a copy of a record, or of the informa- treatment but does not include time
tion contained in it, necessary to re- spent resolving general legal or policy
spond to a FOIA request. Copies can issues regarding the application of ex-
take the form of paper, microform, emptions.
audiovisual materials, or electronic (8) Search means the process of look-
records (for example, magnetic tape, ing for and retrieving records or infor-
disk, or compact disk), among others. mation responsive to a request. It in-
The Agency will honor a requester’s cludes page-by-page or line-by-line
specified preference of form or format identification of information within
of disclosure if the record is readily re- records and includes reasonable efforts
producible with reasonable efforts in to locate and retrieve information
the requested form or format. from records maintained in electronic
(4) Educational institution means a form or format. Offices will ensure that
preschool, a public or private elemen- searches are done in the most efficient
tary or secondary school, an institu- and least expensive manner reasonably

tion of undergraduate higher edu- possible. For example, offices will not
cation, an institution of graduate high- search line-by-line where duplicating
28
an entire document would be quicker Agency will charge for time spent
and less expensive. searching even if no responsive records
(c) Fees to be charged. (1) There are are found or if the records are located
four categories of requests. The Agency but are determined to be exempt from
charges fees for each of these cat- disclosure.
egories as follows: (B) For searches and retrievals of re-
(i) Commercial use requests. The Agen- quested records, either manually or
cy will charge a requester seeking ac- electronically, conducted by clerical
cess to records for a commercial use for personnel, the fee will be $4.00 for each
the time spent searching for the quarter hour of time. For searches and
records, reviewing the records for pos- retrievals of requested records, either
sible disclosure, and for the cost of manually or electronically, requiring
each page of duplication. The Agency the use of professional personnel, the
may charge for searching for and/or re- fee will be $7.00 for each quarter hour
viewing the records even if no respon- of time. For searches and retrievals of
sive records are found or if the records requested records, either manually or
are located but are determined to be electronically, requiring the use of
exempt from disclosure. managerial personnel, the fee will be
(ii) Educational or non-commercial sci- $10.25 for each quarter hour of time.
entific requests. The Agency will charge (C) When contractors conduct
requesters from educational or non- searches and retrievals, the Agency
commercial scientific institution, will charge requesters for the actual
whose purpose is scholarly or scientific charges up to but not exceeding the
research, only for the cost of record du- rate that the Agency would have
plication, except that the Agency will charged the requester had EPA em-
furnish the first 100 pages of duplica- ployees conducted the search. The
tion at no charge. Agency will charge the costs of actual
(iii) News media requests. The Agency computer resource usage in connection
will charge requesters who are rep- with such searches, to the extent they
resentatives of the news media, and can be determined.
whose purpose in seeking records is (ii) Duplication. The Agency will
noncommercial, for the cost of duplica- charge duplication fees to all request-
tion, except that the first 100 pages of ers, subject to the limitations of para-
duplication will be furnished at no graph (d) of this section. For either a
charge. photocopy or a computer-generated
(iv) All other requests. The Agency printout of a record (no more than one
will charge requesters not covered by copy of which need be supplied), the fee
one of the three categories above for will be fifteen (15) cents per page. For
the full cost of search and duplication, electronic forms of duplication, other
except that the Agency will furnish than a computer-generated printout,
without charge the first two hours of offices will charge the direct costs of
search time and the first 100 pages of that duplication. Such direct costs will
duplication. The Agency will charge for include the costs of the requested elec-
searching for the records even if no re- tronic medium on which the copy is to
sponsive records are found or if the be made and the actual operator time
records are located but are determined and computer resource usage required
to be exempt from disclosure. to produce the copy, to the extent they
(2) In responding to FOIA requests, can be determined.
the Agency will charge the following (iii) Review. The Agency will charge
fees unless a waiver or reduction of fees review fees to requesters who make a
has been granted under paragraph (l) of commercial use request. The Agency
this section: will charge review fees only for the ini-
(i) Search. (A) The Agency will charge tial record review (that is, the review
search fees for all requests except for done when an office is deciding whether
those made by educational institutions an exemption applies to a particular
or noncommercial scientific institu- record or portion of a record at the ini-
tions, or representatives of the news tial request level). The Agency will not
media subject to the limitations of charge for review at the administrative
paragraph (d) of this section. The appeal level for an exemption already
29
§ 2.107 40 CFR Ch. I (7–1–21 Edition)
applied. However, the Agency may apply and more than 5,000 pages are
again review records or portions of necessary to respond to the request,
records withheld under an exemption EPA may charge search fees, or, in the
that the Agency subsequently deter- case of requesters described in para-
mines not to apply to determine graph paragraphs (b)(4) through (6) of
whether any other exemption not pre- this section, may charge duplication
viously considered applies; the Agency fees, if the following steps are taken:
will charge costs of that review when a EPA must have provided timely writ-
change of circumstances makes it nec- ten notice of unusual circumstances to
essary. The Agency will charge review the requester in accordance with the
fees at the same rates as those charged FOIA and the EPA must have discussed
for a search under paragraph (c)(1)(i) of with the requester by written mail,
this section. email, or telephone (or made not less
(d) Limitations on charging fees. (1) than three good-faith attempts to do
The Agency will charge no search or so) how the requester could effectively
review fees for requests by educational limit the scope of the request in ac-
institutions or noncommercial sci- cordance with 5 U.S.C. 552(a)(6)(B)(ii),
entific institutions, or representatives which includes notification to the re-
of the news media. quester of the availability of the FOIA
(2) The Agency will charge no search Public Liaison and the right to seek
fee or review fee for a quarter-hour pe- dispute resolution services from the Of-
riod unless more than half of that pe- fice of Government Information Serv-
riod is required for search or review. ices. If this exception is satisfied, EPA
(3) Except for requesters seeking may charge all applicable fees incurred
records for a commercial use, offices in the processing of the request; or
will provide without charge: (iii) If a court determines that excep-
(i) The first 100 pages of duplication, tional circumstances exist, as defined
and by the FOIA, a failure to comply with
(ii) The first two hours of search. the time limits shall be excused for the
(4) The Agency will charge no fee length of time provided by the court
when a total fee calculated under para- order.
graph (c) of this section is $14.00 or less (e) Notice of anticipated fees in excess
for any request. of $25.00. When the Agency determines
(5) The provisions of paragraphs (d)(3) or estimates that the fees the Agency
and (4) of this section work together. will charge under this Section will
This means that for requesters other amount to more than $25.00, the Agen-
than those seeking records for a com- cy will notify the requester of the ac-
mercial use, the Agency will charge no tual or estimated amount of the fees,
fee unless the cost of search in excess unless the requester has indicated a
of two hours plus the cost of duplica- willingness to pay fees as high as those
tion in excess of 100 pages totals more anticipated. The amount of $25.00 is cu-
than $14.00. mulative for multi-office requests. If
(6) If EPA fails to comply with the the Agency can only readily estimate a
FOIA’s time limits for responding to a portion of the fee, the Agency will ad-
request, EPA will not charge search vise the requester that the estimated
fees, or, in the instance of requesters fee may be only a portion of the total
described in paragraphs (b)(4) through fee. When the Agency notifies a re-
(6) of this section, duplication fees, ex- quester that actual or estimated fees
cept as follows: will amount to more than $25.00, the
(i) If EPA determined that unusual Agency will do no further work on the
circumstances as defined by the FOIA request until the requester agrees to
apply and the Agency provided timely pay the anticipated total fee. The
written notice to the requester in ac- Agency will exclude time from the
cordance with the FOIA, a failure to twenty (20) working day time limit.
comply with the time limit shall be ex- EPA will memorialize any such agree-
cused for an additional 10 working ment in writing. A notice under this
days; paragraph will offer the requester an

(ii) If EPA determined that unusual opportunity to discuss the matter with
circumstances as defined by the FOIA Agency personnel to reformulate the
30
request to meet the requester’s needs (j) Advance payments. (1) For requests
at a lower cost. other than those described in para-
(f) Charges for other services. Apart graphs (j)(2) and (3) of this section, the
from the other provisions of this sec- Agency will not require the requester
tion, when the Agency chooses as a to make an advance payment (that is,
matter of administrative discretion to a payment made before EPA begins or
provide a special service—such as certi- continues work on a request). Payment
fying that records are true copies or owed for work already completed (that
sending records by other than ordinary is, a prepayment before the Agency
mail—the Agency will ordinarily sends copies to a requester) is not an
charge the direct costs of providing the advance payment.
service. (2) When the Agency determines or
(g) Charging interest. EPA may charge estimates that a total fee to be charged
interest on any unpaid bill starting on under this section will be more than
the 31st day following the date of bill- $250.00, it may require the requester to
ing the requester. The Agency will as- make an advance payment of an
sess interest charges at the rate pro- amount up to the amount of the entire
vided in 31 U.S.C. 3717 and will accrue anticipated fee before beginning to
from the date of the billing until the process the request, except when it re-
Agency receives payment. EPA will ceives a satisfactory assurance of full
follow the provisions of the Debt Col- payment from a requester that has a
lection Act of 1982 (Pub. L. 97–365), as history of prompt payment.
amended, and its administrative proce- (3) When a requester has previously
dures, including the use of consumer failed to pay a properly charged FOIA
reporting agencies, collection agencies, fee to the Agency within 30 calendar
and offset. The Agency will assess no days of the date of billing, the Agency
penalty against FOIA requesters for ex- may require the requester to pay the
ercising their statutory right to ask full amount due, plus any applicable
the Agency to waive or reduce a fee or interest, and to make an advance pay-
to dispute a billing. If a fee is in dis- ment of the full amount of any antici-
pute, the Agency will suspend penalties pated fee, before the Agency begins to
upon notification. process a new request or continues to
(h) Delinquent requesters. If requesters process a pending request from that re-
fail to pay all fees within 60 calendar quester.
days of the fees assessment, the Agen- (4) When the Agency requires ad-
cy will place the requester on a delin- vance payment or payment due under
quency list. The Agency will not proc- paragraph (j)(3) of this section, the
ess subsequent FOIA requests until the Agency will not consider the request,
requester makes payment of the over- and EPA will do no further work on the
due fees. request until the requester makes the
(i) Aggregating requests. When the required payment.
Agency reasonably believes that a re- (k) Other statutes specifically providing
quester or a group of requesters acting for fees. The fee schedule of this section
together is attempting to divide a re- does not apply to fees charged under
quest into a series of requests for the any other statute that specifically re-
purpose of avoiding fees, the Agency quires an agency to set and collect fees
may aggregate those requests and for particular types of records. When
charge accordingly. The Agency may records responsive to requests are
presume that multiple requests of this maintained for distribution by agencies
type made within a 30-day period have operating such statutorily based fee
been made to avoid fees. When requests schedule programs, EPA will inform re-
are separated by a longer period, the questers of the steps for obtaining
Agency will aggregate them only if records from those sources so that they
there exists a solid basis for deter- may do so most economically.
mining that aggregation is warranted (l) Waiver or reduction of fees. (1)
under all the circumstances involved. Records responsive to a request will be
The Agency will not aggregate mul- furnished without charge or at a

tiple requests involving unrelated mat- charge reduced below that established
ters. under paragraph (c) of this section
31
§ 2.107 40 CFR Ch. I (7–1–21 Edition)
when the Agency determines, based on nificantly’’ to public understanding of

all available information, that disclo- government operations or activities.
sure of the requested information is in The public’s understanding of the sub-
the public interest because it is likely ject in question, as compared to the
to contribute significantly to public level of public understanding existing
understanding of the operations or ac- prior to the disclosure, must be en-
tivities of the government and is not hanced by the disclosure to a signifi-
primarily in the commercial interest of cant extent. The Agency will not make
the requester. value judgments about whether infor-
(2) To determine whether the request mation that would contribute signifi-
meets the first fee waiver requirement, cantly to public understanding of the
the Agency will consider the following operations or activities of the govern-
factors: ment is ‘‘important’’ enough to be
(i) The subject of the request. Whether made public.
the subject of the requested records (3) To determine whether the request
concerns ‘‘the operations or activities meets the second fee waiver require-
of the government.’’ The subject of the ment, the Agency will consider the fol-
requested records must concern identi- lowing factors:
fiable operations or activities of the (i) The existence and magnitude of a
Federal government, with a connection commercial interest. Whether the re-
that is direct and clear, not remote. quester has a commercial interest that
(ii) The informative value of the infor- would be furthered by the requested
mation to be disclosed. Whether the dis- disclosure. The Agency will consider
closure is ‘‘likely to contribute’’ to an any commercial interest of the re-
understanding of government oper- quester (with reference to the defini-
ations or activities. The disclosable tion of ‘‘commercial use request’’ in
portions of the requested records must paragraph (b)(1) of this section), or of
be meaningfully informative about any person on whose behalf the re-
government operations or activities in quester may be acting, that would be
order to be ‘‘likely to contribute’’ to an furthered by the requested disclosure.
increased public understanding of those The Agency will give the requester an
operations or activities. The disclosure opportunity in the administrative
of information that already is in the process to provide explanatory infor-
public domain, in either a duplicative mation regarding this consideration.
or a substantially identical form, (ii) The primary interest in disclosure.
would not be as likely to contribute to Whether any identified commercial in-
such understanding when nothing new terest of the requester is sufficiently
would be added to the public’s under- large, in comparison with the public in-
standing. terest in disclosure, that disclosure is
(iii) The contribution to an under- ‘‘primarily in the commercial interest
standing of the subject by the public is of the requester.’’ A fee waiver or re-
likely to result from the disclosure. duction is justified where the public in-
Whether disclosure of the requested interest standard is satisfied and that
formation will contribute to ‘‘public public interest is greater in magnitude
understanding.’’ The disclosure must than that of any identified commercial
contribute to the understanding of a interest in disclosure. The Agency ordi-
reasonably broad audience of persons narily will presume that when a news
interested in the subject, as opposed to media requester has satisfied the pub-
the individual understanding of the re- lic interest standard, the public inter-
quester. The Agency will consider a re- est will be the interest primarily
quester’s expertise in the subject area served by disclosure to that requester.
and ability and intention to effectively The Agency will not presume that dis-
convey information to the public. The closure to data brokers or others who
Agency presumes that a representative merely compile and market govern-
of the news media will satisfy this con- ment information for direct economic
sideration. return is to primarily serve the public
(iv) The significance of the contribution interest.

to public understanding. Whether the (4) When only some of the requested
disclosure is likely to contribute ‘‘sig- records satisfy the requirements for a
32
waiver of fees, the Agency will grant a (d) Affected business means, with ref-
waiver for only those records. erence to an item of business informa-
(5) Requests for the waiver or reduction, a business which has asserted
tion of fees must address the factors (and not waived or withdrawn) a busi-
listed in paragraphs (k)(l) through (3) ness confidentiality claim covering the
of this section, as far as they apply to information, or a business which could
each request. Offices will exercise their be expected to make such a claim if it
discretion to consider the cost-effec- were aware that disclosure of the infor-
tiveness of their investment of admin- mation to the public was proposed.
istrative resources in deciding whether (e) Reasons of business confidentiality
to grant waivers or reductions of fees include the concept of trade secrecy
and will consult the appropriate EPA
and other related legal concepts which
offices as needed. Requesters must sub-
give (or may give) a business the right
mit requests for the waiver or reduc-
tion of fees along with the request. to preserve the confidentiality of busi-
(6) When the EPA denies a fee waiver ness information and to limit its use or
request, EPA will do no further work disclosure by others in order that the
on the request until it receives an as- business may obtain or retain business
surance of payment from the requester, advantages it derives from its rights in
or until the requester appeals the fee the information. The definition is
waiver adverse determination and the meant to encompass any concept which
EPA completes its final appeal deter- authorizes a Federal agency to with-
mination pursuant to § 2.104(j). hold business information under 5
U.S.C. 552(b)(4), as well as any concept
§ 2.108 Other rights and services. which requires EPA to withhold infor-
Nothing in this Subpart shall be con- mation from the public for the benefit
strued to entitle any person, as a right, of a business under 18 U.S.C. 1905 or
to any service or to the disclosure of any of the various statutes cited in
any record to which such person is not §§ 2.301 through 2.309.
entitled under the FOIA. (f) [Reserved]
(g) Information which is available to
Subpart B—Confidentiality of the public is information in EPA’s pos-
Business Information session which EPA will furnish to any
member of the public upon request and
§ 2.201 Definitions. which EPA may make public, release
For the purposes of this subpart: or otherwise make available to any
(a) Person means an individual, part- person whether or not its disclosure
nership, corporation, association, or has been requested.
other public or private organization or (h) Business confidentiality claim (or,
legal entity, including Federal, State simply, claim) means a claim or allega-
or local governmental bodies and agen- tion that business information is enti-
cies and their employees. tled to confidential treatment for rea-
(b) Business means any person en- sons of business confidentiality, or a
gaged in a business, trade, employ- request for a determination that such
ment, calling or profession, whether or information is entitled to such treat-
not all or any part of the net earnings ment.
derived from such engagement by such (i) Voluntarily submitted information
person inure (or may lawfully inure) to means business information in EPA’s
the benefit of any private shareholder possession—
or individual.
(1) The submission of which EPA had
(c) Business information (sometimes no statutory or contractual authority
referred to simply as information)
to require; and
means any information which pertains
to the interests of any business, which (2) The submission of which was not
was developed or acquired by that busi- prescribed by statute or regulation as a
ness, and (except where the context condition of obtaining some benefit (or
otherwise requires) which is possessed avoiding some disadvantage) under a
by EPA in recorded form.
33
§ 2.202 40 CFR Ch. I (7–1–21 Edition)
regulatory program of general applica- ment of information gathered under

bility, including such regulatory pro- such statutes. Sections 2.301 through
grams as permit, licensing, registra- 2.311 prescribe rules for treatment of
tion, or certification programs, but ex- certain categories of business informa-
cluding programs concerned solely or tion obtained under the various statu-
primarily with the award or adminis- tory provisions. Paragraph (b) of each
tration by EPA of contracts or grants. of those sections should be consulted to
(j) Recorded means written or other- determine whether any of those sec-
wise registered in some form for pre- tions applies to the particular informa-
serving information, including such tion in question.
forms as drawings, photographs, video- (c) The basic rules of §§ 2.201 through
tape, sound recordings, punched cards, 2.215 govern except to the extent that
and computer tape or disk. they are modified or supplanted by the
(k) [Reserved] special rules of §§ 2.301 through 2.311. In
(l) Administrator, Regional Adminis- the event of a conflict between the pro-
trator, General Counsel, Regional Coun- visions of the basic rules and those of a
sel, and Freedom of Information Officer special rule which is applicable to the
mean the EPA officers or employees particular information in question, the
occupying the positions so titled. provision of the special rule shall gov-
(m) EPA office means any organiza- ern.
tional element of EPA, at any level or (d) If two or more of the sections con-
location. (The terms EPA office and taining special rules apply to the par-
EPA legal office are used in this subpart ticular information in question, and
for the sake of brevity and ease of ref- the applicable sections prescribe con-
erence. When this subpart requires that flicting special rules for the treatment
an action be taken by an EPA office or of the information, the rule which pro-
by an EPA legal office, it is the respon- vides greater or wider availability to
sibility of the officer or employee in the public of the information shall gov-
charge of that office to take the action ern.
or ensure that it is taken.)
(e) For most purposes, a document or
(n) EPA legal office means the EPA
other record may usefully be treated as
General Counsel and any EPA office
a single unit of information, even
over which the General Counsel exer-
though in fact the document or record
cises supervisory authority, including
is comprised of a collection of indi-
the various Offices of Regional Coun-
vidual items of information. However,
sel. (See paragraph (m) of this section.)
in applying the provisions of this sub-
(o) A working day is any day on which
part, it will often be necessary to sepa-
Federal Government offices are open
rate the individual items of informa-
for normal business. Saturdays, Sun-
days, and official Federal holidays are tion into two or more categories, and
not working days; all other days are. to afford different treatment to the in-
formation in each such category. The
§ 2.202 Applicability of subpart; pri- need for differentiation of this type
ority where provisions conflict; may arise, e.g., because a business con-
records containing more than one fidentiality claim covers only a portion
kind of information. of a record, or because only a portion
(a) Sections 2.201 through 2.215 estab- of the record is eligible for confidential
lish basic rules governing business con- treatment. EPA offices taking action
fidentiality claims, the handling by under this subpart must be alert to this
EPA of business information which is problem.
or may be entitled to confidential (f) In taking actions under this sub-
treatment, and determinations by EPA part, EPA offices should consider
of whether information is entitled to whether it is possible to obtain the af-
confidential treatment for reasons of fected business’s consent to disclosure
business confidentiality. of useful portions of records while pro-
(b) Various statutes (other than 5 tecting the information which is or
U.S.C. 552) under which EPA operates may be entitled to confidentiality (e.g.,
contain special provisions concerning by withholding such portions of a
the entitlement to confidential treat- record as would identify a business, or
34
by disclosing data in the form of indus- notice employing language such as

try-wide aggregates, multi-year aver- trade secret, proprietary, or company con-
ages or totals, or some similar form). fidential. Allegedly confidential por-
(g) This subpart does not apply to tions of otherwise non-confidential
questions concerning entitlement to documents should be clearly identified
confidential treatment or information by the business, and may be submitted
which concerns an individual solely in separately to facilitate identification
his personal, as opposed to business, and handling by EPA. If the business
capacity. desires confidential treatment only
[41 FR 36902, Sept. 1, 1976, as amended at 43
until a certain date or until the occur-
FR 40000, Sept. 8, 1978; 50 FR 51661, Dec. 18, rence of a certain event, the notice
1985] should so state.
(c) Effect of failure to assert claim at
§ 2.203 Notice to be included in EPA time of submission of information. If in-
requests, demands, and forms; formation was submitted by a business
method of asserting business con- to EPA on or after October 1, 1976, in
fidentiality claim; effect of failure
to assert claim at time of submis- response to an EPA request or demand
sion. (or on an EPA-prescribed form) which
contained the substance of the notice
(a) Notice to be included in certain re- required by paragraph (a) of this sec-
quests and demands for information, and tion, and if no business confidentiality
in certain forms. Whenever an EPA of- claim accompanied the information
fice makes a written request or demand when it was received by EPA, the in-
that a business furnish information quiry to the business normally re-
which, in the office’s opinion, is likely quired by § 2.204(c)(2) need not be made.
to be regarded by the business as enti-
If a claim covering the information is
tled to confidential treatment under
received after the information itself is
this subpart, or whenever an EPA of-
received, EPA will make such efforts as
fice prescribes a form for use by busi-
are administratively practicable to as-
nesses in furnishing such information,
sociate the late claim with copies of
the request, demand, or form shall in-
the previously-submitted information
clude or enclose a notice which—
in EPA files (see § 2.204(c)(1)). However,
(1) States that the business may, if it
EPA cannot assure that such efforts
desires, assert a business confiden-
will be effective, in light of the possi-
tiality claim covering part or all of the
bility of prior disclosure or widespread
information, in the manner described
prior dissemination of the information.
by paragraph (b) of this section, and
that information covered by such a § 2.204 Initial action by EPA office.
claim will be disclosed by EPA only to
the extent, and by means of the proce- (a) Situations requiring action. This
dures, set forth in this subpart; section prescribes procedures to be
(2) States that if no such claim ac- used by EPA offices in making initial
companies the information when it is determinations of whether business in-
received by EPA, it may be made avail- formation is entitled to confidential
able to the public by EPA without fur- treatment for reasons of business con-
ther notice to the business; and fidentiality. Action shall be taken
(3) Furnishes a citation of the loca- under this section whenever an EPA of-
tion of this subpart in the Code of Fed- fice:
eral Regulations and the FEDERAL REG- (1) Learns that it is responsible for
ISTER. responding to a request under 5 U.S.C.
(b) Method and time of asserting busi- 552 for the release of business informa-
ness confidentiality claim. A business tion; in such a case, the office shall
which is submitting information to issue an initial determination within
EPA may assert a business confiden- the period specified in § 2.112;
tiality claim covering the information (2) Desires to determine whether
by placing on (or attaching to) the in- business information in its possession
formation, at the time it is submitted is entitled to confidential treatment,

to EPA, a cover sheet, stamped or even though no request for release of
typed legend, or other suitable form of the information has been received; or
35
§ 2.204 40 CFR Ch. I (7–1–21 Edition)
(3) Determines that it is likely that information. If any business is found to

EPA eventually will be requested to have asserted an applicable claim, the
disclose the information at some future office shall take action under para-
date and thus will have to determine graph (d) of this section with respect to
whether the information is entitled to each such claim.
confidential treatment. In such a case (2)(i) If the examination conducted
this section’s procedures should be ini- under paragraph (c)(1) of this section
tiated at the earliest practicable time, discloses the existence of any business
in order to increase the time available which, although it has not asserted a
for preparation and submission of com- claim, might be expected to assert a
ments and for issuance of determina- claim if it knew EPA proposed to dis-
tions, and to make easier the task of close the information, the EPA office
meeting response deadlines if a request shall contact a responsible official of
for release of the information is later each such business to learn whether
received under 5 U.S.C. 552. the business asserts a claim covering
(b) Previous confidentiality determina- the information. However, no such in-
tion. The EPA office shall first ascer- quiry need be made to any business—
tain whether there has been a previous (A) Which failed to assert a claim
determination, issued by a Federal covering the information when re-
court or by an EPA legal office acting sponding to an EPA request or demand,
under this subpart, holding that the in- or supplying information on an EPA
formation in question is entitled to form, which contained the substance of
confidential treatment for reasons of the statements prescribed by § 2.203(a);
business confidentiality. (B) Which otherwise failed to assert a
(1) If such a determination holds that claim covering the information after
the information is entitled to confiden- being informed by EPA that such fail-
tial treatment, the EPA Office shall ure could result in disclosure of the in-
furnish any person whose request for formation to the public; or
the information is pending under 5 (C) Which has otherwise waived or
U.S.C. 552 an initial determination (see withdrawn a claim covering the infor-
§ 2.111 and § 2.113) that the information mation.
has previously been determined to be (ii) If a request for release of the in-
entitled to confidential treatment, and formation under 5 U.S.C. 552 is pending
that the request is therefore denied. at the time inquiry is made under this
The office shall furnish such person the paragraph (c)(2), the inquiry shall be
appropriate case citation or EPA deter- made by telephone or equally prompt
mination. If the EPA office believes means, and the responsible official con-
that a previous determination which tacted shall be informed that any
was issued by an EPA legal office may claim the business wishes to assert
be improper or no longer valid, the of- must be brought to the EPA office’s at-
fice shall so inform the EPA legal of- tention no later than the close of busi-
fice, which shall consider taking action ness on the third working day after
under § 2.205(h). such inquiry.
(2) With respect to all information (iii) A record shall be kept of the re-
not known to be covered by such a pre- sults of any inquiry under this para-
vious determination, the EPA office graph (c)(2). If any business makes a
shall take action under paragraph (c) claim covering the information, the
of this section. EPA office shall take further action
(c) Determining existence of business under paragraph (d) of this section.
confidentiality claims. (1) Whenever ac- (3) If, after the examination under
tion under this paragraph is required paragraph (c)(1) of this section, and
by paragraph (b)(2) of this section, the after any inquiry made under para-
EPA office shall examine the informa- graph (c)(2) of this section, the EPA of-
tion and the office’s records to deter- fice knows of no claim covering the in-
mine which businesses, if any, are af- formation and the time for response to
fected businesses (see § 2.201(d)), and to any inquiry has passed, the informa-
determine which businesses if any, tion shall be treated for purposes of

have asserted business confidentiality this subpart as not entitled to con-
claims which remain applicable to the fidential treatment.
36
(d) Preliminary determination. When- be forwarded promptly to the appro-

ever action under this paragraph is re- priate EPA legal office.
quired by paragraph (c)(1) or (2) of this (e) Notice to affected businesses; oppor-
section on any business’s claim, the tunity to comment. (1) Whenever re-
EPA Office shall make a determination quired by paragraph (d)(1) of this sec-
with respect to each such claim. Each tion, the EPA office shall promptly fur-
determination shall be made after con- nish each business a written notice
sideration of the provisions of § 2.203, stating that EPA is determining under
the applicable substantive criteria in this subpart whether the information
§ 2.208 or elsewhere in this subpart, and is entitled to confidential treatment,
any previously-issued determinations and affording the business an oppor-
under this subpart which are applica- tunity to comment. The notice shall be
ble. furnished by certified mail (return re-
(1) If, in connection with any ceipt requested), by personal delivery,
business’s claim, the office determines or by other means which allows
that the information may be entitled verification of the fact and date of re-
to confidential treatment, the office ceipt. The notice shall state the ad-
shall— dress of the office to which the
(i) Furnish the notice of opportunity business’s comments shall be addressed
to submit comments prescribed by (the EPA office furnishing the notice,
paragraph (e) of this section to each unless the General Counsel has di-
business which is known to have as- rected otherwise), the time allowed for
serted an applicable claim and which comments, and the method for request-
has not previously been furnished such ing a time extension under § 2.205(b)(2).
notice with regard to the information The notice shall further state that
in question; EPA will construe a business’s failure
to furnish timely comments as a waiv-
(ii) Furnish, to any person whose re-
er of the business’s claim.
quest for release of the information is
(2) If action under this section is oc-
pending under 5 U.S.C. 552, a deter-
casioned by a request for the informa-
mination (in accordance with § 2.113)
tion under 5 U.S.C. 552, the period for
that the information may be entitled comments shall be 15 working days
to confidential treatment under this after the date of the business’s receipt
subpart and 5 U.S.C. 552(b)(4), that fur- of the written notice. In other cases,
ther inquiry by EPA pursuant to this the EPA office shall establish a reason-
subpart is required before a final deter- able period for comments (not less than
mination on the request can be issued, 15 working days after the business’s re-
that the person’s request is therefore ceipt of the written notice). The time
initially denied, and that after further period for comments shall be consid-
inquiry a final determination will be ered met if the business’s comments
issued by an EPA legal office; and are postmarked or hand delivered to
(iii) Refer the matter to the appro- the office designated in the notice by
priate EPA legal office, furnishing the the date specified. In all cases, the no-
information required by paragraph (f) tice shall call the business’s attention
of this section after the time has to the provisions of § 2.205(b).
elapsed for receipt of comments from (3) At or about the time the written
the affected business. notice is furnished, the EPA office
(2) If, in connection with all applica- shall orally inform a responsible rep-
ble claims, the office determines that resentative of the business (by tele-
the information clearly is not entitled phone or otherwise) that the business
to confidential treatment, the office should expect to receive the written
shall take the actions required by notice, and shall request the business
§ 2.205(f). However, if a business has pre- to contact the EPA office if the written
viously been furnished notice under notice has not been received within a
§ 2.205(f) with respect to the same infor- few days, so that EPA may furnish a
mation, no further notice need be fur- duplicate notice.
nished to that business. A copy of each (4) The written notice required by
notice furnished to a business under paragraph (e)(1) of this section shall in-
this paragraph (d)(2) and § 2.205(f) shall vite the business’s comments on the
37
§ 2.205 40 CFR Ch. I (7–1–21 Edition)
following points (subject to paragraph to an EPA legal office under paragraph

(e)(5) of this section): (d)(1) of this section, the EPA office
(i) The portions of the information taking action under this section shall
which are alleged to be entitled to con- forward promptly to the EPA legal of-
fidential treatment; fice the following items:
(ii) The period of time for which con- (1) A copy of the information in ques-
fidential treatment is desired by the tion, or (where the quantity or form of
business (e.g., until a certain date, the information makes forwarding a
until the occurrence of a specified copy of the information impractical)
event, or permanently); representative samples, a description
(iii) The purpose for which the infor- of the information, or both;
mation was furnished to EPA and the (2) A description of the cir-
approximate date of submission, if cumstances and date of EPA’s acquisi-
known; tion of the information;
(iv) Whether a business confiden- (3) The name, address, and telephone
tiality claim accompanied the informa- number of the EPA employee(s) most
tion when it was received by EPA; familiar with the information;
(v) Measures taken by the business to (4) The name, address and telephone
guard against undesired disclosure of number of each business which asserts
the information to others; an applicable business confidentiality
(vi) The extent to which the informa- claim;
tion has been disclosed to others, and (5) A copy of each applicable claim
the precautions taken in connection (or the record of the assertion of the
therewith; claim), and a description of when and
(vii) Pertinent confidentiality deter- how each claim was asserted;
minations, if any, by EPA or other (6) Comments concerning each
Federal agencies, and a copy of any business’s compliance or noncompli-
such determination, or reference to it, ance with applicable requirements of
if available; § 2.203;
(viii) Whether the business asserts (7) A copy of any request for release
that disclosure of the information of the information pending under 5
would be likely to result in substantial U.S.C. 552;
harmful effects on the business’ com-
(8) A copy of the business’s comments
petitive position, and if so, what those
on whether the information is entitled
harmful effects would be, why they
to confidential treatment;
should be viewed as substantial, and an
(9) The office’s comments concerning
explanation of the causal relationship
the appropriate substantive criteria
between disclosure and such harmful
under this subpart, and information
effects; and
the office possesses concerning the in-
(ix) Whether the business asserts
formation’s entitlement to confidential
that the information is voluntarily
treatment; and
submitted information as defined in
§ 2.201(i), and if so, whether and why (10) Copies of other correspondence or
disclosure of the information would memoranda which pertain to the mat-
tend to lessen the availability to EPA ter.
of similar information in the future. [41 FR 36902, Sept. 1, 1976, as amended at 43
(5) To the extent that the EPA office FR 40000, Sept. 8, 1978; 50 FR 51661, Dec. 18,
already possesses the relevant facts, 1985]
the notice need not solicit responses to
the matters addressed in paragraphs § 2.205 Final confidentiality deter-
(e)(4) (i) through (ix) of this section, al- mination by EPA legal office.
though the notice shall request con- (a) Role of EPA legal office. (1) The ap-
firmation of EPA’s understanding of propriate EPA legal office (see para-
such facts where appropriate. graph (i) of this section) is responsible
(6) The notice shall refer to § 2.205(c) for making the final administrative de-
and shall include the statement pre- termination of whether or not business
scribed by § 2.203(a). information covered by a business con-

(f) Materials to be furnished to EPA fidentiality claim is entitled to con-
legal office. When a matter is referred fidential treatment under this subpart.
38
(2) When a request for release of the shall promptly inquire whether the
information under 5 U.S.C. 552 is pend- business has complied with paragraph
ing, the EPA legal office’s determina- (b)(1) of this section. If the business has
tion shall serve as the final determina- complied with paragraph (b)(1) but the
tion on appeal from an initial denial of comments have been lost in trans-
the request. mission, duplicate comments shall be
(i) If the initial denial was issued requested.
under § 2.204(b)(1), a final determination (c) Confidential treatment of comments
by the EPA legal office is necessary from business. If information submitted
only if the requestor has actually filed to EPA by a business as part of its
an appeal. comments under this section pertains
(ii) If the initial denial was issued to the business’s claim, is not other-
under § 2.204(d)(1), however, the EPA wise possessed by EPA, and is marked
legal office shall issue a final deter- when received in accordance with
mination in every case, unless the re- § 2.203(b), it will be regarded by EPA as
quest has been withdrawn. (Initial de- entitled to confidential treatment and
nials under § 2.204(d)(1) are of a proce- will not be disclosed by EPA without
dural nature, to allow further inquiry the business’s consent, unless its dis-
into the merits of the matter, and a re- closure is duly ordered by a Federal
questor is entitled to a decision on the court, notwithstanding other provi-
merits.) If an appeal from such a denial sions of this subpart to the contrary.
has not been received by the EPA Free- (d) Types of final determinations; mat-
dom of Information Officer on the
ters to be considered. (1) If the EPA legal
tenth working day after issuance of the
office finds that a business has failed to
denial, the matter shall be handled as
furnish comments under paragraph (b)
if an appeal had been received on that
of this section by the specified due
day, for purposes of establishing a
date, it shall determine that the busi-
schedule for issuance of an appeal deci-
ness has waived its claim. If, after ap-
sion under § 2.117 of this part.
plication of the preceding sentence, no
(b) Comment period; extensions; untime-
claim applies to the information, the
liness as waiver of claim. (1) Each busi-
office shall determine that the infor-
ness which has been furnished the no-
mation is not entitled to confidential
tice and opportunity to comment pre-
scribed by § 2.204(d)(1) and § 2.204(e) treatment under this subpart and, sub-
shall furnish its comments to the office ject to § 2.210, is available to the public.
specified in the notice in time to be (2) In all other cases, the EPA legal
postmarked or hand delivered to that office shall consider each business’s
office not later than the date specified claim and comments, the various pro-
in the notice (or the date established in visions of this subpart, any previously-
lieu thereof under this section). issued determinations under this sub-
(2) The period for submission of com- part which are pertinent, the materials
ments may be extended if, before the furnished it under § 2.204(f), and such
comments are due, a request for an ex- other materials as it finds appropriate.
tension of the comment period is made With respect to each claim, the office
by the business and approved by the shall determine whether or not the in-
EPA legal office. Except in extraor- formation is entitled to confidential
dinary circumstances, the EPA legal treatment for the benefit of the busi-
office will not approve such an exten- ness that asserted the claim, and the
sion without the consent of any person period of any such entitlement (e.g.,
whose request for release of the infor- until a certain date, until the occur-
mation under 5 U.S.C. 552 is pending. rence of a specified event, or perma-
(3) The period for submission of com- nently), and shall take further action
ments by a business may be shortened under paragraph (e) or (f) of this sec-
in the manner described in paragraph tion, as appropriate.
(g) of this section. (3) Whenever the claims of two or
(4) If a business’s comments have not more businesses apply to the same in-
been received by the specified EPA of- formation, the EPA legal office shall
fice by the date they are due (including take action appropriate under the par-
any approved extension), that office ticular circumstances to protect the
39
§ 2.205 40 CFR Ch. I (7–1–21 Edition)
interests of all persons concerned (in- final agency action may be subject to
cluding any person whose request for judicial review under Chapter 7 of Title
the information is pending under 5 5, United States Code. With respect to
U.S.C. 552). EPA’s implementation of the deter-
(e) Determination that information is mination, the notice shall state that
entitled to confidential treatment. If the (subject to § 2.210) EPA will make the
EPA legal office determines that the information available to the public on
information is entitled to confidential the tenth working day after the date of
treatment for the full period requested the business’s receipt of the written
by the business which made the claim, notice (or on such later date as is es-
EPA shall maintain the information in tablished in lieu thereof by the EPA
confidence for such period, subject to legal office under paragraph (f)(3) of
paragraph (h) of this section, § 2.209, this section), unless the EPA legal of-
and the other provisions of this subpart fice has first been notified of the
which authorize disclosure in specified business’s commencement of an action
circumstances, and the office shall so in a Federal court to obtain judicial re-
inform the business. If any person’s review of the determination, and to ob-
quest for the release of the information tain preliminary injunctive relief
is then pending under 5 U.S.C. 552, the against disclosure. The notice shall
EPA legal office shall issue a final de- further state that if such an action is
termination denying that request. timely commenced, EPA may nonethe-
(f) Determination that information is less make the information available to
not entitled to confidential treatment; no-
the public (in the absence of an order
tice; waiting period; release of informa-
by the court to the contrary), once the
tion. (1) Notice of denial (or partial de-
court has denied a motion for a pre-
nial) of a business confidentiality
liminary injunction in the action or
claim, in the form prescribed by para-
has otherwise upheld the EPA deter-
graph (f)(2) of this section, shall be fur-
mination, or whenever it appears to
nished—
the EPA legal office, after reasonable
(i) By the EPA office taking action
notice to the business, that the busi-
under § 2.204, to each business on behalf
ness is not taking appropriate meas-
of which a claim has been made, when-
ures to obtain a speedy resolution of
ever § 2.204(d)(2) requires such notice;
and the action. If the information has been
(ii) By the EPA legal office taking found to be temporarily entitled to
action under this section, to each busi- confidential treatment, the notice
ness which has asserted a claim appli- shall further state that the informa-
cable to the information and which has tion will not be disclosed prior to the
furnished timely comments under para- end of the period of such temporary en-
graph (b) of this section, whenever the titlement to confidential treatment.
EPA legal office determines that the (3) The period established in a notice
information is not entitled to confiden- under paragraph (f)(2) of this section
tial treatment under this subpart for for commencement of an action to ob-
the benefit of the business, or deter- tain judicial review may be extended if,
mines that the period of any entitle- before the expiration of such period, a
ment to confidential treatment is request for an extension is made by the
shorter than that requested by the business and approved by the EPA
business. legal office. Except in extraordinary
(2) The notice prescribed by para- circumstances, the EPA legal office
graph (f)(1) of this section shall be will not approve such an extension
written, and shall be furnished by cer- without the consent of any person
tified mail (return receipt requested), whose request for release of the infor-
by personal delivery, or by other means mation under 5 U.S.C. 552 is pending.
which allows verification of the fact of (4) After the expiration of any period
receipt and the date of receipt. The no- of temporary entitlement to confiden-
tice shall state the basis for the deter- tial treatment, a determination under
mination, that it constitutes final this paragraph (f) shall be implemented

agency action concerning the business by the EPA legal office by making the
confidentiality claim, and that such information available to the public (in
40
the absence of a court order prohib- tion is of questionable validity, it shall

iting disclosure) whenever— so inform the business, and shall afford
(i) The period provided for com- the business an opportunity to furnish
mencement by a business of an action comments on pertinent issues in the
to obtain judicial review of the deter- manner described by § 2.204(e) and para-
mination has expired without notice to graph (b) of this section. If, after con-
the EPA legal office of commencement sideration of any timely comments
of such an action; submitted by the business, the EPA
(ii) The court, in a timely-com- legal office makes a revised final deter-
menced action, has denied the business’ mination that the information is not
motion for a preliminary injunction, or entitled to confidential treatment, or
has otherwise upheld the EPA deter- that the period of entitlement to such
mination; or treatment will end sooner than it
(iii) The EPA legal office, after rea- would have ended under the earlier de-
sonable notice has been provided to the termination, the office will follow the
business, finds that the business is not procedure described in paragraph (f) of
taking appropriate measures to obtain this section. Determinations under this
a speedy resolution of the timely-com- section may be made only by, or with
menced action. the concurrence of, the General Coun-
(5) Any person whose request for re- sel.
lease of the information under 5 U.S.C. (i) Delegation and redelegation of au-
552 is pending at the time notice is thority. Unless the General Counsel
given under paragraph (f)(2) of this sec- otherwise directs, or this subpart oth-
tion shall be furnished a determination erwise specifically provides, determina-
under 5 U.S.C. 552 stating the cir- tions and actions required by this sub-
cumstances under which the informa- part to be made or taken by an EPA
tion will be released. legal office shall be made or taken by
(g) Emergency situations. If the Gen- the appropriate Regional counsel when-
eral Counsel finds that disclosure of in- ever the EPA office taking action
formation covered by a claim would be under § 2.204 or § 2.206(b) is under the su-
helpful in alleviating a situation pos- pervision of a Regional Administrator,
ing an imminent and substantial dan- and by the General Counsel in all other
ger to public health or safety, he may cases. The General Counsel may redele-
prescribe and make known to inter- gate any or all of his authority under
ested persons such shorter comment this subpart to any attorney employed
period (paragraph (b) of this section), by EPA on a full-time basis under the
post-determination waiting period General Counsel’s supervision. A Re-
(paragraph (f) of this section), or both, gional Counsel may redelegate any or
as he finds necessary under the cir- all of his authority under this subpart
cumstances. to any attorney employed by EPA on a
(h) Modification of prior determina- full-time basis under the Regional
tions. A determination that informa- counsel’s supervision.
tion is entitled to confidential treat- [41 FR 36902, Sept. 1, 1976, as amended at 50
ment for the benefit of a business, FR 51661, Dec. 18, 1985]
made under this subpart by an EPA
legal office, shall continue in effect in § 2.206 Advance confidentiality deter-
accordance with its terms until an minations.
EPA legal office taking action under (a) An advance determination under
this section, or under § 2.206 or § 2.207, this section may be issued by an EPA
issues a final determination stating legal office if—
that the earlier determination no (1) EPA has requested or demanded
longer describes correctly the informa- that a business furnish business infor-
tion’s entitlement to confidential mation to EPA;
treatment because of change in the ap- (2) The business asserts that the in-
plicable law, newly-discovered or formation, if submitted, would con-
changed facts, or because the earlier stitute voluntarily submitted informa-
determination was clearly erroneous. If tion under § 2.201(i);

an EPA legal office tentatively con- (3) The business will voluntarily sub-
cludes that such an earlier determina- mit the information for use by EPA
41
§ 2.207 40 CFR Ch. I (7–1–21 Edition)
only if EPA first determines that the (e) If the EPA legal office determines
information is entitled to confidential that the information would constitute
treatment under this subpart; and voluntarily submitted information and
(4) The EPA office which desires sub- that it is entitled to confidential treat-
mission of the information has re- ment, it shall so inform the EPA office
quested that the EPA legal office issue which requested the determination and
a determination under this section. the business which submitted it, and
(b) The EPA office requesting an ad- shall forward the information to the
vance determination under this section EPA office which requested the deter-
shall— mination.
(1) Arrange to have the business fur-
nish directly to the EPA legal office a § 2.207 Class determinations.
copy of the information (or, where fea- (a) The General Counsel may make
sible, a description of the nature of the and issue a class determination under
information sufficient to allow a deter- this section if he finds that—
mination to be made), as well as the (1) EPA possesses, or is obtaining, re-
business’s comments concerning the lated items of business information;
matters addressed in § 2.204(e)(4), ex- (2) One or more characteristics com-
cluding, however, matters addressed in mon to all such items of information
§ 2.204 (e)(4)(iii) and (e)(4)(iv); and will necessarily result in identical
(2) Furnish to the EPA legal office treatment for each such item under
the materials referred to in § 2.204(f) (3), one or more of the provisions in this
(7), (8), and (9). subpart, and that it is therefore proper
(c) In making a determination under to treat all such items as a class for
this section, the EPA legal office shall one or more purposes under this sub-
first determine whether or not the in- part; and
formation would constitute voluntarily (3) A class determination would serve
submitted information under § 2.201(i). a useful purpose.
If the information would constitute (b) A class determination shall clear-
voluntarily submitted information, the ly identify the class of information to
legal office shall further determine which it pertains.
whether the information is entitled to (c) A class determination may state
confidential treatment. that all of the information in the
(d) If the EPA legal office determines class—
that the information would not con- (1) Is, or is not, voluntarily sub-
stitute voluntarily submitted informa- mitted information under § 2.201(i);
tion, or determines that it would con- (2) Is, or is not, governed by a par-
stitute voluntarily submitted informa- ticular section of this subpart, or by a
tion but would not be entitled to con- particular set of substantive criteria
fidential treatment, it shall so inform under this subpart;
the business and the EPA office which (3) Fails to satisfy one or more of the
requested the determination, stating applicable substantive criteria, and is
the basis of the determination, and therefore ineligible for confidential
shall return to the business all copies treatment;
of the information which it may have (4) Satisfies one or more of the appli-
received from the business (except that cable substantive criteria; or
if a request under 5 U.S.C. 552 for re- (5) Satisfies one or more of the appli-
lease of the information is received cable substantive criteria during a cer-
while the EPA legal office is in posses- tain period, but will be ineligible for
sion of the information, the legal office confidential treatment thereafter.
shall retain a copy of the information, (d) The purpose of a class determina-
but shall not disclose it unless ordered tion is simply to make known the
by a Federal court to do so). The legal Agency’s position regarding the man-
office shall not disclose the informa- ner in which information within the
tion to any other EPA office or em- class will be treated under one or more
ployee and shall not use the informa- of the provisions of this subpart. Ac-
tion for any purpose except the deter- cordingly, the notice of opportunity to
mination under this section, unless submit comments referred to in
otherwise directed by a Federal court. § 2.204(d)(1)(ii) and § 2.205(b), and the list
42
of materials required to be furnished to public may nonetheless be disclosed to

the EPA legal office under the persons, and in the circumstances,
§ 2.204(d)(1)(iii), may be modified to re- described by paragraphs (b) through (g)
flect the fact that the class determina- of this section. (This section shall not
tion has made unnecessary the submis- be construed to restrict the disclosure
sion of materials pertinent to one or of information which has been deter-
more issues. Moreover, in appropriate mined to be available to the public.
cases, action based on the class deter- However, business information for
mination may be taken under which a claim of confidentiality has
§ 2.204(b)(1), § 2.204(d), § 2.205(d), or been asserted shall be treated as being
§ 2.206. However, the existence of a class entitled to confidential treatment
determination shall not, of itself, af- until there has been a determination in
fect any right a business may have to accordance with the procedures of this
receive any notice under § 2.204(d)(2) or subpart that the information is not en-
§ 2.205(f). titled to confidential treatment.)
§ 2.208 Substantive criteria for use in (b) Disclosure to Congress or the Comp-
confidentiality determinations. troller General. (1) Upon receipt of a
written request by the Speaker of the
Determinations issued under §§ 2.204 House, President of the Senate, chair-
through 2.207 shall hold that business man of a committee or subcommittee,
information is entitled to confidential or the Comptroller General, as appro-
treatment for the benefit of a par- priate, EPA will disclose business in-
ticular business if—
formation to either House of Congress,
(a) The business has asserted a busi-
to a committee or subcommittee of
ness confidentiality claim which has
Congress, or to the Comptroller Gen-
not expired by its terms, nor been
eral, unless a statute forbids such dis-
waived nor withdrawn;
closure.
(b) The business has satisfactorily
shown that it has taken reasonable (2) If the request is for business infor-
measures to protect the confidentiality mation claimed as confidential or de-
of the information, and that it intends termined to be confidential, the EPA
to continue to take such measures; office processing the request shall pro-
(c) The information is not, and has vide notice to each affected business of
not been, reasonably obtainable with- the type of information disclosed and
out the business’s consent by other to whom it is disclosed. Notice shall be
persons (other than governmental bod- given at least ten days prior to disclo-
ies) by use of legitimate means (other sure, except where it is not possible to
than discovery based on a showing of provide notice ten days in advance of
special need in a judicial or quasi-judi- any date established by the requesting
cial proceeding); body for responding to the request.
(d) No statute specifically requires Where ten days advance notice cannot
disclosure of the information; and be given, as much advance notice as
(e) Either— possible shall be provided. Where no-
(1) The business has satisfactorily tice cannot be given before the date es-
shown that disclosure of the informa- tablished by the requesting body for re-
tion is likely to cause substantial harm sponding to the request, notice shall be
to the business’s competitive position; given as promptly after disclosure as
or possible. Such notice may be given by
(2) The information is voluntarily notice published in the FEDERAL REG-
submitted information (see § 2.201(i)), ISTER or by letter sent by certified
and its disclosure would be likely to mail, return receipt requested, or tele-
impair the Government’s ability to ob- gram. However, if the requesting body
tain necessary information in the fu- asks in writing that no notice under
ture. this subsection be given, EPA will give
no notice.
§ 2.209 Disclosure in special cir- (3) At the time EPA discloses the
cumstances. business information, EPA will inform

(a) General. Information which, under the requesting body of any unresolved
this subpart, is not available to the business confidentiality claim known
43
§ 2.209 40 CFR Ch. I (7–1–21 Edition)
to cover the information and of any de- mation designated as confidential un-
termination under this subpart that less—
the information is entitled to confiden- (i) The other agency has statutory
tial treatment. authority both to compel production of
(c) Disclosure to other Federal agencies. the information and to make the pro-
EPA may disclose business information posed disclosure, and the other agency
to another Federal agency if— has, prior to disclosure of the informa-
(1) EPA receives a written request for tion to anyone other than its officers
disclosures of the information from a and employees, furnished to each af-
duly authorized officer or employee of fected business at least the same notice
the other agency or on the initiative of to which the affected business would be
EPA when such disclosure is necessary entitled under this subpart;
to enable the other agency to carry out (ii) The other agency has obtained
a function on behalf of EPA; the consent of each affected business to
(2) The request, if any, sets forth the the proposed disclosure; or
official purpose for which the informa- (iii) The other agency has obtained a
tion is needed; written statement from the EPA Gen-
(3) When the information has been eral Counsel or an EPA Regional Coun-
claimed as confidential or has been de- sel that disclosure of the information
termined to be confidential, the re- would be proper under this subpart.
sponsible EPA office provides notice to (d) Court-ordered disclosure. EPA may
each affected business of the type of in- disclose any business information in
formation to be disclosed and to whom any manner and to the extent ordered
it is to be disclosed. At the discretion by a Federal court. Where possible, and
of the office, such notice may be given when not in violation of a specific di-
by notice published in the FEDERAL rective from the court, the EPA office
REGISTER at least 10 days prior to dis- disclosing information claimed as con-
closure, or by letter sent by certified fidential or determined to be confiden-
mail return receipt requested or tele- tial shall provide as much advance no-
gram either of which must be received tice as possible to each affected busi-
by the affected business at least 10 ness of the type of information to be
days prior to disclosure. However, no disclosed and to whom it is to be dis-
notice shall be required when EPA fur- closed, unless the affected business has
nishes business information to another actual notice of the court order. At the
Federal agency to perform a function discretion of the office, subject to any
on behalf of EPA, including but not restrictions by the court, such notice
limited to— may be given by notice in the FEDERAL
(i) Disclosure to the Department of REGISTER, letter sent by certified mail
Justice for purposes of investigation or return receipt requested, or telegram.
prosecution of civil or criminal viola- (e) Disclosure within EPA. An EPA of-
tions of Federal law related to EPA ac- fice, officer, or employee may disclose
tivities; any business information to another
(ii) Disclosure to the Department of EPA office, officer, or employee with
Justice for purposes of representing an official need for the information.
EPA in any matter; or (f) Disclosure with consent of business.
(iii) Disclosure to any Federal agency EPA may disclose any business infor-
for purposes of performing an EPA mation to any person if EPA has ob-
statutory function under an inter- tained the prior consent of each af-
agency agreement. fected business to such disclosure.
(4) EPA notifies the other agency of (g) Record of disclosures to be main-
any unresolved business confidentiality tained. Each EPA office which discloses
claim covering the information and of information to Congress, a committee
any determination under this subpart or subcommittee of Congress, the
that the information is entitled to con- Comptroller General, or another Fed-
fidential treatment, and that further eral agency under the authority of
disclosure of the information may be a paragraph (b) or (c) of this section,
violation of 18 U.S.C. 1905; and shall maintain a record of the fact of

(5) The other agency agrees in writ- such disclosure for a period of not less
ing not to disclose further any infor- than 36 months after such disclosure.
44
Such a record, which may be in the such information and to protect

form of a log, shall show the name of against its improper disclosure.
the affected businesses, the date of dis- (c) Violation of paragraph (a) or (b) of
closure, the person or body to whom this section shall constitute grounds
disclosure was made, and a description for dismissal, suspension, fine, or other
of the information disclosed. adverse personnel action. Willful viola-
tion of paragraph (a) of this section
FR 40000, Sept. 8, 1978; 50 FR 51661, Dec. 18, may result in criminal prosecution
1985] under 18 U.S.C. 1905 or other applicable
statute.
§ 2.210 Nondisclosure for reasons (d) Each contractor or subcontractor
other than business confidentiality with the United States Government,
or where disclosure is prohibited and each employee of such contractor
by other statute. or subcontractor, who is furnished
(a) Information which is not entitled business information by EPA under
to confidential treatment under this § 2.301(h), § 2.302(h), § 2.304(h), § 2.305(h),
subpart shall be made available to the § 2.306(j), § 2.307(h), § 2.308(i), or § 2.310(h)
public (using the procedures set forth shall use or disclose that information
in §§ 2.204 and 2.205) if its release is re- only as permitted by the contract or
quested under 5 U.S.C. 552, unless EPA subcontract under which the informa-
determines (under subpart A of this tion was furnished. Contractors or sub-
part) that, for reasons other than rea- contractors shall take steps to prop-
sons of business confidentiality, the in- erly safeguard business information in-
formation is exempt from mandatory cluding following any security proce-
disclosure and cannot or should not be dures for handling and safeguarding
made available to the public. Any such business information which are con-
determination under subpart A shall be tained in any manuals, procedures, reg-
coordinated with actions taken under ulations, or guidelines provided by
this subpart for the purpose of avoiding EPA. Any violation of this paragraph
delay in responding to requests under 5 shall constitute grounds for suspension
U.S.C. 552. or debarment of the contractor or sub-
(b) Notwithstanding any other provi- contractor in question. A willful viola-
sion of this subpart, if any statute not tion of this paragraph may result in
cited in this subpart appears to require criminal prosecution.
EPA to give confidential treatment to [41 FR 36902, Sept. 1, 1976, as amended at 50
any business information for reasons of FR 51662, Dec. 18, 1985; 58 FR 461, Jan. 5, 1993]
business confidentiality, the matter
shall be referred promptly to an EPA § 2.212 Establishment of control offices
legal office for resolution. Pending res- for categories of business informa-
olution, such information shall be tion.
treated as if it were entitled to con- (a) The Administrator, by order, may
fidential treatment. establish one or more mutually exclu-
sive categories of business information,
§ 2.211 Safeguarding of business infor- and may designate for each such cat-
mation; penalty for wrongful disclo- egory an EPA office (hereinafter re-
sure.
ferred to as a control office) which shall
(a) No EPA officer or employee may have responsibility for taking actions
disclose, or use for his or her private (other than actions required to be
gain or advantage, any business infor- taken by an EPA legal office) with re-
mation which came into his or her pos- spect to all information within such
session, or to which he or she gained category.
access, by virtue of his or her official (b) If a control office has been as-
position or employment, except as au- signed responsibility for a category of
thorized by this subpart. business information, no other EPA of-
(b) Each EPA officer or employee fice, officer, or employee may make
who has custody or possession of busi- available to the public (or otherwise
ness information shall take appro- disclose to persons other than EPA of-
priate measures to properly safeguard ficers and employees) any information
45
§ 2.213 40 CFR Ch. I (7–1–21 Edition)
in that category without first obtain- (1) Inquiries concerning a business’s

ing the concurrence of the control of- desire to assert a business confiden-
fice. Requests under 5 U.S.C. 552 for re- tiality claim, under § 2.204(c)(2)(i)(A);
lease of such information shall be re- (2) Notices affording opportunity to
ferred to the control office. substantiate confidentiality claims,
(c) A control office shall take the ac- under § 2.204(d)(1) and § 2.204(e);
tions and make the determinations re- (3) Inquires concerning comments,
quired by § 2.204 with respect to all in- under § 2.205(b)(4);
formation in any category for which (4) Notices of denial of confidential
the control office has been assigned re- treatment and proposed disclosure of
sponsibility. information, under § 2.205(f);
(5) Notices concerning shortened
(d) A control office shall maintain a
comment and/or waiting periods under
record of the following, with respect to
§ 2.205(g);
items of business information in cat- (6) Notices concerning modifications
egories for which it has been assigned or overrulings of prior determinations,
responsibility: under § 2.205(h);
(1) Business confidentiality claims; (7) Notices to affected businesses
(2) Comments submitted in support of under §§ 2.301(g) and 2.301(h) and analo-
claims; gous provisions in §§ 2.302, 2.303, 2.304,
(3) Waivers and withdrawals of 2.305, 2.306, 2.307, and 2.308; and
claims; (8) Notices to affected businesses
(4) Actions and determinations by under § 2.209.
EPA under this subpart; (c) The Freedom of Information Offi-
(5) Actions by Federal courts; and cer shall, as quickly as possible, notify
(6) Related information concerning all EPA offices that may possess infor-
business confidentiality. mation submitted by the business to
EPA, the Regional Freedom of Infor-
§ 2.213 Designation by business of ad- mation Offices, the Office of General
dressee for notices and inquiries. Counsel, and the offices of Regional
Counsel of any designation received
(a) A business which wishes to des-
under this section. Businesses making
ignate a person or office as the proper
designations under this section should
addressee of communications from bear in mind that several working days
EPA to the business under this subpart may be required for dissemination of
may do so by furnishing in writing to this information within EPA and that
the Headquarters Freedom of Informa- some EPA offices may not receive no-
tion Operations (1105), Environmental tice of such designations.
Protection Agency, 1200 Pennsylvania
Ave., NW., Washington, DC 20460, the [41 FR 36902, Sept. 1, 1976, as amended at 43
following information: The name and FR 40001, Sept. 8, 1978]
address of the business making the des- § 2.214 Defense of Freedom of Informa-
ignation; the name, address, and tele- tion Act suits; participation by af-
phone number of the designated person fected business.
or office; and a request that EPA in- (a) In making final confidentiality
quiries and communications (oral and determinations under this subpart, the
written) under this subpart, including EPA legal office relies to a large extent
inquiries and notices which require upon the information furnished by the
reply within deadlines if the business is affected business to substantiate its
to avoid waiver of its rights under this claim of confidentiality. The EPA legal
subpart, be furnished to the designee office may be unable to verify the ac-
pursuant to this section. Only one per- curacy of much of the information sub-
son or office may serve at any one time mitted by the affected business.
as a business’s designee under this sub- (b) If the EPA legal office makes a
part. final confidentiality determination
(b) If a business has named a designee under this subpart that certain busi-
under this section, the following EPA ness information is entitled to con-
inquiries and notices to the business fidential treatment, and EPA is sued
shall be addressed to the designee: by a requester under the Freedom of
46
Information Act for disclosure of that (i) EPA has no statutory power to
information, EPA will: compel submission of the information
(1) Notify each affected business of directly from the affected business, or
the suit within 10 days after service of (ii) While EPA has statutory power
the complaint upon EPA; to compel submission of the informa-
(2) Where necessary to preparation of tion directly from the affected busi-
EPA’s defense, call upon each affected ness, compelling submission of the in-
business to furnish assistance; and formation directly from the business
(3) Not oppose a motion by any af- would—
fected business to intervene as a party (A) Require time in excess of that
to the suit under rule 24(b) of the Fed- available to the EPA office to perform
eral Rules of Civil Procedure. its necessary work with the informa-
(c) EPA will defend its final confiden- tion,
tiality determination, but EPA expects (B) Duplicate information already
the affected business to cooperate to collected by the other agency and over-
the fullest extent possible in this de- ly burden the affected business, or
fense. (C) Overly burden the resources of
EPA.
[43 FR 40001, Sept. 8, 1978] (d) To determine that an agreement
proposed under paragraph (b) of this
§ 2.215 Confidentiality agreements. section is proper, the General Counsel
(a) No EPA officer, employee, con- must find that the agreement states—
tractor, or subcontractor shall enter (1) The purpose for which the infor-
into any agreement with any affected mation is required by EPA;
business to keep business information (2) The conditions under which the
confidential unless such agreement is agency will furnish the information to
consistent with this subpart. No EPA EPA;
officer, employee, contractor, or sub- (3) The information subject to the
contractor shall promise any affected agreement;
business that business information will (4) That the agreement does not
be kept confidential unless the promise cover information acquired by EPA
is consistent with this subpart. from another source;
(b) If an EPA office has requested in- (5) The manner in which EPA will
formation from a State, local, or Fed- treat the information; and
eral agency and the agency refuses to (6) That EPA will treat the informa-
furnish the information to EPA be- tion in accordance with the agreement
cause the information is or may con- subject to an order of a Federal court
stitute confidential business informa- to disclose the information.
tion, the EPA office may enter into an (e) EPA will treat any information
agreement with the agency to keep the acquired pursuant to an agreement
information confidential, notwith- under paragraph (b) of this section in
standing the provisions of this subpart. accordance with the procedures of this
However, no such agreement shall be subpart except where the agreement
made unless the General Counsel deter- specifies otherwise.
mines that the agreement is necessary
[43 FR 40001, Sept. 8, 1978]
and proper.
(c) To determine that an agreement §§ 2.216–2.300 [Reserved]
proposed under paragraph (b) of this
section is necessary, the General Coun- § 2.301 Special rules governing certain
sel must find: information obtained under the
(1) The EPA office requesting the in- Clean Air Act.
formation needs the information to (a) Definitions. For the purpose of this
perform its functions; section:
(2) The agency will not furnish the (1) Act means the Clean Air Act, as
information to EPA without an agree- amended, 42 U.S.C. 7401 et seq.
ment by EPA to keep the information (2)(i) Emission data means, with ref-
confidential; and erence to any source of emission of any
(3) Either: substance into the air—
47
§ 2.301 40 CFR Ch. I (7–1–21 Edition)
(A) Information necessary to deter- tions which implement the Act, except
mine the identity, amount, frequency, for determinations under this subpart.
concentration, or other characteristics (5) Manufacturer has the meaning
(to the extent related to air quality) of given it in section 216(1) of the Act, 42
any emission which has been emitted U.S.C. 7550(1).
by the source (or of any pollutant re- (b) Applicability. (1) This section ap-
sulting from any emission by the plies to business information which
source), or any combination of the was—
foregoing; (i) Provided or obtained under sec-
(B) Information necessary to deter- tion 114 of the Act, 42 U.S.C. 7414, by
mine the identity, amount, frequency, the owner or operator of any sta-
concentration, or other characteristics tionary source, for the purpose (A) of
(to the extent related to air quality) of developing or assisting in the develop-
the emissions which, under an applica- ment of any implementation plan
ble standard or limitation, the source under section 110 or 111(d) of the Act, 42
was authorized to emit (including, to U.S.C. 7410, 7411(d), any standard of per-
the extent necessary for such purposes, formance under section 111 of the Act,
a description of the manner or rate of 42 U.S.C. 7411, or any emission standard
operation of the source); and under section 112 of the Act, 42 U.S.C.
(C) A general description of the loca- 7412, (B) of determining whether any
tion and/or nature of the source to the
person is in violation of any such
extent necessary to identify the source
standard or any requirement of such a
and to distinguish it from other
plan, or (C) of carrying out any provi-
sources (including, to the extent nec-
sion of the Act (except a provision of
essary for such purposes, a description
Part II of the Act with respect to a
of the device, installation, or operation
manufacturer of new motor vehicles or
constituting the source).
new motor vehicle engines);
(ii) Notwithstanding paragraph
(a)(2)(i) of this section, the following (ii) Provided or obtained under sec-
information shall be considered to be tion 208 of the Act, 42 U.S.C. 7542, for
emission data only to the extent nec- the purpose of enabling the Adminis-
essary to allow EPA to disclose pub- trator to determine whether a manu-
licly that a source is (or is not) in com- facturer has acted or is acting in com-
pliance with an applicable standard or pliance with the Act and regulations
limitation, or to allow EPA to dem- under the Act, or provided or obtained
onstrate the feasibility, practicability, under section 206(c) of the Act, 42
or attainability (or lack thereof) of an U.S.C. 7525(c); or
existing or proposed standard or limi- (iii) Provided in response to a sub-
tation: poena for the production of papers,
(A) Information concerning research, books, or documents issued under the
or the results of research, on any authority of section 307(a) of the Act,
project, method, device or installation 42 U.S.C. 7607(a).
(or any component thereof) which was (2) Information will be considered to
produced, developed, installed, and have been provided or obtained under
used only for research purposes; and section 114 of the Act if it was provided
(B) Information concerning any prod- in response to a request by EPA made
uct, method, device, or installation (or for any of the purposes stated in sec-
any component thereof) designed and tion 114, or if its submission could have
intended to be marketed or used com- been required under section 114, regard-
mercially but not yet so marketed or less of whether section 114 was cited as
used. the authority for any request for the
(3) Standard or limitation means any information, whether an order to pro-
emission standard or limitation estab- vide the information was issued under
lished or publicly proposed pursuant to section 113(a) of the Act, 42 U.S.C.
the Act or pursuant to any regulation 7413(a), whether an action was brought
under the Act. under section 113(b) of the Act, 42
(4) Proceeding means any rulemaking, U.S.C. 7413(b), or whether the informa-
adjudication, or licensing conducted by tion was provided directly to EPA or
EPA under the Act or under regula- through some third person.
48
(3) Information will be considered to (ii) Data not otherwise entitled to

have been provided or obtained under confidential treatment pursuant to sec-
section 208 of the Act if it was provided tion 114(c) of the Clean Air Act.
in response to a request by EPA made (2) Except as otherwise provided in
for any of the purposes stated in sec- paragraphs (d)(2) and (d)(4) of this sec-
tion 208, or if its submission could have tion, §§ 2.201 through 2.215 do not apply
been required under section 208, regard- to data submitted under 40 CFR part 98
less of whether section 208 was cited as data that EPA has determined, pursu-
the authority for any request for the ant to sections 114(c) and 307(d) of the
information, whether an action was Clean Air Act, to be entitled to con-
brought under section 204 of the Act, 42 fidential treatment. EPA shall treat
U.S.C. 7523, or whether the information that information as confidential in ac-
was provided directly to EPA or cordance with the provisions of § 2.211,
through some third person. subject to paragraph (d)(4) of this sec-
(4) Information will be considered to tion and § 2.209.
have been provided or obtained under (3) Upon receiving a request under 5
section 206(c) of the Act if it was pro- U.S.C. 552 for data submitted under 40
vided in response to a request by EPA CFR part 98 that EPA has determined,
made for any of the purposes stated in pursuant to sections 114(c) and 307(d) of
section 206(c), or if its submission could the Clean Air Act, to be entitled to
have been required under section 206(c) confidential treatment, the EPA office
regardless of whether section 206(c) was shall furnish the requestor a notice
cited as authority for any request for that the information has been deter-
the information, whether an action was mined to be entitled to confidential
brought under section 204 of the Act, 42 treatment and that the request is
U.S.C. 7523, or whether the information therefore denied. The notice shall in-
was provided directly to EPA or clude or cite to the appropriate EPA
through some third person. determination.
(4) Modification of prior confiden-
(5) Information will be considered to
tiality determination. A determination
have been provided or obtained under
made pursuant to sections 114(c) and
section 307(a) of the Act if it was pro-
307(d) of the Clean Air Act that infor-
vided in response to a subpoena issued
mation submitted under 40 CFR part 98
under section 307(a), or if its produc-
is entitled to confidential treatment
tion could have been required by sub-
shall continue in effect unless, subse-
poena under section 307(a), regardless
quent to the confidentiality determina-
of whether section 307(a) was cited as
tion, EPA takes one of the following
the authority for any request for the
actions:
information, whether a subpoena was (i) EPA determines, pursuant to sec-
issued by EPA, whether a court issued tions 114(c) and 307(d) of the Clean Air
an order under section 307(a), or wheth- Act, that the information is emission
er the information was provided di- data or data not otherwise entitled to
rectly to EPA or through some third confidential treatment under section
person. 114(c) of the Clean Air Act.
(c) Basic rules that apply without (ii) The Office of General Counsel
change. Except as otherwise provided in issues a final determination, based on
paragraph (d) of this section, §§ 2.201 the criteria in § 2.208, stating that the
through 2.207, § 2.209, and §§ 2.211 information is no longer entitled to
through 2.215 apply without change to confidential treatment because of
information to which this section ap- change in the applicable law or newly-
plies. discovered or changed facts. Prior to
(d) Data submitted under 40 CFR part making such final determination, EPA
98. (1) Sections 2.201 through 2.215 do shall afford the business an oppor-
not apply to data submitted under 40 tunity to submit comments on perti-
CFR part 98 that EPA has determined, nent issues in the manner described by
pursuant to sections 114(c) and 307(d) of §§ 2.204(e) and 2.205(b). If, after consider-
the Clean Air Act, to be either of the ation of any timely comments sub-
following: mitted by the business, the Office of
(i) Emission data. General Counsel makes a revised final
49
§ 2.301 40 CFR Ch. I (7–1–21 Edition)
determination that the information is (2) In connection with any proceeding

not entitled to confidential treatment other than a proceeding involving a de-
under section 114(c) of the Clean Air cision by a presiding officer after an
Act, EPA will notify the business in ac- evidentiary or adjudicatory hearing,
cordance with the procedures described information to which this section ap-
in § 2.205(f)(2). plies which may be entitled to con-
(e) Substantive criteria for use in confidential treatment may be made avail-
fidentiality determinations. Section 2.208 able to the public under this paragraph
applies to information to which this (g)(2). No information shall be made
section applies, except that informa- available to the public under this para-
tion which is emission data, a standard graph (g)(2) until any affected business
or limitation, or is collected pursuant has been informed that EPA is consid-
to section 211(b)(2)(A) of the Act is not ering making the information avail-
eligible for confidential treatment. No able to the public under this paragraph
information to which this section ap- (g)(2) in connection with an identified
plies is voluntarily submitted informa- proceeding, and has afforded the busi-
tion. ness a reasonable period for comment
(f) Availability of information not enti- (such notice and opportunity to com-
tled to confidential treatment. Section ment may be afforded in connection
2.210 does not apply to information to with the notice prescribed by
which this section applies. Emission § 2.204(d)(1) and § 2.204(e)). Information
data, standards or limitations, and any may be made available to the public
other information provided under sec- under this paragraph (g)(2) only if,
tion 114 or 208 of the Act which is de- after consideration of any timely com-
termined under this subpart not to be ments submitted by the business, the
entitled to confidential treatment, General Counsel determines that the
shall be available to the public not- information is relevant to the subject
withstanding any other provision of of the proceeding and the EPA office
this part. Emission data and standards conducting the proceeding determines
or limitations provided in response to a that the public interest would be
subpoena issued under section 307(a) of served by making the information
the Act shall be available to the public available to the public. Any affected
notwithstanding any other provision of business shall be given at least 5 days’
this part. Information (other than notice by the General Counsel prior to
emission data and standards or limita- making the information available to
tions) provided in response to a sub- the public.
poena issued under section 307(a) of the (3) In connection with any proceeding
Act, which is determined under this involving a decision by a presiding offi-
subpart not to be entitled to confiden- cer after an evidentiary or adjudica-
tial treatment, shall be available to tory hearing, information to which this
the public, unless EPA determines that section applies which may be entitled
the information is exempt from manda- to confidential treatment may be made
tory disclosure under 5 U.S.C. 552(b) for available to the public, or to one or
reasons other than reasons of business more parties of record to the pro-
confidentiality and cannot or should ceeding, upon EPA’s initiative, under
not be made available to the public. this paragraph (g)(3). An EPA office
(g) Disclosure of information relevant to proposing disclosure of information
a proceeding. (1) Under sections 114, 208 under this paragraph (g)(3), shall so no-
and 307 of the Act, any information to tify the presiding officer in writing.
which this section applies may be re- Upon receipt of such a notification, the
leased by EPA because of the relevance presiding officer shall notify each af-
of the information to a proceeding, fected business that disclosure under
notwithstanding the fact that the in- this paragraph (g)(3) has been proposed,
formation otherwise might be entitled and shall afford each such business a
to confidential treatment under this period for comment found by the pre-
subpart. Release of information be- siding officer to be reasonable under
cause of its relevance to a proceeding the circumstances. Information may be

shall be made only in accordance with disclosed under this paragraph (g)(3)
this paragraph (g). only if, after consideration of any
50
timely comments submitted by the ceeding and to the public interest that
business, the EPA office determines in would result from the disclosure. The
writing that, for reasons directly asso- presiding officer may condition disclo-
ciated with the conduct of the pro- sure of the information to a party of
ceeding, the contemplated disclosure record on the making of such protec-
would serve the public interest, and the tive arrangements and commitments
presiding officer determines in writing as he finds to be warranted. Disclosure
that the information is relevant to a to one or more parties of record, under
matter in controversy in the pro- protective arrangements or commit-
ceeding. The presiding officer may con- ments, shall not, of itself, affect the
dition disclosure of the information to eligibility of information to confiden-
a party of record on the making of such tial treatment under the other provi-
protective arrangements and commit- sions of this subpart. Any affected
ments as he finds to be warranted. Dis- business shall be given at least 5 days
closure to one or more parties of notice by the presiding officer prior to
record, under protective arrangements making the information available to
or commitments, shall not, of itself, af- one or more of the parties of record to
fect the eligibility of information for the proceeding.
confidential treatment under the other (h) Disclosure to authorized representa-
provisions of this subpart. Any affected tives. (1) Under sections 114, 208 and
business shall be given at least 5 days 307(a) of the Act, EPA possesses au-
notice by the presiding officer prior to thority to disclose to any authorized
making the information available to representative of the United States any
the public or to one or more of the par- information to which this section ap-
ties of record to the proceeding. plies, notwithstanding the fact that
(4) In connection with any proceeding the information might otherwise be en-
involving a decision by a presiding offi- titled to confidential treatment under
cer after an evidentiary or adjudica- this subpart. Such authority may be
tory hearing, information to which this exercised only in accordance with para-
section applies may be made available graph (h) (2) or (3) of this section.
to one or more parties of record to the (2)(i) A person under contract or sub-
proceeding, upon request of a party, contract to the United States govern-
under this paragraph (g)(4). A party of ment to perform work in support of
record seeking disclosure of informa- EPA in connection with the Act or reg-
tion shall direct his request to the pre- ulations which implement the Act may
siding officer. Upon receipt of such a be considered an authorized representa-
request, the presiding officer shall no- tive of the United States for purposes
tify each affected business that disclo- of this paragraph (h). For purposes of
sure under this paragraph (g)(4) has this section, the term ‘‘contract’’ in-
been requested, and shall afford each cludes grants and cooperative agree-
such business a period for comment ments under the Environmental Pro-
found by the presiding officer to be rea- grams Assistance Act of 1984 (Pub. L.
sonable under the circumstances. Infor- 98–313), and the term ‘‘contractor’’ in-
mation may be disclosed to a party of cludes grantees and cooperators under
record under this paragraph (g)(4) only the Environmental Programs Assist-
if, after consideration of any timely ance Act of 1984. Subject to the limita-
comments submitted by the business, tions in this paragraph (h)(2), informa-
the presiding officer determines in tion to which this section applies may
writing that (i) the party of record has be disclosed:
satisfactorily shown that with respect (A) To a contractor or subcontractor
to a significant matter which is in con- with EPA, if the EPA program office
troversy in the proceeding, the party’s managing the contract first determines
ability to participate effectively in the in writing that such disclosure is nec-
proceeding will be significantly im- essary in order that the contractor or
paired unless the information is dis- subcontractor may carry out the work
closed to him, and (ii) any harm to an required by the contract or sub-
affected business that would result contract; or

from the disclosure is likely to be out- (B) To a contractor or subcontractor
weighed by the benefit to the pro- with an agency other than EPA, if the
51
§ 2.301 40 CFR Ch. I (7–1–21 Edition)
EPA program office which provides the (iii) No information shall be disclosed
information to that agency, con- under this paragraph (h)(2) until each
tractor, or subcontractor first deter- affected business has been furnished
mines in writing, in consultation with notice of the contemplated disclosure
the General Counsel, that such disclo- by the EPA program office and has
sure is necessary in order that the con- been afforded a period found reasonable
tractor or subcontractor may carry out by that office (not less than 5 working
the work required by the contract or days) to submit its comments. Such
subcontract. notice shall include a description of
(ii) No information shall be disclosed the information to be disclosed, the
under this paragraph (h)(2), unless this identity of the contractor or subcon-
contract or subcontract in question tractor, the contract or subcontract
provides: number, if any, and the purposes to be
(A) That the contractor or subcon- served by the disclosure.
tractor and the contractor’s or sub- (iv) The EPA program office shall
contractor’s employees shall use the prepare a record of each disclosure
information only for the purpose of under this paragraph (h)(2), showing
carrying out the work required by the the contractor or subcontractor, the
contract or subcontract, shall refrain contract or subcontract number, the
from disclosing the information to any-
information disclosed, the date(s) of
one other than EPA without the prior
disclosure, and each affected business.
written approval of each affected busi-
The EPA program office shall maintain
ness or of an EPA legal office and shall
return to EPA all copies of the infor- the record of disclosure and the deter-
mation (and any abstracts or extracts mination of necessity prepared under
therefrom) upon request by the EPA paragraph (h)(2)(i) of this section for a
program office, whenever the informa- period of not less than 36 months after
tion is no longer required by the con- the date of the disclosure.
tractor or subcontractor for the per- (3) A State or local governmental
formance of the work required under agency which has duties or responsibil-
the contract or subcontract, or upon ities under the Act, or under regula-
completion of the contract or sub- tions which implement the Act, may be
contract (where the information was considered an authorized representa-
provided to the contractor or subcon- tive of the United States for purposes
tractor by an agency other than EPA, of this paragraph (h). Information to
the contractor may disclose or return which this section applies may be fur-
the information to that agency); nished to such an agency at the agen-
(B) That the contractor or subcon- cy’s written request, but only if—
tractor shall obtain a written agree- (i) The agency has first furnished to
ment to honor such terms of the con- the EPA office having custody of the
tract or subcontract from each of the information a written opinion from the
contractor’s or subcontractor’s em- agency’s chief legal officer or counsel
ployees who will have access to the in- stating that under applicable State or
formation, before such employee is al- local law the agency has the authority
lowed such access; and to compel a business which possesses
(C) That the contractor or subcon- such information to disclose it to the
tractor acknowledges and agrees that agency, or
the contract or subcontract provisions (ii) Each affected business is in-
concerning the use and disclosure of formed of those disclosures under this
business information are included for paragraph (h)(3) which pertain to it,
the benefit of, and shall be enforceable and the agency has shown to the satis-
by, both the United States government
faction of an EPA legal office that the
and any affected business having an in-
agency’s use and disclosure of such in-
terest in information concerning it
formation will be governed by State or
supplied to the contractor or subcon-
local law and procedures which will

tractor by the United States govern-
ment under the contract or sub-
contract.
52
provide adequate protection to the in- existing or proposed standard or limi-

terests of affected businesses. tation:
(A) Information concerning research,
FR 40002, Sept. 8, 1978; 43 FR 42251, Sept. 20, or the results of research, on any prod-
1978; 50 FR 51662, Dec. 18, 1985; 58 FR 461, Jan. uct, method, device, or installation (or
5, 1993; 58 FR 5061, Jan. 19, 1993; 58 FR 7189, any component thereof) which was pro-
Feb. 5, 1993; 76 FR 30817, May 26, 2011; 76 FR duced, developed, installed, and used
64015, Oct. 17, 2011] only for research purposes; and
(B) Information concerning any prod-
§ 2.302 Special rules governing certain uct, method, device, or installation (or
information obtained under the any component thereof) designed and
Clean Water Act.
intended to be marketed or used com-
(a) Definitions. For the purposes of mercially but not yet so marketed or
this section: used.
(1) Act means the Clean Water Act, as (3) Standard or limitation means any
amended, 33 U.S.C. 1251 et seq. prohibition, any effluent limitation, or
(2)(i) Effluent data means, with ref- any toxic, pre-treatment or new source
erence to any source of discharge of performance standard established or
any pollutant (as that term is defined publicly proposed pursuant to the Act
in section 502(6) of the Act, 33 U.S.C. or pursuant to regulations under the
1362 (6))— Act, including limitations or prohibi-
(A) Information necessary to deter- tions in a permit issued or proposed by
mine the identity, amount, frequency, EPA or by a State under section 402 of
concentration, temperature, or other the Act, 33 U.S.C. 1342.
characteristics (to the extent related (4) Proceeding means any rulemaking,
to water quality) of any pollutant adjudication, or licensing conducted by
which has been discharged by the EPA under the Act or under regula-
source (or of any pollutant resulting tions which implement the Act, except
from any discharge from the source), or for determinations under this part.
any combination of the foregoing; (b) Applicability. (1) This section ap-
(B) Information necessary to deter- plies only to business information—
mine the identity, amount, frequency, (i) Provided to or obtained by EPA
concentration, temperature, or other under section 308 of the Act, 33 U.S.C.
characteristics (to the extent related 1318, by or from the owner or operator
to water quality) of the pollutants of any point source, for the purpose of
which, under an applicable standard or carrying out the objective of the Act
limitation, the source was authorized (including but not limited to devel-
to discharge (including, to the extent oping or assisting in the development
necessary for such purpose, a descrip- of any standard or limitation under the
tion of the manner or rate of operation Act, or determining whether any per-
of the source); and son is in violation of any such standard
(C) A general description of the loca- or limitation); or
tion and/or nature of the source to the (ii) Provided to or obtained by EPA
extent necessary to identify the source under section 509(a) of the Act, 33
and to distinguish it from other U.S.C. 1369(a).
sources (including, to the extent nec- (2) Information will be considered to
essary for such purposes, a description have been provided or obtained under
of the device, installation, or operation section 308 of the Act if it was provided
constituting the source). in response to a request by EPA made
(ii) Notwithstanding paragraph for any of the purposes stated in sec-
(a)(2)(i) of this section, the following tion 308, or if its submission could have
information shall be considered to be been required under section 308, regard-
effluent data only to the extent nec- less of whether section 308 was cited as
essary to allow EPA to disclose pub- the authority for any request for the
licly that a source is (or is not) in com- information, whether an order to pro-
pliance with an applicable standard or vide the information was issued under
limitation, or to allow EPA to dem- section 309(a)(3) of the Act, 33 U.S.C.

onstrate the feasibility, practicability, 1319(a)(3), whether a civil action was
or attainability (or lack thereof) of an brought under section 309(b) of the Act,
53
§ 2.303 40 CFR Ch. I (7–1–21 Edition)
33 U.S.C. 1319(b), and whether the infor- tial treatment, shall be available to
mation was provided directly to EPA the public, unless EPA determines that
or through some third person. the information is exempt from manda-
(3) Information will be considered to tory disclosure under 5 U.S.C. 552(b) for
have been provided or obtained under reasons other than reasons of business
section 509(a) of the Act if it was pro- confidentiality and cannot or should
vided in response to a subpoena issued not be made available to the public.
under section 509(a), or if its produc- (g) Disclosure of information relevant to
tion could have been required by sub- a proceeding. (1) Under sections 308 and
poena under section 509(a), regardless 509(a) of the Act, any information to
of whether section 509(a) was cited as which this section applies may be re-
the authority for any request for the leased by EPA because of the relevance
information, whether a subpoena was of the information to a proceeding,
issued by EPA, whether a court issued notwithstanding the fact that the in-
an order under section 307(a), or wheth- formation otherwise might be entitled
er the information was provided di- to confidential treatment under this
rectly to EPA or through some third subpart. Release of information to
person. which this section applies because of
(4) This section specifically does not
its relevance to a proceeding shall be
apply to information obtained under
made only in accordance with this
section 310(d) or 312(g)(3) of the Act, 33
paragraph (g).
U.S.C. 1320(d), 1322(g)(3).
(c) Basic rules which apply without (2)–(4) The provisions of § 2.301(g) (2),
change. Sections 2.201 through 2.207, (3), and (4) are incorporated by ref-
2.209, 2.211 through 2.215 apply without erence as paragraphs (g) (2), (3), and (4),
change to information to which this respectively of this section.
section applies. (h) Disclosure to authorized representa-
(d) [Reserved] tives. (1) Under sections 308 and 509(a) of
(e) Substantive criteria for use in con- the Act, EPA possesses authority to
fidentiality determinations. Section 2.208 disclose to any authorized representa-
applies to information to which this tive of the United States any informa-
section applies, except that information to which this section applies, not-
tion which is effluent data or a stand- withstanding the fact that the infor-
ard or limitation is not eligible for mation might otherwise be entitled to
confidential treatment. No information confidential treatment under this sub-
to which this section applies is volun- part. Such authority may be exercised
tarily submitted information. only in accordance with paragraph
(f) Availability of information not enti- (h)(2) or (h)(3) of this section.
tled to confidential treatment. Section (2)–(3) The provisions of § 2.301(h) (2)
2.210 does not apply to information to and (3) are incorporated by reference as
which this section applies. Effluent paragraphs (h) (2) and (3), respectively,
data, standards or limitations, and any of this section.
other information provided or obtained
under section 308 of the Act which is
FR 40003, Sept. 8, 1978]
determined under this subpart not to
be entitled to confidential treatment, § 2.303 Special rules governing certain
shall be available to the public not- information obtained under the
withstanding any other provision of Noise Control Act of 1972.
this part. Effluent data and standards
or limitations provided in response to a (a) Definitions. For the purposes of
subpoena issued under section 509(a) of this section:
the Act shall be available to the public (1) Act means the Noise Control Act
notwithstanding any other provision of of 1972, 42 U.S.C. 4901 et seq.
this part. Information (other than ef- (2) Manufacturer has the meaning
fluent data and standards or limita- given it in 42 U.S.C. 4902(6).
tions) provided in response to a sub- (3) Product has the meaning given it
poena issued under section 509(a) of the in 42 U.S.C. 4902(3).

Act, which is determined under this (4) Proceeding means any rulemaking,
subpart not to be entitled to confiden- adjudication, or licensing conducted by
54
EPA under the Act or under regula- erence as paragraphs (g) (2), (3), and (4),
tions which implement the Act, except respectively, of this section.
for determinations under this subpart.
(b) Applicability. This section applies FR 40003, Sept. 8, 1978]
only to information provided to or ob-
tained by EPA under section 13 of the § 2.304 Special rules governing certain
Act, 42 U.S.C. 4912, by or from any information obtained under the
manufacturer of any product to which Safe Drinking Water Act.
regulations under section 6 or 8 of the (a) Definitions. For the purposes of
Act (42 U.S.C. 4905, 4907) apply. Infor- this section:
mation will be deemed to have been (1) Act means the Safe Drinking
provided or obtained under section 13 Water Act, 42 U.S.C. 300f et seq.
of the Act, if it was provided in re- (2) Contaminant means any physical,
sponse to a request by EPA made for chemical, biological, or radiological
the purpose of enabling EPA to deter- substance or matter in water.
mine whether the manufacturer has (3) Proceeding means any rulemaking,
acted or is acting in compliance with adjudication, or licensing process con-
the Act, or if its submission could have ducted by EPA under the Act or under
been required under section 13 of the regulations which implement the Act,
Act, regardless of whether section 13 except for any determination under
was cited as authority for the request, this part.
whether an order to provide such infor- (b) Applicability. (1) This section ap-
mation was issued under section 11(d) plies only to information—
of the Act, 42 U.S.C. 4910(d), and wheth- (i) Which was provided to or obtained
er the information was provided di- by EPA pursuant to a requirement of a
rectly to EPA by the manufacturer or regulation which was issued by EPA
through some third person. under the Act for the purpose of—
(c) Basic rules which apply without (A) Assisting the Administrator in
change. Sections 2.201 through 2.207 and establishing regulations under the Act;
2.209 through 2.215 apply without (B) Determining whether the person
change to information to which this providing the information has acted or
section applies. is acting in compliance with the Act;
(d) [Reserved] or
(e) Substantive criteria for use in con- (C) Administering any program of fi-
fidentiality determinations. Section 2.208 nancial assistance under the Act; and
applies without change to information (ii) Which was provided by a person—
to which this section applies; however, (A) Who is a supplier of water, as de-
no information to which this section fined in section 1401(5) of the Act, 42
applies is voluntarily submitted infor- U.S.C. 300f(5);
mation. (B) Who is or may be subject to a pri-
(f) [Reserved] mary drinking water regulation under
(g) Disclosure of information relevant to section 1412 of the Act, 42 U.S.C. 300g–
a proceeding. (1) Under section 13 of the 1;
Act, any information to which this sec- (C) Who is or may be subject to an
tion applies may be released by EPA applicable underground injection con-
because of its relevance to a matter in trol program, as defined in section
controversy in a proceeding, notwith- 1422(d) of the Act, 42 U.S.C.300h–1(d);
standing the fact that the information (D) Who is or may be subject to the
otherwise might be entitled to con- permit requirements of section 1424(b)
fidential treatment under this subpart. of the Act, 42 U.S.C. 300h–3(b);
Release of information because of its (E) Who is or may be subject to an
relevance to a proceeding shall be order issued under section 1441(c) of the
made only in accordance with this Act, 42 U.S.C. 300j(c); or
paragraph (g). (F) Who is a grantee, as defined in

(2)–(4) The provisions of § 2.301(g) (2), section 1445(e) of the Act, 42 U.S.C.
(3), and (4) are incorporated by ref- 300j–4(e).
55
§ 2.305 40 CFR Ch. I (7–1–21 Edition)
(2) This section applies to any infor- (h) Disclosure to authorized representa-
mation which is described by para- tives. (1) Under section 1445(d) of the
graph (b)(1) of this section if it was pro- Act, EPA possesses authority to dis-
vided in response to a request by EPA close to any authorized representative
or its authorized representative (or by of the United States any information
a State agency administering any pro- to which this section applies, notwith-
gram under the Act) made for any pur- standing the fact that the information
pose stated in paragraph (b)(1) of this otherwise might be entitled to con-
section, or if its submission could have fidential treatment under this subpart.
been required under section 1445 of the Such authority may be exercised only
Act, 42 U.S.C. 300j–4, regardless of in accordance with paragraph (h)(2) or
whether such section was cited in any (h)(3) of this section.
request for the information, or whether (2)–(3) The provisions of § 2.301(h) (2)
the information was provided directly and (3) are incorporated by reference as
to EPA or through some third person. paragraphs (h) (2) and (3), respectively,
(c) Basic rules which apply without of this section.
change. Sections 2.201 through 2.207, [41 FR 36902, Sept. 1, 1976, as amended at 43
2.209, and 2.211 through 2.215 apply FR 40003, Sept. 8, 1978]
without change to information to
which this section applies. § 2.305 Special rules governing certain
(d) [Reserved] information obtained under the
Solid Waste Disposal Act, as amend-
(e) Substantive criteria for use in con- ed.
fidentiality determinations. Section 2.208
applies to information to which this (a) Definitions. For purposes of this
section applies, except that informa- section:
(1) Act means the Solid Waste Dis-
tion which deals with the existence, ab-
posal Act, as amended, including
sence, or level of contaminants in
amendments made by the Resource
drinking water is not eligible for con-
Conservation and Recovery Act of 1976,
fidential treatment. No information to
as amended, 42 U.S.C. 6901 et seq.
which this section applies is volun-
(2) Person has the meaning given it in
tarily submitted information.
section 1004(15) of the Act, 42 U.S.C.
(f) Nondisclosure for reasons other than 6903(15).
business confidentiality or where disclo- (3) Hazardous waste has the meaning
sure is prohibited by other statute. Sec- given it in section 1004(5) of the Act, 42
tion 2.210 applies to information to U.S.C. 6903(5).
which this section applies, except that (4) Proceeding means any rulemaking,
information which deals with the exist- adjudication, or licensing conducted by
ence, absence, or level of contaminants EPA under the Act or under regula-
in drinking water shall be available to tions which implement the Act includ-
the public notwithstanding any other ing the issuance of administrative or-
provision of this part. ders and the approval or disapproval of
(g) Disclosure of information relevant to plans (e.g. closure plans) submitted by
a proceeding. (1) Under section 1445(d) of persons subject to regulation under the
the Act, any information to which this Act, but not including determinations
section applies may be released by EPA under this subpart.
because of the relevance of the infor- (b) Applicability. This section applies
mation to a proceeding, notwith- to information provided to or obtained
standing the fact that the information by EPA under section 3001(b)(3)(B),
otherwise might be entitled to con- 3007, or 9005 of the Act, 42 U.S.C
fidential treatment under this subpart. 6921(b)(3)(B), 6927, or 6995. Information
Release of information to which this will be considered to have been pro-
section applies because of its relevance vided or obtained under sections
to a proceeding shall be made only in 3001(b)(3)(B), 3007, or 9005 of the Act if
accordance with this paragraph (g). it was provided in response to a request
(2)–(4) The provisions of § 2.301(g) (2), from EDA made for any of the purposes
(3), (4) are incorporated by reference as stated in the Act or if its submission
paragraphs (g) (2), (3), and (4), respec- could have been required under those
tively, of this section. provisions of the Act regardless of
56
whether a specific section was cited as agency under this paragraph (h), the
the authority for any request for the EPA office furnishing the information
information or whether the informa- to the contractor, subcontractor, or
tion was provide directly to EPA or State or local government agency shall
through some third person. notify the contractor, subcontractor,
(c) Basic rules which apply without or State or local government agency
change. Sections 2.201 through 2.207 and that the information may be entitled
2.209 through 2.215 apply without to confidential treatment and that any
change to information to which this knowing and willful disclosure of the
section applies. information may subject the con-
(d) [Reserved] tractor, subcontractor, or State or
(e) Substantive criteria for use in con- local government agency and its em-
fidentiality determinations. Section 2.208 ployees to penalties in section
applies without change to information 3001(b)(3)(B), 3007(b)(2), or 9005(b)(1) of
to which this section applies; however, the Act (42 U.S.C. 6921(b)(3)(B), 6927(b),
no information to which this section or 6995(b)).
applies is voluntarily submitted infor- [43 FR 40003, Sept. 8, 1978, as amended at 50
mation. FR 51662, Dec. 18, 1985]
(f) [Reserved]
(g) Disclosure of information relevant in § 2.306 Special rules governing certain
a proceeding. (1) Under sections 3007(b) information obtained under the
and 9005(b) of the Act (42 U.S.C. 6927(b) Toxic Substances Control Act.
and 6995(b)), any information to which (a) Definitions. For the purposes of
this section applies may be disclosed this section:
by EPA because of the relevance of the (1) Act means the Toxic Substances
information in a proceeding under the Control Act, 15 U.S.C. 2601 et seq.
Act, notwithstanding the fact that the (2) Chemical substance has the mean-
information otherwise might be enti- ing given it in section 3(2) of the Act,
tled to confidential treatment under 15 U.S.C. 2602(2).
this subpart. Disclosure of information (3)(i) Health and safety data means the
to which this section applies because of information described in paragraphs
its relevance in a proceeding shall be (a)(3)(i) (A), (B), and (C) of this section
made only in accordance with this with respect to any chemical substance
paragraph (g). or mixture offered for commercial dis-
(2)–(4) The provisions of § 2.301(g) (2), tribution (including for test marketing
(3), and (4) are incorporated by ref- purposes and for use in research and
erence as paragraphs (g) (2), (3), and (4), development), any chemical substance
respectively, of this section. included on the inventory of chemical
(h) Disclosure to authorized representa- substances under section 8 of the Act
tives. (1) Under sections 3001(b)(3)(B), (15 U.S.C. 2607), or any chemical sub-
3007(b), and 9005(b) of the Act (42 U.S.C. stance or mixture for which testing is
6921(b)(3)(B), 6927(b), and 6995(b)), EPA required under section 4 of the Act (15
possesses authority to disclose to any U.S.C. 2603) or for which notification is
authorized representative of the United required under section 5 of the Act (15
States any information to which this U.S.C. 2604).
section applies, notwithstanding the (A) Any study of any effect of a
fact that the information might other- chemical substance or mixture on
wise be entitled to confidential treat- health, on the environment, or on both,
ment under this subpart. Such author- including underlying data and epide-
ity may be exercised only in accord- miological studies; studies of occupa-
ance with paragraph (h)(2) or (h)(3) of tional exposure to a chemical sub-
this section. stance or mixture; and toxicological,
(2)–(3) The provisions of § 2.301(h) (2) clinical, and ecological studies of a
and (3) are incorporated by reference as chemical substance or mixture;
paragraphs (h) (2) and (3), respectively, (B) Any test performed under the
of this section. Act; and
(4) At the time any information is (C) Any data reported to, or other-
furnished to a contractor, subcon- wise obtained by, EPA from a study de-
tractor, or State or local government scribed in paragraph (a)(3)(i)(A) of this
57
§ 2.306 40 CFR Ch. I (7–1–21 Edition)
section or a test described in paragraph (e) Final confidentiality determination

(a)(3)(i)(B) of this section. by EPA legal office. Section 2.205 applies
(ii) Notwithstanding paragraph to information to which this section
(a)(3)(i) of this section, no information applies, except that—
shall be considered to be health and (1) Notwithstanding § 2.205(i), the
safety data if disclosure of the informa- General Counsel (or his designee), rath-
tion would— er than the regional counsel, shall
(A) In the case of a chemical sub- make the determinations and take the
stance or mixture, disclose processes actions required by § 2.205;
used in the manufacturing or proc- (2) In addition to the statement pre-
essing the chemical substance or mix- scribed by the second sentence of
ture or, § 2.205(f)(2), the notice of denial of a
(B) In the case of a mixture, disclose business confidentiality claim shall
the portion of the mixture comprised state that under section 20(a) of the
by any of the chemical substances in Act, 15 U.S.C. 2619, the business may
the mixture. commence an action in an appropriate
Federal district court to prevent dis-
(4) [Reserved]
closure.
(5) Mixture has the meaning given it (3) The following sentence is sub-
in section 3(8) of the Act, 15 U.S.C. stituted for the third sentence of
2602(8). § 2.205(f)(2): ‘‘With respect to EPA’s im-
(6) Proceeding means any rulemaking, plementation of the determination, the
adjudication, or licensing conducted by notice shall state that (subject to
EPA under the Act or under regula- § 2.210) EPA will make the information
tions which implement the Act, except available to the public on the thirty-
for determinations under this subpart. first (31st) calendar day after the date
(b) Applicability. This section applies of the business’ receipt of the written
to all information submitted to EPA notice (or on such later date as is es-
for the purpose of satisfying some re- tablished in lieu thereof under para-
quirement or condition of the Act or of graph (f)(3) of this section), unless the
regulations which implement the Act, EPA legal office has first been notified
including information originally sub- of the business’ commencement of an
mitted to EPA for some other purpose action in a Federal court to obtain ju-
and either relied upon to avoid some dicial review of the determination and
requirement or condition of the Act or to obtain preliminary injunctive relief
incorporated into a submission in order against disclosure.’’; and
to satisfy some requirement or condi- (4) Notwithstanding § 2.205(g), the 31
tion of the Act or of regulations which calendar day period prescribed by
implement the Act. Information will be § 2.205(f)(2), as modified by paragraph
considered to have been provided under (e)(3) of this section, shall not be short-
the Act if the information could have ened without the consent of the busi-
been obtained under authority of the ness.
Act, whether the Act was cited as au- (f) [Reserved]
thority or not, and whether the infor- (g) Substantive criteria for use in con-
mation was provided directly to EPA fidentiality determinations. Section 2.208
or through some third person. applies without change to information
(c) Basic rules which apply without to which this section applies, except
change. Sections 2.201 through 2.203, that health and safety data are not eli-
2.206, 2.207, and 2.210 through 2.215 gible for confidential treatment. No in-
apply without change to information formation to which this section applies
to which this section applies. is voluntarily submitted information.
(d) Initial action by EPA office. Sec- (h) Disclosure in special circumstances.
tion 2.204 applies to information to Section 2.209 applies to information to
which this section applies, except that which this section applies, except that
the provisions of paragraph (e)(3) of the following two additional provisions
this section regarding the time allowed apply to § 2.209(c):
for seeking judicial review shall be re- (1) The official purpose for which the
flected in any notice furnished to a information is needed must be in con-
business under § 2.204(d)(2). nection with the agency’s duties under
58
any law for protection of health or the tractor, or subcontractor first deter-
environment or for specific law en- mines in writing, in consultation with
forcement purposes; and the General Counsel, that such disclo-
(2) EPA notifies the other agency sure is necessary for the satisfactory
that the information was acquired performance by the contractor or sub-
under authority of the Act and that contractor of the contract or sub-
any knowing disclosure of the informa- contract.
tion may subject the officers and em- (2)–(4) The provisions of § 2.301(h)(2)
ployees of the other agency to the pen- (ii), (iii), and (iv) are incorporated by
alties in section 14(d) of the Act (15 reference as paragraphs (j) (2), (3), and
U.S.C. 2613(d)). (4), respectively, of this section.
(i) Disclosure of information relevant in (5) At the time any information is
a proceeding. (1) Under section 14(a)(4) furnished to a contractor or subcon-
of the Act (15 U.S.C. 2613(a)(4)), any in- tractor under this paragraph (j), the
formation to which this section applies EPA office furnishing the information
may be disclosed by EPA when the in- to the contractor or subcontractor
formation is relevant in a proceeding shall notify the contractor or subcon-
under the Act, notwithstanding the tractor that the information was ac-
fact that the information otherwise quired under authority of the Act and
might be entitled to confidential treat- that any knowing disclosure of the in-
ment under this subpart. However, any formation may subject the contractor
such disclosure shall be made in a man- or subcontractor and its employees to
ner that preserves the confidentiality
the penalties in section 14(d) of the Act
of the information to the extent prac-
(15 U.S.C. 2613(d)).
ticable without impairing the pro-
(k) Disclosure of information when nec-
ceeding. Disclosure of information to
which this section applies because of essary to protect health or the environ-
its relevance in a proceeding shall be ment against an unreasonable risk of in-
made only in accordance with this jury. (1) Under section 14(a)(3) of the
paragraph (i). Act (15 U.S.C 2613(a)(3)), any informa-
(2)–(4) The provisions of § 2.301(g) (2), tion to which this section applies may
(3), and (4) are incorporated by ref- be disclosed by EPA when disclosure is
erence as paragraphs (i) (2), (3), and (4), necessary to protect health or the envi-
respectively, of this section. ronment against an unreasonable risk
(j) Disclosure of information to contrac- of injury to health or the environment.
tors and subcontractors. (1) Under sec- However, any disclosure shall be made
tion 14(a)(2) of the Act (15 U.S.C. in a manner that preserves the con-
2613(a)(2)), any information to which fidentiality of the information to the
this section applies may be disclosed extent not inconsistent with protecting
by EPA to a contractor or subcon- health or the environment against the
tractor of the United States per- unreasonable risk of injury. Disclosure
forming work under the Act, notwith- of information to which this section
standing the fact that the information applies because of the need to protect
otherwise might be entitled to con- health or the environment against an
fidential treatment under this subpart. unreasonable risk of injury shall be
Subject to the limitations in this para- made only in accordance with this
graph (j), information to which this paragraph (k).
section applies may be disclosed: (2) If any EPA office determines that
(i) To a contractor or subcontractor there is an unreasonable risk of injury
with EPA, if the EPA program office to health or the environment and that
managing the contract first determines to protect health or the environment
in writing that such disclosure is nec- against the unreasonable risk of injury
essary for the satisfactory performance it is necessary to disclose information
by the contractor or subcontractor of to which this section applies that oth-
the contract or subcontract; or erwise might be entitled to confiden-
(ii) To a contractor or subcontractor tial treatment under this subpart, the
with an agency other than EPA, if the EPA office shall notify the General
EPA program office which provides the Counsel in writing of the nature of the
information to that agency, con- unreasonable risk of injury, the extent
59
§ 2.307 40 CFR Ch. I (7–1–21 Edition)
of the disclosure proposed, how the pro- § 2.307 Special rules governing certain
posed disclosure will serve to protect information obtained under the
health or the environment against the Federal Insecticide, Fungicide and
unreasonable risk of injury, and the Rodenticide Act.
proposed date of disclosure. Such noti- (a) Definitions. For the purposes of
fication shall be made as soon as prac- this section;
ticable after discovery of the unreason- (1) Act means the Federal Insecticide,
able risk of injury. If the EPA office Fungicide and Rodenticide Act, as
determines that the risk of injury is so amended, 7 U.S.C. 136 et seq., and its
imminent that it is impracticable to predecessor, 7 U.S.C. 135 et seq.
furnish written notification to the (2) Applicant means any person who
General Counsel, the EPA office shall has submitted to EPA (or to a prede-
notify the General Counsel orally. cessor agency with responsibility for
(3) Upon receipt of notification under administering the Act) a registration
paragraph (k)(2) of this section, the statement or application for registra-
General Counsel shall make a deter- tion under the Act of a pesticide or of
mination in writing whether disclosure an establishment.
of information to which this section (3) Registrant means any person who
applies that otherwise might be enti- has obtained registration under the
tled to confidential treatment is nec- Act of a pesticide or of an establish-
essary to protect health or the environment.
ment against an unreasonable risk of (b) Applicability. This section applies
injury. The General Counsel shall also to all information submitted to EPA
determine the extent of disclosure nec- by an applicant or registrant for the
essary to protect against the unreason- purpose of satisfying some requirement
able risk of injury as well as when the or condition of the Act or of regula-
disclosure must be made to protect tions which implement the Act, includ-
against the unreasonable risk of in- ing information originally submitted
jury. to EPA for some other purpose but in-
(4) If the General Counsel determines corporated by the applicant or reg-
that disclosure of information to which istrant into a submission in order to
satisfy some requirement or condition
this section applies that otherwise
of the Act or of regulations which im-
might be entitled to confidential treat-
plement the Act. This section does not
ment is necessary to protect health or
apply to information supplied to EPA
the environment against an unreason-
by a petitioner in support of a petition
able risk of injury, the General Counsel
for a tolerance under 21 U.S.C. 346a(d),
shall furnish notice to each affected
unless the information is also described
business of the contemplated disclo-
by the first sentence of this paragraph.
sure and of the General Counsel’s de-
(c) Basic rules which apply without
termination. Such notice shall be made
change. Sections 2.201 through 2.203,
in writing by certified mail, return re-
2.206, 2.207, and 2.210 through 2.215
ceipt requested, at least 15 days before
apply without change to information
the disclosure is to be made. The notice
to which this section applies.
shall state the date upon which disclo- (d) Initial action by EPA office. Sec-
sure will be made. However, if the Gen- tion 2.204 applies to information to
eral Counsel determines that the risk which this section applies, except that
of injury is so imminent that it is im- the provisions of paragraph (e) of this
practicable to furnish such notice 15 section regarding the time allowed for
days before the proposed date of disclo- seeking judicial review shall be re-
sure, the General Counsel may provide flected in any notice furnished to a
notice by means that will provide re- business under § 2.204(d)(2).
ceipt of the notice by the affected busi- (e) Final confidentiality determination
ness at least 24 hours before the disclo- by EPA legal office. Section 2.205 applies
sure is to be made. This may be done to information to which this section
by telegram, telephone, or other rea- applies, except that—
sonably rapid means. (1) Notwithstanding § 2.205(i), the

[43 FR 40003, Sept. 8, 1978, as amended at 44 General Counsel (or his designee), rath-
FR 17674, Mar. 23, 1979; 58 FR 462, Jan. 5, 1993] er than the Regional Counsel, shall
60
make the determinations and take the Such authority under section
actions required by § 2.205; 12(a)(2)(D) of the Act may be exercised
(2) In addition to the statement pre- only in accordance with paragraph
scribed by the second sentence of (h)(2) or (h)(3) of this section.
§ 2.205(f)(2), the notice of denial of a (2) Information to which this section
business confidentiality claim shall applies may be disclosed (notwith-
state that under section 10(c) of the standing the fact that it might other-
Act, 7 U.S.C. 136h(c), the business may wise be entitled to confidential treat-
commence an action in an appropriate ment under this subpart) to physicians,
Federal district court for a declaratory pharmacists, hospitals, veterinarians,
judgment; law enforcement personnel, or govern-
(3) The following sentence is sub- mental agencies with responsibilities
stituted for the third sentence of for protection of public health, and to
§ 2.205(f)(2): ‘‘With respect to EPA’s im- employees of any such persons or agen-
plementation of the determination, the cies, or to other qualified persons,
notice shall state that (subject to when and to the extent that disclosure
§ 2.210) EPA will make the information is necessary in order to treat illness or
available to the public on the thirty- injury or to prevent imminent harm to
first (31st) calendar day after the date persons, property, or the environment,
of the business’s receipt of the written in the opinion of the Administrator or
notice (or on such later date as is es- his designee.
tablished in lieu thereof under para- (3) Information to which this section
graph (f)(3) of this section), unless the applies may be disclosed (notwith-
EPA legal office has first been notified standing the fact that it otherwise
of the business’s commencement of an might be entitled to confidential treat-
action in a Federal court to obtain ju- ment under this subpart) to a person
dicial review of the determination or under contract to EPA to perform
to obtain a declaratory judgment under work for EPA in connection with the
section 10(c) of the Act and to obtain Act or regulations which implement
preliminary injunctive relief against the Act, if the EPA program office
disclosure.’’; and managing the contract first determines
(4) Notwithstanding § 2.205(g), the 31 in writing that such disclosure is nec-
calendar day period prescribed by essary in order that the contractor
§ 2.205(f)(2), as modified by paragraph may carry out the work required by
(e)(3) of this section, shall not be short- the contract. Any such disclosure to a
ened without the consent of the busi- contractor shall be made only in ac-
ness. cordance with the procedure and re-
(f) [Reserved] quirements of § 2.301(h)(2) (ii) through
(g) Substantive criteria for use in con- (iv).
fidentiality determinations. Section 2.208
(4) Information to which this section
applies without change to information
applies, and which relates to formulas
to which this section applies; however,
of products, may be disclosed at any
no information to which this section
public hearing or in findings of fact
applies is voluntarily submitted infor-
issued by the Administrator, to the ex-
mation.
tent and in the manner authorized by
(h) Disclosure in special circumstances.
the Administrator or his designee.
(1) Section 2.209 applies without change
to information to which this section [41 FR 36902, Sept. 1, 1976, as amended at 43
applies. In addition, under section FR 40005, Sept. 8, 1978]
12(a)(2)(D) of the Act, 7 U.S.C.
136j(a)(2)(D), EPA possesses authority § 2.308 Special rules governing certain
to disclose any information to which information obtained under the
this section applies to physicians, Federal Food, Drug and Cosmetic
Act.
pharmacists, and other qualified per-
sons needing such information for the (a) Definitions. For the purposes of
performance of their duties, notwith- this section:
standing the fact that the information (1) Act means the Federal Food, Drug
might otherwise be entitled to con- and Cosmetic Act, as amended, 21
fidential treatment under this subpart. U.S.C. 301 et seq.
61
§ 2.308 40 CFR Ch. I (7–1–21 Edition)
(2) Petition means a petition for the an affected business, a petition shall be
issuance of a regulation establishing a treated as if it were covered by a busi-
tolerance for a pesticide chemical or ness confidentiality claim, and an EPA
exempting the pesticide chemical from office acting under § 2.204(d) shall de-
the necessity of a tolerance, pursuant termine that the information in the pe-
to section 408(d) of the Act, 21 U.S.C. tition is or may be entitled to con-
346a(d). fidential treatment and shall take ac-
(3) Petitioner means a person who has tion in accordance with § 2.204(d)(1);
submitted a petition to EPA (or to a (2) In addition to other required pro-
predecessor agency). visions of any notice furnished to a pe-
(b) Applicability. (1) This section ap- titioner under § 2.204(e), such notice
plies only to business information sub- shall state that—
mitted to EPA (or to an advisory com- (i) Section 408(f) of the Act, 21 U.S.C.
mittee established under the Act) by a 346a(f), affords absolute confidentiality
petitioner, solely in support of a peti- to information to which this section
tion which has not been acted on by applies, but after publication by EPA
the publication by EPA of a regulation of a regulation establishing a tolerance
establishing a tolerance for a pesticide (or exempting the pesticide chemical
chemical or exempting the pesticide from the necessity of a tolerance) nei-
chemical from the necessity of a toler- ther the Act nor this section affords
ance, as provided in section 408(d) (2) or any protection to the information;
(3) of the Act, 21 U.S.C. 346a(d) (2) or (ii) Information submitted in support
(3). of a petition which is also incorporated
(2) Section 2.307, rather than this sec- into a submission in order to satisfy a
tion, applies to information described requirement or condition of the Fed-
by the first sentence of § 2.307(b) (mate- eral Insecticide, Fungicide and
rial incorporated into submissions in Rodenticide Act, as amended, 7 U.S.C.
order to satisfy the requirements of the 136 et seq., is regarded by EPA as being
Federal Insecticide, Fungicide and governed, with respect to business con-
Rodenticide Act, as amended), even fidentiality, by § 2.307 rather than by
though such information was origi- this section;
nally submitted by a petitioner in sup- (iii) Although it appears that this
port of a petition. section may apply to the information
(3) This section does not apply to in- at this time, EPA is presently engaged
formation gathered by EPA under a in determining whether for any reason
proceeding initiated by EPA to estab- the information is entitled to confiden-
lish a tolerance under section 408(e) of tial treatment or will be entitled to
the Act, 21 U.S.C. 346a(e). such treatment if and when this sec-
(c) Basic rules which apply without tion no longer applies to the informa-
change. Sections 2.201, 2.202, 2.206, 2.207, tion; and
and 2.210 through 2.215 apply without (iv) Information determined by EPA
change to information to which this to be covered by this section will not
section applies. be disclosed for as long as this section
(d) Effect of submission of information continues to apply, but will be made
without claim. Section 2.203 (a) and (b) available to the public thereafter (sub-
apply without change to information ject to § 2.210) unless the business fur-
to which this section applies. Section nishes timely comments in response to
2.203(c), however, does not apply to in- the notice.
formation to which this section ap- (f) Final confidentiality determination
plies. A petitioner’s failure to assert a by EPA legal office. Section 2.205 applies
claim when initially submitting a peti- to information to which this section
tion shall not constitute a waiver of applies, except that—
any claim the petitioner may have. (1) Notwithstanding § 2.205(i), the
(e) Initial action by EPA office. Section General Counsel or his designee, rather
2.204 applies to information to which than the Regional counsel, shall in all
this section applies, except that— cases make the determinations and
(1) Unless the EPA office has on file take the actions required by § 2.205;
a written waiver of a petitioner’s (2) In addition to the circumstances
claim, a petitioner shall be regarded as mentioned in § 2.205(f)(1), notice in the
62
form prescribed by § 2.205(f)(2) shall be ment under this subpart) to a person

furnished to each affected business under contract to EPA to perform
whenever information is found to be work for EPA in connection with the
entitled to confidential treatment Act, with the Federal Insecticide, Fun-
under section 408(f) of the Act but not gicide, and Rodenticide Act, as amend-
otherwise entitled to confidential ed, or regulations which implement ei-
treatment. With respect to such cases, ther such Act, if the EPA program of-
the following sentences shall be sub- fice managing the contract first deter-
stituted for the third sentence of mines in writing that such disclosure is
§ 2.205(f)(2): ‘‘With respect to EPA’s im- necessary in order that the contractor
plementation of the determination, the may carry out the work required by
notice shall state that (subject to
the contract. Any such disclosure to a
§ 2.210) EPA will make the information
contractor shall be made only in ac-
available to the public on the thirty-
first (31st) calendar day after the cordance with the procedures and re-
business’s receipt of the written notice quirements of § 2.301(h)(2) (ii) through
(or on such later date as is established (iv).
in lieu thereof under paragraph (f)(3) of (3) Information to which this section
this section), unless the EPA legal of- applies may be disclosed by EPA to an
fice has first been notified of the advisory committee in accordance with
business’s commencement of an action section 408(d) of the Act, 21 U.S.C.
in a Federal court to obtain judicial re- 346a(d).
view of the determination and to ob- [41 FR 36902, Sept. 1, 1976, as amended at 43
tain preliminary injunctive relief FR 40005, Sept. 8, 1978]
against disclosure; provided, that the
information will not be made available § 2.309 Special rules governing certain
to the public for so long as it is enti- information obtained under the Ma-
tled to confidential treatment under rine Protection, Research and Sanc-
section 408(f) of the Federal Food, Drug tuaries Act of 1972.
and Cosmetic Act, 21 U.S.C. 346a(f).’’; (a) Definitions. For the purposes of
and this section:
(3) Notwithstanding § 2.205(g), the 31
(1) Act means the Marine Protection,
calendar day period prescribed by
Research and Sanctuaries Act of 1972,
§ 2.205(f)(2), as modified by paragraph
(f)(2) of this section, shall not be short- 33 U.S.C. 1401 et seq.
ened without the consent of the busi- (2) Permit means any permit applied
ness. for or granted under the Act.
(g) [Reserved] (3) Application means an application
(h) Substantive criteria for use in con- for a permit.
fidentiality determinations. Section 2.208 (b) Applicability. This section applies
does not apply to information to which to all information provided to or ob-
this section applies. Such information tained by EPA as a part of any applica-
shall be determined to be entitled to tion or in connection with any permit.
confidential treatment for so long as (c) Basic rules which apply without
this section continues to apply to it. change. Sections 2.201 through 2.207 and
(i) Disclosure in special circumstances. 2.209 through 2.215 apply without
(1) Section 2.209 applies to information change to information to which this
to which this section applies. In addi- section applies.
tion, under Section 408(f) of the Act, 21 (d) Substantive criteria for use in con-
U.S.C. 346a(f), EPA is authorized to dis- fidentiality determinations. Section 2.208
close the information to other persons. does not apply to information to which
Such authority under section 408(f) of this section applies. Pursuant to sec-
the Act may be exercised only in ac-
tion 104(f) of the Act, 33 U.S.C. 1414(f),
cordance with paragraph (i)(2) or (i)(3)
no information to which this section
of this section.
applies is eligible for confidential
(2) Information to which this section
treatment.
applies may be disclosed (notwith-
standing the fact that it otherwise [41 FR 36902, Sept. 1, 1976, as amended at 43
might be entitled to confidential treat- FR 40005, Sept. 8, 1978]
63
§ 2.310 40 CFR Ch. I (7–1–21 Edition)
§ 2.310 Special rules governing certain poses stated in section 104, if it was
information obtained under the provided pursuant to the terms of a
Comprehensive Environmental Re- contract, grant or other agreement to
sponse, Compensation, and Liabil- perform work pursuant to section 104,
ity Act of 1980, as amended. or if its submission could have been re-
(a) Definitions. For purposes of this quired under section 104, regardless of
section: whether section 104 was cited as au-
(1) Act means the Comprehensive En- thority for any request for the infor-
vironmental Response, Compensation, mation or whether the information was
and Liability Act of 1980, as amended, provided directly to EPA or through
including amendments made by the some third person.
Superfund Amendments and Reauthor- (c) Basic rules which apply without
ization Act of 1986, 42 U.S.C. 9601, et seq. change. Sections 2.201 through 2.207 and
(2) Person has the meaning given it in §§ 2.209 through 2.215 apply without
section 101(21) of the Act, 42 U.S.C. change to information to which this
9601(21). section applies.
(3) Facility has the meaning given it (d) [Reserved]
in section 101(9) of the Act, 42 U.S.C. (e) Substantive criteria for use in con-
9601(9). fidentiality determinations. Section 2.208
(4) Hazardous substance has the mean- applies without change to information
ing given it in section 101(14) of the to which this section applies; however,
Act, 42 U.S.C. 9601(14). no information to which this section
(5) Release has the meaning given it applies is voluntarily submitted infor-
in section 101(22) of the Act, 42 U.S.C. mation.
9601(22). (f) [Reserved]
(6) Proceeding means any rulemaking (g)(1) Under section 104(e)(7)(A) of the
or adjudication conducted by EPA Act (42 U.S.C. 9604(e)(7)(A)) any infor-
under the Act or under regulations mation to which this section applies
which implement the Act (including may be disclosed by EPA because of
the issuance of administrative orders the relevance of the information in a
under section 106 of the Act and cost proceeding under the Act, notwith-
recovery pre-litigation settlement ne- standing the fact that the information
gotiations under sections 107 or 122 of otherwise might be entitled to con-
the Act), any cost recovery litigation fidential treatment under this subpart.
under section 107 of the Act, or any ad- Disclosure of information to which this
ministrative determination made section applies because of its relevance
under section 104 of the Act, but not in- in a proceeding shall be made only in
cluding determinations under this sub- accordance with this paragraph (g).
part. (2) The provisions of § 2.301(g)(2) are
(b) Applicability. This section applies to be used as paragraph (g)(2) of this
only to information provided to or ob- section.
tained by EPA under section 104 of the (3) In connection with any proceeding
Act, 42 U.S.C. 9604, by or from any per- involving a decision by a presiding offi-
son who stores, treats, or disposes of cer after an evidentiary or adjudica-
hazardous wastes; or where necessary tory hearing, except with respect to
to ascertain facts not available at the litigation conducted by a Federal
facility where such hazardous sub- court, information to which this sec-
stances are located, by or from any tion applies which may be entitled to
person who generates, transports, or confidential treatment may be made
otherwise handles or has handled haz- available to the public, or to one or
ardous substances, or by or from any more parties of record to the pro-
person who performs or supports re- ceeding, upon EPA’s initiative, under
moval or remedial actions pursuant to this paragraph (g)(3). An EPA office
section 104(a) of the Act. Information proposing disclosure of information
will be considered to have been pro- under this paragraph (g)(3) shall so no-
vided or obtained under section 104 of tify the presiding officer in writing.
the Act if it was provided in response Upon receipt of such a notification, the
to a request from EPA or a representa- presiding officer shall notify each af-
tive of EPA made for any of the pur- fected business that disclosure under
64
this paragraph (g)(3) has been proposed, (i) The party of record has satisfac-
and shall afford each such business a torily shown that with respect to a sig-
period for comment found by the pre- nificant matter which is in controversy
siding officer to be reasonable under in the proceeding, the party’s ability to
the circumstances. Information may be participate effectively in the pro-
disclosed under this paragraph (g)(3) ceeding will be significantly impaired
only if, after consideration of any unless the information is disclosed to
timely comments submitted by the him; and
business, the EPA office determines in (ii) Any harm to an affected business
writing that, for reasons directly asso- that would result from the disclosure is
ciated with the conduct of the pro- likely to be outweighed by the benefit
ceeding, the contemplated disclosure to the proceeding and the public inter-
would serve the public interest, and the est that would result from the disclo-
presiding officer determines in writing sure.
that the information is relevant to a The presiding officer may condition
matter in controversy in the pro- disclosure of the information to a
ceeding. The presiding officer may con- party of record on the making of such
dition disclosure of the information to protective arrangements and commit-
a party of record on the making of such ments as he finds to be warranted. Dis-
protective arrangements and commit- closure to one or more parties of
ments as he finds to be warranted. Dis- record, under protective arrangements
closure to one or more parties of or commitments, shall not, of itself, af-
record, under protective arrangements fect the eligibility of information for
or commitments, shall not, of itself, af- confidential treatment under the other
fect the eligibility of information for provisions of this subpart. Any affected
confidential treatment under the other business shall be given at least 5 days
provisions of this subpart. Any affected notice by the presiding officer prior to
business shall be given at least 5 days making the information available to
notice by the presiding officer prior to one or more of the parties of record to
making the information available to the proceeding.
the public or to one or more of the par- (5) In connection with cost recovery
ties of record to the proceeding. pre-litigation settlement negotiations
(4) In connection with any proceeding under sections 107 or 122 of the Act (42
involving a decision by a presiding offi- U.S.C. 9607, 9622), any information to
cer after an evidentiary or adjudica- which this section applies that may be
tory hearing, except with respect to entitled to confidential treatment may
litigation conducted by a Federal be made available to potentially re-
court, information to which this sec- sponsible parties pursuant to a con-
tion applies which may be entitled to tractual agreement to protect the in-
confidential treatment may be made formation.
available to one or more parties of (6) In connection with any cost recov-
record to the proceeding, upon request ery proceeding under section 107 of the
of a party, under this paragraph (g)(4). Act involving a decision by a presiding
A party of record seeking disclosure of officer after an evidentiary or adju-
information shall direct his request to dicatory hearing, any information to
the presiding officer. Upon receipt of which this section applies that may be
such a request, the presiding officer entitled to confidential treatment may
shall notify each affected business that be made available to one or more par-
disclosure under this paragraph (g)(4) ties of record to the proceeding, upon
has been requested, and shall afford EPA’s initiative, under this paragraph
each such business a period for com- (g)(6). Such disclosure must be made
ment found by the presiding officer to pursuant to a stipulation and protec-
be reasonable under the circumstances. tive order signed by all parties to
Information may be disclosed to a whom disclosure is made and by the
party of record under this paragraph presiding officer.
(g)(4) only if, after consideration of any (h) Disclosure to authorized representa-
timely comments submitted by the tives. (1) Under section 104(e)(7) of the
business, the presiding officer deter- Act (42 U.S.C. 9604(e)(7)), EPA possesses
mines in writing that: authority to disclose to any authorized
65
§ 2.311 40 CFR Ch. I (7–1–21 Edition)
representative of the Untied States any (6) Model type has the meaning given
information to which this section ap- it in section 501(11) of the Act, 15 U.S.C.
plies, notwithstanding the fact that 2001(11).
the information might otherwise be en- (b) Applicability. This section applies
titled to confidential treatment under only to information provided to or ob-
this subpart. Such authority may be tained by EPA under Title V, Part A of
exercised only in accordance with para- the Act, 15 U.S.C. 2001 through 2012. In-
graph (h)(2) or (h)(3) of this section. formation will be considered to have
(2) The provisions of § 2.301(h)(2) are been provided or obtained under Title
to be used as paragraph (h)(2) of this V, Part A of the Act if it was provided
section. in response to a request from EPA
(3) The provisions of § 2.301(h)(3) are made for any purpose stated in Title V,
to be used as paragraph (h)(3) of this Part A, or if its submission could have
section. been required under Title V Part A, re-
(4) At the time any information is gardless of whether Title V Part A was
cited as the authority for any request
furnished to a contractor, subcon-
for information or whether the infor-
tractor, or State or local government
mation was provided directly to EPA
under this paragraph (h), the EPA of-
or through some third person.
fice furnishing the information to the
(c) Basic rules which apply without
contractor, subcontractor, or State or
change. Sections 2.201 through 2.207 and
local government agency shall notify
§§ 2.209 through 2.215 apply without
the contractor, subcontractor, or State
change to information to which this
or local government agency that the
section applies.
information may be entitled to con- (d) [Reserved]
fidential treatment and that any know- (e) Substantive criteria for use in con-
ing and willful disclosure of the infor- fidentiality determinations. Section 2.208
mation may subject the contractor, applies without change to information
subcontractor, or State or local gov- to which this section applies, except
ernment agency and its employees to that information this is fuel economy
penalties in section 104(e)(7)(B) of the data is not eligible for confidential
Act (42 U.S.C. 9604(e)(7)(B)). treatment. No information to which
[50 FR 51663, Dec. 18, 1985, as amended at 58 this section applies is voluntarily sub-
FR 462, Jan. 5, 1993] mitted information.
(f) [Reserved]
§ 2.311 Special rules governing certain (g) Disclosure of information relevant to
information obtained under the a proceeding. (1) Under section 505(d)(1)
Motor Vehicle Information and Cost of the Act, any information to which
Savings Act. this section applies may be released by
(a) Definitions. For the purposes of EPA because of the relevance of the in-
this section: formation to a proceeding under Title
(1) Act means the Motor Vehicle In- V, Part A of the Act, notwithstanding
formation and Cost Savings Act, as the fact that the information otherwise
amended, 15 U.S.C. 1901 et seq. might be entitled to confidential treat-
(2) Average fuel economy has the ment under this subpart. Release of in-
meaning given it in section 501(4) of the formation to which this section applies
Act, 15 U.S.C. 2001(4). because of its relevance to a proceeding
(3) Fuel economy has the meaning shall be made only in accordance with
given it in section 501(6) of the Act, 15 this paragraph (g).
U.S.C. 2001(6). (2) The provisions of § 2.301(g)(2) are
(4) Fuel economy data means any to be used as paragraph (g)(2) of this
measurement or calculation of fuel section.
economy for any model type and aver- (3) The provisions of § 2.301(g)(3) are
age fuel economy of a manufacturer to be used as paragraph (g)(3) of this
under section 503(d) of the Act, 15 section.
U.S.C. 2003(d). (4) The provisions of § 2.301(g)(4) are
(5) Manufacturer has the meaning to be used as paragraph (g)(3) of this

given it in section 501(9) of the Act, 15 section.
U.S.C. 2001(9). [50 FR 51663, Dec. 18, 1985]
66
Subpart C—Testimony by Employ- own views and does not necessarily rep-
ees and Production of Docu- resent the official position of EPA).
(c) The purpose of this subpart is to
ments in Civil Legal Pro- ensure that employees’ official time is
ceedings Where the United used only for official purposes, to
States Is Not a Party maintain the impartiality of EPA
among private litigants, to ensure that
AUTHORITY: 5 U.S.C. 301; Reorganization public funds are not used for private
Plan No. 3 of 1970, 5 U.S.C. App.; 33 U.S.C. purposes and to establish procedures
361(a); 42 U.S.C. 300j–9; 42 U.S.C. 6911a, 42 for approving testimony or production
U.S.C. 7601(a). of documents when clearly in the inter-
SOURCE: 50 FR 32387, Aug. 9, 1985, unless ests of EPA.
otherwise noted.
§ 2.402 Policy on presentation of testi-
§ 2.401 Scope and purpose. mony and production of documents.
This subpart sets forth procedures to (a) With the approval of the cog-
be followed when an EPA employee is nizant Assistant Administrator, Office
requested or subpoenaed to provide tes- Director, Staff Office Director or Re-
timony concerning information ac- gional Administrator or his designee,
quired in the course of performing offi- EPA employees (as defined in 40 CFR
cial duties or because of the employee’s 3.102 (a) and (b)) may testify at the re-
official status. (In such cases, employ- quest of another Federal agency, or,
ees must state for the record that their where it is in the interests of EPA, at
testimony does not necessarily rep- the request of a State or local govern-
resent the official position of EPA. If ment or State legislative committee.
they are called to state the official po- (b) Except as permitted by paragraph
sition of EPA, they should ascertain (a) of this section, no EPA employee
that position before appearing.) These may provide testimony or produce doc-
procedures also apply to subpoenas uments in any proceeding to which this
duces tecum for any document in the subpart applies concerning information
possession of EPA and to requests for acquired in the course of performing
certification of copies of documents. official duties or because of the em-
(a) These procedures apply to: ployee’s official relationship with EPA,
(1) State court proceedings (including unless authorized by the General Coun-
grand jury proceedings); sel or his designee under §§ 2.403
through 2.406.
(2) Federal civil proceedings, except
where the United States, EPA or an- § 2.403 Procedures when voluntary tes-
other Federal agency is a party; and timony is requested.
(3) State and local legislative and ad- A request for testimony by an EPA
ministrative proceedings. employee under § 2.402(b) must be in
(b) These procedures do not apply: writing and must state the nature of
(1) To matters which are not related the requested testimony and the rea-
to EPA; sons why the testimony would be in the
(2) To Congressional requests or sub- interests of EPA. Such requests are im-
poenas for testimony or documents; mediately sent to the General Counsel
(3) Where employees provide expert or his designee (or, in the case of em-
witness services as approved outside ployees in the Office of Inspector Gen-
activities in accordance with 40 CFR eral, the Inspector General or his des-
part 3, subpart E (in such cases, em- ignee) with the recommendations of
ployees must state for the record that the employee’s supervisors. The Gen-
the testimony represents their own eral Counsel or his designee, in con-
views and does not necessarily rep- sultation with the appropriate Assist-
resent the official position of EPA); ant Administrator, Regional Adminis-
(4) Where employees voluntarily tes- trator, or Staff Office Director (or, in
tify as private citizens with respect to the case of employees in the Office of
environmental matters (in such cases, Inspector General, the Inspector Gen-
employees must state for the record eral or his designee), determines
that the testimony represents their whether compliance with the request
67
§ 2.404 40 CFR Ch. I (7–1–21 Edition)
would clearly be in the interests of that the subpoena was not validly
EPA and responds as soon as prac- issued or served or that the subpoena
ticable. has been withdrawn) and respectfully
refuse to produce the subpoenaed mate-
§ 2.404 Procedures when an employee rials. However, where a subpoena duces
is subpoenaed. tecum is essentially a written request
(a) Copies of subpoenas must imme- for documents, the requested docu-
diately be sent to the General Counsel ments will be provided or denied in ac-
or his designee with the recommenda- cordance with subparts A and B of this
tions of the employee’s supervisors. part where approval to respond to the
The General Counsel or his designee, in subpoena has not been granted.
consultation with the appropriate As-
sistant Administrator, Regional Ad- § 2.406 Requests for authenticated cop-
ministrator or Staff Office Director, ies of EPA documents.
determines whether compliance with Requests for authenticated copies of
the subpoena would clearly be in the EPA documents for purposes of admis-
interests of EPA and responds as soon sibility under 28 U.S.C. 1733 and Rule 44
as practicable. of the Federal Rules of Civil Procedure
(b) If the General Counsel or his des- will be granted for documents which
ignee denies approval to comply with would otherwise be released pursuant
the subpoena, or if he has not acted by to subpart A. For purposes of Rule 44
the return date, the employee must ap- the person having legal custody of the
pear at the stated time and place (un- record is the cognizant Assistant Ad-
less advised by the General Counsel or ministrator, Regional Administrator,
his designee that the subpoena was not Staff Office Director or Office Director
validly issued or served or that the or his designee. The advice of the Of-
subpoena has been withdrawn), produce fice of General Counsel should be ob-
a copy of these regulations and respect- tained concerning the proper form of
fully refuse to provide any testimony authentication.
or produce any documents. United
States ex rel. Touhy v. Ragen, 340 U.S. PART 3—CROSS-MEDIA
462 (1951). ELECTRONIC REPORTING
(c) Where employees in the Office of
Inspector General are subpoenaed, the Subpart A—General Provisions
Inspector General or his designee
Sec.
makes the determination under para- 3.1 Who does this part apply to?
graphs (a) and (b) of this section in 3.2 How does this part provide for electronic
consultation with the General Counsel. reporting?
(d) The General Counsel will request 3.3 What definitions are applicable to this
the assistance of the Department of part?
Justice or a U.S. Attorney where nec- 3.4 How does this part affect enforcement
essary to represent the interests of the and compliance provisions of Title 40?
Agency and the employee. Subpart B—Electronic Reporting to EPA
§ 2.405 Subpoenas duces tecum. 3.10 What are the requirements for elec-
Subpoenas duces tecum for documents tronic reporting to EPA?
or other materials are treated the same 3.20 How will EPA provide notice of changes
to the Central Data Exchange?
as subpoenas for testimony. Unless the
General Counsel or his designee, in Subpart C [Reserved]
consultation with the appropriate As-
sistant Administrator, Regional Ad- Subpart D—Electronic Reporting under
ministrator or Staff Office Director EPA-Authorized State, Tribe, and Local
(or, as to employees in the Office of In- Programs
spector General, the Inspector General)
3.1000 How does a state, tribe, or local gov-
determines that compliance with the
ernment revise or modify its authorized
subpoena is clearly in the interests of program to allow electronic reporting?
EPA, the employee must appear at the 3.2000 What are the requirements author-
stated time and place (unless advised ized state, tribe, and local programs’ re-
by the General Counsel or his designee porting systems must meet?
68
APPENDIX 1 TO PART 3—PRIORITY REPORTS lieu of a paper document, provided
AUTHORITY: 7 U.S.C. 136 to 136y; 15 U.S.C. that:
2601 to 2692; 33 U.S.C. 1251 to 1387; 33 U.S.C. (1) He or she satisfies the require-
1401 to 1445; 33 U.S.C. 2701 to 2761; 42 U.S.C. ments of § 3.10; and
300f to 300j–26; 42 U.S.C. 4852d; 42 U.S.C. 6901– (2) EPA has first published a notice
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
in the FEDERAL REGISTER announcing
U.S.C. 3504 to 3506. that EPA is prepared to receive, in
electronic form, documents required or
SOURCE: 70 FR 59879, Oct. 13, 2005, unless
otherwise noted.
permitted by the identified part or sub-
part of Title 40.
(b) Electronic reporting under an EPA-
Subpart A—General Provisions authorized state, tribe, or local program.
§ 3.1 Who does this part apply to? (1) An authorized program may allow
any document submission requirement
(a) This part applies to: under that program to be satisfied with
(1) Persons who submit reports or an electronic document provided that
other documents to EPA to satisfy re-
the state, tribe, or local government
quirements under Title 40 of the Code
seeks and obtains revision or modifica-
of Federal Regulations (CFR); and
tion of that program in accordance
(2) States, tribes, and local govern-
ments administering or seeking to ad- with § 3.1000 and also meets the require-
minister authorized programs under ments of § 3.2000 for such electronic re-
Title 40 of the CFR. porting.
(b) This part does not apply to: (2) A state, tribe, or local govern-
(1) Documents submitted via fac- ment that is applying for initial dele-
simile in satisfaction of reporting regation, authorization, or approval to
quirements as permitted under other administer a federal program or a pro-
parts of Title 40 or under authorized gram in lieu of the federal program,
programs; and that will allow document submis-
(2) Electronic documents submitted sion requirements under the program
via magnetic or optical media such as to be satisfied with an electronic docu-
diskette, compact disc, digital video ment, must use the procedures for ob-
disc, or tape in satisfaction of report- taining delegation, authorization, or
ing requirements, as permitted under approval under the relevant part of
other parts of Title 40 or under author- Title 40 and may not use the proce-
ized programs; or dures set forth in § 3.1000; but the appli-
(3) Documents and information sub- cation must contain the information
mitted under grants, cooperative required by § 3.1000(b)(1) and the state,
agreements, or financial assistant reg- tribe, or local government must meet
ulations contained in Title 40. the requirements of § 3.2000.
(c) This part does not apply to any (c) Limitations. This part does not re-
data transfers between EPA and states, quire submission of electronic docu-
tribes, or local governments as a part
ments in lieu of paper. This part con-
of their authorized programs or as a
fers no right or privilege to submit
part of administrative arrangements
between states, tribes, or local govern- data electronically and does not obli-
ments and EPA to share data. gate EPA, states, tribes, or local gov-
ernments to accept electronic docu-
[70 FR 59879, Oct. 13, 2005, as amended at 74 ments.
FR 59106, Nov. 17, 2009]
§ 3.3 What definitions are applicable to
§ 3.2 How does this part provide for this part?
electronic reporting?
The definitions set forth in this sec-
(a) Electronic reporting to EPA. Except
tion apply when used in this part.
as provided in § 3.1(b), any person who
is required under Title 40 to create and Acknowledgment means a confirma-
submit or otherwise provide a docu- tion of electronic document receipt.

ment to EPA may satisfy this require- Administrator means the Adminis-
ment with an electronic document, in trator of the EPA.
69
§ 3.3 40 CFR Ch. I (7–1–21 Edition)
Agency means the EPA or a state, lowing: The person’s employer or em-
tribe, or local government that admin- ployer’s corporate parent, subsidiary,
isters or seeks to administer an au- or affiliate; the person’s contracting
thorized program. agent; member of the person’s house-
Agreement collection certification hold; or relative with whom the person
means a signed statement by which a has a personal relationship.
local registration authority certifies Electronic document means any infor-
that a subscriber agreement has been mation in digital form that is conveyed
received from a registrant; the agree- to an agency or third-party, where
ment has been stored in a manner that ‘‘information’’ may include data, text,
prevents unauthorized access to these sounds, codes, computer programs,
agreements by anyone other than the software, or databases. ‘‘Data,’’ in this
local registration authority; and the context, refers to a delimited set of
local registration authority has no data elements, each of which consists
basis to believe that any of the col- of a content or value together with an
lected agreements have been tampered understanding of what the content or
with or prematurely destroyed. value means; where the electronic doc-
Authorized program means a Federal ument includes data, this under-
program that EPA has delegated, au- standing of what the data element con-
thorized, or approved a state, tribe, or tent or value means must be explicitly
local government to administer, or a included in the electronic document
program that EPA has delegated, au- itself or else be readily available to the
thorized, or approved a state, tribe or electronic document recipient.
local government to administer in lieu Electronic document receiving system
of a Federal program, under other pro- means any set of apparatus, proce-
visions of Title 40 and such delegation, dures, software, records, or documenta-
authorization, or approval has not been tion used to receive electronic docu-
withdrawn or expired.
ments.
Central Data Exchange means EPA’s
Electronic signature means any infor-
centralized electronic document receiv-
mation in digital form that is included
ing system, or its successors, including
associated instructions for submitting in or logically associated with an elec-
electronic documents. tronic document for the purpose of ex-
Chief Information Officer means the pressing the same meaning and inten-
EPA official assigned the functions de- tion as would a handwritten signature
scribed in section 5125 of the Clinger if affixed to an equivalent paper docu-
Cohen Act (Pub. L. 104–106). ment with the same reference to the
Copy of record means a true and cor- same content. The electronic document
rect copy of an electronic document re- bears or has on it an electronic signa-
ceived by an electronic document re- ture where it includes or has logically
ceiving system, which copy can be associated with it such information.
viewed in a human-readable format Electronic signature agreement means
that clearly and accurately associates an agreement signed by an individual
all the information provided in the with respect to an electronic signature
electronic document with descriptions device that the individual will use to
or labeling of the information. A copy create his or her electronic signatures
of record includes: requiring such individual to protect
(1) All electronic signatures con- the electronic signature device from
tained in or logically associated with compromise; to promptly report to the
that document; agency or agencies relying on the elec-
(2) The date and time of receipt; and tronic signatures created any evidence
(3) Any other information used to discovered that the device has been
record the meaning of the document or compromised; and to be held as legally
the circumstances of its receipt. bound, obligated, or responsible by the
Disinterested individual means an indi- electronic signatures created as by a
vidual who is not connected with the handwritten signature.
person in whose name the electronic Electronic signature device means a

signature device is issued. A disin- code or other mechanism that is used
terested individual is not any of the fol- to create electronic signatures. Where
70
the device is used to create an individ- whose identity has been established by
ual’s electronic signature, then the notarized affidavit, and who is author-
code or mechanism must be unique to ized in writing by a regulated entity to
that individual at the time the signa- issue agreement collection certifi-
ture is created and he or she must be cations on its behalf.
uniquely entitled to use it. The device Priority reports means the reports list-
is compromised if the code or mecha- ed in Appendix 1 to part 3.
nism is available for use by any other Subscriber agreement means an elec-
person. tronic signature agreement signed by
EPA means the United States Envi- an individual with a handwritten sig-
ronmental Protection Agency. nature. This agreement must be stored
Existing electronic document receiving until five years after the associated
system means an electronic document electronic signature device has been
receiving system that is being used to deactivated.
receive electronic documents in lieu of Transmit means to successfully and
paper to satisfy requirements under an accurately convey an electronic docu-
authorized program on October 13, 2005 ment so that it is received by the in-
or the system, if not in use, has been tended recipient in a format that can
substantially developed on or before be processed by the electronic docu-
that date as evidenced by the establishment receiving system.
ment of system services or specifica- Valid electronic signature means an
tions by contract or other binding electronic signature on an electronic
agreement. document that has been created with
Federal program means any program an electronic signature device that the
administered by EPA under any other identified signatory is uniquely enti-
provision of Title 40. tled to use for signing that document,
Federal reporting requirement means a where this device has not been com-
requirement to report information di- promised, and where the signatory is
rectly to EPA under any other provi- an individual who is authorized to sign
sion of Title 40. the document by virtue of his or her
Handwritten signature means the legal status and/or his or her relation-
scripted name or legal mark of an indi- ship to the entity on whose behalf the
vidual, handwritten by that individual signature is executed.
with a marking-or writing-instrument
such as a pen or stylus and executed or § 3.4 How does this part affect enforce-
adopted with the present intention to ment and compliance provisions of
authenticate a writing in a permanent Title 40?
form, where ‘‘a writing’’ means any in- (a) A person is subject to any applica-
tentional recording of words in a visual ble federal civil, criminal, or other pen-
form, whether in the form of hand- alties and remedies for failure to com-
writing, printing, typewriting, or any ply with a federal reporting require-
other tangible form. The physical in- ment if the person submits an elec-
stance of the scripted name or mark so tronic document to EPA under this
created constitutes the handwritten part that fails to comply with the pro-
signature. The scripted name or legal visions of § 3.10.
mark, while conventionally applied to (b) A person is subject to any applica-
paper, may also be applied to other ble federal civil, criminal, or other pen-
media. alties or remedies for failure to comply
Information or objects of independent with a State, tribe, or local reporting
origin means data or items that origi- requirement if the person submits an
nate from a disinterested individual or electronic document to a State, tribe,
are forensic evidence of a unique, im- or local government under an author-
mutable trait which is (and may at any ized program and fails to comply with
time be) attributed to the individual in the applicable provisions for electronic
whose name the device is issued. reporting.
Local registration authority means an (c) Where an electronic document
individual who is authorized by a state, submitted to satisfy a federal or au-

tribe, or local government to issue an thorized program reporting require-
agreement collection certification, ment bears an electronic signature, the
71
§ 3.10 40 CFR Ch. I (7–1–21 Edition)
electronic signature legally binds, obli- plans to change Central Data Exchange
gates, and makes the signatory respon- hardware or software in ways that
sible, to the same extent as the sig- would affect the transmission process,
natory’s handwritten signature would EPA will provide notice as follows:
on a paper document submitted to sat- (1) Significant changes to CDX: Where
isfy the same federal or authorized pro- the equipment, software, or services
gram reporting requirement. needed to transmit electronic docu-
(d) Proof that a particular signature ments to the Central Data Exchange
device was used to create an electronic would be changed significantly, EPA
signature will suffice to establish that will provide public notice and seek
the individual uniquely entitled to use comment on the change and the pro-
the device did so with the intent to posed implementation schedule
sign the electronic document and give through the FEDERAL REGISTER;
it effect. (2) Other changes to CDX: EPA will
(e) Nothing in this part limits the use provide notice of other changes to Cen-
of electronic documents or information tral Data Exchange users at least sixty
derived from electronic documents as (60) days in advance of implementa-
evidence in enforcement or other pro- tion.
ceedings. (3) De minimis or transparent changes
to CDX: For de minimis or transparent
Subpart B—Electronic Reporting to changes that have minimal or no im-
pact on the transmission process, EPA
EPA may provide notice if appropriate on a
§ 3.10 What are the requirements for case-by-case basis.
electronic reporting to EPA? (b) Emergency changes to CDX: Any
change which EPA’s Chief Information
(a) A person may use an electronic Officer or his or her designee deter-
document to satisfy a federal reporting mines is needed to ensure the security
requirement or otherwise substitute and integrity of the Central Data Ex-
for a paper document or submission change is exempt from the provisions
permitted or required under other proof paragraph (a) of this section. How-
visions of Title 40 only if: ever, to the extent consistent with en-
(1) The person transmits the elec-
suring the security and integrity of the
tronic document to EPA’s Central Data
system, EPA will provide notice for
Exchange, or to another EPA elec-
any change other than de minimis or
tronic document receiving system that
transparent changes to the Central
the Administrator may designate for
Data Exchange.
the receipt of specified submissions,
complying with the system’s require-
ments for submission; and Subpart C [Reserved]
(2) The electronic document bears all
valid electronic signatures that are re- Subpart D—Electronic Reporting
quired under paragraph (b) of this sec- Under EPA-Authorized State,
tion. Tribe, and Local Programs
(b) An electronic document must
bear the valid electronic signature of a § 3.1000 How does a state, tribe, or
signatory if that signatory would be re- local government revise or modify
quired under Title 40 to sign the paper its authorized program to allow
electronic reporting?
document for which the electronic doc-
ument substitutes, unless EPA an- (a) A state, tribe, or local govern-
nounces special provisions to accept a ment that receives or plans to begin re-
handwritten signature on a separate ceiving electronic documents in lieu of
paper submission and the signatory paper documents to satisfy require-
provides that handwritten signature. ments under an authorized program
must revise or modify such authorized
§ 3.20 How will EPA provide notice of program to ensure that it meets the re-
changes to the Central Data Ex- quirements of this part.
change? (1) General procedures for program

(a) Except as provided under para- modification or revision: To revise or
graph (b) of this section, whenever EPA modify an authorized program to meet
72
the requirements of this part, a state, tion for program revision or modifica-
tribe, or local government must submit tion respecting their receipt of elec-
an application that complies with para- tronic documents. Such applications
graph (b)(1) of this section and must must comply with paragraph (a)(1) of
follow either the applicable procedures this section.
for program revision or modification in (5) Restrictions on the use of procedures
other parts of Title 40, or, at the appli- in this section: The procedures provided
cant’s option, the procedures provided in paragraphs (b) through (e) of this
in paragraphs (b) through (e) of this section may only be used for revising
section. or modifying an authorized program to
(2) Programs planning to receive elec- provide for electronic reporting and for
tronic documents under an authorized subsequent revisions or modifications
program: A state, tribe, or local govern-
to the electronic reporting elements of
ment that does not have an existing
an authorized program as provided
electronic document receiving system
under paragraph (a)(4) of this section.
for an authorized program must receive
EPA approval of revisions or modifica- (b)(1) To obtain EPA approval of pro-
tions to such program in compliance gram revisions or modifications using
with paragraph (a)(1) of this section be- procedures provided under this section,
fore the program may receive elec- a state, tribe, or local government
tronic documents in lieu of paper docu- must submit an application to the Ad-
ments to satisfy program require- ministrator that includes the following
ments. elements:
(3) Programs already receiving elec- (i) A certification that the state,
tronic documents under an authorized tribe, or local government has suffi-
program: A state, tribe, or local govern- cient legal authority provided by law-
ment with an existing electronic docu- fully enacted or promulgated statutes
ment receiving system for an author- or regulations that are in full force and
ized program must submit an applica- effect on the date of the certification
tion to revise or modify such author- to implement the electronic reporting
ized program in compliance with para- component of its authorized programs
graph (a)(1) of this section no later covered by the application in conform-
than January 13, 2010. On a case-by- ance with § 3.2000 and to enforce the af-
case basis, this deadline may be ex- fected programs using electronic docu-
tended by the Administrator, upon re- ments collected under these programs,
quest of the state, tribe, or local gov- together with copies of the relevant
ernment, where the Administrator de- statutes and regulations, signed by the
termines that the state, tribe, or local State Attorney General or his or her
government needs additional time to designee, or, in the case of an author-
make legislative or regulatory changes ized tribe or local government pro-
in order to meet the requirements of
gram, by the chief executive or admin-
this part.
istrative official or officer of the gov-
(4) Programs with approved electronic
ernmental entity, or his or her des-
document receiving systems: An author-
ized program that has EPA’s approval ignee;
to accept electronic documents in lieu (ii) A listing of all the state, tribe, or
of paper documents must keep EPA ap- local government electronic document
prised of those changes to laws, poli- receiving systems to accept the elec-
cies, or the electronic document receiv- tronic documents being addressed by
ing systems that have the potential to the program revisions or modifications
affect program compliance with § 3.2000. that are covered by the application, to-
Where the Administrator determines gether with a description for each such
that such changes require EPA review system that specifies how the system
and approval, EPA may request that meets the applicable requirements in
the state, tribe, or local government § 3.2000 with respect to those electronic
submit an application for program re- documents;
vision or modification; additionally, a (iii) A schedule of upgrades for the

state, tribe, or local government on its electronic document receiving systems
own initiative may submit an applica- listed under paragraph (b)(1)(ii) of this
73
§ 3.1000 40 CFR Ch. I (7–1–21 Edition)
section that have the potential to af- the Administrator need not take the
fect the program’s continued conform- same action with respect to the re-
ance with § 3.2000; and quested revisions or modifications for
(iv) Other information that the Ad- each such program.
ministrator may request to fully evalu- (3) When an application under para-
ate the application. graph (b) of this section requests revi-
(2) A state, tribe, or local govern- sion or modification of an authorized
ment that revises or modifies more public water system program under
than one authorized program for re- part 142 of this title, the Administrator
ceipt of electronic documents in lieu of will, in accordance with the procedures
paper documents may submit a consoli- in paragraph (f) of this section, provide
dated application under this section an opportunity for a public hearing be-
covering more than one authorized pro- fore a final determination pursuant to
gram, provided the consolidated appli- paragraph (c)(1) of this section with re-
cation complies with paragraph (b)(1) spect to that component of the applica-
of this section for each authorized pro- tion.
gram. (4) Except as provided under para-
(3)(i) Within 75 calendar days of re- graph (c)(4)(i) and (ii) of this section, if
ceiving an application for program re- the Administrator does not take any
vision or modification submitted under action under paragraph (c)(1) of this
paragraph (b)(1) of this section, the Ad- section on a specific request for revi-
ministrator will respond with a letter sion or modification of a specific au-
that either notifies the state, tribe, or thorized program addressed by an ap-
local government that the application plication submitted under paragraph
is complete or identifies deficiencies in (b) of this section within 180 calendar
the application that render the applica- days of notifying the state, tribe, or
tion incomplete. The state, tribe, or local government under paragraph
local government receiving a notice of (b)(3) of this section that the applica-
deficiencies may amend the application tion is complete, the specific request
and resubmit it. Within 30 calendar for program revision or modification
days of receiving the amended applica- for the specific authorized program is
tion, the Administrator will respond considered automatically approved by
with a letter that either notifies the EPA at the end of the 180 calendar days
applicant that the amended application unless the review period is extended at
is complete or identifies remaining de- the request of the state, tribe, or local
ficiencies that render the application government submitting the applica-
incomplete. tion.
(ii) If a state, tribe, or local govern- (i) Where an opportunity for public
ment receiving notice of deficiencies hearing is required under paragraph
under paragraph (b)(3)(i) of this section (c)(3) of this section, the Administra-
does not remedy the deficiencies and tor’s action on the requested revision
resubmit the subject application with- or modification will be in accordance
in a reasonable period of time, the Ad- with paragraph (f) of this section.
ministrator may act on the incomplete (ii) Where a requested revision or
application under paragraph (c) of this modification addressed by an applica-
section. tion submitted under paragraph (b) of
(c)(1) The Administrator will act on this section is to an authorized pro-
an application by approving or denying gram with an existing electronic docu-
the state’s, tribe’s or local government receiving system, and where noti-
ment’s request for program revision or fication under paragraph (b)(3) of this
modification. section that the application is com-
(2) Where a consolidated application plete is executed after October 13, 2007,
submitted under paragraph (b)(2) of if the Administrator does not take any
this section addresses revisions or action under paragraph (c)(1) of this
modifications to more than one author- section on the specific request for revi-
ized program, the Administrator may sion or modification within 360 cal-
approve or deny the request for revi- endar days of such notification, the
sion or modification of each authorized specific request is considered auto-
program in the application separately; matically approved by EPA at the end
74
of the 360 calendar days unless the re- portunity for hearing in the FEDERAL
view period is extended at the request REGISTER. The Administrator will give
of the state, tribe, or local government notice in the FEDERAL REGISTER of any
submitting the application. hearing to be held pursuant to a re-
(d) Except where an opportunity for quest submitted by an interested per-
public hearing is required under para- son or on the Administrator’s own mo-
graph (c)(3) of this section, EPA’s ap- tion. Notice of hearing will be given
proval of a program revision or modi- not less than 15 days prior to the time
fication under this section will be ef- scheduled for the hearing;
fective upon publication of a notice of (3) The hearing will be conducted by
EPA’s approval of the program revision a designated hearing officer in an in-
or modification in the FEDERAL REG- formal, orderly, and expeditious man-
ISTER. EPA will publish such a notice ner. The hearing officer will have au-
promptly after approving a program re- thority to take such action as may be
vision or modification under paragraph necessary to assure the fair and effi-
(c)(1) of this section or after an EPA cient conduct of the hearing; and
approval occurs automatically under (4) After reviewing the record of the
paragraph (c)(4) of this section. hearing, the Administrator will issue
(e) If a state, tribe, or local govern- an order either affirming the deter-
ment submits material to amend its mination the Administrator made
application under paragraph (b)(1) of under paragraph (c)(1) of this section or
this section after the date that the Ad- rescinding such determination and will
ministrator sends notification under promptly publish a notice of the order
paragraph (b)(3)(i) of this section that in the FEDERAL REGISTER. If the order
the application is complete, this new is to approve the program revision or
submission will constitute withdrawal modification, EPA’s approval will be
of the pending application and submis- effective upon publication of the notice
sion of a new, amended application for in the FEDERAL REGISTER. If no timely
program revision or modification under request for a hearing is received and
paragraph (b)(1) of this section, and the the Administrator does not determine
180-day time period in paragraph (c)(4) to hold a hearing on the Administra-
of this section or the 360-day time pe- tor’s own motion, the Administrator’s
riod in paragraph (c)(4)(ii) of this sec- determination made under paragraph
tion will begin again only when the Ad- (c)(1) of this section will be effective 30
ministrator makes a new determina- days after notice is published pursuant
tion and notifies the state, tribe, or to paragraph (f)(1) of this section.
local government under paragraph [70 FR 59879, Oct. 13, 2005, as amended at 72
(b)(3)(i) of this section that the amend- FR 43169, Aug. 3, 2007; 73 FR 78994, Dec. 24,
ed application is complete. 2008]
(f) For an application under this sec-
tion that requests revision or modifica- § 3.2000 What are the requirements au-
tion of an authorized public water sys- thorized state, tribe, and local pro-
tem program under part 142 of this grams’ reporting systems must
chapter: meet?
(1) The Administrator will publish (a) Authorized programs that receive
notice of the Administrator’s prelimi- electronic documents in lieu of paper
nary determination under paragraph to satisfy requirements under such pro-
(c)(1) of this section in the FEDERAL grams must:
REGISTER, stating the reasons for the (1) Use an acceptable electronic docu-
determination and informing interment receiving system as specified
ested persons that they may request a under paragraphs (b) and (c) of this sec-
public hearing on the Administrator’s tion; and
determination. Frivolous or insubstan- (2) Require that any electronic docu-
tial requests for a hearing may be de- ment must bear the valid electronic
nied by the Administrator; signature of a signatory if that signa-
(2) Requests for a hearing submitted tory would be required under the au-
under this section must be submitted thorized program to sign the paper doc-
to the Administrator within 30 days ument for which the electronic docu-
after publication of the notice of opment substitutes, unless the program
75
§ 3.2000 40 CFR Ch. I (7–1–21 Edition)
has been approved by EPA to accept a quired certification statement, includ-

handwritten signature on a separate ing any applicable provisions that false
paper submission. The paper submis- certification carries criminal penalties;
sion must contain references to the (v) Each signatory has signed either
electronic document sufficient for legal an electronic signature agreement or a
certainty that the signature was exe- subscriber agreement with respect to
cuted with the intention to certify to, the electronic signature device used to
attest to, or agree to the content of create his or her electronic signature
that electronic document. on the electronic document;
(b) An electronic document receiving (vi) The electronic document receiv-
system that receives electronic docu- ing system has automatically re-
ments submitted in lieu of paper docu- sponded to the receipt of the electronic
ments to satisfy requirements under an document with an acknowledgment
authorized program must be able to that identifies the electronic document
generate data with respect to any such received, including the signatory and
electronic document, as needed and in the date and time of receipt, and is
a timely manner, including a copy of sent to at least one address that does
record for the electronic document, not share the same access controls as
sufficient to prove, in private litiga- the account used to make the elec-
tion, civil enforcement proceedings, tronic submission; and
and criminal proceedings, that: (vii) For each electronic signature
(1) The electronic document was not device used to create an electronic sig-
altered without detection during trans- nature on the document, the identity
mission or at any time after receipt; of the individual uniquely entitled to
(2) Any alterations to the electronic use the device and his or her relation
document during transmission or after to any entity for which he or she will
receipt are fully documented; sign electronic documents has been de-
(3) The electronic document was sub- termined with legal certainty by the
mitted knowingly and not by accident; issuing state, tribe, or local govern-
(4) Any individual identified in the ment. In the case of priority reports
electronic document submission as a identified in the table in Appendix 1 of
submitter or signatory had the oppor- Part 3, this determination has been
tunity to review the copy of record in made before the electronic document is
a human-readable format that clearly received, by means of:
and accurately associates all the infor- (A) Identifiers or attributes that are
mation provided in the electronic docu- verified (and that may be re-verified at
ment with descriptions or labeling of any time) by attestation of disin-
the information and had the oppor- terested individuals to be uniquely true
tunity to repudiate the electronic doc- of (or attributable to) the individual in
ument based on this review; and whose name the application is sub-
(5) In the case of an electronic docu- mitted, based on information or objects
ment that must bear electronic signa- of independent origin, at least one item
tures of individuals as provided under of which is not subject to change with-
paragraph (a)(2) of this section, that: out governmental action or authoriza-
(i) Each electronic signature was a tion; or
valid electronic signature at the time (B) A method of determining identity
of signing; no less stringent than would be per-
(ii) The electronic document cannot mitted under paragraph (b)(5)(vii)(A) of
be altered without detection at any this section; or
time after being signed; (C) Collection of either a subscriber
(iii) Each signatory had the oppor- agreement or a certification from a
tunity to review in a human-readable local registration authority that such
format the content of the electronic an agreement has been received and se-
document that he or she was certifying curely stored.
to, attesting to or agreeing to by sign- (c) An authorized program that re-
ing; ceives electronic documents in lieu of
(iv) Each signatory had the oppor- paper documents must ensure that:
tunity, at the time of signing, to re- (1) A person is subject to any appro-
view the content or meaning of the re- priate civil, criminal penalties or other
76
Environmental Protection Agency Pt. 3, App. 1
remedies under state, tribe, or local (3) Proof that a particular electronic
law for failure to comply with a report- signature device was used to create an
ing requirement if the person fails to electronic signature that is included in
comply with the applicable provisions or logically associated with an elec-
for electronic reporting. tronic document submitted to satisfy a
(2) Where an electronic document state, tribe, or local reporting require-
submitted to satisfy a state, tribe, or ment will suffice to establish that the
local reporting requirement bears an individual uniquely entitled to use the
electronic signature, the electronic sig- device at the time of signature did so
with the intent to sign the electronic
nature legally binds or obligates the
document and give it effect.
signatory, or makes the signatory re-
(4) Nothing in the authorized pro-
sponsible, to the same extent as the
gram limits the use of electronic docu-
signatory’s handwritten signature on a ments or information derived from
paper document submitted to satisfy electronic documents as evidence in
the same reporting requirement. enforcement proceedings.
APPENDIX 1 TO PART 3—PRIORITY REPORTS

Category Description 40 CFR Citation
Required Reports
State Implementation Plan ....... Emissions data reports for mobile sources .............................. 51.60(c).
Excess Emissions and Moni- Excess emissions and monitoring performance report detail- 60.7(c), 60.7(d).
toring Performance Report ing the magnitude of excess emissions, and provides the
Compliance Notification Re- date, time, and system status at the time of the excess
port. emission.
New Source Performance Semi-annual reports (quarterly, if report is approved for elec- 60.49a(e) & (j) & (v),
Standards Reporting Re- tronic submission by the permitting authority) on sulfur di- 60.49b(v).
quirements. oxide, nitrous oxides and particulate matter emission (in-
cludes reporting requirements in Subparts A through
DDDD).
Semi-annual Operations and Semi-annual report provides information on a company’s ex- 60.107(c), 60.107(d).
Corrective Action Reports. ceedance 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 compli-
ance with emission limits.
National Emission Standards Include such reports as: Annual compliance, calculation, ini- 61.11, 61.24(a)(3) & (a)(8),
for Hazardous Air Pollutants tial startup, compliance status, certifications of compliance, 61.70(c)(1) & (c)(2)(v) &
Reporting Requirements. waivers from compliance certifications, quarterly inspection (c)(3) & (c)(4)(iv), 61.94(a) &
certifications, operations, and operations and process (b)(9), 61.104(a) & (a)(1)(x)
change. & (a)(1)(xi) & (a)(1)(xvi),
61.138(e) & (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 Com- Reports containing results from performance test, opacity 63.10(d), 63.10(e)(1),
pliance Report. tests, and visible emissions tests. Progress reports; peri- 63.10(e)(3).
odic and immediate startup, shutdown, and malfunction re-
ports; results from continuous monitoring system perform-
ance evaluations; excess emissions and continuous moni-
toring system performance report; or summary report.
Notifications and Reports ......... Reports that document a facility’s initial compliance status, 65.5(d), 65.5(e).
notification of initial start-up, and periodic reports which in-

cludes the startup, shutdown, and malfunction reports dis-
cussed in 40 CFR 65.6(c).
77
Pt. 3, App. 1 40 CFR Ch. I (7–1–21 Edition)
Continuous Emissions Moni- Quarterly emissions monitoring reports and opacity reports 75.64, 75.65.
toring. which document a facility’s excess emission.
Notice of Fuel or Fuel Additive Registration of new fuels and additives, and the submission 79.10, 79.11, 79.20, 79.21,
Registration and Health Ef- and certification of health effect data. 79.51.
fects Testing.
Manufacture In-Use and Prod- Reports that document the emissions testing results gen- 86.1845, 86.1846, 86.1847,
uct Line Emissions Testing. erated from the in-use testing program for new and in-use 90.113, 90.1205, 90.704,
highway vehicle ignition engines; non-road spark-ignition 91.805, 91.504, 92.607,
engines; marine spark-ignition engines; and locomotives 92.508, 92.509.
and locomotive engines.
Industrial and Publicly Owned Discharge monitoring reports for all individual permittees—in- 122.41(l)(4)(i), 403.12(b) & (d)
Treatment Works Reports. cluding baseline reports, pretreatment standards report, & (e) & (h).
periodic compliance reports, and reports made by signifi-
cant industrial users.
Event Driven Notices
State Implementation Plan ....... Owners report emissions data from stationary sources ........... 51.211.
Report For Initial Performance Report that provides the initial performance test results, site- 60.2200 (initial performance
Test. specific operating limits, and, if installed, information on the tests).
bag leak detection device used by the facility.
Emissions Control Report ........ Report submitted by new sources within 90 days of set-up 61.153(a)(1), 61.153(a)(4)(i),
which describes emission control equipment used, proc- 61.153(a)(5)(ii).
esses which generate asbestos-containing waste material,
and disposal information.
State Operating Permits—Per- Monitoring and deviation reports under the State Operating 70.6(a)(3)(iii)(A),
mit Content. Permit. 70.6(a)(3)(iii)(B).
Title V Permits—Permit Con- Monitoring and deviation reports under the Federal Operating 71.6(a)(3)(iii).
tent. Permit.
Annual Export Report ............... Annual report summarizing the amount and type of haz- 262.56(a).
ardous waste exported.
Exceptions Reports .................. Reports submitted by a generator when the generator has 262.42, 262.55.
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 gen-
erator has not received a copy of the manifest from the
transporter with departure date and place of export indi-
cated; and confirmation from the consignee that the haz-
ardous waste was received or when the hazardous waste
is returned to the U.S.
Contingency Plan Implementa- Follow-up reports made to the Agency for all incidents noted 264.56(j), 265.56(j).
tion Reports. in the operating record which required the implementation
of a facility’s contingency plan.
Significant Manifest Discrep- Report filed by Treatment, Storage, and Disposal Facilities 264.72(b), 265.72(b).
ancy Report. (TSDF) within 15 days of receiving wastes, when the TSDF
is unable to resolve manifest discrepancies with the gener-
ator.
Unmanifested Waste Report .... Report that documents hazardous waste received by a Treat- 264.76, 265.76.
ment, Storage, and Disposal Facility without an accom-
panying manifest.
Noncompliance Report ............. An owner/operator submitted report which documents haz- 264.1090.
ardous waste that was placed in hazardous waste manage-
ment 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 concerning transportation and disposal 266.345.
Waste. of conditionally exempted waste.
Notification—Land Disposal One-time notification and certification that characteristic 268.9(d).
Restrictions. waste is no longer hazardous.
Underground Storage Tank No- Underground Storage Tank system notifications concerning 280.22.
tification. design, construction, and installation. As well as when sys-
tems are being placed in operation. (EPA Form 7530–1 or
state version.).
Free Product Removal Report Report written and submitted within 45 days after confirming 280.64, 280.65.
and Subsequent Investiga- a free product release, including information on the release
tion Report. and recovery methods used for the free product, and when
test indicate presence of free product, response measures.
Manufacture or Import Premanufacture notification of intent to begin manufacturing, 720.102, 721.25.

Premanufacture Notification. importing, or processing chemicals identified in Subpart E
for significant new use (forms 7710–56 and 7710–25).
78
Environmental Protection Agency Pt. 3, App. 1
Permit Applications 1
State Implementation Plan ....... Information describing the source, its construction schedule, 52.21(n).
and the planned continuous emissions reductions system.
State Operating Permits ........... Reports, notices, or other written submissions required by a 70.6(c)(1).
State Operating Permit.
Title V Permits—Permit Con- Reports, notices, or other written submissions required by a 71.6(c)(1), 71.25(c)(1).
tent. Title V Operating Permit.
Title V Permits .......................... Specific criteria for permit modifications and or revisions, in- 71.7(e(2)(ii)(c).
cluding a certification statement by a responsible official.
Reclaimer Certification ............. Certification made by a reclaimer that the refrigerant was re- 82.164.
processed according to specifications and that no more
than 1.5% of the refrigerant was released during the rec-
lamation.
Application for Certification and Control of Emissions for New and In-Use Highway Vehicles 86.007–21 (heavy duty),
Statement of Compliance. and Engines statement of compliance made by manufac- 1844–01 (light duty).
turer, attesting that the engine family complies with stand-
ards for new and in-use highway vehicles and engines.
Application for Certification ...... Application made by engine manufacturer to obtain certificate 89.115, 90.107, 91.107,
of conformity. 92.203, 94.203.
National Pollutant Discharge National Pollutant Discharge Elimination System (NPDES) 122.21.
Elimination System. Permits and Renewals (includes individual permit applica-
tions, NPDES General Form 1, and NPDES Forms 2A–F,
and 2S).
Resource Conservation and Signatures for permit applications and reports; submission of 270.11, 270.42.
Recovery Act Permit Applica- permit modifications. (This category excludes Class I per-
tions and Modifications. mit modifications (40 CFR 270.42, Appendix I) that do not
require prior approval).
Certifications of Compliance/Non-Applicability
State Implementation Plan Re- State implementation plan certifications for testing, inspection, 51.212(c), 51.214(e).
quirements. enforcement, and continuous emissions monitoring.
Certification Statement ............. Chemical Accident Prevention Provisions—Risk Management 68.185.
Plan certification statements.
Title V Permits .......................... Federal compliance certifications and permit applications ....... 70.5(c)(9), 70.5(d), 70.6(c)(5).
State Operating Permits ........... State compliance certifications and permit applications ........... 71.5(c)(9), 71.5(d), 71.24(f).
Annual and Other Compliance Annual compliance certification report and is submitted by 72.90.
Certification Reports. units subject to acid rain emissions limitations.
Annual Compliance Certifi- Annual compliance certification report which is submitted in 74.43.
cation Report, Opt-In Report, lieu of annual compliance certification report listed in Sub-
and Confirmation Report. part I of Part 72.
Quarterly Reports and Compli- Continuous Emission Monitoring certifications, monitoring 75.73.
ance Certifications. plans, and quarterly reports for NOX emissions.
Certification Letters Recovery Protection of Stratospheric Ozone: Recycling & Emissions 79.4, 80.161, 82.162, 82.42.
and Recycling Equipment, Reduction. Acquisition of equipment for recovery or recy-
Motor Vehicle Air Condi- cling made by auto repair service technician and Fuels and
tioners Recycling Program, Fuel Additives Detergent additive certification.
Detergent Package.
Response Plan Cover Sheet ... Oil Pollution Prevention certification to the truth and accuracy 112 (Appendix f).
of information.
Closure Report ......................... Report which documents that closure was in accordance with 146.71.
closure plan and/or details difference between actual clo-
sure and the procedures outlined in the closure plan.
Certification of Closure and Certification that Treatment, Storage, and Disposal Facilities 264.115, 264.119,
Post Closure Care, Post-Clo- (TSDF) are closed in accordance with approved closure 264.119(b)(2), 264.120,
sure Notices. plan or post-closure plan. 265.115, 265.119(b)(2),
265.120, 265.19.
Certification of Testing Lab Certification that the testing and/or lab analyses required for 270.63.
Analysis. the treatment demonstration phase of a two-phase permit
was conducted.
Periodic Certification ................ Certification that facility is operating its system to provide 437.41(b).
equivalent treatment as in initial certification.
1 Included within each permit application category, though sometimes not listed, are the permits submitted to run/operate/main-
tain facilities and/or equipment/products under EPA or authorized programs.
79
PART 4—UNIFORM RELOCATION 5.225 Educational institutions eligible to

submit transition plans.
ASSISTANCE AND REAL PROP- 5.230 Transition plans.
ERTY ACQUISITION FOR FEDERAL 5.235 Statutory amendments.
AND FEDERALLY ASSISTED PRO-
GRAMS Subpart C—Discrimination on the Basis of
Sex in Admission and Recruitment Pro-
hibited
AUTHORITY: Section 213, Uniform Reloca-
tion Assistance and Real Property Acquisi- 5.300 Admission.
tion Policies Act of 1970, as amended by the 5.305 Preference in admission.
Surface Transportation and Uniform Reloca- 5.310 Recruitment.
tion Assistance Act of 1987, Title IV of Pub.
L. 100–17, 101 Stat. 246–256 (42 U.S.C. 4601 Subpart D—Discrimination on the Basis of
note). Sex in Education Programs or Activities
Prohibited
§ 4.1 Uniform relocation assistance
and real property acquisition. 5.400 Education programs or activities.
5.405 Housing.
Effective April 2, 1989, regulations 5.410 Comparable facilities.
and procedures for complying with the 5.415 Access to course offerings.
Uniform Relocation Assistance and 5.420 Access to schools operated by LEAs.
Real Property Acquisition Policies Act 5.425 Counseling and use of appraisal and
of 1970 (Pub. L. 91–646, 84 Stat. 1894, 42 counseling materials.
5.430 Financial assistance.
U.S.C. 4601), as amended by the Surface 5.435 Employment assistance to students.
Transportation and Uniform Reloca- 5.440 Health and insurance benefits and
tion Assistance Act of 1987 (Pub. L. 100– services.
17, 101 Stat. 246–255, 42 U.S.C. 4601 note) 5.445 Marital or parental status.
are set forth in 49 CFR part 24. 5.450 Athletics.
5.455 Textbooks and curricular material.
[52 FR 48023, Dec. 17, 1987 and 54 FR 8912,
Mar. 2, 1989] Subpart E—Discrimination on the Basis of
Sex in Employment in Education Pro-
PART 5—NONDISCRIMINATION ON grams or Activities Prohibited
THE BASIS OF SEX IN EDUCATION 5.500 Employment.
PROGRAMS OR ACTIVITIES RE- 5.505 Employment criteria.
CEIVING FEDERAL FINANCIAL 5.510 Recruitment.
ASSISTANCE 5.515 Compensation.
5.520 Job classification and structure.
5.525 Fringe benefits.
Subpart A—Introduction 5.530 Marital or parental status.
Sec. 5.535 Effect of state or local law or other re-
5.100 Purpose and effective date. quirements.
5.105 Definitions. 5.540 Advertising.
5.110 Remedial and affirmative action and 5.545 Pre-employment inquiries.
self-evaluation. 5.550 Sex as a bona fide occupational quali-
5.115 Assurance required. fication.
5.120 Transfers of property.
5.125 Effect of other requirements. Subpart F—Procedures
5.130 Effect of employment opportunities.
5.600 Notice of covered programs.
5.135 Designation of responsible employee
5.605 Enforcement procedures.
and adoption of grievance procedures.
5.140 Dissemination of policy. AUTHORITY: 20 U.S.C. 1681, 1682, 1683, 1685,
1686, 1687, 1688.
Subpart B—Coverage
SOURCE: 65 FR 52865, 52890, Aug. 30, 2000, un-
5.200 Application. less otherwise noted.
5.205 Educational institutions and other en-
tities controlled by religious organiza- Subpart A—Introduction
tions.
5.210 Military and merchant marine edu- § 5.100 Purpose and effective date.
cational institutions.
5.215 Membership practices of certain orga- The purpose of these Title IX regula-
nizations. tions is to effectuate Title IX of the
5.220 Admissions. Education Amendments of 1972, as
80
amended (except sections 904 and 906 of building or facility or any portion
those Amendments) (20 U.S.C. 1681, thereof; and
1682, 1683, 1685, 1686, 1687, 1688), which is (ii) Scholarships, loans, grants,
designed to eliminate (with certain ex- wages, or other funds extended to any
ceptions) discrimination on the basis of entity for payment to or on behalf of
sex in any education program or activ- students admitted to that entity, or
ity receiving Federal financial assist- extended directly to such students for
ance, whether or not such program or payment to that entity.
activity is offered or sponsored by an (2) A grant of Federal real or per-
educational institution as defined in sonal property or any interest therein,
these Title IX regulations. The effec- including surplus property, and the
tive date of these Title IX regulations proceeds of the sale or transfer of such
shall be September 29, 2000. property, if the Federal share of the
fair market value of the property is
§ 5.105 Definitions. not, upon such sale or transfer, prop-
As used in these Title IX regulations, erly accounted for to the Federal Gov-
the term: ernment.
Administratively separate unit means a (3) Provision of the services of Fed-
school, department, or college of an eral personnel.
educational institution (other than a (4) Sale or lease of Federal property
local educational agency) admission to or any interest therein at nominal con-
which is independent of admission to sideration, or at consideration reduced
any other component of such institu- for the purpose of assisting the recipi-
tion. ent or in recognition of public interest
Admission means selection for part- to be served thereby, or permission to
time, full-time, special, associate, use Federal property or any interest
transfer, exchange, or any other enroll- therein without consideration.
ment, membership, or matriculation in (5) Any other contract, agreement, or
or at an education program or activity arrangement that has as one of its pur-
operated by a recipient. poses the provision of assistance to any
Applicant means one who submits an education program or activity, except
application, request, or plan required a contract of insurance or guaranty.
to be approved by an official of the Institution of graduate higher edu-
Federal agency that awards Federal fication means an institution that:
nancial assistance, or by a recipient, as (1) Offers academic study beyond the
a condition to becoming a recipient. bachelor of arts or bachelor of science
Designated agency official means the degree, whether or not leading to a cer-
Director, Office of Civil Rights. tificate of any higher degree in the lib-
Educational institution means a local eral arts and sciences;
educational agency (LEA) as defined by (2) Awards any degree in a profes-
20 U.S.C. 8801(18), a preschool, a private sional field beyond the first profes-
elementary or secondary school, or an sional degree (regardless of whether
applicant or recipient that is an insti- the first professional degree in such
tution of graduate higher education, an field is awarded by an institution of
institution of undergraduate higher undergraduate higher education or pro-
education, an institution of profes- fessional education); or
sional education, or an institution of (3) Awards no degree and offers no
vocational education, as defined in this further academic study, but operates
section. ordinarily for the purpose of facili-
Federal financial assistance means any tating research by persons who have
of the following, when authorized or received the highest graduate degree in
extended under a law administered by any field of study.
the Federal agency that awards such Institution of professional education
assistance: means an institution (except any insti-
(1) A grant or loan of Federal finan- tution of undergraduate higher edu-
cial assistance, including funds made cation) that offers a program of aca-
available for: demic study that leads to a first profes-

(i) The acquisition, construction, ren- sional degree in a field for which there
ovation, restoration, or repair of a is a national specialized accrediting
81
§ 5.110 40 CFR Ch. I (7–1–21 Edition)
agency recognized by the Secretary of Education pursuant to section 901(a)(2)

Education. of the Education Amendments of 1972,
Institution of undergraduate higher 20 U.S.C. 1681(a)(2), under which an edu-
education means: cational institution operates in mak-
(1) An institution offering at least ing the transition from being an edu-
two but less than four years of college- cational institution that admits only
level study beyond the high school students of one sex to being one that
level, leading to a diploma or an asso- admits students of both sexes without
ciate degree, or wholly or principally discrimination.
creditable toward a baccalaureate de-
[65 FR 52865, 52890, Aug. 30, 2000]
gree; or
(2) An institution offering academic § 5.110 Remedial and affirmative ac-
study leading to a baccalaureate de- tion and self-evaluation.
gree; or
(3) An agency or body that certifies (a) Remedial action. If the designated
credentials or offers degrees, but that agency official finds that a recipient
may or may not offer academic study. has discriminated against persons on
Institution of vocational education the basis of sex in an education pro-
means a school or institution (except gram or activity, such recipient shall
an institution of professional or grad- take such remedial action as the des-
uate or undergraduate higher edu- ignated agency official deems nec-
cation) that has as its primary purpose essary to overcome the effects of such
preparation of students to pursue a discrimination.
technical, skilled, or semiskilled occu- (b) Affirmative action. In the absence
pation or trade, or to pursue study in a of a finding of discrimination on the
technical field, whether or not the basis of sex in an education program or
school or institution offers certificates, activity, a recipient may take affirma-
diplomas, or degrees and whether or tive action consistent with law to over-
not it offers full-time study. come the effects of conditions that re-
Recipient means any State or polit- sulted in limited participation therein
ical subdivision thereof, or any instru- by persons of a particular sex. Nothing
mentality of a State or political sub- in these Title IX regulations shall be
division thereof, any public or private interpreted to alter any affirmative ac-
agency, institution, or organization, or tion obligations that a recipient may
other entity, or any person, to whom have under Executive Order 11246, 3
Federal financial assistance is ex- CFR, 1964–1965 Comp., p. 339; as amend-
tended directly or through another re- ed by Executive Order 11375, 3 CFR,
cipient and that operates an education 1966–1970 Comp., p. 684; as amended by
program or activity that receives such Executive Order 11478, 3 CFR, 1966–1970
assistance, including any subunit, suc- Comp., p. 803; as amended by Executive
cessor, assignee, or transferee thereof. Order 12086, 3 CFR, 1978 Comp., p. 230;
Student means a person who has as amended by Executive Order 12107, 3
gained admission. CFR, 1978 Comp., p. 264.
Title IX means Title IX of the Edu- (c) Self-evaluation. Each recipient
cation Amendments of 1972, Public Law education institution shall, within one
92–318, 86 Stat. 235, 373 (codified as year of September 29, 2000:
amended at 20 U.S.C. 1681–1688) (except (1) Evaluate, in terms of the require-
sections 904 and 906 thereof), as amendments of these Title IX regulations, its
ed by section 3 of Public Law 93–568, 88 current policies and practices and the
Stat. 1855, by section 412 of the Edu- effects thereof concerning admission of
cation Amendments of 1976, Public Law students, treatment of students, and
94–482, 90 Stat. 2234, and by Section 3 of employment of both academic and non-
Public Law 100–259, 102 Stat. 28, 28–29 academic personnel working in connec-
(20 U.S.C. 1681, 1682, 1683, 1685, 1686, 1687, tion with the recipient’s education pro-
1688). gram or activity;
Title IX regulations means the provi- (2) Modify any of these policies and
sions set forth at §§ 5.100 through 5.605. practices that do not or may not meet
Transition plan means a plan subject the requirements of these Title IX reg-
to the approval of the Secretary of ulations; and
82
(3) Take appropriate remedial steps the recipient for the period during
to eliminate the effects of any dis- which it retains ownership or posses-
crimination that resulted or may have sion of the property.
resulted from adherence to these poli- (3) In all other cases such assurance
cies and practices. shall obligate the recipient for the pe-
(d) Availability of self-evaluation and riod during which Federal financial as-
related materials. Recipients shall main- sistance is extended.
tain on file for at least three years fol- (c) Form. (1) The assurances required
lowing completion of the evaluation re- by paragraph (a) of this section, which
quired under paragraph (c) of this sec- may be included as part of a document
tion, and shall provide to the des- that addresses other assurances or obli-
ignated agency official upon request, a gations, shall include that the appli-
description of any modifications made cant or recipient will comply with all
pursuant to paragraph (c)(2) of this sec- applicable Federal statutes relating to
tion and of any remedial steps taken nondiscrimination. These include but
pursuant to paragraph (c)(3) of this sec- are not limited to: Title IX of the Edu-
tion. cation Amendments of 1972, as amend-
§ 5.115 Assurance required. ed (20 U.S.C. 1681–1683, 1685–1688).
(2) The designated agency official
(a) General. Either at the application will specify the extent to which such
stage or the award stage, Federal agen- assurances will be required of the ap-
cies must ensure that applications for plicant’s or recipient’s subgrantees,
Federal financial assistance or awards contractors, subcontractors, trans-
of Federal financial assistance contain, ferees, or successors in interest.
be accompanied by, or be covered by a
specifically identified assurance from § 5.120 Transfers of property.
the applicant or recipient, satisfactory
to the designated agency official, that If a recipient sells or otherwise trans-
each education program or activity op- fers property financed in whole or in
erated by the applicant or recipient part with Federal financial assistance
and to which these Title IX regulations to a transferee that operates any edu-
apply will be operated in compliance cation program or activity, and the
with these Title IX regulations. An as- Federal share of the fair market value
surance of compliance with these Title of the property is not upon such sale or
IX regulations shall not be satisfactory transfer properly accounted for to the
to the designated agency official if the Federal Government, both the trans-
applicant or recipient to whom such as- feror and the transferee shall be
surance applies fails to commit itself deemed to be recipients, subject to the
to take whatever remedial action is provisions of §§ 5.205 through 5.235(a).
necessary in accordance with § 5.110(a)
§ 5.125 Effect of other requirements.
to eliminate existing discrimination on
the basis of sex or to eliminate the ef- (a) Effect of other Federal provisions.
fects of past discrimination whether The obligations imposed by these Title
occurring prior to or subsequent to the IX regulations are independent of, and
submission to the designated agency do not alter, obligations not to dis-
official of such assurance. criminate on the basis of sex imposed
(b) Duration of obligation. (1) In the by Executive Order 11246, 3 CFR, 1964–
case of Federal financial assistance ex- 1965 Comp., p. 339; as amended by Exec-
tended to provide real property or utive Order 11375, 3 CFR, 1966–1970
structures thereon, such assurance Comp., p. 684; as amended by Executive
shall obligate the recipient or, in the Order 11478, 3 CFR, 1966–1970 Comp., p.
case of a subsequent transfer, the 803; as amended by Executive Order
transferee, for the period during which 12087, 3 CFR, 1978 Comp., p. 230; as
the real property or structures are used amended by Executive Order 12107, 3
to provide an education program or ac- CFR, 1978 Comp., p. 264; sections 704
tivity. and 855 of the Public Health Service
(2) In the case of Federal financial as- Act (42 U.S.C. 295m, 298b-2); Title VII of
sistance extended to provide personal the Civil Rights Act of 1964 (42 U.S.C.
property, such assurance shall obligate 2000e et seq.); the Equal Pay Act of 1963
83
§ 5.130 40 CFR Ch. I (7–1–21 Edition)
(29 U.S.C. 206); and any other Act of and equitable resolution of student and
Congress or Federal regulation. employee complaints alleging any ac-
(b) Effect of State or local law or other tion that would be prohibited by these
requirements. The obligation to comply Title IX regulations.
with these Title IX regulations is not
obviated or alleviated by any State or § 5.140 Dissemination of policy.
local law or other requirement that (a) Notification of policy. (1) Each re-
would render any applicant or student cipient shall implement specific and
ineligible, or limit the eligibility of continuing steps to notify applicants
any applicant or student, on the basis for admission and employment, stu-
of sex, to practice any occupation or dents and parents of elementary and
profession. secondary school students, employees,
(c) Effect of rules or regulations of pri- sources of referral of applicants for ad-
vate organizations. The obligation to mission and employment, and all
comply with these Title IX regulations unions or professional organizations
is not obviated or alleviated by any holding collective bargaining or profes-
rule or regulation of any organization, sional agreements with the recipient,
club, athletic or other league, or asso- that it does not discriminate on the
ciation that would render any appli- basis of sex in the educational pro-
cant or student ineligible to partici- grams or activities that it operates,
pate or limit the eligibility or partici- and that it is required by Title IX and
pation of any applicant or student, on these Title IX regulations not to dis-
the basis of sex, in any education pro- criminate in such a manner. Such noti-
gram or activity operated by a recipi- fication shall contain such informa-
ent and that receives Federal financial tion, and be made in such manner, as
assistance. the designated agency official finds
necessary to apprise such persons of
§ 5.130 Effect of employment opportu- the protections against discrimination
nities. assured them by Title IX and these
The obligation to comply with these Title IX regulations, but shall state at
Title IX regulations is not obviated or least that the requirement not to dis-
alleviated because employment oppor- criminate in education programs or ac-
tunities in any occupation or profes- tivities extends to employment there-
sion are or may be more limited for in, and to admission thereto unless
members of one sex than for members §§ 5.300 through 5.310 do not apply to
of the other sex. the recipient, and that inquiries con-
cerning the application of Title IX and
§ 5.135 Designation of responsible em- these Title IX regulations to such re-
ployee and adoption of grievance cipient may be referred to the em-
procedures. ployee designated pursuant to § 5.135, or
(a) Designation of responsible employee. to the designated agency official.
Each recipient shall designate at least (2) Each recipient shall make the ini-
one employee to coordinate its efforts tial notification required by paragraph
to comply with and carry out its re- (a)(1) of this section within 90 days of
sponsibilities under these Title IX reg- September 29, 2000 or of the date these
ulations, including any investigation of Title IX regulations first apply to such
any complaint communicated to such recipient, whichever comes later,
recipient alleging its noncompliance which notification shall include publi-
with these Title IX regulations or al- cation in:
leging any actions that would be pro- (i) Newspapers and magazines oper-
hibited by these Title IX regulations. ated by such recipient or by student,
The recipient shall notify all its stu- alumnae, or alumni groups for or in
dents and employees of the name, of- connection with such recipient; and
fice address, and telephone number of (ii) Memoranda or other written com-
the employee or employees appointed munications distributed to every stu-
pursuant to this paragraph. dent and employee of such recipient.
(b) Complaint procedure of recipient. A (b) Publications. (1) Each recipient

recipient shall adopt and publish griev- shall prominently include a statement
ance procedures providing for prompt of the policy described in paragraph (a)
84
of this section in each announcement, with a specific tenet of the religious or-
bulletin, catalog, or application form ganization.
that it makes available to any person
of a type, described in paragraph (a) of § 5.210 Military and merchant marine
this section, or which is otherwise used educational institutions.
in connection with the recruitment of These Title IX regulations do not
students or employees. apply to an educational institution
(2) A recipient shall not use or dis- whose primary purpose is the training
tribute a publication of the type de- of individuals for a military service of
scribed in paragraph (b)(1) of this sec- the United States or for the merchant
tion that suggests, by text or illustra- marine.
tion, that such recipient treats appli-
cants, students, or employees dif- § 5.215 Membership practices of cer-
tain organizations.
ferently on the basis of sex except as
such treatment is permitted by these (a) Social fraternities and sororities.
Title IX regulations. These Title IX regulations do not apply
(c) Distribution. Each recipient shall to the membership practices of social
distribute without discrimination on fraternities and sororities that are ex-
the basis of sex each publication de- empt from taxation under section
scribed in paragraph (b)(1) of this sec- 501(a) of the Internal Revenue Code of
tion, and shall apprise each of its ad- 1954, 26 U.S.C. 501(a), the active mem-
mission and employment recruitment bership of which consists primarily of
representatives of the policy of non- students in attendance at institutions
discrimination described in paragraph of higher education.
(a) of this section, and shall require (b) YMCA, YWCA, Girl Scouts, Boy
such representatives to adhere to such Scouts, and Camp Fire Girls. These Title
policy. IX regulations do not apply to the
membership practices of the Young
Men’s Christian Association (YMCA),
Subpart B—Coverage the Young Women’s Christian Associa-
tion (YWCA), the Girl Scouts, the Boy
§ 5.200 Application.
Scouts, and Camp Fire Girls.
Except as provided in §§ 5.205 through (c) Voluntary youth service organiza-
5.235(a), these Title IX regulations tions. These Title IX regulations do not
apply to every recipient and to each apply to the membership practices of a
education program or activity operated voluntary youth service organization
by such recipient that receives Federal that is exempt from taxation under
financial assistance. section 501(a) of the Internal Revenue
Code of 1954, 26 U.S.C. 501(a), and the
§ 5.205 Educational institutions and membership of which has been tradi-
other entities controlled by reli- tionally limited to members of one sex
gious organizations.
and principally to persons of less than
(a) Exemption. These Title IX regula- nineteen years of age.
tions do not apply to any operation of
an educational institution or other en- § 5.220 Admissions.
tity that is controlled by a religious (a) Admissions to educational insti-
organization to the extent that appli- tutions prior to June 24, 1973, are not
cation of these Title IX regulations covered by these Title IX regulations.
would not be consistent with the reli- (b) Administratively separate units. For
gious tenets of such organization. the purposes only of this section,
(b) Exemption claims. An educational §§ 5.225 and 5.230, and §§ 5.300 through
institution or other entity that wishes 5.310, each administratively separate
to claim the exemption set forth in unit shall be deemed to be an edu-
paragraph (a) of this section shall do so cational institution.
by submitting in writing to the des- (c) Application of §§ 5.300 through .310.
ignated agency official a statement by Except as provided in paragraphs (d)
the highest-ranking official of the in- and (e) of this section, §§ 5.300 through
stitution, identifying the provisions of 5.310 apply to each recipient. A recipi-
these Title IX regulations that conflict ent to which §§ 5.300 through 5.310 apply
85
§ 5.225 40 CFR Ch. I (7–1–21 Edition)
shall not discriminate on the basis of plan may be addressed. The person who
sex in admission or recruitment in vio- submits the plan shall be the chief ad-
lation of §§ 5.300 through 5.310. ministrator or president of the institu-
(d) Educational institutions. Except as tion, or another individual legally au-
provided in paragraph (e) of this sec- thorized to bind the institution to all
tion as to recipients that are edu- actions set forth in the plan.
cational institutions, §§ 5.300 through (2) State whether the educational in-
5.310 apply only to institutions of voca- stitution or administratively separate
tional education, professional edu- unit admits students of both sexes as
cation, graduate higher education, and regular students and, if so, when it
public institutions of undergraduate began to do so.
higher education. (3) Identify and describe with respect
(e) Public institutions of undergraduate to the educational institution or ad-
higher education. §§ 5.300 through 5.310 ministratively separate unit any obsta-
do not apply to any public institution cles to admitting students without dis-
of undergraduate higher education that crimination on the basis of sex.
traditionally and continually from its (4) Describe in detail the steps nec-
establishment has had a policy of ad- essary to eliminate as soon as prac-
mitting students of only one sex.
ticable each obstacle so identified and
§ 5.225 Educational institutions eligi- indicate the schedule for taking these
ble to submit transition plans. steps and the individual directly re-
sponsible for their implementation.
(a) Application. This section applies
to each educational institution to (5) Include estimates of the number
which §§ 5.300 through 5.310 apply that: of students, by sex, expected to apply
(1) Admitted students of only one sex for, be admitted to, and enter each
as regular students as of June 23, 1972; class during the period covered by the
or plan.
(2) Admitted students of only one sex (c) Nondiscrimination. No policy or
as regular students as of June 23, 1965, practice of a recipient to which § 5.225
but thereafter admitted, as regular stu- applies shall result in treatment of ap-
dents, students of the sex not admitted plicants to or students of such recipi-
prior to June 23, 1965. ent in violation of §§ 5.300 through 5.310
(b) Provision for transition plans. An unless such treatment is necessitated
educational institution to which this by an obstacle identified in paragraph
section applies shall not discriminate (b)(3) of this section and a schedule for
on the basis of sex in admission or re- eliminating that obstacle has been pro-
cruitment in violation of §§ 5.300 vided as required by paragraph (b)(4) of
through 5.310. this section.
(d) Effects of past exclusion. To over-
§ 5.230 Transition plans. come the effects of past exclusion of
(a) Submission of plans. An institution students on the basis of sex, each edu-
to which § 5.225 applies and that is com- cational institution to which § 5.225 ap-
posed of more than one administra- plies shall include in its transition
tively separate unit may submit either plan, and shall implement, specific
a single transition plan applicable to steps designed to encourage individuals
all such units, or a separate transition of the previously excluded sex to apply
plan applicable to each such unit. for admission to such institution. Such
(b) Content of plans. In order to be ap- steps shall include instituting recruit-
proved by the Secretary of Education, ment programs that emphasize the in-
a transition plan shall: stitution’s commitment to enrolling
(1) State the name, address, and Fed- students of the sex previously ex-
eral Interagency Committee on Edu- cluded.
cation Code of the educational institu-
tion submitting such plan, the admin- § 5.235 Statutory amendments.
istratively separate units to which the (a) This section, which applies to all
plan is applicable, and the name, ad- provisions of these Title IX regula-
dress, and telephone number of the per- tions, addresses statutory amendments
son to whom questions concerning the to Title IX.
86
(b) These Title IX regulations shall (B) A local educational agency (as de-
not apply to or preclude: fined in section 8801 of title 20), system
(1) Any program or activity of the of vocational education, or other
American Legion undertaken in con- school system;
nection with the organization or oper- (iii)(A) An entire corporation, part-
ation of any Boys State conference, nership, or other private organization,
Boys Nation conference, Girls State or an entire sole proprietorship—
conference, or Girls Nation conference; (1) If assistance is extended to such
(2) Any program or activity of a sec- corporation, partnership, private orga-
ondary school or educational institu- nization, or sole proprietorship as a
tion specifically for: whole; or
(i) The promotion of any Boys State (2) Which is principally engaged in
conference, Boys Nation conference, the business of providing education,
Girls State conference, or Girls Nation health care, housing, social services, or
conference; or
parks and recreation; or
(ii) The selection of students to at-
(B) The entire plant or other com-
tend any such conference;
parable, geographically separate facil-
(3) Father-son or mother-daughter
ity to which Federal financial assist-
activities at an educational institution
ance is extended, in the case of any
or in an education program or activity,
other corporation, partnership, private
but if such activities are provided for
students of one sex, opportunities for organization, or sole proprietorship; or
reasonably comparable activities shall (iv) Any other entity that is estab-
be provided to students of the other lished by two or more of the entities
sex; described in paragraphs (c)(1)(i), (ii), or
(4) Any scholarship or other financial (iii) of this section.
assistance awarded by an institution of (2)(i) Program or activity does not in-
higher education to an individual be- clude any operation of an entity that is
cause such individual has received such controlled by a religious organization
award in a single-sex pageant based if the application of 20 U.S.C. 1681 to
upon a combination of factors related such operation would not be consistent
to the individual’s personal appear- with the religious tenets of such orga-
ance, poise, and talent. The pageant, nization.
however, must comply with other non- (ii) For example, all of the operations
discrimination provisions of Federal of a college, university, or other post-
law. secondary institution, including but
(c) Program or activity or program not limited to traditional educational
means: operations, faculty and student hous-
(1) All of the operations of any entity ing, campus shuttle bus service, cam-
described in paragraphs (c)(1)(i) pus restaurants, the bookstore, and
through (iv) of this section, any part of other commercial activities are part of
which is extended Federal financial as- a ‘‘program or activity’’ subject to
sistance: these Title IX regulations if the col-
(i)(A) A department, agency, special lege, university, or other institution
purpose district, or other instrumen- receives Federal financial assistance.
tality of a State or of a local govern-
(d)(1) Nothing in these Title IX regu-
ment; or
lations shall be construed to require or
(B) The entity of such State or local
prohibit any person, or public or pri-
government that distributes such as-
vate entity, to provide or pay for any
sistance and each such department or
agency (and each other State or local benefit or service, including the use of
government entity) to which the as- facilities, related to an abortion. Med-
sistance is extended, in the case of as- ical procedures, benefits, services, and
sistance to a State or local govern- the use of facilities, necessary to save
ment; the life of a pregnant woman or to ad-
(ii)(A) A college, university, or other dress complications related to an abor-

postsecondary institution, or a public tion are not subject to this section.
system of higher education; or
87
§ 5.300 40 CFR Ch. I (7–1–21 Edition)
(2) Nothing in this section shall be (c) Prohibitions relating to marital or

construed to permit a penalty to be im- parental status. In determining whether
posed on any person or individual be- a person satisfies any policy or cri-
cause such person or individual is seek- terion for admission, or in making any
ing or has received any benefit or serv- offer of admission, a recipient to which
ice related to a legal abortion. Accord- §§ 5.300 through 5.310 apply:
ingly, subject to paragraph (d)(1) of (1) Shall not apply any rule con-
this section, no person shall be ex- cerning the actual or potential paren-
cluded from participation in, be denied tal, family, or marital status of a stu-
the benefits of, or be subjected to dis- dent or applicant that treats persons
crimination under any academic, ex- differently on the basis of sex;
tracurricular, research, occupational (2) Shall not discriminate against or
training, employment, or other edu- exclude any person on the basis of
cational program or activity operated pregnancy, childbirth, termination of
by a recipient that receives Federal fi- pregnancy, or recovery therefrom, or
nancial assistance because such indi- establish or follow any rule or practice
vidual has sought or received, or is that so discriminates or excludes;
seeking, a legal abortion, or any ben- (3) Subject to § 5.235(d), shall treat
efit or service related to a legal abor- disabilities related to pregnancy, child-
tion. birth, termination of pregnancy, or re-
covery therefrom in the same manner
Subpart C—Discrimination on the and under the same policies as any
Basis of Sex in Admission and other temporary disability or physical
Recruitment Prohibited condition; and
(4) Shall not make pre-admission in-
§ 5.300 Admission. quiry as to the marital status of an ap-
(a) General. No person shall, on the plicant for admission, including wheth-
basis of sex, be denied admission, or be er such applicant is ‘‘Miss’’ or ‘‘Mrs.’’
subjected to discrimination in admis- A recipient may make pre-admission
sion, by any recipient to which §§ 5.300 inquiry as to the sex of an applicant for
through §§ 5.310 apply, except as pro- admission, but only if such inquiry is
vided in §§ 5.225 and 5.230. made equally of such applicants of both
(b) Specific prohibitions. (1) In deter- sexes and if the results of such inquiry
mining whether a person satisfies any are not used in connection with dis-
policy or criterion for admission, or in crimination prohibited by these Title
making any offer of admission, a re- IX regulations.
cipient to which §§ 5.300 through 5.310
§ 5.305 Preference in admission.
apply shall not:
(i) Give preference to one person over A recipient to which §§ 5.300 through
another on the basis of sex, by ranking 5.310 apply shall not give preference to
applicants separately on such basis, or applicants for admission, on the basis
otherwise; of attendance at any educational insti-
(ii) Apply numerical limitations upon tution or other school or entity that
the number or proportion of persons of admits as students only or predomi-
either sex who may be admitted; or nantly members of one sex, if the giv-
(iii) Otherwise treat one individual ing of such preference has the effect of
differently from another on the basis of discriminating on the basis of sex in
sex. violation of §§ 5.300 through 5.310.
(2) A recipient shall not administer
or operate any test or other criterion § 5.310 Recruitment.
for admission that has a disproportion- (a) Nondiscriminatory recruitment. A
ately adverse effect on persons on the recipient to which §§ 5.300 through 5.310
basis of sex unless the use of such test apply shall not discriminate on the
or criterion is shown to predict validly basis of sex in the recruitment and ad-
success in the education program or ac- mission of students. A recipient may be
tivity in question and alternative tests required to undertake additional re-
or criteria that do not have such a dis- cruitment efforts for one sex as reme-
proportionately adverse effect are dial action pursuant to § 5.110(a), and
shown to be unavailable. may choose to undertake such efforts
88
as affirmative action pursuant to (6) Aid or perpetuate discrimination

§ 5.110(b). against any person by providing sig-
(b) Recruitment at certain institutions. nificant assistance to any agency, or-
A recipient to which §§ 5.300 through ganization, or person that discrimi-
5.310 apply shall not recruit primarily nates on the basis of sex in providing
or exclusively at educational institu- any aid, benefit, or service to students
tions, schools, or entities that admit as or employees;
students only or predominantly mem- (7) Otherwise limit any person in the
bers of one sex, if such actions have the enjoyment of any right, privilege, ad-
effect of discriminating on the basis of vantage, or opportunity.
sex in violation of §§ 5.300 through 5.310. (c) Assistance administered by a recipi-
ent educational institution to study at a
Subpart D—Discrimination on the foreign institution. A recipient edu-
Basis of Sex in Education Pro- cational institution may administer or
grams or Activities Prohibited assist in the administration of scholar-
ships, fellowships, or other awards es-
§ 5.400 Education programs or activi- tablished by foreign or domestic wills,
ties. trusts, or similar legal instruments, or
(a) General. Except as provided else- by acts of foreign governments and re-
where in these Title IX regulations, no stricted to members of one sex, that
person shall, on the basis of sex, be ex- are designed to provide opportunities
cluded from participation in, be denied to study abroad, and that are awarded
the benefits of, or be subjected to dis- to students who are already matricu-
crimination under any academic, ex- lating at or who are graduates of the
tracurricular, research, occupational recipient institution; Provided, that a
training, or other education program recipient educational institution that
or activity operated by a recipient that administers or assists in the adminis-
receives Federal financial assistance. tration of such scholarships, fellow-
Sections 5.400 through 5.455 do not ships, or other awards that are re-
apply to actions of a recipient in con- stricted to members of one sex pro-
nection with admission of its students vides, or otherwise makes available,
to an education program or activity of reasonable opportunities for similar
a recipient to which §§ 5.300 through studies for members of the other sex.
5.310 do not apply, or an entity, not a Such opportunities may be derived
recipient, to which §§ 5.300 through 5.310 from either domestic or foreign
would not apply if the entity were a resources.
cipient. (d) Aids, benefits or services not pro-
(b) Specific prohibitions. Except as provided by recipient. (1) This paragraph (d)
vided in §§ 5.400 through 5.455, in pro- applies to any recipient that requires
viding any aid, benefit, or service to a participation by any applicant, stu-
student, a recipient shall not, on the dent, or employee in any education
basis of sex: program or activity not operated whol-
(1) Treat one person differently from ly by such recipient, or that facilitates,
another in determining whether such permits, or considers such participa-
person satisfies any requirement or tion as part of or equivalent to an edu-
condition for the provision of such aid, cation program or activity operated by
benefit, or service; such recipient, including participation
(2) Provide different aid, benefits, or in educational consortia and coopera-
services or provide aid, benefits, or tive employment and student-teaching
services in a different manner; assignments.
(3) Deny any person any such aid, (2) Such recipient:
benefit, or service; (i) Shall develop and implement a
(4) Subject any person to separate or procedure designed to assure itself that
different rules of behavior, sanctions, the operator or sponsor of such other
or other treatment; education program or activity takes no
(5) Apply any rule concerning the action affecting any applicant, student,
domicile or residence of a student or or employee of such recipient that

applicant, including eligibility for in- these Title IX regulations would pro-
state fees and tuition; hibit such recipient from taking; and
89
§ 5.405 40 CFR Ch. I (7–1–21 Edition)
(ii) Shall not facilitate, require, per- § 5.415 Access to course offerings.
mit, or consider such participation if (a) A recipient shall not provide any
such action occurs. course or otherwise carry out any of its
§ 5.405 Housing. education program or activity sepa-
rately on the basis of sex, or require or
(a) Generally. A recipient shall not, refuse participation therein by any of
on the basis of sex, apply different its students on such basis, including
rules or regulations, impose different health, physical education, industrial,
fees or requirements, or offer different business, vocational, technical, home
services or benefits related to housing, economics, music, and adult education
except as provided in this section (in- courses.
cluding housing provided only to mar- (b)(1) With respect to classes and ac-
ried students). tivities in physical education at the el-
(b) Housing provided by recipient. (1) A ementary school level, the recipient
recipient may provide separate housing shall comply fully with this section as
on the basis of sex. expeditiously as possible but in no
(2) Housing provided by a recipient to event later than one year from Sep-
students of one sex, when compared to tember 29, 2000. With respect to phys-
that provided to students of the other ical education classes and activities at
sex, shall be as a whole: the secondary and post-secondary lev-
(i) Proportionate in quantity to the els, the recipient shall comply fully
number of students of that sex apply- with this section as expeditiously as
ing for such housing; and possible but in no event later than
(ii) Comparable in quality and cost to three years from September 29, 2000.
the student. (2) This section does not prohibit
(c) Other housing. (1) A recipient shall grouping of students in physical edu-
not, on the basis of sex, administer dif- cation classes and activities by ability
ferent policies or practices concerning as assessed by objective standards of
occupancy by its students of housing individual performance developed and
other than that provided by such re- applied without regard to sex.
cipient. (3) This section does not prohibit sep-
aration of students by sex within phys-
(2)(i) A recipient which, through so-
ical education classes or activities dur-
licitation, listing, approval of housing,
ing participation in wrestling, boxing,
or otherwise, assists any agency, orga-
rugby, ice hockey, football, basketball,
nization, or person in making housing
and other sports the purpose or major
available to any of its students, shall
activity of which involves bodily con-
take such reasonable action as may be
tact.
necessary to assure itself that such
(4) Where use of a single standard of
housing as is provided to students of
measuring skill or progress in a phys-
one sex, when compared to that pro-
ical education class has an adverse ef-
vided to students of the other sex, is as
fect on members of one sex, the recipi-
a whole:
ent shall use appropriate standards
(A) Proportionate in quantity; and that do not have such effect.
(B) Comparable in quality and cost to (5) Portions of classes in elementary
the student. and secondary schools, or portions of
(ii) A recipient may render such as- education programs or activities, that
sistance to any agency, organization, deal exclusively with human sexuality
or person that provides all or part of may be conducted in separate sessions
such housing to students of only one for boys and girls.
sex. (6) Recipients may make require-
ments based on vocal range or quality
§ 5.410 Comparable facilities. that may result in a chorus or choruses
A recipient may provide separate toi- of one or predominantly one sex.
let, locker room, and shower facilities
on the basis of sex, but such facilities § 5.420 Access to schools operated by
provided for students of one sex shall LEAs.

be comparable to such facilities pro- A recipient that is a local edu-
vided for students of the other sex. cational agency shall not, on the basis
90
of sex, exclude any person from admis- § 5.430 Financial assistance.

sion to: (a) General. Except as provided in
(a) Any institution of vocational edu- paragraphs (b) and (c) of this section,
cation operated by such recipient; or in providing financial assistance to any
(b) Any other school or educational of its students, a recipient shall not:
unit operated by such recipient, unless (1) On the basis of sex, provide dif-
such recipient otherwise makes avail- ferent amounts or types of such assist-
able to such person, pursuant to the ance, limit eligibility for such assist-
same policies and criteria of admission, ance that is of any particular type or
courses, services, and facilities com- source, apply different criteria, or oth-
parable to each course, service, and fa- erwise discriminate;
cility offered in or through such (2) Through solicitation, listing, ap-
schools. proval, provision of facilities, or other
services, assist any foundation, trust,
§ 5.425 Counseling and use of ap- agency, organization, or person that
praisal and counseling materials. provides assistance to any of such re-
cipient’s students in a manner that dis-
(a) Counseling. A recipient shall not criminates on the basis of sex; or
discriminate against any person on the (3) Apply any rule or assist in appli-
basis of sex in the counseling or guid- cation of any rule concerning eligi-
ance of students or applicants for ad- bility for such assistance that treats
mission. persons of one sex differently from per-
(b) Use of appraisal and counseling ma- sons of the other sex with regard to
terials. A recipient that uses testing or marital or parental status.
other materials for appraising or coun- (b) Financial aid established by certain
seling students shall not use different legal instruments. (1) A recipient may
materials for students on the basis of administer or assist in the administra-
their sex or use materials that permit tion of scholarships, fellowships, or
or require different treatment of stu- other forms of financial assistance es-
dents on such basis unless such dif- tablished pursuant to domestic or for-
ferent materials cover the same occu- eign wills, trusts, bequests, or similar
pations and interest areas and the use legal instruments or by acts of a for-
eign government that require that
of such different materials is shown to
awards be made to members of a par-
be essential to eliminate sex bias. Re-
ticular sex specified therein; Provided,
cipients shall develop and use internal that the overall effect of the award of
procedures for ensuring that such ma- such sex-restricted scholarships, fel-
terials do not discriminate on the basis lowships, and other forms of financial
of sex. Where the use of a counseling assistance does not discriminate on the
test or other instrument results in a basis of sex.
substantially disproportionate number (2) To ensure nondiscriminatory
of members of one sex in any particular awards of assistance as required in
course of study or classification, the paragraph (b)(1) of this section, recipi-
recipient shall take such action as is ents shall develop and use procedures
necessary to assure itself that such dis- under which:
proportion is not the result of discrimi- (i) Students are selected for award of
nation in the instrument or its applica- financial assistance on the basis of
tion. nondiscriminatory criteria and not on
(c) Disproportion in classes. Where a the basis of availability of funds re-
recipient finds that a particular class stricted to members of a particular sex;
contains a substantially dispropor- (ii) An appropriate sex-restricted
tionate number of individuals of one scholarship, fellowship, or other form
sex, the recipient shall take such ac- of financial assistance is allocated to
each student selected under paragraph
tion as is necessary to assure itself
(b)(2)(i) of this section; and
that such disproportion is not the re-
(iii) No student is denied the award
sult of discrimination on the basis of for which he or she was selected under
sex in counseling or appraisal mate- paragraph (b)(2)(i) of this section be-
rials or by counselors. cause of the absence of a scholarship,
91
§ 5.435 40 CFR Ch. I (7–1–21 Edition)
fellowship, or other form of financial § 5.445 Marital or parental status.

assistance designated for a member of (a) Status generally. A recipient shall
that student’s sex. not apply any rule concerning a stu-
(c) Athletic scholarships. (1) To the ex- dent’s actual or potential parental,
tent that a recipient awards athletic family, or marital status that treats
scholarships or grants-in-aid, it must students differently on the basis of sex.
provide reasonable opportunities for (b) Pregnancy and related conditions.
such awards for members of each sex in (1) A recipient shall not discriminate
proportion to the number of students against any student, or exclude any
of each sex participating in inter- student from its education program or
scholastic or intercollegiate athletics. activity, including any class or extra-
(2) A recipient may provide separate curricular activity, on the basis of such
athletic scholarships or grants-in-aid student’s pregnancy, childbirth, false
for members of each sex as part of sep- pregnancy, termination of pregnancy,
or recovery therefrom, unless the stu-
arate athletic teams for members of
dent requests voluntarily to partici-
each sex to the extent consistent with
pate in a separate portion of the pro-
this paragraph (c) and § 5.450. gram or activity of the recipient.
(2) A recipient may require such a
§ 5.435 Employment assistance to stu-
dents. student to obtain the certification of a
physician that the student is phys-
(a) Assistance by recipient in making ically and emotionally able to continue
available outside employment. A recipi- participation as long as such a certifi-
ent that assists any agency, organiza- cation is required of all students for
tion, or person in making employment other physical or emotional conditions
available to any of its students: requiring the attention of a physician.
(1) Shall assure itself that such em- (3) A recipient that operates a por-
ployment is made available without tion of its education program or activ-
discrimination on the basis of sex; and ity separately for pregnant students,
(2) Shall not render such services to admittance to which is completely vol-
untary on the part of the student as
any agency, organization, or person
provided in paragraph (b)(1) of this sec-
that discriminates on the basis of sex
tion, shall ensure that the separate
in its employment practices. portion is comparable to that offered
(b) Employment of students by recipi- to non-pregnant students.
ents. A recipient that employs any of (4) Subject to § 5.235(d), a recipient
its students shall not do so in a manner shall treat pregnancy, childbirth, false
that violates §§ 5.500 through 5.550. pregnancy, termination of pregnancy
and recovery therefrom in the same
§ 5.440 Health and insurance benefits manner and under the same policies as
and services. any other temporary disability with re-
Subject to § 5.235(d), in providing a spect to any medical or hospital ben-
medical, hospital, accident, or life in- efit, service, plan, or policy that such
surance benefit, service, policy, or plan recipient administers, operates, offers,
to any of its students, a recipient shall or participates in with respect to stu-
not discriminate on the basis of sex, or dents admitted to the recipient’s edu-
provide such benefit, service, policy, or cational program or activity.
plan in a manner that would violate (5) In the case of a recipient that does
§§ 5.500 through 5.550 if it were provided not maintain a leave policy for its stu-
to employees of the recipient. This sec- dents, or in the case of a student who
does not otherwise qualify for leave
tion shall not prohibit a recipient from
under such a policy, a recipient shall
providing any benefit or service that
treat pregnancy, childbirth, false preg-
may be used by a different proportion
nancy, termination of pregnancy, and
of students of one sex than of the recovery therefrom as a justification
other, including family planning serv- for a leave of absence for as long a pe-
ices. However, any recipient that pro- riod of time as is deemed medically
vides full coverage health service shall necessary by the student’s physician,
provide gynecological care. at the conclusion of which the student
92
shall be reinstated to the status that (vii) Provision of locker rooms, prac-
she held when the leave began. tice, and competitive facilities;
(viii) Provision of medical and train-
§ 5.450 Athletics. ing facilities and services;
(a) General. No person shall, on the (ix) Provision of housing and dining
basis of sex, be excluded from partici- facilities and services;
pation in, be denied the benefits of, be (x) Publicity.
treated differently from another per- (2) For purposes of paragraph (c)(1) of
son, or otherwise be discriminated this section, unequal aggregate expend-
against in any interscholastic, inter- itures for members of each sex or un-
collegiate, club, or intramural ath- equal expenditures for male and female
letics offered by a recipient, and no re- teams if a recipient operates or spon-
cipient shall provide any such athletics sors separate teams will not constitute
separately on such basis. noncompliance with this section, but
(b) Separate teams. Notwithstanding the designated agency official may
the requirements of paragraph (a) of consider the failure to provide nec-
this section, a recipient may operate or essary funds for teams for one sex in
sponsor separate teams for members of assessing equality of opportunity for
each sex where selection for such members of each sex.
teams is based upon competitive skill (d) Adjustment period. A recipient that
or the activity involved is a contact operates or sponsors interscholastic,
sport. However, where a recipient oper- intercollegiate, club, or intramural
ates or sponsors a team in a particular athletics at the elementary school
sport for members of one sex but oper- level shall comply fully with this sec-
ates or sponsors no such team for mem- tion as expeditiously as possible but in
bers of the other sex, and athletic op- no event later than one year from Sep-
portunities for members of that sex tember 29, 2000. A recipient that oper-
have previously been limited, members ates or sponsors interscholastic, inter-
of the excluded sex must be allowed to collegiate, club, or intramural ath-
letics at the secondary or postsec-
try out for the team offered unless the
ondary school level shall comply fully
sport involved is a contact sport. For
with this section as expeditiously as
the purposes of these Title IX regula-
possible but in no event later than
tions, contact sports include boxing,
three years from September 29, 2000.
wrestling, rugby, ice hockey, football,
basketball, and other sports the pur- § 5.455 Textbooks and curricular mate-
pose or major activity of which in- rial.
volves bodily contact. Nothing in these Title IX regulations
(c) Equal opportunity. (1) A recipient shall be interpreted as requiring or pro-
that operates or sponsors inter- hibiting or abridging in any way the
scholastic, intercollegiate, club, or in- use of particular textbooks or cur-
tramural athletics shall provide equal ricular materials.
athletic opportunity for members of
both sexes. In determining whether
equal opportunities are available, the Subpart E—Discrimination on the
designated agency official will con- Basis of Sex in Employment in
sider, among other factors: Education Programs or Activi-
(i) Whether the selection of sports ties Prohibited
and levels of competition effectively
accommodate the interests and abili- § 5.500 Employment.
ties of members of both sexes; (a) General. (1) No person shall, on
(ii) The provision of equipment and the basis of sex, be excluded from par-
supplies; ticipation in, be denied the benefits of,
(iii) Scheduling of games and prac- or be subjected to discrimination in
tice time; employment, or recruitment, consider-
(iv) Travel and per diem allowance; ation, or selection therefor, whether
(v) Opportunity to receive coaching full-time or part-time, under any edu-
and academic tutoring; cation program or activity operated by

(vi) Assignment and compensation of a recipient that receives Federal finan-
coaches and tutors; cial assistance.
93
§ 5.505 40 CFR Ch. I (7–1–21 Edition)
(2) A recipient shall make all em- professional meetings, conferences, and
ployment decisions in any education other related activities, selection for
program or activity operated by such tuition assistance, selection for
recipient in a nondiscriminatory man- sabbaticals and leaves of absence to
ner and shall not limit, segregate, or pursue training;
classify applicants or employees in any (9) Employer-sponsored activities, in-
way that could adversely affect any ap- cluding social or recreational pro-
plicant’s or employee’s employment grams; and
opportunities or status because of sex. (10) Any other term, condition, or
(3) A recipient shall not enter into privilege of employment.
any contractual or other relationship
which directly or indirectly has the ef- § 5.505 Employment criteria.
fect of subjecting employees or stu- A recipient shall not administer or
dents to discrimination prohibited by operate any test or other criterion for
§§ 5.500 through 5.550, including rela- any employment opportunity that has
tionships with employment and refer- a disproportionately adverse effect on
ral agencies, with labor unions, and persons on the basis of sex unless:
with organizations providing or admin- (a) Use of such test or other criterion
istering fringe benefits to employees of is shown to predict validly successful
the recipient. performance in the position in ques-
(4) A recipient shall not grant pref- tion; and
erences to applicants for employment (b) Alternative tests or criteria for
on the basis of attendance at any edu- such purpose, which do not have such
cational institution or entity that ad- disproportionately adverse effect, are
mits as students only or predominantly shown to be unavailable.
members of one sex, if the giving of
such preferences has the effect of dis- § 5.510 Recruitment.
criminating on the basis of sex in vio- (a) Nondiscriminatory recruitment and
lation of these Title IX regulations. hiring. A recipient shall not discrimi-
(b) Application. The provisions of nate on the basis of sex in the recruit-
§§ 5.500 through 5.550 apply to: ment and hiring of employees. Where a
(1) Recruitment, advertising, and the recipient has been found to be pres-
process of application for employment; ently discriminating on the basis of sex
(2) Hiring, upgrading, promotion, in the recruitment or hiring of employ-
consideration for and award of tenure, ees, or has been found to have so dis-
demotion, transfer, layoff, termi- criminated in the past, the recipient
nation, application of nepotism poli- shall recruit members of the sex so dis-
cies, right of return from layoff, and criminated against so as to overcome
rehiring; the effects of such past or present dis-
(3) Rates of pay or any other form of crimination.
compensation, and changes in com- (b) Recruitment patterns. A recipient
pensation; shall not recruit primarily or exclu-
(4) Job assignments, classifications, sively at entities that furnish as appli-
and structure, including position de- cants only or predominantly members
scriptions, lines of progression, and se- of one sex if such actions have the ef-
niority lists; fect of discriminating on the basis of
(5) The terms of any collective bar- sex in violation of §§ 5.500 through 5.550.
gaining agreement;
(6) Granting and return from leaves § 5.515 Compensation.
of absence, leave for pregnancy, child- A recipient shall not make or enforce
birth, false pregnancy, termination of any policy or practice that, on the
pregnancy, leave for persons of either basis of sex:
sex to care for children or dependents, (a) Makes distinctions in rates of pay
or any other leave; or other compensation;
(7) Fringe benefits available by vir- (b) Results in the payment of wages
tue of employment, whether or not ad- to employees of one sex at a rate less
ministered by the recipient; than that paid to employees of the op-

(8) Selection and financial support posite sex for equal work on jobs the
for training, including apprenticeship, performance of which requires equal
94
skill, effort, and responsibility, and ployee or applicant for employment

that are performed under similar work- that treats persons differently on the
ing conditions. basis of sex; or
(2) Which is based upon whether an
§ 5.520 Job classification and struc- employee or applicant for employment
ture. is the head of household or principal
A recipient shall not: wage earner in such employee’s or ap-
(a) Classify a job as being for males plicant’s family unit.
or for females; (b) Pregnancy. A recipient shall not
(b) Maintain or establish separate discriminate against or exclude from
lines of progression, seniority lists, ca- employment any employee or applicant
reer ladders, or tenure systems based for employment on the basis of preg-
on sex; or nancy, childbirth, false pregnancy, ter-
(c) Maintain or establish separate mination of pregnancy, or recovery
lines of progression, seniority systems, therefrom.
career ladders, or tenure systems for (c) Pregnancy as a temporary disability.
similar jobs, position descriptions, or Subject to § 5.235(d), a recipient shall
job requirements that classify persons treat pregnancy, childbirth, false preg-
on the basis of sex, unless sex is a bona nancy, termination of pregnancy, re-
fide occupational qualification for the covery therefrom, and any temporary
positions in question as set forth in disability resulting therefrom as any
§ 5.550. other temporary disability for all job-
related purposes, including commence-
§ 5.525 Fringe benefits. ment, duration, and extensions of
(a) ‘‘Fringe benefits’’ defined. For pur- leave, payment of disability income,
poses of these Title IX regulations, accrual of seniority and any other ben-
fringe benefits means: Any medical, hos- efit or service, and reinstatement, and
pital, accident, life insurance, or re- under any fringe benefit offered to em-
tirement benefit, service, policy or ployees by virtue of employment.
plan, any profit-sharing or bonus plan, (d) Pregnancy leave. In the case of a
leave, and any other benefit or service recipient that does not maintain a
of employment not subject to the pro- leave policy for its employees, or in the
vision of § 5.515. case of an employee with insufficient
(b) Prohibitions. A recipient shall not: leave or accrued employment time to
(1) Discriminate on the basis of sex qualify for leave under such a policy, a
with regard to making fringe benefits recipient shall treat pregnancy, child-
available to employees or make fringe birth, false pregnancy, termination of
benefits available to spouses, families, pregnancy, and recovery therefrom as a
or dependents of employees differently justification for a leave of absence
upon the basis of the employee’s sex; without pay for a reasonable period of
(2) Administer, operate, offer, or par- time, at the conclusion of which the
ticipate in a fringe benefit plan that employee shall be reinstated to the sta-
does not provide for equal periodic ben- tus that she held when the leave began
efits for members of each sex and for or to a comparable position, without
equal contributions to the plan by such decrease in rate of compensation or
recipient for members of each sex; or loss of promotional opportunities, or
(3) Administer, operate, offer, or par- any other right or privilege of employ-
ticipate in a pension or retirement plan ment.
that establishes different optional or
compulsory retirement ages based on § 5.535 Effect of state or local law or
sex or that otherwise discriminates in other requirements.
benefits on the basis of sex. (a) Prohibitory requirements. The obli-
gation to comply with §§ 5.500 through
§ 5.530 Marital or parental status. 5.550 is not obviated or alleviated by
(a) General. A recipient shall not the existence of any State or local law
apply any policy or take any employ- or other requirement that imposes pro-
ment action: hibitions or limits upon employment of

(1) Concerning the potential marital, members of one sex that are not im-
parental, or family status of an em- posed upon members of the other sex.
95
§ 5.540 40 CFR Ch. I (7–1–21 Edition)
(b) Benefits. A recipient that provides eral financial assistance shall publish
any compensation, service, or benefit in the FEDERAL REGISTER a notice of
to members of one sex pursuant to a the programs covered by these Title IX
State or local law or other requirement regulations. Each such Federal agency
shall provide the same compensation, shall periodically republish the notice
service, or benefit to members of the of covered programs to reflect changes
other sex. in covered programs. Copies of this no-
tice also shall be made available upon
§ 5.540 Advertising. request to the Federal agency’s office
A recipient shall not in any adver- that enforces Title IX.
tising related to employment indicate
preference, limitation, specification, or § 5.605 Enforcement procedures.
discrimination based on sex unless sex The investigative, compliance, and
is a bona fide occupational qualifica- enforcement procedural provisions of
tion for the particular job in question. Title VI of the Civil Rights Act of 1964
(42 U.S.C. 2000d) (‘‘Title VI’’) are hereby
§ 5.545 Pre-employment inquiries. adopted and applied to these Title IX
(a) Marital status. A recipient shall regulations. These procedures may be
not make pre-employment inquiry as found at 40 CFR 7.105 through 7.135.
to the marital status of an applicant
[65 FR 52890, Aug. 30, 2000]
for employment, including whether
such applicant is ‘‘Miss’’ or ‘‘Mrs.’’
(b) Sex. A recipient may make pre- PART 6—PROCEDURES FOR IMPLE-
employment inquiry as to the sex of an MENTING THE NATIONAL ENVI-
applicant for employment, but only if RONMENTAL POLICY ACT AND
such inquiry is made equally of such ASSESSING THE ENVIRONMENTAL
applicants of both sexes and if the re- EFFECTS ABROAD OF EPA AC-
sults of such inquiry are not used in TIONS
connection with discrimination prohib-
ited by these Title IX regulations. Subpart A—General Provisions for EPA
§ 5.550 Sex as a bona fide occupational Actions Subject to NEPA
qualification. Sec.
A recipient may take action other- 6.100 Policy and Purpose.
wise prohibited by §§ 5.500 through 5.550 6.101 Applicability.
6.102 Definitions.
provided it is shown that sex is a bona 6.103 Responsibilities of the NEPA and Re-
fide occupational qualification for that sponsible Officials.
action, such that consideration of sex
with regard to such action is essential Subpart B—EPA’s NEPA Environmental
to successful operation of the employ- Review Procedures
ment function concerned. A recipient
shall not take action pursuant to this 6.200 General requirements.
6.201 Coordination with other environ-
section that is based upon alleged com- mental review requirements.
parative employment characteristics 6.202 Interagency cooperation.
or stereotyped characterizations of one 6.203 Public participation.
or the other sex, or upon preference 6.204 Categorical exclusions and extraor-
based on sex of the recipient, employ- dinary circumstances.
ees, students, or other persons, but 6.205 Environmental assessments.
nothing contained in this section shall 6.206 Findings of no significant impact.
6.207 Environmental impact statements.
prevent a recipient from considering an 6.208 Records of decision.
employee’s sex in relation to employ- 6.209 Filing requirements for EPA EISs.
ment in a locker room or toilet facility 6.210 Emergency circumstances.
used only by members of one sex.
Subpart C—Requirements for Environ-
Subpart F—Procedures mental Information Documents and
Third-Party Agreements for EPA Actions
§ 5.600 Notice of covered programs. Subject to NEPA

Within 60 days of September 29, 2000, 6.300 Applicability.
each Federal agency that awards Fed- 6.301 Applicant requirements.
96
6.302 Responsible Official requirements. § 6.101 Applicability.
6.303 Third-party agreements.
(a) Subparts A through C of this part
Subpart D—Assessing the Environmental apply to the proposed actions of EPA
Effects Abroad of EPA Actions that are subject to NEPA. EPA actions
subject to NEPA include the award of
6.400 Purpose and policy. wastewater treatment construction
6.401 Applicability. grants under Title II of the Clean
6.402 Definitions. Water Act, EPA’s issuance of new
6.403 Environmental review and assessment source National Pollutant Discharge
requirements. Elimination System (NPDES) permits
6.404 Lead or cooperating agency. under section 402 of the Clean Water
6.405 Exemptions and considerations. Act, certain research and development
6.406 Implementation. projects, development and issuance of
AUTHORITY: 42 U.S.C. 4321 et seq.; also 40 regulations, EPA actions involving
CFR parts 1500 through 1508, unless other- renovations or new construction of fa-
wise noted. cilities, and certain grants awarded for
SOURCE: 72 FR 53662, Sept. 19, 2007, unless projects authorized by Congress
otherwise noted. through the Agency’s annual Appro-
priations Act.
(b) Subparts A through C of this part
Subpart A—General Provisions for do not apply to EPA actions for which
EPA Actions Subject to NEPA NEPA review is not required. EPA ac-
tions under the Clean Water Act, ex-
§ 6.100 Policy and purpose.
cept those identified in § 6.101(a), and
(a) The National Environmental Pol- EPA actions under the Clean Air Act
icy Act of 1969 (NEPA), 42 U.S.C. 4321 et are statutorily exempt from NEPA. Ad-
seq., as implemented by the Council on ditionally, the courts have determined
Environmental Quality (CEQ) Regula- that certain EPA actions for which
tions (40 CFR Parts 1500 through 1508), analyses that have been conducted
requires that Federal agencies include under another statute are functionally
in their decision-making processes ap- equivalent with NEPA.
propriate and careful consideration of (c) The appropriate Responsible Offi-
all environmental effects of proposed cial will undertake certain EPA ac-
actions, analyze potential environ- tions required by the provisions of sub-
mental effects of proposed actions and parts A through C of this part.
their alternatives for public under- (d) Certain procedures in subparts A
standing and scrutiny, avoid or mini- through C of this part apply to the re-
mize adverse effects of proposed ac- sponsibilities of the NEPA Official.
tions, and restore and enhance environ- (e) Certain procedures in subparts A
mental quality to the extent prac- through C of this part apply to appli-
ticable. The U.S. Environmental Pro- cants who are required to provide envi-
tection Agency (EPA) shall integrate ronmental information to EPA.
these NEPA requirements as early in (f) When the Responsible Official de-
the Agency planning processes as pos- cides to perform an environmental re-
sible. The environmental review proc- view under the Policy for EPA’s Vol-
ess shall be the focal point to ensure untary Preparation of National Environ-
NEPA considerations are taken into mental Policy Act (NEPA) Documents,
account. the Responsible Official generally will
(b) Through this part, EPA adopts follow the procedures set out in sub-
the CEQ Regulations (40 CFR Parts 1500 parts A through C of this part.
through 1508) implementing NEPA;
subparts A through C of this part sup- § 6.102 Definitions.
plement those regulations, for actions (a) Subparts A through C of this part
proposed by EPA that are subject to use the definitions found at 40 CFR
NEPA requirements. Subparts A part 1508. Additional definitions are
through C supplement, and are to be listed in this subpart.

used in conjunction with, the CEQ Reg- (b) Definitions. (1) Administrator
ulations. means the Administrator of the United
97
§ 6.103 40 CFR Ch. I (7–1–21 Edition)
States Environmental Protection nized Indian tribes on matters of policy

Agency. and administrative procedures regard-
(2) Applicant means any individual, ing compliance with NEPA.
agency, or other entity that has: (3) Approve procedural deviations
(i) Filed an application for federal as- from subparts A through C of this part.
sistance; (4) Monitor the overall timeliness
(ii) Applied to EPA for a permit; or and quality of EPA’s compliance with
(iii) Requested other EPA approval. subparts A through C of this part.
(3) Assistance agreement means an (5) Advise the Administrator on
award of federal assistance in the form NEPA-related actions that involve
of money or property in lieu of money more than one EPA office, are highly
from EPA to an eligible applicant in- controversial, are nationally signifi-
cluding grants or cooperative agree- cant, or establish new EPA NEPA-re-
ments. lated policy.
(4) Environmental information docu- (6) Support the Administrator by pro-
ment (EID) means a written analysis viding policy guidance on NEPA-re-
prepared by an applicant that provides lated issues.
sufficient information for the Respon- (7) Assist EPA’s Responsible Officials
sible Official to undertake an environ- with establishing and maintaining ade-
mental review and prepare either an quate administrative procedures to
EA and FONSI or an EIS and record of comply with subparts A through C of
decision (ROD) for the proposed action. this part, performing their NEPA du-
(5) Environmental review or NEPA re- ties, and training personnel and appli-
view means the process used to comply cants involved in the environmental re-
with section 102(2) of NEPA or the CEQ view process.
Regulations including development, (8) Consult with Responsible Officials
supplementation, adoption, and revi- and CEQ regarding proposed changes to
sion of NEPA documents. subpart A through C of this part, in-
(6) Extraordinary circumstances means cluding:
those circumstances listed in section (i) The addition, amendment, or dele-
6.204 of this part that may cause a sig- tion of a categorical exclusion, or
nificant environmental effect such that (ii) Changes to the listings of types of
a proposed action that otherwise meets actions that normally require the prep-
the requirements of a categorical ex- aration of an EA or EIS.
clusion may not be categorically ex- (9) Determine whether proposed
cluded. changes are appropriate, and if so, co-
(7) NEPA document is a document pre- ordinate with CEQ, pursuant to 40 CFR
pared pursuant to NEPA. 1507.3, and initiate a process to amend
(8) NEPA Official is the Associate Ad- this part.
ministrator for the Office of Policy, (b) The Responsible Official will:
who is responsible for EPA’s NEPA (1) Ensure EPA’s compliance with the
compliance. CEQ regulations and subparts A
(9) Responsible Official means the EPA through C of this part for proposed ac-
official responsible for compliance with tions.
NEPA for individual proposed actions. (2) Ensure that environmental re-
[72 FR 53662, Sept. 19, 2007, as amended at 74 views are conducted on proposed ac-
FR 5993, Feb. 4, 2009; 83 FR 48546, Sept. 26, tions at the earliest practicable point
2018] in EPA’s decision-making process and
in accordance with the provisions of
§ 6.103 Responsibilities of the NEPA subparts A through C of this part.
and Responsible Officials. (3) Ensure, to the extent practicable,
(a) The NEPA Official will: early and continued involvement of in-
(1) Ensure EPA’s compliance with terested federal agencies, state and
NEPA pursuant to 40 CFR 1507.2(a) and local governments, federally-recog-
the regulations in subparts A through nized Indian tribes, and affected appli-
C of this part. cants in the environmental review
(2) Act as EPA’s liaison with the CEQ process.

and other federal agencies, state and (4) Coordinate with the NEPA Offi-
local governments, and federally-recog- cial and other Responsible Officials, as
98
appropriate, on resolving issues involv- posed action, the reasonable alter-

ing EPA-wide NEPA policy and proce- natives, and the type of environmental
dures (including the addition, amend- impacts. The scope of an EIS will be
ment, or deletion of a categorical ex- determined as provided in 40 CFR
clusion and changes to the listings of 1508.25.
the types of actions that normally re- (c) During the environmental review
quires the preparation of an EA or EIS) process, the Responsible Official must:
and/or unresolved conflicts with other (1) Integrate the NEPA process and
federal agencies, state and local gov- the procedures of subparts A through C
ernments, and federally-recognized In- of this part into early planning to en-
dian tribes, and/or advising the Admin- sure appropriate consideration of
istrator when necessary. NEPA’s policies and to minimize or
(5) Coordinate with other Responsible eliminate delay;
Officials, as appropriate, on NEPA-re- (2) Emphasize cooperative consulta-
lated actions involving their specific tion among federal agencies, state and
interests. local governments, and federally-recog-
(6) Consistent with national NEPA nized Indian tribes before an EA or EIS
guidance, provide specific policy guid- is prepared to help ensure compliance
ance, as appropriate, and ensure that with the procedural provisions of sub-
the Responsible Official’s office estab- parts A through C of this part and with
lishes and maintains adequate adminis- other environmental review require-
trative procedures to comply with sub- ments, to address the need for inter-
parts A through C of this part. agency cooperation, to identify the re-
(7) Upon request of an applicant and quirements for other agencies’ reviews,
consistent with 40 CFR 1501.8, set time and to ensure appropriate public par-
limits on the NEPA review appropriate ticipation.
to individual proposed actions. (3) Identify at an early stage any po-
(8) Make decisions relating to the tentially significant environmental
preparation of the appropriate NEPA issues to be evaluated in detail and in-
documents, including preparing an EA significant issues to be de-emphasized,
or EIS, and signing the decision docu- focusing the scope of the environ-
ment. mental review accordingly;
(9) Monitor the overall timeliness (4) Involve other agencies and the
and quality of the Responsible Offi- public, as appropriate, in the environ-
cial’s respective office’s efforts to com- mental review process for proposed ac-
ply with subparts A through C of this tions that are not categorically ex-
part. cluded to:
(c) The NEPA Official and the Re- (i) Identify the federal, state, local,
sponsible Officials may delegate NEPA- and federally-recognized Indian tribal
related responsibilities to a level no entities and the members of the public
lower than the Branch Chief or equiva- that may have an interest in the ac-
lent organizational level. tion;
(ii) Request that appropriate federal,
Subpart B—EPA’s NEPA state, and local agencies and federally-
Environmental Review Procedures recognized Indian tribes serve as co-
operating agencies consistent with 40
§ 6.200 General requirements. CFR 1501.6 and 1508.5; and
(a) The Responsible Official must de- (iii) Integrate, where possible, review
termine whether the proposed action of applicable federal laws and executive
meets the criteria for categorical ex- orders into the environmental review
clusion or whether it requires prepara- process in conjunction with the devel-
tion of an EA or an EIS to identify and opment of NEPA documents.
evaluate its environmental impacts. (d) When preparing NEPA documents,
The Responsible Official may decide to the Responsible Official must:
prepare an EIS without first under- (1) Utilize a systematic, interdiscipli-
taking an EA. nary approach to integrate the natural
(b) The Responsible Official must de- and social sciences with the environ-
termine the scope of the environmental mental design arts in planning and
review by considering the type of pro- making decisions on proposed actions
99
§ 6.201 40 CFR Ch. I (7–1–21 Edition)
subject to environmental review under terial by reference (see 40 CFR 1502.21)

subparts A through C of this part (see as appropriate.
40 CFR 1501.2(a) and 1507.2); (g) For applicant-related proposed ac-
(2) Plan adequate time and funding tions:
for the NEPA review and preparation (1) The Responsible Official may re-
of the NEPA documents. Planning in- quest that the applicant submit infor-
cludes consideration of whether an ap- mation to support the application of a
plicant will be required to prepare an categorical exclusion to the applicant’s
EID for the proposed action. pending action.
(3) Review relevant planning or deci- (2) The Responsible Official may
sion-making documents, whether pre- gather the information and prepare the
pared by EPA or another federal agen- NEPA document without assistance
cy, to determine if the proposed action from the applicant, or, pursuant to
or any of its alternatives have been Subpart C of this part, have the appli-
considered in a prior federal NEPA doc- cant prepare an EID or a draft EA and
ument. EPA may adopt the existing supporting documents, or enter into a
document, or will incorporate by ref- third-party agreement with the appli-
erence any pertinent part of it, con- cant.
sistent with 40 CFR 1506.3 and 1502.21. (3) During the environmental review
process, applicants may continue to
(4) Review relevant environmental
compile additional information needed
review documents prepared by a state
for the environmental review and/or in-
or local government or a federally-rec-
formation necessary to support an ap-
ognized Indian tribe to determine if the
plication for a permit or assistance
proposed action or any of its alter-
agreement from EPA.
natives have been considered in such a
(h) For all NEPA determinations
document. EPA will incorporate by ref-
(CEs, EA/FONSIs, or EIS/RODs) that
erence any pertinent part of that docu-
are five years old or older, and for
ment consistent with 40 CFR 1502.21.
which the subject action has not yet
(e) During the decision-making proc-
been implemented, the Responsible Of-
ess for the proposed action, the Re-
ficial must re-evaluate the proposed
sponsible Official must:
action, environmental conditions, and
(1) Incorporate the NEPA review in public views to determine whether to
decision-making on the action. Proc- conduct a supplemental environmental
essing and review of an applicant’s ap- review of the action and complete an
plication must proceed concurrently appropriate NEPA document or reaf-
with the NEPA review procedures set firm EPA’s original NEPA determina-
out in subparts A through C of this tion. If there has been substantial
part. EPA must complete its NEPA re- change in the proposed action that is
view before making a decision on the relevant to environmental concerns, or
action. if there are significant new cir-
(2) Consider the relevant NEPA docu- cumstances or information relevant to
ments, public and other agency com- environmental concerns and bearing on
ments (if any) on those documents, and the proposed action or its impacts, the
EPA responses to those comments, as Responsible Official must conduct a
part of consideration of the action (see supplemental environmental review of
40 CFR 1505.1(d)). the action and complete an appropriate
(3) Consider the alternatives analyzed NEPA document.
in an EA or EIS before rendering a de-
cision on the action; and § 6.201 Coordination with other envi-
(4) Ensure that the decision on the ronmental review requirements.
action is to implement an alternative Consistent with 40 CFR 1500.5(g) and
analyzed or is within the range of al- 1502.25, the Responsible Official must
ternatives analyzed in the EA or EIS determine the applicability of other
(see 40 CFR 1505.1(e)). environmental laws and executive or-
(f) To eliminate duplication and to ders, to the fullest extent possible. The
foster efficiency, the Responsible Offi- Responsible Official should incorporate

cial should use tiering (see 40 CFR applicable requirements as early in the
1502.20 and 1508.28) and incorporate ma- NEPA review process as possible.
100
§ 6.202 Interagency cooperation. (5) The Responsible Official must use

appropriate communication procedures
(a) Consistent with 40 CFR 1501.5,
to ensure meaningful public participa-
1501.6, and 1508.5, the Responsible Offi-
tion throughout the NEPA process. The
cial will request other appropriate fed-
Responsible Official must make reason-
eral and non-federal agencies to be
able efforts to involve the potentially
joint lead or cooperating agencies as a
affected communities where the pro-
means of encouraging early coordina-
posed action is expected to have envi-
tion and cooperation with federal agen-
ronmental impacts or where the pro-
cies, state and local governments, and
posed action may have human health
federally-recognized Indian tribes with
or environmental effects in any com-
jurisdiction by law or special expertise.
munities, including minority commu-
(b) For an EPA action related to an nities, low-income communities, or
action of any other federal agency, the federally-recognized Indian tribal com-
Responsible Official must comply with munities.
the requirements of 40 CFR 1501.5 and (b) EA and FONSI requirements. (1) At
1501.6 relating to lead agencies and co- least thirty (30) calendar days before
operating agencies, respectively. The making the decision on whether, and if
Responsible Official will work with the so how, to proceed with a proposed ac-
other involved agencies to facilitate tion, the Responsible Official must
coordination and to reduce delay and make the EA and preliminary FONSI
duplication. available for review and comment to
(c) To prepare a single document to the interested federal agencies, state
fulfill both NEPA and state or local and local governments, federally-recog-
government, or federally-recognized In- nized Indian tribes and the affected
dian tribe requirements, consistent public. The Responsible Official must
with 40 CFR 1506.2, the Responsible Of- respond to any substantive comments
ficial should enter into a written agree- received and finalize the EA and FONSI
ment with the involved state or local before making a decision on the pro-
government, or federally-recognized In- posed action.
dian tribe that sets out the intentions (2) Where circumstances make it nec-
of the parties, including the respon- essary to take the action without ob-
sibilities each party intends to assume serving the 30 calendar day comment
and procedures the parties intend to period, the Responsible Official must
follow. notify the NEPA Official before taking
such action. If the NEPA Official deter-
§ 6.203 Public participation.
mines that a reduced comment period
(a) General requirements. (1) The pro- would be in the best interest of the
cedures in this section apply to EPA’s Government, the NEPA Official will in-
environmental review processes, inform the Responsible Official, as soon
cluding development, supplementation, as possible, of this approval. The Re-
adoption, and revision of NEPA docu- sponsible Official will make the EA and
ments. preliminary FONSI available for re-
(2) The Responsible Official will view and comment for the reduced
make diligent efforts to involve the comment period.
public, including applicants, in the (c) EIS and ROD requirements. (1) As
preparation of EAs or EISs consistent soon as practicable after the decision
with 40 CFR 1501.4 and 1506.6 and appli- to prepare an EIS and before beginning
cable EPA public participation regula- the scoping process, the Responsible
tions (e.g., 40 CFR Part 25). Official must ensure that a notice of
(3) EPA NEPA documents will use intent (NOI) (see 40 CFR 1508.22) is pub-
plain language to the extent possible. lished in the FEDERAL REGISTER. The
(4) The Responsible Official will, to NOI must briefly describe the proposed
the greatest extent possible, give no- action; a preliminary list of environ-
tice to any state or local government, mental issues to be analyzed, and pos-
or federally-recognized Indian tribe sible alternatives; EPA’s proposed
that, in the Official’s judgment, may be scoping process including, if available,

affected by an action for which EPA whether, when, and where any scoping
plans to prepare an EA or an EIS. meeting will be held; and the name and
101
§ 6.204 40 CFR Ch. I (7–1–21 Edition)
contact information for the person des- tablish a longer public comment period
ignated by EPA to answer questions for a draft or final EIS.
about the proposed action and the EIS. (vi) After preparing a draft EIS and
The NOI must invite comments and before preparing a final EIS, the Re-
suggestions on the scope of the EIS. sponsible Official must solicit the com-
(2) The Responsible Official must dis- ments of appropriate federal agencies,
seminate the NOI consistent with 40 state and/or local governments, and/or
CFR 1506.6. federally-recognized Indian tribes, and
(3) The Responsible Official must the public (see 40 CFR 1503.1). The Re-
conduct the scoping process consistent sponsible Official must respond in the
with 40 CFR 1501.7 and any applicable
final EIS to substantive comments re-
EPA public participation regulations
ceived (see 40 CFR 1503.4).
(e.g., 40 CFR Part 25).
(i) Publication of the NOI in the FED- (vii) The Responsible Official may
ERAL REGISTER begins the scoping proc- conduct one or more public meetings or
ess. hearings on the draft EIS as part of the
(ii) The Responsible Official must en- public involvement process. If meet-
sure that the scoping process for an ings or hearings are held, the Respon-
EIS allows a minimum of thirty (30) sible Official must make the draft EIS
days for the receipt of public com- available to the public at least thirty
ments. (30) days in advance of any meeting or
(iii) The Responsible Official may hearing.
hold one or more public meetings as (4) The Responsible Official must
part of the scoping process for an EPA make the ROD available to the public
EIS. The Responsible Official must an- upon request.
nounce the location, date, and time of
public scoping meetings in the NOI or § 6.204 Categorical exclusions and ex-
by other appropriate means, such as traordinary circumstances.
additional notices in the FEDERAL REG- (a) A proposed action may be cat-
ISTER, news releases to the local media,
egorically excluded if the action fits
or letters to affected parties. Public
within a category of action that is eli-
scoping meetings should be held at
gible for exclusion and the proposed ac-
least fifteen (15) days after public noti-
fication. tion does not involve any extraor-
(iv) The Responsible Official must dinary circumstances.
use appropriate means to publicize the (1) Certain actions eligible for cat-
availability of draft and final EISs and egorical exclusion require the Respon-
the time and place for public meetings sible Official to document a determina-
or hearings on draft EISs. The methods tion that a categorical exclusion ap-
chosen for public participation must plies. The documentation must include:
focus on reaching persons who may be A brief description of the proposed ac-
interested in the proposed action. Such tion; a statement identifying the cat-
persons include those in potentially af- egorical exclusion that applies to the
fected communities where the proposed action; and a statement explaining why
action is known or expected to have en- no extraordinary circumstances apply
vironmental impacts including minor- to the proposed action. The Respon-
ity communities, low-income commu- sible Official must make a copy of the
nities, or federally-recognized Indian determination document available to
tribal communities. the public upon request. The categor-
(v) The Responsible Official must cir- ical exclusions requiring this docu-
culate the draft and final EISs con- mentation are listed in paragraphs
sistent with 40 CFR 1502.19 and any ap- (a)(1)(i) through (a)(1)(v) of this sec-
plicable EPA public participation regu-
tion.
lations and in accordance with the 45-
(i) Actions at EPA owned or operated
day public review period for draft EISs
and the 30-day public review period for facilities involving routine facility
final EISs (see § 6.209 of this part). Con- maintenance, repair, and grounds-
sistent with section 6.209(b) of this keeping; minor rehabilitation, restora-
part, the Responsible Official may es- tion, renovation, or revitalization of
102
existing facilities; functional replace- project that was completed prior to the
ment of equipment; acquisition and in- date the appropriation was enacted.
stallation of equipment; or construc- (2) Certain actions eligible for cat-
tion of new minor ancillary facilities egorical exclusion do not require the
adjacent to or on the same property as Responsible Official to document a de-
existing facilities. termination that a categorical exclu-
(ii) Actions relating to existing infra- sion applies. These categorical exclu-
structure systems (such as sewer sys- sions are listed in paragraphs (a)(2)(i)
tems; drinking water supply systems; through (a)(2)(x) of this section.
and stormwater systems, including (i) Procedural, ministerial, adminis-
combined sewer overflow systems) that trative, financial, personnel, and man-
involve minor upgrading, or minor ex- agement actions necessary to support
pansion of system capacity or rehabili- the normal conduct of EPA business.
tation (including functional replace- (ii) Acquisition actions (compliant
ment) of the existing system and sys- with applicable procedures for sustain-
tem components (such as the sewer col- able or ‘‘green’’ procurement) and con-
lection network and treatment system; tracting actions necessary to support
the system to collect, treat, store and the normal conduct of EPA business.
distribute drinking water; and (iii) Actions involving information
stormwater systems, including com- collection, dissemination, or exchange;
bined sewer overflow systems) or con- planning; monitoring and sample col-
struction of new minor ancillary facili- lection wherein no significant alter-
ties adjacent to or on the same prop- ation of existing ambient conditions
erty as existing facilities. This cat- occurs; educational and training pro-
egory does not include actions that: in- grams; literature searches and studies;
volve new or relocated discharges to computer studies and activities; re-
surface or ground water; will likely research and analytical activities; devel-
sult in the substantial increase in the opment of compliance assistance tools;
volume or the loading of pollutant to and architectural and engineering
the receiving water; will provide capac- studies. These actions include those
ity to serve a population 30% greater conducted directly by EPA and EPA
than the existing population; are not actions relating to contracts or assist-
supported by the state, or other re- ance agreements involving such ac-
gional growth plan or strategy; or ditions.
rectly or indirectly involve or relate to (iv) Actions relating to or conducted
upgrading or extending infrastructure completely within a permanent, exist-
systems primarily for the purposes of ing contained facility, such as a labora-
future development. tory, or other enclosed building, pro-
(iii) Actions in unsewered commu- vided that reliable and scientifically-
nities involving the replacement of ex- sound methods are used to appro-
isting onsite systems, providing the priately dispose of wastes and safe-
new onsite systems do not result in guards exist to prevent hazardous,
substantial increases in the volume of toxic, and radioactive materials in ex-
discharge or the loadings of pollutants cess of allowable limits from entering
from existing sources, or relocate ex- the environment. Where such activities
isting discharge. are conducted at laboratories, the Lab
(iv) Actions involving re-issuance of Director or other appropriate official
a NPDES permit for a new source pro- must certify in writing that the labora-
viding the conclusions of the original tory follows good laboratory practices
NEPA document are still valid (includ- and adheres to all applicable federal,
ing the appropriate mitigation), there state, local, and federally-recognized
will be no degradation of the receiving Indian tribal laws and regulations.
waters, and the permit conditions do This category does not include activi-
not change or are more environ- ties related to construction and/or
mentally protective. demolition within the facility (see
(v) Actions for award of grants au- paragraph (a)(1)(i) of this section).
thorized by Congress under EPA’s an- (v) Actions involving emergency pre-
nual Appropriations Act that are solely paredness planning and training activi-
for reimbursement of the costs of a ties.
103
§ 6.204 40 CFR Ch. I (7–1–21 Edition)
(vi) Actions involving the acquisi- ronmental effects on any community,

tion, transfer, lease, disposition, or clo- including minority communities, low-
sure of existing permanent structures, income communities, or federally-rec-
land, equipment, materials or personal ognized Indian tribal communities.
property provided that the property: Is (3) The proposed action is known or
either vacant or has been used solely expected to significantly affect feder-
for office functions; has never been ally listed threatened or endangered
used for laboratory purposes by any species or their critical habitat.
party; does not require site remedi- (4) The proposed action is known or
ation; and will be used in essentially expected to significantly affect na-
the same manner such that the type tional natural landmarks or any prop-
and magnitude of the impacts will not erty with nationally significant his-
change substantially. This category toric, architectural, prehistoric, ar-
does not include activities related to cheological, or cultural value, includ-
construction and/or demolition of ing but not limited to, property listed
structures on the property (see para- on or eligible for the National Register
graph (a)(1)(i) of this section). of Historic Places.
(vii) Actions involving providing (5) The proposed action is known or
technical advice to federal agencies, expected to significantly affect envi-
state or local governments, federally- ronmentally important natural re-
recognized Indian tribes, foreign gov-
source areas such as wetlands,
ernments, or public or private entities.
floodplains, significant agricultural
(viii) Actions involving approval of
lands, aquifer recharge zones, coastal
EPA participation in international
zones, barrier islands, wild and scenic
‘‘umbrella’’ agreements for cooperation
rivers, and significant fish or wildlife
in environmental-related activities
habitat.
that would not commit the United
States to any specific projects or ac- (6) The proposed action is known or
tions. expected to cause significant adverse
(ix) Actions involving containment air quality effects.
or removal and disposal of asbestos- (7) The proposed action is known or
containing material or lead-based expected to have a significant effect on
paint from EPA owned or operated fa- the pattern and type of land use (indus-
cilities when undertaken in accordance trial, commercial, agricultural, rec-
with applicable regulations. reational, residential) or growth and
(x) Actions involving new source distribution of population including al-
NPDES permit modifications that tering the character of existing resi-
make only technical corrections to the dential areas, or may not be consistent
NPDES permit (such as correcting ty- with state or local government, or fed-
pographical errors) that do not result erally-recognized Indian tribe approved
in a change in environmental impacts land use plans or federal land manage-
or conditions. ment plans.
(b) The Responsible Official must re- (8) The proposed action is known or
view actions eligible for categorical ex- expected to cause significant public
clusion to determine whether any ex- controversy about a potential environ-
traordinary circumstances are in- mental impact of the proposed action.
volved. Extraordinary circumstances (9) The proposed action is known or
are listed in paragraphs (b)(1) through expected to be associated with pro-
(b)(10) of this section. (See 40 CFR viding financial assistance to a federal
1508.4.) agency through an interagency agree-
(1) The proposed action is known or ment for a project that is known or ex-
expected to have potentially signifi- pected to have potentially significant
cant environmental impacts on the environmental impacts.
quality of the human environment ei- (10) The proposed action is known or
ther individually or cumulatively over expected to conflict with federal, state
time. or local government, or federally-rec-
(2) The proposed action is known or ognized Indian tribe environmental, re-
expected to have disproportionately source-protection, or land-use laws or
high and adverse human health or envi- regulations.
104
(c) The Responsible Official may re- (g) Any addition, amendment, or de-
quest that an applicant submit suffi- letion of a categorical exclusion will be
cient information to enable the Re- done by rule-making and in coordina-
sponsible Official to determine whether tion with CEQ pursuant to 40 CFR
a categorical exclusion applies to the 1507.3 to amend paragraph (a)(1) or
applicant’s proposed action or whether paragraph (a)(2) of this section.
an exceptional circumstance applies. [72 FR 53662, Sept. 19, 2007, as amended at 74
Pursuant to Subpart C of this part, ap- FR 5993, Feb. 4, 2009]
plicants are not required to prepare
EIDs for actions that are being consid- § 6.205 Environmental assessments.
ered for categorical exclusion. (a) The Responsible Official must
(d) The Responsible Official must prepare an environmental assessment
prepare an EA or EIS when a proposed (EA) (see 40 CFR 1508.9) for a proposed
action involves extraordinary cir- action that is expected to result in en-
cumstances. vironmental impacts and the signifi-
(e) After a determination has been cance of the impacts is not known. An
made that a categorical exclusion ap- EA is not required if the proposed ac-
plies to an action, if new information tion is categorically excluded, or if the
or changes in the proposed action in- Responsible Official has decided to pre-
volve or relate to at least one of the ex- pare an EIS. (See 40 CFR 1501.3.)
traordinary circumstances or other- (b) Types of actions that normally re-
wise indicate that the action may not quire the preparation of an EA include:
meet the criteria for categorical exclu- (1) The award of wastewater treat-
sion and the Responsible Official deter- ment construction grants under Title
mines that an action no longer quali- II of the Clean Water Act;
fies for a categorical exclusion, the Re- (2) EPA’s issuance of new source
sponsible Official will prepare an EA or NPDES permits under section 402 of
EIS. the Clean Water Act;
(f) The Responsible Official, or other (3) EPA actions involving renova-
interested parties, may request the ad- tions or new construction of facilities;
dition, amendment, or deletion of a (4) Certain grants awarded for special
categorical exclusion. projects authorized by Congress
(1) Such requests must be made in through the Agency’s annual Appro-
writing, be directed to the NEPA Offi- priations Act; and
cial, and contain adequate information (5) Research and development
to support and justify the request. projects, such as initial field dem-
(2) Proposed new categories of ac- onstration of a new technology, field
tions for exclusion must meet these trials of a new product or new uses of
criteria: an existing technology, alteration of a
(i) Actions covered by the proposed local habitat by physical or chemical
categorical exclusion generally do not means, or actions that may result in
individually or cumulatively have a the release of radioactive, hazardous,
significant effect on the human envi- or toxic substances, or biota.
ronment and have been found by EPA (c) The Responsible Official, or other
to have no such effect. interested parties, may request
(ii) Actions covered by the proposed changes to the list of actions that nor-
categorical exclusion generally do not mally require the preparation of an EA
involve extraordinary circumstances as (i.e., the addition, amendment, or dele-
set out in paragraphs (b)(1) through tion of a type of action).
(b)(10) of this section and generally do (d) Consistent with 40 CFR 1508.9, an
not require preparation of an EIS; and EA must provide sufficient information
(iii) Information adequate to deter- and analysis for determining whether
mine that a proposed action is properly to prepare an EIS or to issue a FONSI
covered by the proposed category will (see 40 CFR 1508.9(a)), and may include
generally be available. analyses needed for other environ-
(3) The NEPA Official must deter- mental determinations. The EA must
mine that the addition, amendment, or focus on resources that might be im-
deletion of a categorical exclusion is pacted and any environmental issues
appropriate. that are of public concern.
105
§ 6.206 40 CFR Ch. I (7–1–21 Edition)
(e) An EA must include: (1) Any commitments to mitigation

(1) A brief discussion of: that are essential to render the im-
(i) The need for the proposed action; pacts of the proposed action not sig-
(ii) The alternatives, including the no nificant;
action alternative (which must be as- (2) The date of issuance; and
sessed even when the proposed action is (3) The signature of the Responsible
specifically required by legislation or a Official.
court order); (d) The Responsible Official must en-
(iii) The affected environment, insure that an applicant that has com-
cluding baseline conditions that may mitted to mitigation possesses the au-
be impacted by the proposed action and
thority and ability to fulfill the com-
alternatives;
mitments.
(iv) The environmental impacts of
the proposed action and alternatives, (e) The Responsible Official must
including any unresolved conflicts con- make a preliminary FONSI available
cerning alternative uses of available to the public in accordance with sec-
resources; and tion 6.203(b) of this part before taking
(v) Other applicable environmental action.
laws and executive orders. (f) The Responsible Official may pro-
(2) A listing or summary of any co- ceed with the action subject to any
ordination or consultation undertaken mitigation measures described in the
with any federal agency, state or local FONSI after responding to any sub-
government, or federally-recognized In- stantive comments received on the pre-
dian tribe regarding compliance with liminary FONSI during the 30-day com-
applicable laws and executive orders; ment period, or 30 days after issuance
(3) Identification and description of of the FONSI if no substantive com-
any mitigation measures considered, ments are received.
including any mitigation measures (g) The Responsible Official must en-
that must be adopted to ensure the ac- sure that the mitigation measures nec-
tion will not have significant impacts; essary to the FONSI determination, at
and a minimum, are enforceable, and con-
(4) Incorporation of documents by duct appropriate monitoring of the
reference, if appropriate, including, mitigation measures.
when available, the EID for the action. (h) The Responsible Official may re-
vise a FONSI at any time provided the
§ 6.206 Findings of no significant im-
pact. revision is supported by an EA. A re-
vised FONSI is subject to all provisions
(a) The Responsible Official may of paragraph (d) of this section.
issue a finding of no significant impact
(FONSI) (see 40 CFR 1508.13) only if the § 6.207 Environmental impact state-
EA supports the finding that the pro- ments.
posed action will not have a significant
(a) The Responsible Official will pre-
effect on the human environment. If
pare an environmental impact state-
the EA does not support a FONSI, the
ment (EIS) (see 40 CFR 1508.11) for
Responsible Official must prepare an
EIS and issue a ROD before taking ac- major federal actions significantly af-
tion on the proposed action. fecting the quality of the human envi-
(b) Consistent with 40 CFR 1508.13, a ronment, including actions for which
FONSI must include: the EA analysis demonstrates that sig-
(1) The EA, or in lieu of the EA, a nificant impacts will occur that will
summary of the supporting EA that in- not be reduced or eliminated by
cludes a brief description of the pro- changes to or mitigation of the pro-
posed action and alternatives consid- posed action.
ered in the EA, environmental factors (1) EISs are normally prepared for
considered, and project impacts; and the following actions:
(2) A brief description of the reasons (i) New regional wastewater treat-
why there are no significant impacts. ment facilities or water supply systems
(c) In addition, the FONSI must infor a community with a population
clude: greater than 100,000.
106
(ii) Expansions of existing waste- unique environmental risks that are

water treatment facilities that will in- likely to be significant.
crease existing discharge to an im- (viii) The proposed action is likely to
paired water by greater than 10 million significantly affect national natural
gallons per day (mgd). landmarks or any property on or eligi-
(iii) Issuance of new source NPDES ble for the National Register of His-
permit for a new major industrial dis- toric Places.
charge. (ix) The proposed action is likely to
(iv) Issuance of a new source NPDES significantly affect environmentally
permit for a new oil/gas development important natural resources such as
and production operation on the outer wetlands, significant agricultural
continental shelf. lands, aquifer recharge zones, coastal
(v) Issuance of a new source NPDES zones, barrier islands, wild and scenic
permit for a deepwater port with a pro- rivers, and significant fish or wildlife
jected discharge in excess of 10 mgd. habitat.
(2) The Responsible Official, or other (x) The proposed action in conjunc-
interested party, may request changes tion with related federal, state or local
to the list of actions that normally re- government, or federally-recognized In-
quire the preparation of an EIS (i.e., dian tribe projects is likely to produce
the addition, amendment, or deletion significant cumulative impacts.
of a type of action). (xi) The proposed action is likely to
(3) A proposed action normally re- significantly affect the pattern and
quires an EIS if it meets any of the fol- type of land use (industrial, commer-
lowing criteria. (See 40 CFR cial, recreational, residential) or
1507.3(b)(2)). growth and distribution of population
(i) The proposed action would result including altering the character of ex-
in a discharge of treated effluent from isting residential areas.
a new or modified existing facility into (4) An EIS must be prepared con-
a body of water and the discharge is sistent with 40 CFR Part 1502.
likely to have a significant effect on (b) When appropriate, the Respon-
the quality of the receiving waters. sible Official will prepare a legislative
(ii) The proposed action is likely to EIS consistent with 40 CFR 1506.8.
directly, or through induced develop- (c) In preparing an EIS, the Respon-
ment, have significant adverse effect sible Official must determine if an ap-
upon local ambient air quality or local plicant, other federal agencies or state
ambient noise levels. or local governments, or federally-rec-
(iii). The proposed action is likely to ognized Indian tribes are involved with
have significant adverse effects on sur- the project and apply the applicable
face water reservoirs or navigation provisions of § 6.202 and Subpart C of
projects. this part.
(iv) The proposed action would be in- (d) An EIS must:
consistent with state or local govern- (1) Comply with all requirements at
ment, or federally-recognized Indian 40 CFR parts 1500 through 1508.
tribe approved land use plans or regula- (2) Analyze all reasonable alter-
tions, or federal land management natives and the no action alternative
plans. (which may be the same as denying the
(v) The proposed action would be in- action). Assess the no action alter-
consistent with state or local govern- native even when the proposed action
ment, or federally-recognized Indian is specifically required by legislation
tribe environmental, resource-protec- or a court order.
tion, or land-use laws and regulations (3) Describe the potentially affected
for protection of the environment. environment including, as appropriate,
(vi) The proposed action is likely to the size and location of new and exist-
significantly affect the environment ing facilities, land requirements, oper-
through the release of radioactive, haz- ation and maintenance requirements,
ardous or toxic substances, or biota. auxiliary structures such as pipelines

(vii) The proposed action involves un- or transmission lines, and construction
certain environmental effects or highly schedules.
107
§ 6.208 40 CFR Ch. I (7–1–21 Edition)
(4) Summarize any coordination or (3) The signature of the Responsible

consultation undertaken with any fed- Official.
eral agency, state and/or local govern- (d) The Responsible Official must en-
ment, and/or federally-recognized In- sure that an applicant that has com-
dian tribe, including copies or sum- mitted to mitigation possesses the au-
maries of relevant correspondence. thority and ability to fulfill the com-
(5) Summarize any public meetings mitment.
held during the scoping process includ- (e) The Responsible Official must
ing the date, time, place, and purpose make a ROD available to the public.
of the meetings. The final EIS must (f) Upon issuance of the ROD, the Re-
summarize the public participation sponsible Official may proceed with the
process including the date, time, place, action subject to any mitigation meas-
and purpose of meetings or hearings ures described in the ROD. The Respon-
held after publication of the draft EIS. sible Official must ensure adequate
(6) Consider substantive comments monitoring of mitigation measures
received during the public participa- identified in the ROD.
tion process. The draft EIS must con- (g) If the mitigation identified in the
sider the substantive comments re- ROD will be included as a condition in
ceived during the scoping process. The the permit or grant, the Responsible
final EIS must include or summarize Official must ensure that EPA has the
all substantive comments received on authority to impose the conditions.
the draft EIS, respond to any sub- The Responsible Official should ensure
stantive comments on the draft EIS, that compliance with assistance agree-
and explain any changes to the draft ment or permit conditions will be mon-
EIS and the reason for the changes. itored and enforced under EPA’s assist-
(7) Include the names and qualifica- ance agreement and permit authori-
tions of the persons primarily respon- ties.
sible for preparing the EIS including an
(h) The Responsible Official may re-
EIS prepared under a third-party con-
vise a ROD at any time provided the
tract (if applicable), significant back-
revision is supported by an EIS. A re-
ground papers, and the EID (if applica-
vised ROD is subject to all provisions
ble).
of paragraph (d) of this section.
(e) The Responsible Official must pre-
pare a supplemental EIS when appro- § 6.209 Filing requirements for EPA
priate, consistent with 40 CFR 1502.9. EISs.
§ 6.208 Records of decision. (a) The Responsible Official must file
(a) The Responsible Official may not an EIS with the NEPA Official no ear-
make any decisions on the action until lier than the date the document is
the time periods in 40 CFR 1506.10 have transmitted to commenting agencies
been met. and made available to the public. The
(b) A record of decision (ROD) records Responsible Official must comply with
EPA’s decision on the action. Con- any guidelines established by the
sistent with 40 CFR 1505.2, a ROD must NEPA Official for the filing system
include: process and comply with 40 CFR 1506.9
(1) A brief description of the proposed and 1506.10. The review periods are
action and alternatives considered in computed through the filing system
the EIS, environmental factors consid- process and published in the FEDERAL
ered, and project impacts; REGISTER in the Notice of Availability.
(2) Any commitments to mitigation; (b) The Responsible Official may re-
and quest that the NEPA Official extend
(3) An explanation if the environ- the review periods for an EIS. The
mentally preferred alternative was not NEPA Official will publish notice of an
selected. extension of the review period in the
(c) In addition, the ROD must in- FEDERAL REGISTER and notify the CEQ.
clude:
(1) Responses to any substantive § 6.210 Emergency circumstances.

comments on the final EIS; If emergency circumstances make it
(2) The date of issuance; and necessary to take an action that has a
108
significant environmental impact with- be of sufficient scope and content to

out observing the provisions of sub- enable the Responsible Official to pre-
parts A through C of this part that are pare an EA and FONSI or, if necessary,
required by the CEQ Regulations, the an EIS and ROD. The applicant must
Responsible Official must consult with submit the EID to the Responsible Offi-
the NEPA Official at the earliest pos- cial.
sible time. Consistent with 40 CFR (b) The applicant must consult with
1506.11, the Responsible Official and the the Responsible Official as early as
NEPA Official should consult with CEQ possible in the planning process to ob-
about alternative arrangements at the tain guidance with respect to the ap-
earliest opportunity. Actions taken propriate level and scope of environ-
without observing the provisions of mental information required for the
subparts A through C of this part will EID.
be limited to actions necessary to con- (c) As part of the EID process, the ap-
trol the immediate impacts of the plicant may consult with appropriate
emergency; other actions remain sub- federal agencies, state and local gov-
ject to the environmental review proc- ernments, federally-recognized Indian
ess. tribes, and other potentially affected
parties to identify their interests in
Subpart C—Requirements for Envi- the project and the environmental
ronmental Information Docu- issues associated with the project.
ments and Third-Party Agree- (d) The applicant must notify the Re-
sponsible Official as early as possible of
ments for EPA Actions Subject other federal agency, state or local
to NEPA government, or federally-recognized In-
§ 6.300 Applicability. dian tribe requirements related to the
project. The applicant also must notify
(a) This section applies to actions the Responsible Official of any private
that involve applications to EPA for entities and organizations affected by
permits or assistance agreements, or the proposed project. (See 40 CFR
request other EPA approval. 1501.2(d)(2).)
(b) The Responsible Official is re- (e) The applicant must notify the Re-
sponsible for the environmental review sponsible Official if, during EPA’s envi-
process on EPA’s action (that is, ronmental review process, the appli-
issuing the permit or awarding the as- cant:
sistance agreement) with the applicant (1) Changes its plans for the project
contributing through submission of an as originally submitted to EPA; and/or
EID or a draft EA and supporting docu- (2) Changes its schedule for the
ments. project from that originally submitted
(c) An applicant is not required to to EPA.
prepare an EID when: (f) In accordance with § 6.204, where
(1) The action has been categorically appropriate, the applicant may request
excluded or requires the preparation of a categorical exclusion determination
an EIS; or by the Responsible Official. If re-
(2) The applicant will prepare and quested by the Responsible Official, the
submit a draft EA and supporting docu- applicant must submit information to
ments. the Responsible Official regarding the
(d) The Responsible Official must no- application of a categorical exclusion
tify the applicant if EPA will not re- to EPA’s pending action and the appli-
quire submission of an EID. cant’s project.
FR 5994, Feb. 4, 2009] § 6.302 Responsible Official require-
ments.
§ 6.301 Applicant requirements. (a) Consistent with 40 CFR 1501.2(d),
(a) The applicant must prepare an the Responsible Official must ensure
EID in consultation with the Respon- early involvement of applicants in the
sible Official, unless the Responsible environmental review process to iden-

Official has notified the applicant that tify environmental effects, avoid
an EID is not required. The EID must delays, and resolve conflicts.
109
§ 6.303 40 CFR Ch. I (7–1–21 Edition)
(b) The Responsible Official must no- sible for its accuracy (see 40 CFR
tify the applicant if a determination 1506.5).
has been made that the action has been (f) At the request of an applicant and
categorically excluded, or if EPA needs at the discretion of the Responsible Of-
additional information to support the ficial, an applicant may prepare an EA
application of a categorical exclusion or EIS and supporting documents or
or if the submitted information does enter into a third-party contract pur-
not support the application of a cat- suant to § 6.303.
egorical exclusion and that an EA, or (g) The Responsible Official must re-
an EIS, will be required. view, and take responsibility for the
(c) When an EID is required for a completed NEPA documents, before
project, the Responsible Official must rendering a final decision on the pro-
consult with the applicant and provide posed action.
the applicant with guidance describing
the scope and level of environmental § 6.303 Third-party agreements.
information required. (a) If an EA or EIS is to be prepared
(1) The Responsible Official must pro- for an action subject to subparts A
vide guidance on a project-by-project through C of this part, the Responsible
basis to any applicant seeking such as- Official and the applicant may enter
sistance. For major categories of ac- into an agreement whereby the appli-
tions involving a large number of ap- cant engages and pays for the services
plicants, the Responsible Official may of a third-party contractor to prepare
prepare and make available generic an EA or EIS and any associated docu-
guidance describing the recommended ments for consideration by EPA. In
level and scope of environmental infor- such cases, the Responsible Official
mation that applicants should provide. must approve the qualifications of the
(2) The Responsible Official must third-party contractor. The third-party
consider the extent to which the appli- contractor must be selected on the
cant is capable of providing the re- basis of ability and absence of any con-
quired information. The Responsible flict of interest. Consistent with 40
Official may not require the applicant CFR 1506.5(c), in consultation with the
to gather data or perform analyses applicant, the Responsible Official
that unnecessarily duplicate either ex- shall select the contractor. The Re-
isting data or the results of existing sponsible Official must provide guid-
analyses available to EPA. The Re- ance to the applicant and contractor
sponsible Official must limit the re- regarding the information to be devel-
quest for environmental information to oped, including the project’s scope, and
that necessary for the environmental guide and participate in the collection,
review. analysis, and presentation of the infor-
(d) If, prior to completion of the envi- mation. The Responsible Official has
ronmental review for a project, the Re- sole authority for final approval of and
sponsible Official receives notification, EA or EIS.
that the applicant is proposing to or (1) The applicant must engage and
taking an action that would result in pay for the services of a contractor to
significant impacts or would limit al- prepare the EA or EIS and any associ-
ternatives, the Responsible Official ated documents without using EPA fi-
must notify the applicant promptly nancial assistance (including required
that EPA will take appropriate action match).
to ensure that the objectives and pro- (2) The Responsible Official, in con-
cedures of NEPA are achieved (see 40 sultation with the applicant, must en-
CFR 1506.1(b)). Such actions may insure that the contractor is qualified to
clude withholding grant funds or denial prepare an EA or EIS, and that the sub-
of permits. stantive terms of the contract specify
(e) The Responsible Official must the information to be developed, and
begin the NEPA review as soon as pos- the procedures for gathering, analyzing
sible after receiving the applicant’s and presenting the information.
EID or draft EA. The Responsible Offi- (3) The Responsible Official must pre-
cial must independently evaluate the pare a disclosure statement for the ap-
information submitted and be respon- plicant to include in the contract
110
specifying that the contractor has no the purpose of the National Environ-
financial or other interest in the out- mental Policy Act (NEPA) (42 U.S.C.
come of the project (see 40 CFR 4321 et seq.) and the Marine Protection,
1506.5(c)). Research, and Sanctuaries Act
(4) The Responsible Official will en- (MPRSA) (33 U.S.C. 1401 et seq.). It
sure that the EA or EIS and any associ- should be noted, however, that in ful-
ated documents contain analyses and filling its responsibilities under Execu-
conclusions that adequately assess the tive Order 12114, EPA shall be guided
relevant environmental issues. by CEQ regulations only to the extent
(b) In order to make a decision on the that they are made expressly applica-
action, the Responsible Official must ble by this subpart. The procedures set
independently evaluate the informa- forth below reflect EPA’s duties and re-
tion submitted in the EA or EIS and sponsibilities as required under the Ex-
any associated documents, and issue an ecutive Order and satisfy the require-
EA or draft and final EIS. After review ment for issuance of procedures under
of, and appropriate changes to, the EA section 2–1 of the Executive Order.
or EIS submitted by the applicant, the (b) Policy. It shall be the policy of
Responsible Official may accept it as this Agency to carry out the purpose
EPA’s document. The Responsible Offi- and requirements of the Executive
cial is responsible for the scope, accu- Order to the fullest extent possible.
racy, and contents of the EA or EIS EPA, within the realm of its expertise,
and any associated documents (see 40 shall work with the Department of
CFR 1506.5). State and the Council on Environ-
(c) A third-party agreement may not mental Quality to provide information
be initiated unless both the applicant to other Federal agencies and foreign
and the Responsible Official agree to nations to heighten awareness of and
its creation and terms. interest in the environment. EPA shall
(d) The terms of the contract be- further cooperate to the extent pos-
tween the applicant and the third- sible with Federal agencies to lend spe-
party contractor must ensure that the cial expertise and assistance in the
contractor does not have recourse to preparation of required environmental
EPA for financial or other claims aris- documents under the Executive Order.
ing under the contract, and that the EPA shall perform environmental re-
Responsible Official, or other EPA des- views of activities significantly affect-
ignee, may give technical advice to the ing the global commons and foreign na-
contractor. tions as required under Executive
Order 12114 and as set forth under these
Subpart D—Assessing the Environ- procedures.
mental Effects Abroad of EPA
Actions § 6.401 Applicability.
(a) Administrative actions requiring
AUTHORITY: 42 U.S.C. 4321, note, E.O. 12114, environmental review. The environ-
44 FR 1979, 3 CFR, 1979 Comp., p. 356. mental review requirements apply to
the activities of EPA as follows:
§ 6.400 Purpose and policy. (1) Major research or demonstration
(a) Purpose. On January 4, 1979, the projects which affect the global com-
President signed Executive Order 12114 mons or a foreign nation.
entitled ‘‘Environmental Effects (2) Ocean dumping activities carried
Abroad of Major Federal Actions.’’ The out under section 102 of the MPRSA
purpose of this Executive Order is to which affect the related environment.
enable responsible Federal officials in (3) Major permitting or licensing by
carrying out or approving major Fed- EPA of facilities which affect the glob-
eral actions which affect foreign na- al commons or the environment of a
tions or the global commons to be in- foreign nation. This may include such
formed of pertinent environmental actions as the issuance by EPA of haz-
considerations and to consider fully ardous waste treatment, storage, or
the environmental impacts of the ac- disposal facility permits pursuant to

tions undertaken. While based on inde- section 3005 of the Resource Conserva-
pendent authority, this Order furthers tion and Recovery Act (42 U.S.C. 6925),
111
§ 6.402 40 CFR Ch. I (7–1–21 Edition)
NPDES permits pursuant to section 402 participate in this study. This environ-
of the Clean Water Act (33 U.S.C. 1342), mental study shall discuss the need for
and prevention of significant deteriora- the action, analyze the environmental
tion approvals pursuant to Part C of impact of the various alternatives con-
the Clean Air Act (42 U.S.C. 7470 et seq.) sidered and list the agencies and other
(4) Wastewater Treatment Construc- parties consulted.
tion Grants Program under section 201 (b) Ocean dumping activities. (1) The
of the Clean Water Act when activities Assistant Administrator for Water
addressed in the facility plan would shall ensure the preparation of appro-
have environmental effects abroad. priate environmental documents relat-
(5) Other EPA activities as deter- ing to ocean dumping activities in the
mined by OFA and OIA (see § 6.406(c)). global commons under section 102 of
(b) [Reserved] the MPRSA. For ocean dumping site
designations prescribed pursuant to
§ 6.402 Definitions. section 102(c) of the MPRSA and 40
As used in this subpart, environment CFR part 228, and for the establish-
means the natural and physical envi- ment or revision of criteria under sec-
ronment and excludes social, economic tion 102(a) of the MPRSA, EPA shall
and other environments; global com- prepare appropriate environmental
mons is that area (land, air, water) out- documents consistent with EPA’s No-
side the jurisdiction of any nation; and tice of Policy and Procedures for Vol-
responsible official is either the EPA As- untary Preparation of National Envi-
sistant Administrator or Regional Ad- ronmental Policy Act (NEPA) Docu-
ministrator as appropriate for the par- ments dated October 29, 1998.
ticular EPA program. Also, an action (2) For individual permits issued by
significantly affects the environment if EPA under section 102(b) an environ-
it does significant harm to the environmental assessment shall be made by
ment even though on balance the ac- EPA. Pursuant to 40 CFR part 221, the
tion may be beneficial to the environ- permit applicant shall submit with the
ment. To the extent applicable, the re- application an environmental analysis
sponsible official shall address the con- which includes a discussion of the need
siderations set forth in the CEQ regula- for the action, an outline of alter-
tions under 40 CFR 1508.27 in deter- natives, and an analysis of the environ-
mining significant effect. mental impact of the proposed action
and alternatives consistent with the
§ 6.403 Environmental review and as- EPA criteria established under section
sessment requirements. 102(a) of MPRSA. The information sub-
(a) Research and demonstration mitted under 40 CFR part 221 shall be
projects. The appropriate Assistant Ad- sufficient to satisfy the environmental
ministrator is responsible for per- assessment requirement.
forming the necessary degree of envi- (c) EPA permitting and licensing activi-
ronmental review on research and dem- ties. The appropriate Regional Adminis-
onstration projects undertaken by trator is responsible for conducting
EPA. If the research or demonstration concise environmental reviews with re-
project affects the environment of the gard to permits issued under section
global commons, the applicant shall 3005 of the Resource Conservation and
prepare an environmental analysis. Recovery Act (RCRA permits), section
This will assist the responsible official 402 of the Clean Water Act (NPDES
in determining whether an EIS is nec- permits), and section 165 of the Clean
essary. If it is determined that the ac- Air Act (PSD permits), for such actions
tion significantly affects the environ- undertaken by EPA which affect the
ment of the global commons, then an global commons or foreign nations.
EIS shall be prepared. If the under- The information submitted by appli-
taking significantly affects a foreign cants for such permits or approvals
nation EPA shall prepare a unilateral, under the applicable consolidated per-
bilateral or multilateral environ- mit regulations (40 CFR parts 122 and
mental study. EPA shall afford the af- 124) and Prevention of Significant De-
fected foreign nation or international terioration (PSD) regulations (40 CFR
body or organization an opportunity to part 52) shall satisfy the environmental
112
document requirement under Section lead agency contained in 40 CFR 1501.5

2–4(b) of Executive Order 12114. Compli- of the CEQ regulations.
ance with applicable requirements in (b) Cooperating Agency. Under Section
part 124 of the consolidated permit reg- 2–4(d) of the Executive Order, Federal
ulations (40 CFR part 124) shall be suf- agencies with special expertise are en-
ficient to satisfy the requirements to couraged to provide appropriate re-
conduct a concise environmental resources to the agency preparing envi-
view for permits subject to this para- ronmental documents in order to avoid
graph. duplication of resources. In working
(d) Wastewater treatment facility plan- with a lead agency, EPA shall to the
ning. 40 CFR part 6, subparts A through fullest extent possible serve as a co-
C, detail the environmental review operating agency in accordance with 40
process for the facilities planning proc- CFR 1501.6. When other program com-
ess under the wastewater treatment mitments preclude the degree of in-
works construction grants program. volvement requested by the lead agen-
For the purpose of these regulations, cy, the responsible EPA official shall
the facility plan shall also include a so inform the lead agency in writing.
concise environmental review of those
activities that would have environ- § 6.405 Exemptions and considerations.
mental effects abroad. This shall apply Under section 2–5 (b) and (c) of the
only to the Step 1 grants awarded after Executive Order, Federal agencies may
January 14, 1981, but on or before De- provide for modifications in the con-
cember 29, 1981, and facilities plans de- tents, timing and availability of docu-
veloped after December 29, 1981. Where ments or exemptions from certain re-
water quality impacts identified in a quirements for the environmental re-
facility plan are the subject of water view and assessment. The responsible
quality agreements with Canada or official, in consultation with the Direc-
Mexico, nothing in these regulations tor, Office of Federal Activities (OFA),
shall impose on the facility planning and the Assistant Administrator, Of-
process coordination and consultation fice of International Affairs (OIA), may
requirements in addition to those re- approve modifications for situations
quired by such agreements. described in section 2–5(b). The respon-
(e) Review by other Federal agencies sible official, in consultation with the
and other appropriate officials. The re- Director, OFA and Assistant Adminis-
sponsible officials shall consult with trator, OIA, shall obtain exemptions
other Federal agencies with relevant from the Administrator for situations
expertise during the preparation of the described in section 2–5(c). The Depart-
environmental document. As soon as ment of State and the Council on Envi-
feasible after preparation of the environmental Quality shall be consulted
ronmental document, the responsible as soon as possible on the utilization of
official shall make the document avail- such exemptions.
able to the Council on Environmental
Quality, Department of State, and § 6.406 Implementation.
other appropriate officials. The respon- (a) Oversight. OFA is responsible for
sible official with assistance from OIA overseeing the implementation of these
shall work with the Department of procedures and shall consult with OIA
State to establish procedures for com- wherever appropriate. OIA shall be uti-
municating with and making docu- lized for making formal contacts with
ments available to foreign nations and the Department of State. OFA shall as-
international organizations. sist the responsible officials in car-
rying out their responsibilities under
§ 6.404 Lead or cooperating agency. these procedures.
(a) Lead Agency. Section 3–3 of Execu- (b) Information exchange. OFA with
tive Order 12114 requires the creation of the aid of OIA, shall assist the Depart-
a lead agency whenever an action in- ment of State and the Council on Envi-
volves more than one Federal agency. ronmental Quality in developing the
In implementing section 3–3, EPA informational exchange on environ-

shall, to the fullest extent possible, fol- mental review activities with foreign
low the guidance for the selection of a nations.
113
(c) Unidentified activities. The respon- Subpart F—Discrimination Prohibited on the

sible official shall consult with OFA Basis of Age
and OIA to establish the type of envi-
7.140 General prohibition.
ronmental review or document appro-
7.145 Specific prohibitions.
priate for any new EPA activities or 7.150 Exceptions to the rules against age
requirements imposed upon EPA by discrimination—normal operation or
statute, international agreement or statutory objective of any program or ac-
other agreements. tivity.
7.155 Exceptions to the rules against age
discrimination—reasonable factors other
PART 7—NONDISCRIMINATION IN than age.
PROGRAMS OR ACTIVITIES RE- 7.160 Burden of proof.
CEIVING FEDERAL ASSISTANCE 7.165 Special benefits for children and the
FROM THE ENVIRONMENTAL elderly.
7.170 Alternative funds disbursal proce-
PROTECTION AGENCY dures.
7.175 Exhaustion of administrative remedy.
Subpart A—General 7.180 Mediation of age discrimination com-
Sec. plaints.
7.10 Purpose of this part. APPENDIX A TO PART 7—TYPES OF EPA AS-
7.15 Applicability. SISTANCE AS LISTED IN THE ‘‘CATALOG OF
7.20 Responsible agency officers. FEDERAL DOMESTIC ASSISTANCE’’
7.25 Definitions. AUTHORITY: 42 U.S.C. 2000d to 2000d–7 and
6101 et seq.; 29 U.S.C. 794; 33 U.S.C. 1251nt.
Subpart B—Discrimination Prohibited on
the Basis of Race, Color, National Ori- SOURCE: 49 FR 1659, Jan. 12, 1984, unless
gin or Sex otherwise noted.
7.30 General prohibition.

7.35 Specific prohibitions.
Subpart A—General
Subpart C—Discrimination Prohibited on § 7.10 Purpose of this part.
the Basis of Handicap This part implements: Title VI of the
Civil Rights Act of 1964, as amended;
7.45 General prohibition. section 504 of the Rehabilitation Act of
7.50 Specific prohibitions against discrimi-
nation. 1973, as amended; the Age Discrimina-
7.55 Separate or different aid, benefits, or tion Act of 1975, as amended; and sec-
services. tion 13 of the Federal Water Pollution
7.60 Prohibitions and requirements relating Control Act Amendments of 1972, Pub-
to employment. lic Law 92–500, (collectively, the Acts).
7.65 Accessibility.
7.70 New construction. [75 FR 31707, June 4, 2010]
7.75 Transition plan.
§ 7.15 Applicability.
Subpart D—Requirements for Applicants This part applies to all applicants
and Recipients for, and recipients of, EPA assistance
7.80 Applicants. in the operation of programs or activi-
7.85 Recipients. ties receiving such assistance begin-
7.90 Grievance procedures. ning February 13, 1984. New construc-
7.95 Notice of nondiscrimination. tion (§ 7.70) for which design was initi-
7.100 Intimidation and retaliation prohib- ated prior to February 13, 1984, shall
ited.
comply with the accessibility require-
Subpart E—Agency Compliance ments in the Department of Health,
Procedures Education and Welfare (now the De-
partment of Health and Human Serv-
7.105 General policy. ices) nondiscrimination regulation, 45
7.110 Preaward compliance. CFR 84.23, issued June 3, 1977, or with
7.115 Postaward compliance.
equivalent standards that ensure the
7.120 Complaint investigations.
7.125 Coordination with other agencies. facility is readily accessible to and us-
7.130 Actions available to EPA to obtain able by handicapped persons. Such as-
compliance. sistance includes but is not limited to
7.135 Procedure for regaining eligibility. that which is listed in the Catalogue of
114
Federal Domestic Assistance under the thorized by this part and by other EPA
66.000 series. It supersedes the provi- regulations or delegation of authority.
sions of former 40 CFR parts 7 and 12. Drug abuse means:
(a) The use of any drug or substance
§ 7.20 Responsible agency officers. listed by the Department of Justice in
(a) The EPA Office of Civil Rights 21 CFR 1308.11, under authority of the
(OCR) is responsible for developing and Controlled Substances Act, 21 U.S.C.
administering EPA’s means of ensuring 801, as a controlled substance unavail-
compliance under the Acts. able for prescription because:
(b) EPA’s Project Officers will, to the (1) The drug or substance has a high
extent possible, be available to explain potential for abuse,
to each recipient its obligations under (2) The drug or other substance has
this part and to provide recipients with no currently accepted medical use in
technical assistance or guidance upon treatment in the United States, or
request. (3) There is a lack of accepted safety
[49 FR 1659, Jan. 12, 1984, as amended at 68
for use of the drug or other substance
FR 51372, Aug. 26, 2003] under medical supervision.
NOTE: Examples of drugs under paragraph
§ 7.25 Definitions. (a)(1) of this section include certain opiates
As used in this part: and opiate derivatives (e.g., heroin) and hal-
Action, for purposes of subpart F of lucinogenic substances (e.g., marijuana,
this part, means any act, activity, pol- mescaline, peyote) and depressants (e.g.,
methaqualone). Examples of (a)(2) include
icy, rule, standard, or method of ad-
opium, coca leaves, methadone, amphet-
ministration; or the use of any policy, amines and barbiturates.
rule, standard, or method of adminis-
tration. (b) The misuse of any drug or sub-
Administrator means the Adminis- stance listed by the Department of Jus-
trator of EPA. It includes any other tice in 21 CFR 1308.12–1308.15 under au-
agency official authorized to act on his thority of the Controlled Substances
or her behalf, unless explicity stated Act as a controlled substance available
otherwise. for prescription.
Age, for purposes of subpart F of this EPA means the United States Envi-
part, means how old a person is, or the ronmental Protection Agency.
number of elapsed years from the date EPA assistance means any grant or
of a person’s birth. cooperative agreement, loan, contract
Age distinction, for purposes of sub- (other than a procurement contract or
part F of this part, means any action a contract of insurance or guaranty),
using age or an age-related term. or any other arrangement by which
Age-related term, for purposes of sub- EPA provides or otherwise makes
part F of this part, means a word or available assistance in the form of:
words which necessarily imply a par- (1) Funds;
ticular age or range of ages (for exam- (2) Services of personnel; or
ple; ‘‘children,’’ ‘‘adult,’’ ‘‘older per- (3) Real or personal property or any
sons,’’ but not ‘‘student’’ or ‘‘grade’’). interest in or use of such property, in-
Alcohol abuse means any misuse of al- cluding:
cohol which demonstrably interferes (i) Transfers or leases of such prop-
with a person’s health, interpersonal erty for less than fair market value or
relations or working ability. for reduced consideration; and
Applicant means any entity that files (ii) Proceeds from a subsequent
an application or unsolicited proposal transfer or lease of such property if
or otherwise requests EPA assistance EPA’s share of its fair market value is
(see definition for EPA assistance). not returned to EPA.
Assistant Attorney General is the head Facility means all, or any part of, or
of the Civil Rights Division, U.S. De- any interests in structures, equipment,
partment of Justice. roads, walks, parking lots, or other
Award Official means the EPA official real or personal property.
with the authority to approve and exe- Handicapped person:

cute assistance agreements and to take (a) Handicapped person means any
other assistance related actions au- person who (1) has a physical or mental
115
§ 7.25 40 CFR Ch. I (7–1–21 Edition)
impairment which substantially limits ation of a program or activity without

one or more major life activities, (2) significant changes that would impair
has a record of such an impairment, or its ability to meet its objectives.
(3) is regarded as having such an im- Office of Civil Rights or OCR means
pairment. For purposes of employment, the Director of the Office of Civil
the term handicapped person does not Rights, EPA Headquarters or his/her
include any person who is an alcoholic designated representative.
or drug abuser whose current use of al- Program or activity and program mean
cohol or drugs prevents such individual all of the operations of any entity de-
from performing the duties of the job scribed in paragraphs (1) through (4) of
in question or whose employment, by this definition, any part of which is ex-
reason of such current drug or alcohol tended Federal financial assistance:
abuse, would constitute a direct threat (1)(i) A department, agency, special
to property or the safety of others. purpose district, or other instrumen-
(b) As used in this paragraph, the tality of a State or of a local govern-
phrase: ment; or
(1) Physical or mental impairment (ii) The entity of such State or local
means (i) any physiological disorder or government that distributes such as-
condition, cosmetic disfigurement, or sistance and each such department or
anatomical loss affecting one or more agency (and each other State or local
of the following body systems: Neuro- government entity) to which the as-
logical; musculoskeletal; special sense sistance is extended, in the case of as-
organs; respiratory, including speech sistance to a State or local govern-
organs; cardiovascular; reproductive; ment;
digestive; genito-urinary; hemic and (2)(i) A college, university, or other
lymphatic; skin; and endocrine; and (ii) postsecondary institution, or a public
any mental or psychological disorder, system of higher education; or
such as mental retardation, organic (ii) A local educational agency (as de-
brain syndrome, emotional or mental fined in 20 U.S.C. 7801), system of voca-
illness, and specific learning disabil- tional education, or other school sys-
ities. tem;
(2) Major life activities means func- (3)(i) An entire corporation, partner-
tions such as caring for one’s self, per- ship, or other private organization, or
forming manual tasks, walking, seeing, an entire sole proprietorship—
hearing, speaking, breathing, learning, (A) If assistance is extended to such
and working. corporation, partnership, private orga-
(3) Has a record of such an impairment nization, or sole proprietorship as a
means has a history of, or has been whole; or
misclassified as having, a mental or (B) Which is principally engaged in
physical impairment that substantially the business of providing education,
limits one or more major life activi- health care, housing, social services, or
ties. parks and recreation; or
(4) Is regarded as having an impairment (ii) The entire plant or other com-
means: parable, geographically separate facil-
(i) Has a physical or mental impair- ity to which Federal financial assist-
ment that does not substantially limit ance is extended, in the case of any
major life activities but that is treated other corporation, partnership, private
by a recipient as constituting such a organization, or sole proprietorship; or
limitation; (4) Any other entity which is estab-
(ii) Has a physical or mental impair- lished by two or more of the entities
ment that substantially limits major described in paragraph (1), (2), or (3) of
life activities only as a result of the at- this definition.
titudes of others toward such impair- Project Officer means the EPA official
ment; or designated in the assistance agreement
(iii) Has none of the impairments de- (as defined in EPA assistance) as EPA’s
fined above but is treated by a recipi- contact with the recipient; Project Of-
ent as having such an impairment. ficers are responsible for monitoring

Normal operation, for purposes of sub- the project.
part F of this part, means the oper- Qualified handicapped person means:
116
(a) With respect to employment: A Section 13 refers to section 13 of the

handicapped person who, with reason- Federal Water Pollution Control Act
able accommodation, can perform the Amendments of 1972.
essential functions of the job in ques- Statutory objective, for purposes of
tion. subpart F of this part, means any pur-
(b) With respect to services: A handi- pose of a program or activity expressly
capped person who meets the essential stated in any Federal statute, State
eligibility requirements for the receipt statute, or local statute or ordinance
of such services. adopted by an elected, general purpose
Racial classifications: 1 legislative body.
(a) American Indian or Alaskan native. United States includes the States of
A person having origins in any of the the United States, the District of Co-
original peoples of North America, and
lumbia, the Commonwealth of Puerto
who maintains cultural identification
Rico, the Virgin Islands, American
through tribal affiliation or commu-
Samoa, Guam, Wake Island, the Canal
nity recognition.
Zone, and all other territories and pos-
(b) Asian or Pacific Islander. A person
sessions of the United States; the term
having origins in any of the original
State includes any one of the foregoing.
peoples of the Far East, Southeast
Asia, the Indian subcontinent, or the [49 FR 1659, Jan. 12, 1984, as amended at 68
Pacific Islands. This area includes, for FR 51372, Aug. 26, 2003; 75 FR 31707, June 4,
example, China, Japan, Korea, the 2010]
Philippine Islands, and Samoa.
(c) Black and not of Hispanic origin. A Subpart B—Discrimination Prohib-
person having origins in any of the ited on the Basis of Race,
black racial groups of Africa.
(d) Hispanic. A person of Mexican,
Color, National Origin or Sex
Puerto Rican, Cuban, Central or South § 7.30 General prohibition.
American or other Spanish culture or
origin, regardless or race. No person shall be excluded from par-
(e) White, not of Hispanic origin. A per- ticipation in, be denied the benefits of,
son having origins in any of the origi- or be subjected to discrimination under
nal peoples of Europe, North Africa, or any program or activity receiving EPA
the Middle East. assistance on the basis of race, color,
Recipient means, for the purposes of national origin, or on the basis of sex
this regulation, any State or its polit- in any program or activity receiving
ical subdivision, any instrumentality EPA assistance under the Federal
of a State or its political subdivision, Water Pollution Control Act, as
any public or private agency, institu- amended, including the Environmental
tion, organization, or other entity, or Financing Act of 1972.
any person to which Federal financial
assistance is extended directly or § 7.35 Specific prohibitions.
through another recipient, including (a) As to any program or activity re-
any successor, assignee, or transferee ceiving EPA assistance, a recipient
of a recipient, but excluding the ulti- shall not directly or through contrac-
mate beneficiary of the assistance. tual, licensing, or other arrangements
on the basis of race, color, national ori-
1 Additional subcategories based on na-
gin or, if applicable, sex:
tional origin or primary language spoken (1) Deny a person any service, aid or
may be used where appropriate on either a
national or a regional basis. Subparagraphs other benefit of the program or activ-
(a) through (e) are in conformity with Direc- ity;
tive 15 of the Office of Federal Statistical (2) Provide a person any service, aid
Policy and Standards, whose function is now or other benefit that is different, or is
in the Office of Information and Regulatory provided differently from that provided
Affairs, Office of Management and Budget. to others under the program or activ-
Should that office, or any successor office,
change or otherwise amend the categories
ity;
listed in Directive 15, the categories in this (3) Restrict a person in any way in
paragraph shall be interpreted to conform the enjoyment of any advantage or
with any such changes or amendments. privilege enjoyed by others receiving
117
§ 7.45 40 CFR Ch. I (7–1–21 Edition)
any service, aid, or benefit provided by (d) The specific prohibitions of dis-
the program or activity; crimination enumerated above do not
(4) Subject a person to segregation in limit the general prohibition of § 7.30.
any manner or separate treatment in [49 FR 1659, Jan. 12, 1984, as amended at 68
any way related to receiving services FR 51372, Aug. 26, 2003]
or benefits under the program or activ-
ity;
Subpart C—Discrimination Prohib-
(5) Deny a person or any group of per-
sons the opportunity to participate as
ited on the Basis of Handi-
members of any planning or advisory cap
body which is an integral part of the
§ 7.45 General prohibition.
program or activity, such as a local
sanitation board or sewer authority; No qualified handicapped person
(6) Discriminate in employment on shall solely on the basis of handicap be
the basis of sex in any program or ac- excluded from participation in, be de-
tivity subject to section 13, or on the nied the benefits of, or otherwise be
basis of race, color, or national origin subjected to discrimination under any
in any program or activity whose pur- program or activity receiving EPA as-
pose is to create employment; or, by sistance.
means of employment discrimination,
§ 7.50 Specific prohibitions against dis-
deny intended beneficiaries the bene- crimination.
fits of EPA assistance, or subject the
beneficiaries to prohibited discrimina- (a) A recipient, in providing any aid,
tion. benefit or service under any program
(7) In administering a program or ac- or activity receiving EPA assistance
tivity receiving Federal financial as- shall not, on the basis of handicap, di-
sistance in which the recipient has pre- rectly or through contractual, licens-
viously discriminated on the basis of ing, or other arrangement:
race, color, sex, or national origin, the (1) Deny a qualified handicapped per-
recipient shall take affirmative action son any service, aid or other benefit of
to provide remedies to those who have a federally assisted program or activ-
been injured by the discrimination. ity;
(b) A recipient shall not use criteria (2) Provide different or separate aids,
or methods of administering its pro- benefits, or services to handicapped
gram or activity which have the effect persons or to any class of handicapped
persons than is provided to others un-
of subjecting individuals to discrimina-
less the action is necessary to provide
tion because of their race, color, na-
qualified handicapped persons with
tional origin, or sex, or have the effect
aids, benefits, or services that are as
of defeating or substantially impairing
effective as those provided to others;
accomplishment of the objectives of
(3) Aid or perpetuate discrimination
the program or activity with respect to
against a qualified handicapped person
individuals of a particular race, color,
by providing significant assistance to
national origin, or sex.
an entity that discriminates on the
(c) A recipient shall not choose a site basis of handicap in providing aids,
or location of a facility that has the benefits, or services to beneficiaries of
purpose or effect of excluding individ- the recipient’s program or activity;
uals from, denying them the benefits (4) Deny a qualified handicapped per-
of, or subjecting them to discrimina- son the opportunity to participate as a
tion under any program or activity to member of planning or advisory boards;
which this part applies on the grounds or
of race, color, or national origin or sex; (5) Limit a qualified handicapped per-
or with the purpose or effect of defeat- son in any other way in the enjoyment
ing or substantially impairing the ac- of any right, privilege, advantage, or
complishment of the objectives of this opportunity enjoyed by others receiv-

subpart. ing an aid, benefit or service from the
program or activity.
118
(b) A recipient may not, in deter- jected to discrimination in employ-

mining the site or location of a facil- ment under any program or activity
ity, make selections: (1) That have the that receives Federal assistance.
effect of excluding handicapped persons (b) A recipient shall make all deci-
from, denying them the benefits of, or sions concerning employment under
otherwise subjecting them to discrimi- any program or activity to which this
nation under any program or activity part applies in a manner which ensures
that receives EPA assistance or (2) that discrimination on the basis of
that have the purpose or effect of de- handicap does not occur, and shall not
feating or substantially impairing the limit, segregate, or classify applicants
accomplishment of the objectives of or employees in any way that ad-
the program or activity receiving EPA versely affects their opportunities or
assistance with respect to handicapped status because of handicap.
persons. (c) The prohibition against discrimi-
(c) A recipient shall not use criteria nation in employment applies to the
or methods of administering any pro- following activities:
gram or activity receiving EPA assist- (1) Recruitment, advertising, and the
ance which have the effect of sub- processing of applications for employ-
jecting individuals to discrimination ment;
because of their handicap, or have the (2) Hiring, upgrading, promotion,
effect of defeating or substantially im- award of tenure, demotion, transfer,
pairing accomplishment of the objec- layoff, termination, right of return
tives of such program or activity with from layoff, and rehiring;
respect to handicapped persons. (3) Rates of pay or any other form of
(d) Recipients shall take appropriate compensation and changes in com-
steps to ensure that communications pensation;
with their applicants, employees, and (4) Job assignments, job classifica-
beneficiaries are available to persons tions, organizational structures, posi-
with impaired vision and hearing. tion descriptions, lines of progression,
(e) The exclusion of non-handicapped and seniority lists;
persons or specified classes of handi- (5) Leaves of absence, sick leave, or
capped persons from aid, benefits, or any other leave;
services limited by Federal statute or (6) Fringe benefits available by vir-
Executive Order to handicapped per- tue of employment, whether or not ad-
sons or a different class of handicapped ministered by the recipient;
persons is not prohibited by this sub- (7) Selection and financial support
part. for training, including apprenticeship,
[49 FR 1659, Jan. 12, 1984, as amended at 68 professional meetings, conferences, and
FR 51372, Aug. 26, 2003] other related activities, and selection
for leaves of absence to pursue train-
§ 7.55 Separate or different aid, bene- ing;
fits, or services.
(8) Employer sponsored activities, in-
Recipients shall not deny a qualified cluding those that are social or rec-
handicapped person an opportunity reational; or
equal to that afforded others to partici- (9) Any other term, condition, or
pate in or benefit from the aid, benefit, privilege of employment.
or service in the program or activity (d) A recipient shall not participate
receiving EPA assistance. Recipients in a contractual or other relationship
shall administer programs or activities that has the effect of subjecting quali-
in the most integrated setting appro- fied handicapped applicants or employ-
priate to the needs of qualified handi- ees to discrimination prohibited by
capped persons. this subpart. The relationships referred
[49 FR 1659, Jan. 12, 1984, as amended at 68 to in this paragraph include relation-
FR 51372, Aug. 26, 2003] ships with employment and referral
agencies, with labor unions, with orga-
§ 7.60 Prohibitions and requirements nizations providing or administering
relating to employment. fringe benefits to employees of the re-

(a) No qualified handicapped person cipient, and with organizations pro-
shall, on the basis of handicap, be sub- viding training and apprenticeships.
119
§ 7.65 40 CFR Ch. I (7–1–21 Edition)
(e) A recipient shall make reasonable changes, redesigning equipment, reas-

accommodation to the known physical signing services to accessible buildings,
or mental limitations of an otherwise assigning aides to beneficiaries, or any
qualified handicapped applicant or em- other means that make its program or
ployee unless the recipient can dem- activity accessible to handicapped per-
onstrate that the accommodation sons. In choosing among alternatives, a
would impose an undue hardship on the recipient must give priority to meth-
operation of its program or activity. ods that serve handicapped persons in
(f) A recipient shall not use employ- the most integrated setting appro-
ment tests or criteria that discrimi- priate.
nate against handicapped persons and (c) Deadlines. (1) Except where struc-
shall ensure that employment tests are tural changes in facilities are nec-
adapted for use by persons who have essary, recipients must adhere to the
handicaps that impair sensory, man- provisions of this section within 60
ual, or speaking skills. days after the effective date of this
(g) A recipient shall not conduct a part.
preemployment medical examination (2) Recipients having an existing fa-
or make a preemployment inquiry as cility which does require alterations in
to whether an applicant is a handi- order to comply with paragraph (a) of
capped person or as to the nature or se- this section must prepare a transition
verity of a handicap except as per- plan in accordance with § 7.75 within
mitted by the Department of Justice in six months from the effective date of
28 CFR 42.513. this part. The recipient must complete
[49 FR 1659, Jan. 12, 1984, as amended at 68 the changes as soon as possible, but not
FR 51372, Aug. 26, 2003] later than three years from date of
award.
§ 7.65 Accessibility.
(d) Notice of accessibility. The recipi-
(a) General. A recipient shall operate ent must make sure that interested
each program or activity receiving persons, including those with impaired
EPA assistance so that when each part vision or hearing, can find out about
is viewed in its entirety it is readily the existence and location of the serv-
accessible to and usable by handi- ices, activities, and facilities that are
capped persons. This paragraph does accessible to and usable by handi-
not: capped persons.
(1) Necessarily require a recipient to (e) Structural and financial feasibility.
make each of its existing facilities or This section does not require struc-
every part of an existing facility acces- tural alterations to existing facilities
sible to and usable by handicapped per- if making such alterations would not
sons. be structurally or financially feasible.
(2) Require a recipient to take any An alteration is not structurally fea-
action that the recipient can dem- sible when it has little likelihood of
onstrate would result in a fundamental being accomplished without removing
alteration in the nature of its program or altering a load-bearing structural
or activity or in undue financial and member. Financial feasibility shall
administrative burdens. If an action take into account the degree to which
would result in such an alternation or the alteration work is to be assisted by
such financial and administrative bur- EPA assistance, the cost limitations of
dens, the recipient shall be required to the statute under which such assist-
take any other action that would not ance is provided, and the relative cost
result in such an alteration or finan- of accomplishing such alterations in
cial and administrative burdens but manners consistent and inconsistent
would nevertheless ensure that handi- with accessibility.
capped persons receive the benefits and
services of the program or activity re- [49 FR 1659, Jan. 12, 1984, as amended at 68
ceiving EPA assistance. FR 51372, Aug. 26, 2003]
(b) Methods of ensuring compliance in
existing facilities. A recipient may com- § 7.70 New construction.

ply with the accessibility requirements (a) General. New facilities shall be de-
of this section by making structural signed and constructed to be readily
120
accessible to and usable by handi- (2) Describe in detail what the recipi-
capped persons. Alterations to existing ent will do to make the facilities acces-
facilities shall, to the maximum extent sible,
feasible, be designed and constructed to (3) Specify the schedule for the steps
be readily accessible to and usable by needed to achieve full accessibility
handicapped persons. under § 7.65(a), and include a year-by-
(b) Conformance with Uniform Federal year timetable if the process will take
Accessibility Standards. (1) Effective as more than one year,
of January 18, 1991, design, construc- (4) Indicate the person responsible for
tion, or alteration of buildings in con- carrying out the plan.
formance with sections 3-8 of the Uni- (b) Availability. Recipients shall make
form Federal Accessibility Standards available a copy of the transition plan
(USAF) (appendix A to 41 CFR subpart to the OCR upon request and to the
101–19.6) shall be deemed to comply public for inspection at either the site
with the requirements of this section of the project or at the recipient’s
with respect to those buildings. Depar- main office.
tures from particular technical and
scoping requirements of UFAS by the [49 FR 1659, Jan. 12, 1984, as amended at 68
use of other methods are permitted FR 51372, Aug. 26, 2003]
where substantially equivalent or
greater access to and usability of the Subpart D—Requirements for
building is provided. Applicants and Recipients
(2) For purposes of this section, sec-
tion 4.1.6(1)(g) of UFAS shall be inter- § 7.80 Applicants.
preted to exempt from the require- (a) Assurances—(1) General. Appli-
ments of UFAS only mechanical rooms cants for EPA assistance shall submit
and other spaces that, because of their an assurance with their applications
intended use, will not require accessi- stating that, with respect to their pro-
bility to the public or beneficiaries or grams or activities that receive EPA
result in the employment or residence
assistance, they will comply with the
therein of persons with physical handi-
requirements of this part. Applicants
caps.
must also submit any other informa-
(3) This section does not require re- tion that the OCR determines is nec-
cipients to make building alterations essary for preaward review. The appli-
that have little likelihood of being ac- cant’s acceptance of EPA assistance is
complished without removing or alter-
an acceptance of the obligation of this
ing a load-bearing structural member.
assurance and this part.
[49 FR 1659, Jan. 12, 1984, as amended at 55 (2) Duration of assurance—(i) Real
FR 52138, 52142, Dec. 19, 1990] property. When EPA awards assistance
in the form of real property, or assist-
§ 7.75 Transition plan. ance to acquire real property, or struc-
If structural changes to facilities are tures on the property, the assurance
necessary to make the program or ac- will obligate the recipient, or trans-
tivity accessible to handicapped per- feree, during the period the real prop-
sons, a recipient must prepare a transi- erty or structures are used for the pur-
tion plan. pose for which EPA assistance is ex-
(a) Requirements. The transition plan tended, or for another purpose in which
must set forth the steps needed to com- similar services or benefits are pro-
plete the structural changes required vided. The transfer instrument shall
and must be developed with the assist- contain a covenant running with the
ance of interested persons, including land which assures nondiscrimination.
handicapped persons or organizations Where applicable, the covenant shall
representing handicapped persons. At a also retain a right of reverter which
minimum, the transition plan must: will permit EPA to recover the prop-
(1) Identify the physical obstacles in erty if the covenant is ever broken.
the recipient’s facilities that limit (ii) Personal property. When EPA pro-
handicapped persons’ access to its provides assistance in the form of personal
gram or activity, property, the assurance will obligate
121
§ 7.85 40 CFR Ch. I (7–1–21 Edition)
the recipient for so long as it continues (b) Additional compliance information.

to own or possess the property. If necessary, the OCR may require re-
(iii) Other forms of assistance. In all cipients to submit data and informa-
other cases, the assurance will obligate tion specific to certain programs or ac-
the recipient for as long as EPA assist- tivities to determine compliance where
ance is extended. there is reason to believe that dis-
(b) Wastewater treatment project. EPA crimination may exist in a program or
Form 4700–4 shall also be submitted activity receiving EPA assistance or to
with applications for assistance under investigate a complaint alleging dis-
Title II of the Federal Water Pollution crimination in a program or activity
Control Act. receiving EPA assistance. Requests
(c) Compliance information. Each ap- shall be limited to data and informa-
plicant for EPA assistance shall submit tion which is relevant to determining
regarding the program or activity that compliance and shall be accompanied
would receive EPA assistance: by a written statement summarizing
(1) Notice of any lawsuit pending the complaint or setting forth the basis
against the applicant alleging discrimi- for the belief that discrimination may
nation on the basis of race, color, sex, exist.
age, handicap, or national origin; (c) Self-evaluation. (1) Each recipient
(2) A brief description of any applica- must conduct a self-evaluation of its
tions pending to other Federal agencies administrative policies and practices,
for assistance, and of Federal assist- to consider whether such policies and
ance being provided at the time of the practices may involve handicap dis-
application; and crimination prohibited by this part.
(3) A statement describing any civil When conducting the self-evaluation,
rights compliance reviews regarding the recipient shall consult with inter-
the applicant conducted during the ested and involved persons including
two-year period before the application, handicapped persons or organizations
and information concerning the agency representing handicapped persons. The
or organization performing the re- evaluation shall be completed within 18
views. months after the effective date of this
part.
(Approved by the Office of Management and (2) Each recipient employing the
Budget under control number 2000–0006)
equivalent of 15 or more full time em-
[49 FR 1659, Jan. 12, 1984, as amended at 75 ployees may be required to complete a
FR 31707, June 4, 2010] written self-evaluation of its compli-
ance under the Age Discrimination Act
§ 7.85 Recipients. as part of a compliance review or com-
(a) Compliance information. Each re- plaint investigation. This self-evalua-
cipient shall collect, maintain, and on tion will pertain to any age distinction
request of the OCR, provide the fol- imposed in its program or activity re-
lowing information to show compliance ceiving Federal assistance from EPA.
with this part: If required, each recipient’s self-eval-
(1) A brief description of any lawsuits uation shall identify and justify each
pending against the recipient that al- age distinction imposed by the recipi-
lege discrimination which this part ent and each recipient shall take cor-
prohibits; rective and remedial action whenever a
(2) Racial/ethnic, national origin, self-evaluation indicates a violation of
age, sex and handicap data, or EPA the Age Discrimination Act.
Form 4700–4 information submitted (d) Preparing compliance informa-
with its application; tion. In preparing compliance informa-
(3) A log of discrimination com- tion, a recipient must:
plaints which identifies the complaint, (1) [Reserved]
the date it was filed, the date the re- (2) Use the racial classifications set
cipient’s investigation was completed, forth in § 7.25 in determining categories
the disposition, and the date of disposi- of race, color or national origin.
tion; and (e) Maintaining compliance informa-

(4) Reports of any compliance reviews tion. Recipients must keep records for
conducted by any other agencies. paragraphs (a) and (b) of this section
122
for three (3) years after completing the ity receiving EPA assistance or, in pro-
project. When any complaint or other grams or activities covered by section
action for alleged failure to comply 13, on the basis of sex. Methods of no-
with this part is brought before the tice must accommodate those with im-
three-year period ends, the recipient paired vision or hearing. At a min-
shall keep records until the complaint imum, this notice must be posted in a
is resolved. prominent place in the recipient’s of-
(f) Accessibility to compliance infor- fices or facilities. Methods of notice
mation. A recipient shall: may also include publishing in news-
(1) Give the OCR access during nor- papers and magazines, and placing no-
mal business hours to its books, tices in recipient’s internal publica-
records, accounts and other sources of tions or on recipient’s printed letter-
information, including its facilities, as head. Where appropriate, such notice
may be pertinent to ascertain compli- must be in a language or languages
ance with this part; other than English. The notice must
(2) Make compliance information identify the responsible employee des-
available to the public upon request; ignated in accordance with § 7.85.
and
(b) Deadline. Recipients of assistance
(3) Assist in obtaining other required
must provide initial notice by thirty
information that is in the possession of
(30) calendar days after award and con-
other agencies, institutions, or persons
not under the recipient’s control. If tinuing notice for the duration of EPA
such party refuses to release that in- assistance.
formation, the recipient shall inform [49 FR 1659, Jan. 12, 1984, as amended at 68
the OCR and explain its efforts to ob- FR 51372, Aug. 26, 2003; 75 FR 31707, June 4,
tain the information. 2010]
(g) Coordination of compliance effort. If
the recipient employs fifteen (15) or § 7.100 Intimidation and retaliation
more employees, it shall designate at prohibited.
least one person to coordinate its ef- No applicant, recipient, nor other
forts to comply with its obligations person shall intimidate, threaten, co-
under this part. erce, or discriminate against any indi-
(Approved by the Office of Management and vidual or group, either:
Budget under control number 2000–0006) (a) For the purpose of interfering
[49 FR 1659, Jan. 12, 1984, as amended at 68 with any right or privilege guaranteed
FR 51372, Aug. 26, 2003; 75 FR 31707, June 4, by the Acts or this part, or
2010] (b) Because the individual has filed a
complaint or has testified, assisted or
§ 7.90 Grievance procedures. participated in any way in an inves-
(a) Requirements. Each recipient shall tigation, proceeding or hearing under
adopt grievance procedures that assure this part, or has opposed any practice
the prompt and fair resolution of com- made unlawful by this regulation.
plaints which allege violation of this
part. Subpart E—Agency Compliance
(b) Exception. Recipients with fewer
than fifteen (15) full-time employees
Procedures
need not comply with this section un- § 7.105 General policy.
less the OCR finds a violation of this
part or determines that creating a EPA’s Administrator, Director of the
grievance procedure will not signifi- Office of Civil Rights, Project Officers
cantly impair the recipient’s ability to and other responsible officials shall
provide benefits or services. seek the cooperation of applicants and
recipients in securing compliance with
§ 7.95 Notice of nondiscrimination. this part, and are available to provide
(a) Requirements. A recipient shall help.
provide initial and continuing notice
that it does not discriminate on the § 7.110 Preaward compliance.

basis of race, color, national origin, (a) Review of compliance information.
age, or handicap in a program or activ- Within EPA’s application processing
123
§ 7.115 40 CFR Ch. I (7–1–21 Edition)
period, the OCR will determine wheth- (c) Postreview notice. (1) Within 180
er the applicant is in compliance with calendar days from the start of the
this part and inform the Award Offi- compliance review or complaint inves-
cial. This determination will be based tigation, the OCR will notify the re-
on the submissions required by § 7.80 cipient in writing by certified mail, re-
and any other information EPA return receipt requested, of:
ceives during this time (including com- (i) Preliminary findings;
plaints) or has on file about the appli- (ii) Recommendations, if any, for
cant. When the OCR cannot make a de- achieving voluntary compliance; and
termination on the basis of this infor- (iii) Recipient’s right to engage in
mation, additional information will be voluntary compliance negotiations
requested from the applicant, local where appropriate.
government officials, or interested per- (2) The OCR will notify the Award Of-
sons or organizations, including aged ficial and the Assistant Attorney Gen-
and handicapped persons or organiza- eral for Civil Rights of the preliminary
tions representing such persons. The findings of noncompliance.
OCR may also conduct an on-site re- (d) Formal determination of noncompli-
view only when it has reason to believe ance. After receiving the notice of the
discrimination may be occurring in a preliminary finding of noncompliance
program or activity which is the sub- in paragraph (c) of this section, the re-
ject of the application. cipient may:
(b) Voluntary compliance. If the review (1) Agree to the OCR’s recommenda-
indicates noncompliance, an applicant tions, or
may agree in writing to take the steps (2) Submit a written response suffi-
the OCR recommends to come into cient to demonstrate that the prelimi-
compliance with this part. The OCR nary findings are incorrect, or that
must approve the written agreement compliance may be achieved through
before any award is made. steps other than those recommended
(c) Refusal to comply. If the applicant by OCR.
refuses to enter into such an agree- If the recipient does not take one of
ment, the OCR shall follow the proce- these actions within fifty (50) calendar
dure established by paragraph (b) of days after receiving this preliminary
§ 7.130. notice, the OCR shall, within fourteen
[49 FR 1659, Jan. 12, 1984, as amended at 75 (14) calendar days, send a formal writ-
FR 31707, June 4, 2010] ten determination of noncompliance to
the recipient and copies to the Award
§ 7.115 Postaward compliance. Official and Assistant Attorney Gen-
(a) Periodic review. The OCR may pe- eral.
riodically conduct compliance reviews (e) Voluntary compliance time limits.
of any recipient’s programs or activi- The recipient will have ten (10) cal-
ties receiving EPA assistance, includ- endar days from receipt of the formal
ing the request of data and informa- determination of noncompliance in
tion, and may conduct on-site reviews which to come into voluntary compli-
when it has reason to believe that dis- ance. If the recipient fails to meet this
crimination may be occurring in such deadline, the OCR must start pro-
programs or activities. ceedings under paragraph (b) of § 7.130.
(b) Notice of review. After selecting a (f) Form of voluntary compliance agree-
recipient for review or initiating a ments. All agreements to come into vol-
complaint investigation in accordance untary compliance must:
with § 7.120, the OCR will inform the re- (1) Be in writing;
cipient of: (2) Set forth the specific steps the re-
(1) The nature of and schedule for recipient has agreed to take, and
view, or investigation; and (3) Be signed by the Director, OCR or
(2) Its opportunity, before the deter- his/her designee and an official with
mination in paragraph (d) of this sec- authority to legally bind the recipient.
tion is made, to make a written sub-
mission responding to, rebutting, or de- § 7.120 Complaint investigations.

nying the allegations raised in the re- The OCR shall promptly investigate
view or complaint. all complaints filed under this section
124
unless the complainant and the party the agency’s receipt of the complaint
complained against agree to a delay within five (5) calendar days.
pending settlement negotiations. (d) Complaint processing procedures.
(a) Who may file a complaint. A person After acknowledging receipt of a com-
who believes that he or she or a spe- plaint, the OCR will immediately ini-
cific class of persons has been discrimi- tiate complaint processing procedures.
nated against in violation of this part (1) Preliminary investigation. (i) Within
may file a complaint. The complaint twenty (20) calendar days of acknowl-
may be filed by an authorized rep- edgment of the complaint, the OCR
resentative. A complaint alleging em- will review the complaint for accept-
ployment discrimination must identify ance, rejection, or referral to the ap-
at least one individual aggrieved by propriate Federal agency.
such discrimination. Complaints solely
(ii) If the complaint is accepted, the
alleging employment discrimination
OCR will notify the complainant and
against an individual on the basis of
the Award Official. The OCR will also
race, color, national origin, sex or reli-
notify the applicant or recipient com-
gion shall be processed under the pro-
cedures for complaints of employment plained against of the allegations and
discrimination filed against recipients give the applicant or recipient oppor-
of Federal assistance (see 28 CFR part tunity to make a written submission
42, subpart H and 29 CFR part 1691). responding to, rebutting, or denying
Complaints of employment discrimina- the allegations raised in the complaint.
tion based on age against an individual (iii) The party complained against
by recipients of Federal financial as- may send the OCR a response to the
sistance are subject to the Age Dis- notice of complaint within thirty (30)
crimination in Employment Act of 1967 calendar days of receiving it.
and should be filed administratively (iv) Complaints alleging age discrimi-
with the Equal Employment Oppor- nation under the Age Discrimination
tunity Commission (see 29 CFR part Act of 1975 will be referred to a medi-
1626). Complainants are encouraged but ation agency in accordance with § 7.180.
not required to make use of any griev- (2) Informal resolution. (i) OCR shall
ance procedure established under § 7.90 attempt to resolve complaints infor-
before filing a complaint. Filing a com- mally whenever possible. When a com-
plaint through a grievance procedure plaint cannot be resolved informally,
does not extend the 180 day calendar OCR shall follow the procedures estab-
requirement of paragraph (b)(2 of this lished by paragraphs (c) through (e) of
section. § 7.115.
(b) Where, when and how to file com- (ii) [Reserved]
plaint. The complainant may file a (e) Confidentiality. EPA agrees to
complaint at any EPA office. The com- keep the complainant’s identity con-
plaint may be referred to the region in fidential except to the extent necessary
which the alleged discriminatory acts to carry out the purposes of this part,
occurred. including the conduct of any investiga-
(1) The complaint must be in writing tion, hearing, or judicial proceeding
and it must describe the alleged dis- arising thereunder. Ordinarily in com-
criminatory acts which violate this plaints of employment discrimination,
part. the name of the complainant will be
(2) The complaint must be filed with- given to the recipient with the notice
in 180 calendar days of the alleged dis- of complaint.
criminatory acts, unless the OCR
(f) [Reserved]
waives the time limit for good cause.
(g) Dismissal of complaint. If OCR’s in-
The filing of a grievance with the re-
cipient does not satisfy the require- vestigation reveals no violation of this
ment that complaints must be filed part, the Director, OCR, will dismiss
within 180 days of the alleged discrimi- the complaint and notify the complain-
natory acts. ant and recipient.

(c) Notification. The OCR will notify [49 FR 1659, Jan. 12, 1984, as amended at 75
the complainant and the recipient of FR 31707, June 4, 2010]
125
§ 7.125 40 CFR Ch. I (7–1–21 Edition)
§ 7.125 Coordination with other agen- the recipient does not request a hear-
cies. ing, it shall be deemed to have waived
If, in the conduct of a compliance re- its right to a hearing, and the OCR
view or an investigation, it becomes finding shall be deemed to be the ALJ’s
evident that another agency has juris- determination.
diction over the subject matter, OCR (3) Final decision and disposition. (i)
will cooperate with that agency during The applicant or recipient may, within
the continuation of the review of inves- 30 days of receipt of the ALJ’s deter-
tigation. EPA will: mination, file with the Administrator
(a) Coordinate its efforts with the its exceptions to that determination.
other agency, and When such exceptions are filed, the Ad-
(b) Ensure that one of the agencies is ministrator may, within 45 days after
designated the lead agency for this pur- the ALJ’s determination, serve to the
pose. When an agency other than EPA applicant or recipient, a notice that he/
serves as the lead agency, any action she will review the determination. In
taken, requirement imposed, or deter- the absence of either exceptions or no-
mination made by the lead agency, tice of review, the ALJ’s determination
other than a final determination to shall constitute the Administrator’s
terminate funds, shall have the same final decision.
effect as though such action had been (ii) If the Administrator reviews the
taken by EPA. ALJ’s determination, all parties shall
be given reasonable opportunity to file
§ 7.130 Actions available to EPA to ob- written statements. A copy of the Ad-
tain compliance. ministrator’s decision will be sent to
(a) General. If compliance with this the applicant or recipient.
part cannot be assured by informal (iii) If the Administrator’s decision is
means, EPA may terminate or refuse to deny an application, or annul, sus-
to award or to continue assistance. pend or terminate EPA assistance, that
EPA may also use any other means au- decision becomes effective thirty (30)
thorized by law to get compliance, in- days from the date on which the Ad-
cluding a referral of the matter to the ministrator submits a full written re-
Department of Justice. port of the circumstances and grounds
(b) Procedure to deny, annul, suspend for such action to the Committees of
or terminate EPA assistance—(1) OCR the House and Senate having legisla-
finding. If OCR determines that an ap- tive jurisdiction over the program or
plicant or recipient is not in compli- activity involved. The decision of the
ance with this part, and if compliance Administrator shall not be subject to
cannot be achieved voluntarily, OCR further administrative appeal under
shall make a finding of noncompliance. EPA’s General Regulation for Assist-
The OCR will notify the applicant or ance Programs (40 CFR part 30, subpart
recipient (by registered mail, return L).
receipt requested) of the finding, the (4) Scope of decision. The denial, an-
action proposed to be taken, and the nulment, termination or suspension
opportunity for an evidentiary hearing. shall be limited to the particular appli-
(2) Hearing. (i) Within 30 days of re- cant or recipient who was found to
ceipt of the above notice, the applicant have discriminated, and shall be lim-
or recipient shall file a written answer, ited in its effect to the particular pro-
under oath or affirmation, and may re- gram or activity or the part of it in
quest a hearing. which the discrimination was found.
(ii) The answer and request for a [49 FR 1659, Jan. 12, 1984, as amended at 68
hearing shall be sent by registered FR 51372, Aug. 26, 2003]
mail, return receipt requested, to the
Chief Administrative Law Judge (ALJ) § 7.135 Procedure for regaining eligi-
(A–110), United States Environmental bility.
Protection Agency, 1200 Pennsylvania (a) Requirements. An applicant or re-
Ave., NW., Washington, DC 20460. Upon cipient whose assistance has been de-
receipt of a request for a hearing, the nied, annulled, terminated, or sus-

ALJ will send the applicant or recipi- pended under this part regains eligi-
ent a copy of the ALJ’s procedures. If bility as soon as it:
126
(1) Provides reasonable assurance any service, aid, or benefit provided by

that it is complying and will comply the program or activity;
with this part in the future, and (4) Subject a person to segregation in
(2) Satisfies the terms and conditions any manner or separate treatment in
for regaining eligibility that are speci- any way related to receiving services
fied in the denial, annulment, termi- or benefits under the program or activ-
nation or suspension order. ity;
(b) Procedure. The applicant or recipi- (5) Deny a person or any group of per-
ent must submit a written request to sons the opportunity to participate as
restore eligibility to the OCR declaring members of any planning or advisory
that it has met the requirements set body which is an integral part of the
forth in paragraph (a) of this section. program or activity, such as a local
Upon determining that these require- sanitation board or sewer authority;
ments have been met, the OCR must (6) In administering a program or ac-
notify the Award Official, and the ap- tivity receiving Federal financial as-
plicant or recipient that eligibility has sistance in which the recipient has pre-
been restored. viously discriminated on the basis of
(c) Rights on denial of restoration of age, the recipient shall take affirma-
eligibility. If the OCR denies a request tive action to provide remedies to
to restore eligibility, the applicant or those who have been injured by the dis-
recipient may file a written request for crimination.
a hearing before the EPA Chief Admin- (b) A recipient shall not use criteria
istrative Law Judge in accordance with
or methods of administering its pro-
paragraph (c) § 7.130, listing the reasons
gram or activity which have the effect
it believes the OCR was in error.
of subjecting individuals to discrimina-
tion because of their age, or have the
Subpart F—Discrimination effect of defeating or substantially im-
Prohibited on the Basis of Age pairing accomplishment of the objec-
tives of the program or activity with
SOURCE: 75 FR 31707, June 4, 2010, unless respect to individuals of a particular
otherwise noted. age.
(c) A recipient shall not choose a site
§ 7.140 General prohibition. or location of a facility that has the
No person in the United States may, purpose or effect of excluding individ-
on the basis of age, be excluded from uals from, denying them the benefits
participation in, be denied the benefits of, or subjecting them to discrimina-
of, or be subjected to discrimination tion under any program or activity to
under any program or activity receiv- which this part applies on the ground
ing EPA assistance. of age; or with the purpose or effect of
defeating or substantially impairing
§ 7.145 Specific prohibitions. the accomplishment of the objectives
(a) As to any program or activity re- of this subpart.
ceiving EPA assistance, a recipient (d) The specific prohibitions of dis-
shall not directly or through contrac- crimination enumerated above do not
tual, licensing, or other arrangements limit the general prohibition of § 7.140.
on the basis of age:
(1) Exclude any individuals from, § 7.150 Exceptions to the rules against
deny them the service, aid or benefits age discrimination—normal oper-
of, or subject them to discrimination ation or statutory objective of any
under, a program or activity; program or activity.
(2) Provide a person any service, aid A recipient is permitted to take an
or other benefit that is different, or is action, otherwise prohibited by §§ 7.140
provided differently from that provided and 7.145, if the action reasonably
to others under the program or activ- takes into account age as a factor nec-
ity; essary to the normal operation or
(3) Restrict a person in any way in achievement of any statutory objective

the enjoyment of any advantage or of a program or activity. An action
privilege enjoyed by others receiving reasonably takes into account age as a
127
§ 7.155 40 CFR Ch. I (7–1–21 Edition)
factor necessary to the normal oper- § 7.170 Alternative funds disbursal

ation or the achievement of any statu- procedures.
tory objective of a program or activity (a) When EPA withholds funds from a
if: recipient under Subpart F of these reg-
(a) Age is used as a measure or ap- ulations, the Administrator may dis-
proximation of one or more other char- burse the withheld funds directly to an
acteristics; alternate recipient: Any public or non-
(b) The other characteristic(s) must profit private organization or agency,
be measured or approximated in order or State or political subdivision of the
for the normal operation of the pro- State.
gram or activity to continue, or to (b) The Administrator will require
achieve any statutory objective of the any alternate recipient to demonstrate
program or activity; the ability to achieve the goals of the
Federal statute authorizing the funds
(c) The other characteristic(s) can be
and these regulations (40 CFR Part 7).
reasonably measured or approximated
by the use of age; and § 7.175 Exhaustion of administrative
(d) The other characteristic(s) are remedy.
impractical to measure directly on an (a) A complainant may file a civil ac-
individual basis. tion following the exhaustion of admin-
istrative remedies under the Age Dis-
§ 7.155 Exceptions to the rules against crimination Act. Administrative rem-
age discrimination—reasonable fac- edies are exhausted if:
tors other than age.
(1) 180 days have elapsed since the
A recipient is permitted to take an complainant filed the complaint and
action otherwise prohibited by §§ 7.140 EPA has made no finding with regard
and 7.145 which is based on a factor to the complaint; or
other than age, even though that ac- (2) EPA issues any finding in favor of
tion may have a disproportionate effect the recipient.
on persons of different ages. An action (b) If EPA fails to make a finding
may be based on a factor other than within 180 days or issues a finding in
age only if the factor bears a direct and favor of the recipient, EPA shall:
substantial relationship to the normal (1) Promptly advise the complainant
operation of the program or activity or of this fact; and
(2) Advise the complainant of his or
to the achievement of a statutory ob-
her right to bring a civil action for in-
jective.
junctive relief; and
§ 7.160 Burden of proof. (3) Inform the complainant that:
(i) The complainant may bring a civil
The burden of proving that an age action only in a United States district
distinction or other action falls within court for the district in which the re-
the exceptions outlined in §§ 7.150 and cipient is found or transacts business;
7.155 is on the recipient of EPA finan- (ii) A complainant prevailing in a
cial assistance. civil action has the right to be awarded
the costs of the action, including rea-
§ 7.165 Special benefits for children sonable attorney’s fees, but that the
and the elderly. complainant must demand these costs
If a recipient operating a program in the complaint;
which serves the elderly or children in (iii) Before commencing the action,
addition to persons of other ages, pro- the complainant shall give 30 days no-
vides special benefits to the elderly or tice by registered mail to the Sec-
retary of the Department of Health and
to children the provision of those bene-
Human Services, the Administrator,
fits shall be presumed to be voluntary
the Attorney General of the United
affirmative action provided that it States, and the recipient;
does not have the effect of excluding (iv) The notice must state: The al-
otherwise eligible persons from partici- leged violation of the Age Discrimina-
pation in the program. tion Act; the relief requested; the court
in which the complainant is bringing
128
Environmental Protection Agency Pt. 7, App. A
the action; and, whether or not attor-

ney’s fees are demanded in the event
the complainant prevails; and APPENDIX A TO PART 7—TYPES OF EPA
(v) The complainant may not bring ASSISTANCE AS LISTED IN THE
an action if the same alleged violation ‘‘CATALOG OF FEDERAL DOMESTIC
of the Age Discrimination Act by the ASSISTANCE’’
same recipient is the subject of a pend-
1. Assistance provided by the Office of Air,
ing action in any court of the United Noise and Radiation under the Clean Air Act
States. of 1977, as amended; Pub. L. 95–95, 42 U.S.C.
7401 et seq. (ANR 66.001)
§ 7.180 Mediation of age discrimina- 2. Assistance provided by the Office of Air,
tion complaints. Noise and Radiation under the Clean Air Act
(a) The OCR will refer all accepted of 1977, as amended; Pub. L. 95–95, 42 U.S.C.
complaints alleging age discrimination 7401 et seq. (ANR 66.003)
to the Mediation Agency designated by 3. Assistance provided by the Office of
Water under the Clean Water Act of 1977, as
the Secretary of the Department of amended; sections 101(e), 109(b), 201–05, 207,
Health and Human Services. 208(d), 210–12, 215–19, 304(d)(3), 313, 501, 502, 511
(b) Both the complainant and the re- and 516(b); Pub. L. 97–117; Pub. L. 95–217; Pub.
cipient must participate in the medi- L. 96–483; 33 U.S.C. 1251 et seq. (OW 66.418)
ation process to the extent necessary 4. Assistance provided by the Office of
to reach an agreement or make an in- Water under the Clean Water Act of 1977, as
formed judgment that an agreement is amended; section 106; Pub. L. 95–217; 33
not possible. The recipient and the U.S.C. 1251 et seq. (OW 66.419)
5. Assistance provided by the Office of
complainant must meet with the medi- Water under the Clean Water Act of 1977, as
ator at least once before the OCR will amended; Pub. L. 95–217; 33 U.S.C. 1251 et seq.
accept a judgment that an agreement (OW 66.426)
is not possible. The recipient and the 6. Assistance provided by the Office of
complainant, however, need not meet Water under the Public Health Service Act,
with the mediator at the same time. as amended by the Safe Drinking Water Act,
(c) If the complainant and the recipi- Pub. L. 93–523; as amended by Pub. L. 93–190;
Pub. L. 96–63; and Pub. L. 93–502. (OW 66.432)
ent reach an agreement, the mediator
7. Assistance provided by the Office of
must prepare a written statement of Water under the Safe Drinking Water Act,
the agreement and have the complain- Pub. L. 93–523, as amended by Pub. L. 96–63,
ant and recipient sign it. The mediator Pub. L. 95–190, and Pub. L. 96–502. (OW 66.433)
will send a copy of the agreement to 8. Assistance provided by the Office of
the OCR, which will take no further ac- Water under the Clean Water Act of 1977, sec-
tion on the complaint unless the com- tion 205(g), as amended by Pub. L. 95–217 and
plainant or the recipient fails to com- the Federal Water Pollution Control Act, as
amended; Pub. L. 97–117; 33 U.S.C. 1251 et seq.
ply with the agreement.
(OW 66.438)
(d) The mediator must protect the 9. Assistance provided by the Office of
confidentiality of all information ob- Water under the Resource Conservation and
tained in the course of the mediation Recovery Act of 1976; as amended by the
process. No mediator may testify in Solid Waste Disposal Act; Pub. L. 94–580; sec-
any adjudicative proceeding, produce tion 3011, 42 U.S.C. 6931, 6947, 6948–49. (OW
any document, or otherwise disclose 66.802).
any information obtained in the course 10. Assistance provided by the Office of Re-
search and Development under the Clean Air
of the mediation process without prior
Act of 1977, as amended; Pub. L. 95–95; 42
approval of the head of the agency ap- U.S.C. et seq.; Clean Water Act of 1977, as
pointing the mediator. amended; Pub. L. 95–217; 33 U.S.C. 1251 et seq.,
(e) Mediation ends after sixty (60) section 8001 of the Solid Water Disposal Act,
days from the time EPA received the as amended by the Resource Conservation
complaint or if: and Recovery Act of 1976; Pub. L. 94–580; 42
(1) An agreement is reached; or U.S.C. 6901, Public Health Service Act as
(2) The Mediator determines that an amended by the Safe Drinking Water Act as
amended by Pub. L. 95–190; Federal Insecti-
agreement cannot be reached.
cide, Fungicide and Rodenticide Act; Pub. L.
(f) The mediator must return unre- 95–516; 7 U.S.C. 136 et seq., as amended by
solved complaints to OCR to be proc- Pub. L.’s 94–140 and 95–396; Toxic Substances
essed in accordance with the procedure Control Act; 15 U.S.C. 2609; Pub. L. 94–469.
in § 7.120. (ORD 66.500)
129
11. Assistance provided by the Office of Re- PART 8—ENVIRONMENTAL IMPACT
search and Development under the Clean Air
Act of 1977, as amended; Pub. L. 95–95; 42 ASSESSMENT OF NONGOVERN-
U.S.C. 7401 et seq. (ORD 66.501) MENTAL ACTIVITIES IN ANTARC-
12. Assistance provided by the Office of Re- TICA
search and Development under the Federal
Insecticide, Fungicide and Rodenticide Act, Sec.
Pub. L. 95–516, 7 U.S.C. 136 et seq., as amended 8.1 Purpose.
by Pub. L.’s 94–140 and 95–396. (ORD 66.502) 8.2 Applicability and effect.
13. Assistance provided by the Office of Re- 8.3 Definitions.
search and Development under the Solid 8.4 Preparation of environmental docu-
Waste Disposal Act, as amended by the Re- ments, generally.
source Conservation and Recovery Act of 8.5 Submission of environmental docu-
1976; 42 U.S.C. 6901, Pub. L. 94–580, section ments.
8001. (ORD 66.504) 8.6 Preliminary environmental review.
14. Assistance provided by the Office of Re- 8.7 Initial environmental evaluation.
search and Development under the Clean 8.8 Comprehensive environmental evalua-
Water Act of 1977, as amended; Pub. L. 95–217; tion.
33 U.S.C. 1251 et seq. (ORD 66.505) 8.9 Measures to assess and verify environ-
15. Assistance provided by the Office of Re- mental impacts.
search and Development under the Public 8.10 Cases of emergency.
Health Service Act as amended by the Safe 8.11 Prohibited acts, enforcement and pen-
Drinking Water Act, as amended by Pub. L. alties.
95–190 (ORD 66.506) 8.12 Coordination of reviews from other
16. Assistance provided by the Office of Re- Parties.
search and Development under the Toxic AUTHORITY: 16 U.S.C. 2401 et seq., as amend-
Substances Control Act; Pub. L. 94–469; 15 ed, 16 U.S.C. 2403a.
U.S.C. 2609; section 10. (ORD 66.507)
17. Assistance provided by the Office of Ad- SOURCE: 66 FR 63468, Dec. 6, 2001, unless
ministration, including but not limited to: otherwise noted.
Clean Air Act of 1977, as amended, Pub. L. 95–
95; 42 U.S.C. 7401 et seq., Clean Water Act of § 8.1 Purpose.
1977, as amended; Pub. L. 95–217; 33 U.S.C. (a) This part is issued pursuant to the
1251 et seq.; Solid Waste Disposal Act, as Antarctic Science, Tourism, and Con-
amended by the Resource Conservation and
servation Act of 1996. As provided in
Recovery Act of 1976; 42 U.S.C. 6901; Pub. L.
94–580; Federal Insecticide, Fungicide and that Act, this part implements the re-
Rodenticide Act; Pub. L. 92–516; 7 U.S.C. 136 quirements of Article 8 and Annex I to
et seq. as amended by Pub. L.’s 94–140 and 95– the Protocol on Environmental Protec-
396; Public Health Service Act, as amended tion to the Antarctic Treaty of 1959 and
by the Safe Drinking Water Act, as amended provides for:
by Pub. L. 95–190. (OA 66.600) (1) The environmental impact assess-
18. Assistance provided by the Office of Ad- ment of nongovernmental activities,
ministration under the Clean Water Act of including tourism, for which the
1977, as amended; Pub. L. 95–217; section 213;
33 U.S.C. 1251 et seq. (OA 66.603)
United States is required to give ad-
19. Assistance provided by the Office of En- vance notice under paragraph 5 of Arti-
forcement Counsel under the Federal Insecti- cle VII of the Antarctic Treaty of 1959;
cide and Rodenticide Act, as amended; Pub. and
L. 92–516; 7 U.S.C. 136 et seq., as amended by (2) Coordination of the review of in-
Pub. L. 94–140, section 23(a) and Pub. L. 95– formation regarding environmental im-
396. (OA 66.700) pact assessment received by the United
20. Assistance provided by the Office of States from other Parties under the
Land and Emergency Management under the Protocol.
Comprehensive Environmental Responses,
Compensation and Liability Act of 1980; Pub.
(b) The procedures in this part are
L. 96–510, section 3012, 42 U.S.C. 9601, et seq. designed to: ensure that nongovern-
(OLEM—number not to be assigned since Of- mental operators identify and assess
fice of Management and Budget does not the potential impacts of their proposed
catalog one-year programs.) activities, including tourism, on the
21. Assistance provided by the Office of Antarctic environment; that operators
Water under the Clean Water Act as amend- consider these impacts in deciding
ed; Pub. L. 97–117, 33 U.S.C. 1313. (OW—66.454) whether or how to proceed with pro-
[49 FR 1659, Jan. 12, 1984, as amended at 80 posed activities; and that operators
FR 77577, Dec. 15, 2015] provide environmental documentation
130
pursuant to the Act and Annex I of the Antarctica means the Antarctic Trea-
Protocol. These procedures are con- ty area; i.e., the area south of 60 de-
sistent with and implement the envi- grees south latitude.
ronmental impact assessment provi- Comprehensive Environmental Evalua-
sions of Article 8 and Annex I to the tion (CEE) means a study of the reason-
Protocol on Environmental Protection ably foreseeable potential effects of a
to the Antarctic Treaty. proposed activity on the Antarctic en-
vironment, prepared in accordance
§ 8.2 Applicability and effect. with the provisions of this part and in-
(a) This part is intended to ensure cludes all comments received thereon.
that potential environmental effects of (See: § 8.8.)
nongovernmental activities under- Environmental document or environ-
taken in Antarctica are appropriately mental documentation (Document) means
identified and considered by the oper- a preliminary environmental review
ator during the planning process and memorandum, an initial environ-
that to the extent practicable, appro- mental evaluation, or a comprehensive
priate environmental safeguards which environmental evaluation.
would mitigate or prevent adverse im- Environmental impact assessment (EIA)
pacts on the Antarctic environment means the environmental review proc-
are identified by the operator. ess required by the provisions of this
(b) The requirements set forth in this part and by Annex I of the Protocol,
part apply to nongovernmental activi- and includes preparation by the oper-
ties for which the United States is re- ator and U.S. government review of an
quired to give advance notice under environmental document, and public
paragraph 5 of Article VII of the Ant- access to and circulation of environ-
arctic Treaty of 1959: All nongovernmental documents to other Parties and
mental expeditions to and within Ant- the Committee on Environmental Pro-
arctica organized in or proceeding from tection as required by Annex I of the
its territory. Protocol.
(c) This part does not apply to activi- EPA means the Environmental Pro-
ties undertaken in the Antarctic Trea- tection Agency.
ty area that are governed by the Con- Expedition means any activity under-
vention on the Conservation of Ant- taken by one or more nongovernmental
arctic Marine Living Resources or the persons organized within or proceeding
Convention for the Conservation of from the United States to or within the
Antarctic Seals. Persons traveling to Antarctic Treaty area for which ad-
Antarctica are subject to the require- vance notification is required under
ments of the Marine Mammal Protec- Paragraph 5 of Article VII of the Trea-
tion Act, 16 U.S.C. 1371 et seq. ty.
Impact means impact on the Ant-
§ 8.3 Definitions. arctic environment and dependent and
As used in this part: associated ecosystems.
Act means 16 U.S.C. 2401 et seq., Pub- Initial Environmental Evaluation (IEE)
lic Law 104–227, the Antarctic Science, means a study of the reasonably fore-
Tourism, and Conservation Act of 1996. seeable potential effects of a proposed
Annex I refers to Annex I, Environ- activity on the Antarctic environment
mental Impact Assessment, of the Pro- prepared in accordance with § 8.7.
tocol. More than a minor or transitory impact
Antarctic environment means the nat- has the same meaning as the term
ural and physical environment of Ant- ‘‘significantly’’ as defined in regula-
arctica and its dependent and associ- tions under the National Environ-
ated ecosystems, but excludes social, mental Policy Act at 40 CFR 1508.27.
economic, and other environments. Operator or operators means any per-
Antarctic Treaty area means the area son or persons organizing a nongovern-
south of 60 degrees south latitude. mental expedition to or within Antarc-
Antarctic Treaty Consultative Meeting tica.
(ATCM) means a meeting of the Parties Person has the meaning given that
to the Antarctic Treaty, held pursuant term in section 1 of title 1, United
to Article IX(1) of the Treaty. States code, and includes any person
131
§ 8.4 40 CFR Ch. I (7–1–21 Edition)
subject to the jurisdiction of the (1) Has the potential to adversely af-
United States except that the term fect the Antarctic environment;
does not include any department, agen- (2) May adversely affect climate or
cy, or other instrumentality of the weather patterns;
Federal Government. (3) May adversely affect air or water
Preliminary environmental review quality;
means the environmental review de- (4) May affect atmospheric, terres-
scribed under that term in § 8.6. trial (including aquatic), glacial, or
Preliminary Environmental Review marine environments;
Memorandum (PERM) means the docu- (5) May detrimentally affect the dis-
mentation supporting the conclusion of tribution, abundance, or productivity
the preliminary environmental review of species, or populations of species of
that the impact of a proposed activity fauna and flora;
will be less than minor or transitory on
(6) May further jeopardize endan-
the Antarctic environment.
gered or threatened species or popu-
Protocol means the Protocol on Envi-
lations of such species;
ronmental Protection to the Antarctic
Treaty, done at Madrid October 4, 1991, (7) May degrade, or pose substantial
and all annexes thereto which are in risk to, areas of biological, scientific,
force for the United States. historic, aesthetic, or wilderness sig-
This part means 40 CFR part 8. nificance;
(8) Has highly uncertain environ-
§ 8.4 Preparation of environmental mental effects, or involves unique or
documents, generally. unknown environmental risks; or
(a) Basic information requirements. In (9) Together with other activities,
addition to the information required the effects of any one of which is indi-
pursuant to other sections of this part, vidually insignificant, may have at
all environmental documents shall least minor or transitory cumulative
contain the following: environmental effects.
(1) The name, mailing address, and (c) Type of environmental document.
phone number of the operator; The type of environmental document
(2) The anticipated date(s) of depar- required under this part depends upon
ture of each expedition to Antarctica; the nature and intensity of the envi-
(3) An estimate of the number of per- ronmental impacts that could result
sons in each expedition; from the activity under consideration.
(4) The means of conveyance of expe- A PERM must be prepared by the oper-
dition(s) to and within Antarctica; ator to document the conclusion of the
(5) Estimated length of stay of each operator’s preliminary environmental
expedition in Antarctica; review that the impact of a proposed
(6) Information on proposed landing activity on the Antarctic environment
sites in Antarctica; and will be less than minor or transitory.
(7) Information concerning training (See § 8.6.) An IEE must be prepared by
of staff, supervision of expedition mem- the operator for proposed activities
bers, and what other measures, if any, which may have at least (but no more
that will be taken to avoid or minimize than) a minor or transitory impact on
possible environmental impacts. the Antarctic environment. (See § 8.7.)
(b) Preparation of an environmental A CEE must be prepared by the oper-
document. Unless an operator deter- ator if an IEE indicates, or if it is oth-
mines and documents that a proposed erwise determined, that a proposed ac-
activity will have less than a minor or tivity is likely to have more than a
transitory impact on the Antarctic en- minor or transitory impact on the Ant-
vironment, the operator will prepare arctic environment (See § 8.8.)
an IEE or CEE in accordance with this (d) Incorporation of information, con-
part. In making the determination solidation of environmental documenta-
what level of environmental docu- tion, and multi-year environmental docu-
mentation is appropriate, the operator mentation. (1) An operator may incor-
should consider, as applicable, whether porate material into an environmental

and to what degree the proposed activ- document by referring to it in the doc-
ity: ument when the effect will be to reduce
132
paperwork without impeding the re- (iii) An operator, or operators, may

view of the environmental document supplement a multi-year environ-
by EPA and other federal agencies. The mental document for an additional ac-
incorporated material shall be cited tivity or activities by providing infor-
and its content briefly described. No mation regarding the proposed activity
material may be incorporated by refer- in accordance with the appropriate pro-
ring to it in the document unless it is visions of this part. The operator, or
reasonably available to the EPA. operators, shall identify this submis-
(2) Provided that environmental doc- sion as a proposed supplement to the
umentation complies with all applica- multi-year documentation in effect.
ble provisions of Annex I to the Pro- Addition of the supplemental informa-
tocol and this part and is appropriate
tion shall not extend the period of the
in light of the specific circumstances of
multi-year environmental documenta-
the operator’s proposed expedition or
expeditions, an operator may include tion beyond the time period associated
more than one proposed expedition with the documentation as originally
within one environmental document submitted.
and one environmental document may (2) Multi-year environmental docu-
also be used to address expeditions mentation may include more than one
being carried out by more than one op- proposed expedition within the envi-
erator provided that the environmental ronmental document and the multi-
document indicates the names of each year environmental document may
operator for which the environmental also be used to address expeditions
documentation is being submitted pur- being carried out by more than one op-
suant to obligations under this part. erator provided that the environmental
(e) Multi-year environmental docu- document indicates the names of each
mentation. (1) Provided that environ- operator for which the environmental
mental documentation complies with documentation is being submitted pur-
all applicable provisions of Annex I to suant to obligations under this part.
the Protocol and this part, an operator (3) The schedules for multi-year envi-
may submit environmental documenta- ronmental documentation depend on
tion for proposed expeditions for a pe- the level of the environmental docu-
riod of up to five consecutive austral
ment and shall be the same as the
summer seasons, provided that the con-
schedules for comparable environ-
ditions described in the multi-year en-
mental documentation submitted on an
vironmental document, including the
assessment of cumulative impacts, are annual basis; e.g., a multi-year PERM
unchanged and meets the provisions of shall comply with the schedule in § 8.6,
paragraphs (e)(1) (i) through (iii) of this a multi-year IEE shall comply with the
section. schedule in § 8.7, and a multi-year CEE
(i) The operator shall identify the en- shall comply with the schedule in § 8.8.
vironmental documentation submitted These schedules apply to the operator’s
for multi-year documentation purposes submission of the initial multi-year en-
in the first year it is submitted. If the vironmental document; the operator’s
operator, or operators, fail to make subsequent annual submissions pursu-
this initial identification to EPA, this ant to paragraphs (e)(1) (ii) and (iii) of
provision shall not be in effect al- this section; EPA’s review, in consulta-
though subsequent years’ submissions tion with other interested federal agen-
by the operator, or operators, may use cies, and comment on the multi-year
this environmental documentation as environmental documentation and sub-
provided in paragraphs (d) (1) and (2) of sequent annual submissions; and a
this section. finding the EPA may make, with the
(ii) In subsequent years, up to a total concurrence of the National Science
maximum of five years, the operator, Foundation, that the environmental
or operators, shall reference the multi- documentation submitted does not
year documentation identified initially meet the requirements of Article 8 and
if it is necessary to update the basic in-

Annex I of the Protocol and the provi-
formation requirements listed in para-
sions of this part.
graph (a) of this section.
133
§ 8.5 40 CFR Ch. I (7–1–21 Edition)
§ 8.5 Submission of environmental doc- § 8.6 Preliminary environmental re-

uments. view.
(a) An operator shall submit environ- (a) Unless an operator has deter-
mental documentation to the EPA for mined to prepare an IEE or CEE, the
review. The EPA, in consultation with operator shall conduct a preliminary
other interested federal agencies, will environmental review that assesses the
carry out a review to determine if the potential direct and reasonably fore-
submitted environmental documenta- seeable indirect impacts on the Ant-
tion meets the requirements of Article arctic environment of the proposed ex-
8 and Annex I of the Protocol and the pedition. A Preliminary Environ-
provisions of this part. The EPA will mental Review Memorandum (PERM)
provide its comments, if any, on the shall contain sufficient detail to assess
environmental documentation to the whether the proposed activity may
operator and will consult with the op- have less than a minor or transitory
erator regarding any suggested revi- impact, and shall be submitted to the
sions. If EPA has no comments, or if EPA for review no less than 180 days
the documentation is satisfactorily re- before the proposed departure of the
vised in response to EPA’s comments, expedition. The EPA, in consultation
and the operator does not receive a no- with other interested federal agencies,
tice from EPA that the environmental will review the PERM to determine if
documentation does not meet the re- it is sufficient to demonstrate that the
quirements of Article 8 and Annex I of activity will have less than a minor or
the Protocol and the provisions of this transitory impact or whether addi-
part, the operator will have no further tional environmental documentation,
obligations pursuant to the applicable i.e., an IEE or CEE, is required to meet
requirements of this part provided that the obligations of Article 8 and Annex
any appropriate measures, which may I of the Protocol. The EPA will provide
include monitoring, are put in place to its comments to the operator within
assess and verify the impact of the ac- fifteen (15) days of receipt of the
tivity. Alternatively, following final PERM, and the operator shall have sev-
response from the operator, the EPA, enty-five (75) days to prepare a revised
in consultation with other federal PERM or an IEE, if necessary. Fol-
agencies and with the concurrence of lowing the final response from the op-
the National Science Foundation, will erator, EPA may make a finding that
inform the operator that EPA finds the environmental documentation sub-
that the environmental documentation mitted does not meet the requirements
does not meet the requirements of Ar- of Article 8 and Annex I of the Protocol
ticle 8 and Annex I of the Protocol and and the provisions of this part. This
the provisions of this part. If the oper- finding will be made with the concur-
ator then proceeds with the expedition rence of the National Science Founda-
without fulfilling the requirements of tion. If EPA does not provide such no-
this part, the operator is subject to en- tice within thirty (30) days, the oper-
forcement proceedings pursuant to sec- ator will be deemed to have met the re-
tions 7, 8, and 9 of the Antarctic Con- quirements of this part provided that
servation Act, as amended by the Act; any required procedures, which may in-
16 U.S.C. 2407, 2408, 2409, and 45 CFR clude appropriate monitoring, are put
part 672. in place to assess and verify the impact
(b) The EPA may waive or modify of the activity.
deadlines pursuant to this part where (b) If EPA recommends an IEE and
EPA determines an operator is acting one is prepared and submitted within
in good faith and that circumstances the seventy-five (75) day response pe-
outside the control of the operator cre- riod, it will be reviewed under the time
ated delays, provided that the environ- frames set out for an IEE in § 8.7. If
mental documentation fully meets EPA recommends a CEE and one is pre-
deadlines under the Protocol. pared, it will be reviewed under the
time frames set out for a CEE in § 8.8.
134
§ 8.7 Initial environmental evaluation. in place to assess and verify the impact
(a) Submission of IEE to the EPA. Un- of the activity.
less a PERM has been submitted pursu- (2) If a CEE is required, the operator
ant to § 8.6 which meets the environ- must adhere to the time limits applica-
mental documentation requirements ble to such documentation. (See: § 8.8.)
under Article 8 and Annex I to the Pro- In this event EPA, at the operator’s re-
tocol and the provisions of this part or quest, will consult with the operator
a CEE is being prepared, an IEE shall regarding possible changes in the pro-
be submitted by the operator to the posed activity which would allow prep-
EPA no fewer than ninety (90) days be- aration of an IEE.
fore the proposed departure of the ex-
§ 8.8 Comprehensive environmental
pedition. evaluation.
(b) Contents. An IEE shall contain
sufficient detail to assess whether a (a) Preparation of a CEE. Unless a
proposed activity may have more than PERM or an IEE has been submitted
a minor or transitory impact on the and determined to meet the environ-
Antarctic environment and shall in- mental documentation requirements of
clude the following information: this part, the operator shall prepare a
(1) A description of the proposed ac- CEE. A CEE shall contain sufficient in-
tivity, including its purpose, location, formation to enable informed consider-
duration, and intensity; and ation of the reasonably foreseeable po-
(2) Consideration of alternatives to tential environmental effects of a pro-
the proposed activity and any impacts posed activity and possible alter-
that the proposed activity may have on natives to that proposed activity. A
the Antarctic environment, including CEE shall include the following:
consideration of cumulative impacts in (1) A description of the proposed ac-
light of existing and known proposed tivity, including its purpose, location,
activities. duration and intensity, and possible al-
(c) Further environmental review. (1) ternatives to the activity, including
The EPA, in consultation with other the alternative of not proceeding, and
interested federal agencies, will review the consequences of those alternatives;
an IEE to determine whether the IEE (2) A description of the initial envi-
meets the requirements under Annex I ronmental reference state with which
to the Protocol and the provisions of predicted changes are to be compared
this part. The EPA will provide its and a prediction of the future environ-
comments to the operator within thir- mental reference state in the absence
ty (30) days of receipt of the IEE, and of the proposed activity;
the operator will have forty-five (45) (3) A description of the methods and
days to prepare a revised IEE, if nec- data used to forecast the impacts of
essary. Following the final response the proposed activity;
from the operator, EPA may make a (4) Estimation of the nature, extent,
finding that the documentation sub- duration and intensity of the likely di-
mitted does not meet the requirements rect impacts of the proposed activity;
of Article 8 and Annex I of the Protocol (5) A consideration of possible indi-
and the provisions of this part. This rect or second order impacts from the
finding will be made with the concur- proposed activity;
rence of the National Science Founda- (6) A consideration of cumulative im-
tion. If such a notice is required, EPA pacts of the proposed activity in light
will provide it within fifteen (15) days of existing activities and other known
of receiving the final IEE from the op- planned activities;
erator or, if the operator does not pro- (7) Identification of measures, includ-
vide a final IEE, within sixty (60) days ing monitoring programs, that could be
following EPA’s comments on the taken to minimize or mitigate impacts
original IEE. If EPA does not provide of the proposed activity and to detect
notice within these time limits, the op- unforeseen impacts and that could pro-
erator will be deemed to have met the vide early warning of any adverse ef-
requirements of this part provided that fects of the activity as well as to deal
any required procedures, which may in- promptly and effectively with acci-
clude appropriate monitoring, are put dents;
135
§ 8.9 40 CFR Ch. I (7–1–21 Edition)
(8) Identification of unavoidable im- mentation submitted does not meet the
pacts of the proposed activity; requirements of Article 8 and Annex I
(9) Consideration of the effects of the of the Protocol and the provisions of
proposed activity on the conduct of sci- this part. This notification will occur
entific research and on other existing within fifteen (15) days of submittal of
uses and values; the final CEE by the operator if the
(10) An identification of gaps in final CEE is submitted by the operator
knowledge and uncertainties encoun- within the time limits set out in this
tered in compiling the information re- section. If no final CEE is submitted or
quired under this section; the operator fails to meet these time
(11) A non-technical summary of the limits, EPA will provide such notifica-
information provided under this section sixty (60) days prior to departure
tion; and of the expedition. If EPA does not pro-
(12) The name and address of the per- vide such notice, the operator will be
son or organization which prepared the deemed to have met the requirements
CEE and the address to which com- of this part provided that procedures,
ments thereon should be directed. which include appropriate monitoring,
(b) Submission of Draft CEE to the EPA are put in place to assess and verify the
and Circulation to Other Parties. (1) Any impact of the activity. The EPA will
operator who plans a nongovernmental transmit the CEE, along with a notice
expedition that would require a CEE of any decisions by the operator relat-
must submit a draft of the CEE by De- ing thereto, to the Department of
cember 1 of the preceding year. Within State which shall circulate it to all
fifteen (15) days of receipt of the draft Parties no later than sixty (60) days be-
CEE, EPA will: send it to the Depart- fore commencement of the proposed ac-
ment of State which will circulate it to tivity in the Antarctic Treaty area.
all Parties to the Protocol and forward The EPA will also publish a notice of
it to the Committee for Environmental availability of the final CEE in the
Protection established by the Protocol, FEDERAL REGISTER.
and publish notice of receipt of the (3) No final decision shall be taken to
CEE and request for comments on the proceed with any activity for which a
CEE in the FEDERAL REGISTER, and will CEE is prepared unless there has been
provide copies to any person upon re- an opportunity for consideration of the
quest. The EPA will accept public com- draft CEE by the Antarctic Treaty
ments on the CEE for a period of nine- Consultative Meeting on the advice of
ty (90) days following notice in the the Committee for Environmental Pro-
FEDERAL REGISTER. The EPA, in con- tection, provided that no expedition
sultation with other interested federal need be delayed through the operation
agencies, will evaluate the CEE to de- of paragraph 5 of Article 3 to Annex I
termine if the CEE meets the require- of the Protocol for longer than 15
ments under Article 8 and Annex I to months from the date of circulation of
the Protocol and the provisions of this the draft CEE.
part and will transmit its comments to (c) Decisions based on CEE. The deci-
the operator within 120 days following sion to proceed, based on environ-
publication in the FEDERAL REGISTER mental documentation that meets the
of the notice of availability of the CEE. requirements under Article 8 and
(2) The operator shall send a final Annex I to the Protocol and the provi-
CEE to EPA at least seventy-five (75) sions of this part, rests with the oper-
days before commencement of the pro- ator. Any decision by an operator on
posed activity in the Antarctic Treaty whether to proceed with or modify a
area. The CEE must address and must proposed activity for which a CEE was
include (or summarize) any comments required shall be based on the CEE and
on the draft CEE received from EPA, other relevant considerations.
the public, and the Parties. Following
the final response from the operator, § 8.9 Measures to assess and verify en-
the EPA will inform the operator if vironmental impacts.
EPA, with the concurrence of the Na- (a) The operator shall conduct appro-
tional Science Foundation, makes the priate monitoring of key environ-
finding that the environmental docu- mental indicators as proposed in the
136
CEE to assess and verify the potential amended by the Act; 16 U.S.C. 2407,
environmental impacts of activities 2408, 2409, and 45 CFR part 672.
which are the subject of a CEE. The op-
erator may also need to carry out mon- § 8.12 Coordination of reviews from
itoring in order to assess and verify the other Parties.
impact of an activity for which an IEE (a) Upon receipt of a draft CEE from
has been prepared. another Party, the Department of
(b) All proposed activities for which State shall publish notice in the FED-
an IEE or CEE has been prepared shall ERAL REGISTER and shall circulate a
include procedures designed to provide copy of the CEE to all interested fed-
a regular and verifiable record of the eral agencies. The Department of State
impacts of these activities, in order, shall coordinate responses from federal
inter alia, to: agencies to the CEE and shall transmit
(1) Enable assessments to be made of the coordinated response to the Party
the extent to which such impacts are which has circulated the CEE. The De-
consistent with the Protocol; and partment of State shall make a copy of
(2) Provide information useful for the CEE available upon request to the
minimizing and mitigating those im- public.
pacts, and, where appropriate, informa- (b) Upon receipt of the annual list of
tion on the need for suspension, can- IEEs from another Party prepared in
cellation, or modification of the activ- accordance with Article 2 of Annex I
ity. and any decisions taken in consequence
§ 8.10 Cases of emergency. thereof, the Department of State shall
circulate a copy to all interested fed-
This part shall not apply to activities eral agencies. The Department of State
taken in cases of emergency relating to shall make a copy of the list of IEEs
the safety of human life or of ships, prepared in accordance with Article 2
aircraft, equipment and facilities of and any decisions taken in consequence
high value, or the protection of the en- thereof available upon request to the
vironment, which require an activity public.
to be undertaken without completion
(c) Upon receipt of a description of
of the procedures set out in this part.
appropriate national procedures for en-
Notice of any such activities which
vironmental impact assessments from
would have otherwise required the
preparation of a CEE shall be provided another Party, the Department of
within fifteen (15) days to the Depart- State shall circulate a copy to all in-
ment of State, as provided in this para- terested federal agencies. The Depart-
graph, for circulation to all Parties to ment of State shall make a copy of
the Protocol and to the Committee on these descriptions available upon re-
Environmental Protection, and a full quest to the public.
explanation of the activities carried (d) Upon receipt from another Party
out shall be provided within forty-five of significant information obtained,
(45) days of those activities. Notifica- and any action taken in consequence
tion shall be provided to: The Director, therefrom from procedures put in place
The Office of Oceans Affairs, OES/OA, with regard to monitoring pursuant to
Room 5805, Department of State, 2201 C Articles 2(2) and 5 of Annex I to the
Street, NW, Washington, DC 20520–7818. Protocol, the Department of State
shall circulate a copy to all interested
§ 8.11 Prohibited acts, enforcement federal agencies. The Department of
and penalties. State shall make a copy of this infor-
(a) It shall be unlawful for any oper- mation available upon request to the
ator to violate this part. public.
(b) An operator who violates any of (e) Upon receipt from another Party
this part is subject to enforcement, of a final CEE, the Department of
which may include civil and criminal State shall circulate a copy to all in-
enforcement proceedings, and pen- terested federal agencies. The Depart-

alties, pursuant to sections 7,8, and 9 of ment of State shall make a copy avail-
the Antarctic Conservation Act, as able upon request to the public.
137
PART 9—OMB APPROVALS UNDER 40 CFR citation OMB control

No.
THE PAPERWORK REDUCTION ACT
Uniform Administrative Requirements for Grants and Co-
operative Agreements to State and Local Governments
AUTHORITY: 7 U.S.C. 135 et seq., 136–136y; 15
U.S.C. 2001, 2003, 2005, 2006, 2601–2671; 21 31.10 .............................................................. 2030–0020
31.20–31.21 ................................................... 2030–0020
U.S.C. 331j, 346a, 31 U.S.C. 9701; 33 U.S.C. 1251
31.31–31.32 ................................................... 2030–0020
et seq., 1311, 1313d, 1314, 1318, 1321, 1326, 1330, 31.36(g)–31.36(h) .......................................... 2030–0020
1342, 1344, 1345 (d) and (e), 1361; E.O. 11735, 38 31.40 .............................................................. 2030–0020
FR 21243, 3 CFR, 1971–1975 Comp. p. 973; 42 31.42 .............................................................. 2030–0020
U.S.C. 241, 242b, 243, 246, 300f, 300g, 300g–1, 31.6 ................................................................ 2030–0020
300g–2, 300g–3, 300g–4, 300g–5, 300g–6, 300j–1,
300j–2, 300j–3, 300j–4, 300j–9, 1857 et seq., 6901– Procurement Under Assistance Agreements
6992k, 7401–7671q, 7542, 9601–9657, 11023, 11048. 33.110 ............................................................ 2030–0003
33.211 ............................................................ 2030–0003
§ 9.1 OMB approvals under the Paper-
work Reduction Act. State and Local Assistance
This part consolidates the display of 35.2015 .......................................................... 2040–0027

control numbers assigned to collec- 35.2025 .......................................................... 2040–0027
35.2034 .......................................................... 2040–0027
tions of information in certain EPA 35.2040 .......................................................... 2040–0027
regulations by the Office of Manage- 35.2105–35.2107 ........................................... 2040–0027
ment and Budget (OMB) under the Pa- 35.2110 .......................................................... 2040–0027
perwork Reduction Act (PRA). No per- 35.2114 .......................................................... 2040–0027
35.2118 .......................................................... 2040–0027
son is required to respond to an infor- 35.2120 .......................................................... 2040–0027
mation collection request regulated by 35.2127 .......................................................... 2040–0027
the PRA unless a valid control number 35.2130 .......................................................... 2040–0027
35.2140 .......................................................... 2040–0027
assigned by OMB is displayed in either 35.2211–35.2212 ........................................... 2040–0027
this part, another part of the Code of 35.2215–35.2216 ........................................... 2040–0027
Federal Regulations, a valid FEDERAL 35.2218 .......................................................... 2040–0027
REGISTER notice, or by other appro- 35.3010 .......................................................... 2040–0095
35.3030 .......................................................... 2040–0095
priate means. 35.3130 .......................................................... 2040–0118
35.3135 .......................................................... 2040–0118
OMB control 35.3140 .......................................................... 2040–0118
40 CFR citation No. 35.3145 .......................................................... 2040–0118
35.3150 .......................................................... 2040–0118
Public Information 35.3155 .......................................................... 2040–0118
35.3160 .......................................................... 2040–0118
Part 2, subpart B ........................................... 2020–0003
35.3165 .......................................................... 2040–0118
35.3170 .......................................................... 2040–0118
Environmental Impact Assessment of Nongovernmental
35.3540 (c) .................................................... 2040–0185
Activities in Antarctica
35.3545 (a)–(f) ............................................... 2040–0185
35.3550 (a)–(p) .............................................. 2040–0185
Part 3 ............................................................. 2025–0003
35.3555 (a)–(d) .............................................. 2040–0185
8.5–8.10 ......................................................... 2020–0007
35.3560 (a), (d)–(g) ....................................... 2040–0185
35.3565 (a)–(f) ............................................... 2040–0185
Protection of Human Subjects
35.3570 (a)–(d) .............................................. 2040–0185
35.3575 (a)–(e) .............................................. 2040–0185
26.1125 .......................................................... 2070–0169
35.3580 (a)–(h) .............................................. 2040–0185
26.1303 .......................................................... 2070–0169
35.3585 (b)–(c) .............................................. 2040–0185
35.6055(a)(2) ................................................. 2050–0179
General Regulation for Assistance Programs for Other
35.6055(b)(1) ................................................. 2050–0179
than State and Local Governments
35.6055(b)(2)(i)–(ii) ........................................ 2050–0179
35.6105(a)(2)(i)–(v), (vii) ................................ 2050–0179
30.400 ............................................................ 2030–0020
35.6120 .......................................................... 2050–0179
30.500 ............................................................ 2030–0020
35.6145 .......................................................... 2050–0179
30.501 ............................................................ 2030–0020
35.6155(a), (c) ............................................... 2050–0179
30.503 ............................................................ 2030–0020 35.6230(a), (c) ............................................... 2050–0179
30.505 ............................................................ 2030–0020 35.6300(a)(3) ................................................. 2050–0179
30.510 ............................................................ 2030–0020 35.6315(c) ...................................................... 2050–0179
30.520 ............................................................ 2030–0020 35.6320 .......................................................... 2050–0179
30.530 ............................................................ 2030–0020 35.6340(a) ..................................................... 2050–0179
30.531 ............................................................ 2030–0020 35.6350 .......................................................... 2050–0179
30.532 ............................................................ 2030–0020 35.6500 .......................................................... 2050–0179
30.535 ............................................................ 2030–0020 35.6550(b)(2)(i) .............................................. 2050–0179
30.1002 .......................................................... 2030–0020 35.6585 .......................................................... 2050–0179

30.1003 .......................................................... 2030–0020 35.6595(a), (b) ............................................... 2050–0179
30.1200 .......................................................... 2030–0020 35.6600(a) ..................................................... 2050–0179
35.6650 .......................................................... 2050–0179
138
OMB control OMB control

40 CFR citation 40 CFR citation
No. No.
35.6655 .......................................................... 2050–0179 58.25–58.28 ................................................... 2060–0084

35.6660 .......................................................... 2050–0179 58.30–58.31 ................................................... 2060–0084
35.6665(a), (b) ............................................... 2050–0179 58.33 .............................................................. 2060–0084
35.6700 .......................................................... 2050–0179 58.35 .............................................................. 2060–0084
35.6705 .......................................................... 2050–0179 58.40–58.41 ................................................... 2060–0084
35.6710 .......................................................... 2050–0179 58.43 .............................................................. 2060–0084
35.6805 .......................................................... 2050–0179 58.45 .............................................................. 2060–0084
35.6815(a), (c), (d) ........................................ 2050–0179 58.50 .............................................................. 2060–0084
35.9000–35.9070 ........................................... 2040–0138
National Volatile Organic Compound Emission Standards
Fellowships for Consumer and Commercial Products
46.155 ............................................................ 2030–0004 59.105 ............................................................ 2060–0353

46.170(a) ....................................................... 2030–0020 59.405 ............................................................ 2060–0393
46.185(a) ....................................................... 2030–0020 59.407 ............................................................ 2060–0393
46.190(a) and (b) ........................................... 2030–0020 59.408 ............................................................ 2060–0393
46.200(a) ....................................................... 2030–0020
46.230(a) ....................................................... 2030–0020 National Volatile Organic Compound Emission Standards
for Consumer Products
Tribal Clean Air Act Authority
59.209 ............................................................ 2060–0348
49.6 ................................................................ 2060–0306
49.7 ................................................................ 2060–0306 Standards of Performance for New Stationary Sources 1
49.126(e)(1)(i) ................................................ 2060–0558
49.126(e)(1)(iii) .............................................. 2060–0558 60.7(d) ........................................................... 2060–0207
49.126(e)(1)(v) ............................................... 2060–0558 60.35c ............................................................ 2060–0220
49.127(e) ....................................................... 2060–0558 60.45–60.47 ................................................... 2060–0026
49.130(f)(1)–(2) .............................................. 2060–0558 60.46a–60.49a ............................................... 2060–0023
49.131(c)(4)–(5) ............................................. 2060–0558 60.40b ............................................................ 2060–0072
49.132(d)(1) ................................................... 2060–0558 60.42b ............................................................ 2060–0072
49.132(e)(1) ................................................... 2060–0558 60.44b–60.49b ............................................... 2060–0072
49.133(c)(1) ................................................... 2060–0558 60.42c ............................................................ 2060–0202
49.133(d)(1) ................................................... 2060–0558 60.44c–60.48c ............................................... 2060–0202
49.134(c)(1) ................................................... 2060–0558 60.53–60.54 ................................................... 2060–0040
49.134(d)(1) ................................................... 2060–0558 60.50a ............................................................ 2060–0210
49.138(d)–(f) .................................................. 2060–0558 60.56a–60.59a ............................................... 2060–0210
49.139(c)(1) ................................................... 2060–0558 60.63–60.65 ................................................... 2060–0025
49.139(d) ....................................................... 2060–0558 60.73–60.74 ................................................... 2060–0019
49.139(e)(2) ................................................... 2060–0558 60.84–60.85 ................................................... 2060–0041
60.93 .............................................................. 2060–0083
Requirements for Preparation, Adoption, and Submittal of 60.103a–60.108a ........................................... 2060–0602
Implementation Plans 60.104–60.108 ............................................... 2060–0022
60.113a–60.115a ........................................... 2060–0443
51.121–51.122 ............................................... 2060–0445 60.113b–60.116b ........................................... 2060–0443
51.160–51.166 ............................................... 2060–0003 60.123 ............................................................ 2060–0080
51.321–51.323 ............................................... 2060–0088 60.133 ............................................................ 2060–0110
51.353–51.354 ............................................... 2060–0252 60.142–60.144 ............................................... 2060–0029
51.365–51.366 ............................................... 2060–0252 60.143a–60.145a ........................................... 2060–0029
51.370–51.371 ............................................... 2060–0252 60.153–60.155 ............................................... 2060–0035
51.850–51.860 ............................................... 2060–0279 60.165 (a) (d) ................................................. 2060–0110
60.175 (b) (c) ................................................. 2060–0110
Approval and Promulgation of Implementation Plans 60.185 (b) (c) ................................................. 2060–0110
60.192(b) ....................................................... 2060–0031
52.21 .............................................................. 2060–0003 60.194–60.195 ............................................... 2060–0031
52.741 ............................................................ 2060–0203 60.203–60.204 ............................................... 2060–0037
60.213–60.214 ............................................... 2060–0037
Ambient Air Monitoring Reference and Equivalent 60.223–60.224 ............................................... 2060–0037
Methods 60.233–60.234 ............................................... 2060–0037
60.243–60.244 ............................................... 2060–0037
53.4 ................................................................ 2080–0005 60.253–60.254 ............................................... 2060–0122
53.9(f), (h), (i) ................................................ 2080–0005 60.264 (b) (c) ................................................. 2060–0110
53.14 .............................................................. 2080–0005 60.265 (a) ...................................................... 2060–0110
53.15 .............................................................. 2080–0005 60.273–60.276 ............................................... 2060–0038
53.16(a)–(d), (f) ............................................. 2080–0005 60.273a–60.276a ........................................... 2060–0038
60.284–60.286 ............................................... 2060–0021
Outer Continental Shelf Air Regulations 60.292–60.293 ............................................... 2060–0054
60.296 ............................................................ 2060–0054
55.4–55.8 ....................................................... 2060–0249 60.303 ............................................................ 2060–0082
55.11–55.14 ................................................... 2060–0249 60.310 ............................................................ 2060–0106
60.313–60.316 ............................................... 2060–0106
Ambient Air Quality Surveillance 60.334–60.335 ............................................... 2060–0028

60.343–60.344 ............................................... 2060–0063
58.11–58.14 ................................................... 2060–0084 60.373–60.374 ............................................... 2060–0081
58.20–58.23 ................................................... 2060–0084 60.384–60.386 ............................................... 2060–0016
139
§ 9.1 40 CFR Ch. I (7–1–21 Edition)

No. No.
60.393–60.396 ............................................... 2060–0034 61.93–61.95 ................................................... 2060–0191

60.398 ............................................................ 2060–0034 61.103–61.105 ............................................... 2060–0191
60.403–60.404 ............................................... 2060–0111 61.107 ............................................................ 2060–0191
60.433–60.435 ............................................... 2060–0105 61.123–61.124 ............................................... 2060–0191
60.443–60.447 ............................................... 2060–0004 61.126 ............................................................ 2060–0191
60.453–60.456 ............................................... 2060–0108 61.132–61.133 ............................................... 2060–0185
60.463–60.466 ............................................... 2060–0107 61.135–61.139 ............................................... 2060–0185
60.473–60.474 ............................................... 2060–0002 61.142 ............................................................ 2060–0101
60.482–2 ........................................................ 2060–0443 61.144–61.147 ............................................... 2060–0101
60.482–3 ........................................................ 2060–0443 61.149 ............................................................ 2060–0101
60.482–4 ........................................................ 2060–0443 61.150–61.155 ............................................... 2060–0101
60.482–7 ........................................................ 2060–0443 61.163–61.165 ............................................... 2060–0043
60.482–8 ........................................................ 2060–0443 61.203 ............................................................ 2060–0191
60.482–10 ...................................................... 2060–0443 61.206–61.209 ............................................... 2060–0191
60.483–1 ........................................................ 2060–0443 61.223–61.224 ............................................... 2060–0191
60.483–2 ........................................................ 2060–0443 61.242–1 ........................................................ 2060–0443
60.484–60.487 ............................................... 2060–0443 61.242–2 ........................................................ 2060–0443
60.493–60.496 ............................................... 2060–0001 61.242–3 ........................................................ 2060–0443
60.502–60.503 ............................................... 2060–0006 61.242–4 ........................................................ 2060–0443
60.505 ............................................................ 2060–0006 61.242–7 ........................................................ 2060–0443
60.530–60.536 ............................................... 2060–0161 61.242–8 ........................................................ 2060–0443
60.537(a)(1)–(2), (a)(4)–(5), (b)–(i) ............... 2060–0161 61.242–10 ...................................................... 2060–0443
60.538–60.539 ............................................... 2060–0161 61.242–11 ...................................................... 2060–0443
60.543(b)(2)–(4), (c)–(n) ................................ 2060–0156 61.243–1 ........................................................ 2060–0443
60.544 ............................................................ 2060–0156 61.243–2 ........................................................ 2060–0443
60.545(a)–(d), (f) ........................................... 2060–0156 61.244–61.247 ............................................... 2060–0443
60.546(a)–(e), (f)(4)–(6), (g)–(j) ..................... 2060–0156 61.253–61.255 ............................................... 2060–0191
60.547 ............................................................ 2060–0156 61.271–61.276 ............................................... 2060–0443
60.562–1 ........................................................ 2060–0443 61.300 ............................................................ 2060–0443
60.562–2 ........................................................ 2060–0443 61.302–61.305 ............................................... 2060–0443
60.563–60.565 ............................................... 2060–0443 61.342 ............................................................ 2060–0183
60.580 ............................................................ 2060–0073 61.344–61.349 ............................................... 2060–0183
60.583–60.585 ............................................... 2060–0073 61.354–61.357 ............................................... 2060–0183
60.592–60.593 ............................................... 2060–0067
60.603–60.604 ............................................... 2060–0059 Approval and Promulgation of State Plans for Designated
60.613–60.615 ............................................... 2060–0443 Facilities and Pollutants
60.622 ............................................................ 2060–0079
60.624–60.625 ............................................... 2060–0079 62.14355 ........................................................ 2060–0430
60.632–60.636 ............................................... 2060–0120
60.640 ............................................................ 2060–0120 National Emission Standards for Hazardous Air Pollutants
60.642–60.644 ............................................... 2060–0120 for Source Categories 3
60.646–60.647 ............................................... 2060–0120
60.663–60.665 ............................................... 2060–0443 63.5(d) ........................................................... 2060–0330
60.670 ............................................................ 2060–0050 63.52–63.56 ................................................... 2060–0266
60.672 ............................................................ 2060–0050 63.72 .............................................................. 2060–0222
60.674–60.676 ............................................... 2060–0050 63.74–63.79 ................................................... 2060–0222
60.683–60.685 ............................................... 2060–0114 63.91–63.97 ................................................... 2060–0264
60.692–1 ........................................................ 2060–0172 63.103 ............................................................ 2060–0282
60.692–2 ........................................................ 2060–0172 63.105 ............................................................ 2060–0443
60.692–3 ........................................................ 2060–0172 63.117–63.118 ............................................... 2060–0443
60.692–4 ........................................................ 2060–0172 63.122–63.123 ............................................... 2060–0443
60.692–5 ........................................................ 2060–0172 63.129–63.130 ............................................... 2060–0443
60.693–1 ........................................................ 2060–0172 63.146–63.148 ............................................... 2060–0443
60.693–2 ........................................................ 2060–0172 63.151–63.152 ............................................... 2060–0443
60.695–60.698 ............................................... 2060–0172 63.181–63.182 ............................................... 2060–0443
60.703–60.705 ............................................... 2060–0443 63.302–63.311 ............................................... 2060–0253
60.710 ............................................................ 2060–0171 63.322–63.325 ............................................... 2060–0234
60.713–60.717 ............................................... 2060–0171 63.345–63.347 ............................................... 2060–0327
60.722–60.725 ............................................... 2060–0162 63.363–63.367 ............................................... 2060–0283
60.734–60.736 ............................................... 2060–0251 63.403–63.406 ............................................... 2060–0268
60.740 ............................................................ 2060–0181 63.420 ............................................................ 2060–0325
60.743–60.747 ............................................... 2060–0181 63.422–63.428 ............................................... 2060–0325
60.757 ............................................................ 2060–0220 63.450, 63.453–63.455, and 63.457 ............. 2060–0387
60.758 ............................................................ 2060–0220 63.467–63.468 ............................................... 2060–0273
63.480–63.506 ............................................... 2060–0356
National Emission Standards for Hazardous Air 63.525–63.528 ............................................... 2060–0290
Pollutants 2 63.548–63.550 ............................................... 2060–0296
63.563–63.567 ............................................... 2060–0289
61.24–61.25 ................................................... 2060–0191 63.602–63.603 ............................................... 2060–0361
61.32–61.34 ................................................... 2060–0092 63.605–63.608 ............................................... 2060–0361

61.53–61.55 ................................................... 2060–0097 63.625–63.628 ............................................... 2060–0361
61.65(b)–(d) ................................................... 2060–0071 63.630 ............................................................ 2060–0361
61.67–61.71 ................................................... 2060–0071 63.653 ............................................................ 2060–0340
140

No. No.
63.655 ............................................................ 2060–0340 68.73 .............................................................. 2050–0144

63.703–63.707 ............................................... 2060–0326 68.75 .............................................................. 2050–0144
63.752–63.753 ............................................... 2060–0314 68.79 .............................................................. 2050–0144
63.787(a)–(b) ................................................. 2060–0330 68.81 .............................................................. 2050–0144
63.788(a)–(c) ................................................. 2060–0330 68.83 .............................................................. 2050–0144
63.806–63.807 ............................................... 2060–0324 68.85 .............................................................. 2050–0144
63.829–63.830 ............................................... 2060–0335 68.95 .............................................................. 2050–0144
63.846(d) ....................................................... 2060–0360 68.120(a), (e), and (g) ................................... 2050–0144
63.847(b), (g) ................................................. 2060–0360 68.150 ............................................................ 2050–0144
63.848(d)(5), (e), (f)(5)(ii), (g), (k), (m) .......... 2060–0360 68.155 ............................................................ 2050–0144
63.850 ............................................................ 2060–0360 68.160 ............................................................ 2050–0144
63.1155–63.1174 ........................................... 2060–0419 68.165 ............................................................ 2050–0144
63.1178–63.1194 ........................................... 2060–0362 68.168 ............................................................ 2050–0144
63.1200–63.1221 ........................................... 2050–0171 68.170 ............................................................ 2050–0144
63.1259–63.1260 ........................................... 2060–0358 68.175 ............................................................ 2050–0144
63.1290–63.1309 ........................................... 2060–0357 68.180 ............................................................ 2050–0144
63.1311 .......................................................... 2060–0351 68.185 ............................................................ 2050–0144
68.190 ............................................................ 2050–0144
63.1314 .......................................................... 2060–0351
68.200 ............................................................ 2050–0144
63.1315 .......................................................... 2060–0351
68.215 ............................................................ 2050–0144
63.1319 .......................................................... 2060–0351
68.220 ............................................................ 2050–0144
63.1320 .......................................................... 2060–0351
63.1325–63.1332 ........................................... 2060–0351 State Operating Permit Programs
63.1335 .......................................................... 2060–0351
63.1367–63.1368 ........................................... 2060–0370 70.3–70.11 ..................................................... 2060–0243
63.1383 .......................................................... 2060–0359
63.1386 .......................................................... 2060–0359 Federal Operating Permit Programs
63.1387 .......................................................... 2060–0359
63.1420–63.1439 ........................................... 2060–0415 71.5 ................................................................ 2060–0336
63.1620–63.1679 ........................................... 2060–0391 71.6(a),(c),(d),(g) ........................................... 2060–0336
63.11080–63.11100 ....................................... 2060–0620 71.7 ................................................................ 2060–0336
63.11110–63.11132 ....................................... 2060–0620 71.9(e)–(j) ...................................................... 2060–0336
63.11647–63.11648 ....................................... 2060–NEW 71.24–71.26 ................................................... 2060–0276
Consolidated Federal Air Rule Permits Regulation
65.5 ................................................................ 2060–0443 72.7–72.10 ..................................................... 2060–0258

65.6 ................................................................ 2060–0443 72.14 .............................................................. 2060–0258
65.47 .............................................................. 2060–0443 72.20–72.25 ................................................... 2060–0258
65.48 .............................................................. 2060–0443 72.30–72.33 ................................................... 2060–0258
65.66 .............................................................. 2060–0443 72.40–72.44 ................................................... 2060–0258
65.63 .............................................................. 2060–0443 72.50–72.51 ................................................... 2060–0258
65.67 .............................................................. 2060–0443 72.60–72.69 ................................................... 2060–0258
65.83 .............................................................. 2060–0443 72.70–72.74 ................................................... 2060–0258
65.87 .............................................................. 2060–0443 72.80–72.85 ................................................... 2060–0258
65.102 ............................................................ 2060–0443 72.90–72.96 ................................................... 2060–0258
65.103–65.106 ............................................... 2060–0443
Allowance System
65.109 ............................................................ 2060–0443
65.111 ............................................................ 2060–0443
73.10–73.13 ................................................... 2060–0261
65.117–65.120 ............................................... 2060–0443 73.16 .............................................................. 2060–0261
65.159 ............................................................ 2060–0443 73.18–73.21 ................................................... 2060–0261
65.160 ............................................................ 2060–0443 73.30–73.38 ................................................... 2060–0258
65.162 ............................................................ 2060–0443 73.50–73.53 ................................................... 2060–0258
65.163 ............................................................ 2060–0443 73.70–73.77 ................................................... 2060–0221
65.164 ............................................................ 2060–0443 73.80–73.86 ................................................... 2060–0258
65.165 ............................................................ 2060–0443 73.90 .............................................................. 2060–0258
65.166 ............................................................ 2060–0443
Sulfur Dioxide Opt-ins
Chemical Accident Prevention Provisions
74.12 .............................................................. 2060–0258
68.12 .............................................................. 2050–0144 74.14 .............................................................. 2060–0258
68.15 .............................................................. 2050–0144 74.16 .............................................................. 2060–0258
68.39 .............................................................. 2050–0144 74.18 .............................................................. 2060–0258
68.42 .............................................................. 2050–0144 74.20 .............................................................. 2060–0258
68.48 .............................................................. 2050–0144 74.22 .............................................................. 2060–0258
68.50 .............................................................. 2050–0144 74.24–74.25 ................................................... 2060–0258
68.52 .............................................................. 2050–0144 74.41 .............................................................. 2060–0258
68.56 .............................................................. 2050–0144 74.43–74.44 ................................................... 2060–0258
68.58 .............................................................. 2050–0144 74.46–74.47 ................................................... 2060–0258
68.60 .............................................................. 2050–0144 74.60–74.64 ................................................... 2060–0258
68.65 .............................................................. 2050–0144

68.67 .............................................................. 2050–0144 Continuous Emission Monitoring
68.69 .............................................................. 2050–0144
68.71 .............................................................. 2050–0144 75.4–75.5 ....................................................... 2060–0258
141
§ 9.1 40 CFR Ch. I (7–1–21 Edition)

No. No.
75.10–75.18 ................................................... 2060–0258 82.42 .............................................................. 2060–0247

75.20–75.24 ................................................... 2060–0258 82.122 ............................................................ 2060–0259
75.30–75.34 ................................................... 2060–0258 82.156 ............................................................ 2060–0256
75.40–75.48 ................................................... 2060–0258 82.160–82.162 ............................................... 2060–0256
75.50–75.52 ................................................... 2060–0258 82.164 ............................................................ 2060–0256
75.53–75.56 ................................................... 2060–0258 82.166 ............................................................ 2060–0256
75.60–75.67 ................................................... 2060–0258 82.176(a) ....................................................... 2060–0226
82.176(c)(3) ................................................... 2060–0226
Nitrogen Oxides Emission Reduction Program 82.178 ............................................................ 2060–0226
82.180 ............................................................ 2060–0350
76.8–76.15 ..................................................... 2060–0258 82.180(a)(5) ................................................... 2060–0226
82.180(b)(3) ................................................... 2060–0226
Excess Emissions 82.184(c) ........................................................ 2060–0226
82.184(e) ....................................................... 2060–0226
77.3–77.6 ....................................................... 2060–0258
Control of Air Pollution From Motor Vehicles and Motor
Appeal Procedures for Acid Rain Program Vehicle Engines
78.1–78.20 ..................................................... 2060–0258 85.503 ............................................................ 2060–0104
85.505 ............................................................ 2060–0104
Registration of Fuels and Fuel Additives
85.1403 .......................................................... 2060–0302
85.1404 .......................................................... 2060–0302
79.10–79.11 ................................................... 2060–0150
79.20–79.21 ................................................... 2060–0150 85.1406 .......................................................... 2060–0302
79.31–79.33 ................................................... 2060–0150 85.1407 .......................................................... 2060–0302
79.51(a), (c), (d), (g), (h) ............................... 2060–0150 85.1408 .......................................................... 2060–0302
79.52 .............................................................. 2060–0150 85.1409 .......................................................... 2060–0302
79.57(a)(5) ..................................................... 2060–0150 85.1410 .......................................................... 2060–0302
79.57(f)(5) ...................................................... 2060–0150 85.1411 .......................................................... 2060–0302
79.58(e) ......................................................... 2060–0150 85.1412 .......................................................... 2060–0302
79.59(b)–(d) ................................................... 2060–0150 85.1413 .......................................................... 2060–0302
79.60 .............................................................. 2060–0150 85.1414 .......................................................... 2060–0302
79.61(e) ......................................................... 2060–0150 85.1415 .......................................................... 2060–0302
79.62–79.68 ................................................... 2060–0297 85.1504 .......................................................... 2060–0095
85.1505 .......................................................... 2060–0095
Regulation of Fuels and Fuel Additives 85.1507 .......................................................... 2060–0095
85.1508 .......................................................... 2060–0095
80.20 .............................................................. 2060–0066 85.1509 .......................................................... 2060–0095
80.25 .............................................................. 2060–0066 85.1511 .......................................................... 2060–0095
80.27 .............................................................. 2060–0178 85.1512 .......................................................... 2060–0095
80.29(c) .......................................................... 2060–0308 85.1514 .......................................................... 2060–0095
80.40 .............................................................. 2060–0277 85.1705 .......................................................... 2060–0104
80.46 .............................................................. 2060–0277 85.1706 .......................................................... 2060–0104
80.65 .............................................................. 2060–0277 85.1708 .......................................................... 2060–0104
80.68–80.69 ................................................... 2060–0277 85.1710 .......................................................... 2060–0104
80.74–80.77 ................................................... 2060–0277 85.1712 .......................................................... 2060–0104
80.79 .............................................................. 2060–0277 85.1802 .......................................................... 2060–0104
80.83 .............................................................. 2060–0277 85.1803 .......................................................... 2060–0104
80.91–80.93 ................................................... 2060–0277 85.1806 .......................................................... 2060–0104
80.101–80.106 ............................................... 2060–0277 85.1808 .......................................................... 2060–0104
80.125 ............................................................ 2060–0277 85.1903 .......................................................... 2060–0104
80.127–80.130 ............................................... 2060–0277 85.1904 .......................................................... 2060–0104
80.141(c)–(f) .................................................. 2060–0275 85.1905 .......................................................... 2060–0104
80.157 ............................................................ 2060–0275 85.1906 .......................................................... 2060–0104
80.158 ............................................................ 2060–0275 85.1908 .......................................................... 2060–0104
80.160 ............................................................ 2060–0275 85.1909 .......................................................... 2060–0104
80.161 ............................................................ 2060–0275 85.2110 .......................................................... 2060–0104
80.162 ............................................................ 2060–0275 85.2114 .......................................................... 2060–0060
80.163(d)(3) ................................................... 2060–0275 85.2115 .......................................................... 2060–0060
80.164 ............................................................ 2060–0275 85.2116 .......................................................... 2060–0060
80.165 ............................................................ 2060–0275 85.2117 .......................................................... 2060–0060
80.166 ............................................................ 2060–0275 85.2118 .......................................................... 2060–0060
80.167(d) ....................................................... 2060–0275 85.2119 .......................................................... 2060–0060
80.170 ............................................................ 2060–0275 85.2120 .......................................................... 2060–0060
80.171 ............................................................ 2060–0275 85.2123 .......................................................... 2060–0104
80.173 ............................................................ 2060–0275 85.2208 .......................................................... 2060–0104
85.2401–85.2409 ........................................... 2060–0104,
Protection of Stratospheric Ozone 2060–0545
82.9–82.13 ..................................................... 2060–0170 Control of Emissions From New and In-Use Highway
82.21 .............................................................. 2060–0170 Vehicles and Engines

82.36 .............................................................. 2060–0247
82.38 .............................................................. 2060–0247 86.000–7 ........................................................ 2060–0104
82.40 .............................................................. 2060–0247 86.000–8 ........................................................ 2060–0104
142

No. No.
86.000–9 ........................................................ 2060–0104 86.163–00 ...................................................... 2060–0104

86.000–21 ...................................................... 2060–0104 86.336–79 ...................................................... 2060–0104
86.000–23 ...................................................... 2060–0104 86.337–79 ...................................................... 2060–0104
86.000–24 ...................................................... 2060–0104 86.412–78 ...................................................... 2060–0104
86.000–25 ...................................................... 2060–0104 86.414–78 ...................................................... 2060–0104
86.000–26 ...................................................... 2060–0104 86.415–78 ...................................................... 2060–0104
86.000–28 ...................................................... 2060–0104 86.416–80 ...................................................... 2060–0104
86.001–9 ........................................................ 2060–0104 86.421–78 ...................................................... 2060–0104
86.001–21 ...................................................... 2060–0104 86.423–78 ...................................................... 2060–0104
86.001–23 ...................................................... 2060–0104 86.427–78 ...................................................... 2060–0104
86.001–24 ...................................................... 2060–0104 86.428–80 ...................................................... 2060–0104
86.001–25 ...................................................... 2060–0104 86.429–78 ...................................................... 2060–0104
86.001–26 ...................................................... 2060–0104 86.431–78 ...................................................... 2060–0104
86.001–28 ...................................................... 2060–0104 86.432–78 ...................................................... 2060–0104
86.004–9 ........................................................ 2060–0104 86.434–78 ...................................................... 2060–0104
86.004–28 ...................................................... 2060–0104 86.435–78 ...................................................... 2060–0104
86.004–38 ...................................................... 2060–0104 86.436–78 ...................................................... 2060–0104
86.004–40 ...................................................... 2060–0104 86.437–78 ...................................................... 2060–0104
86.079–31—86.079–33 ................................. 2060–0104 86.438–78 ...................................................... 2060–0104
86.079–36 ...................................................... 2060–0104 86.439–78 ...................................................... 2060–0104
86.079–39 ...................................................... 2060–0104 86.440–78 ...................................................... 2060–0104
86.080–12 ...................................................... 2060–0104 86.445–2006 .................................................. 2060–0104
86.082–34 ...................................................... 2060–0104 86.446–2006 .................................................. 2060–0104
86.085–37 ...................................................... 2060–0104 86.447–2006 .................................................. 2060–0104
86.087–38 ...................................................... 2060–0104 86.448–2006 .................................................. 2060–0104
86.090–27 ...................................................... 2060–0104 86.449 ............................................................ 2060–0104
86.091–7 ........................................................ 2060–0104 86.513–94 ...................................................... 2060–0104
86.094–15–86.094–16 ................................... 2060–0104 86.537–90 ...................................................... 2060–0104
86.094–17 ...................................................... 2060–0104 86.542–90 ...................................................... 2060–0104
86.094–18 ...................................................... 2060–0104 86.603–88 ...................................................... 2060–0104
86.094–21 ...................................................... 2060–0104 86.603–98 ...................................................... 2060–0104
86.094–23 ...................................................... 2060–0104 86.604–84 ...................................................... 2060–0104
86.094–25 ...................................................... 2060–0104 86.605–88 ...................................................... 2060–0104
86.094–30 ...................................................... 2060–0104 86.605–98 ...................................................... 2060–0104
86.095–14 ...................................................... 2060–0104 86.606–84 ...................................................... 2060–0104
86.095–23 ...................................................... 2060–0104 86.607–84 ...................................................... 2060–0104
86.095–26 ...................................................... 2060–0104 86.609–98 ...................................................... 2060–0104
86.095–30 ...................................................... 2060–0104 86.612–97 ...................................................... 2060–0104
86.095–35 ...................................................... 2060–0104 86.614–84 ...................................................... 2060–0104
86.094–38 ...................................................... 2060–0104 86.615–84 ...................................................... 2060–0104
86.096–7 ........................................................ 2060–0104 86.709–94 ...................................................... 2060–0104
86.096–8 ........................................................ 2060–0104 86.709–99 ...................................................... 2060–0104
86.096–9 ........................................................ 2060–0104 86.884–5 ........................................................ 2060–0104
86.096–10 ...................................................... 2060–0104 86.884–7 ........................................................ 2060–0104
86.096–14 ...................................................... 2060–0104 86.884–9 ........................................................ 2060–0104
86.096–21 ...................................................... 2060–0104 86.884–10 ...................................................... 2060–0104
86.096–23 ...................................................... 2060–0104 86.884–12 ...................................................... 2060–0104
86.096–24 ...................................................... 2060–0104 86.884–13 ...................................................... 2060–0104
86.096–26 ...................................................... 2060–0104 86.1003–90 .................................................... 2060–0104,
86.096–30 ...................................................... 2060–0104 2060–0287
86.096–35 ...................................................... 2060–0104 86.1003–2001 ................................................ 2060–0104,
86.097–9 ........................................................ 2060–0104 2060–0287
86.098–23 ...................................................... 2060–0104 86.1004–84 .................................................... 2060–0104,
86.098–28 ...................................................... 2060–0104 2060–0287
86.099–8 ........................................................ 2060–0104 86.1005–90 .................................................... 2060–0104,
86.099–9 ........................................................ 2060–0104 2060–0287
86.099–10 ...................................................... 2060–0104 86.1006–84 .................................................... 2060–0104,
86.107–98 ...................................................... 2060–0104 2060–0287
86.108–00 ...................................................... 2060–0104 86.1007–84 .................................................... 2060–0104,
86.111–94 ...................................................... 2060–0104 2060–0287
86.113–03 ...................................................... 2060–0104 86.1009–2001 ................................................ 2060–0104,
86.113–07 ...................................................... 2060–0104 2060–0287
86.113–94 ...................................................... 2060–0104 86.1012–84 .................................................... 2060–0104,
86.129–00 ...................................................... 2060–0104 2060–0287
86.142–90 ...................................................... 2060–0104 86.1012–97 .................................................... 2060–0104,
86.144–94 ...................................................... 2060–0104 2060–0287
86.150–98 ...................................................... 2060–0104 86.1014–84 .................................................... 2060–0104,
86.155–98 ...................................................... 2060–0104 2060–0287
86.159–00 ...................................................... 2060–0104 86.1015–87 .................................................... 2060–0104,
86.160–00 ...................................................... 2060–0104 2060–0287

86.161–00 ...................................................... 2060–0104 86.1106–87 .................................................... 2060–0104
86.162–00 ...................................................... 2060–0104 86.1107–87 .................................................... 2060–0104
86.162–03 ...................................................... 2060–0104 86.1108–87 .................................................... 2060–0104
143
§ 9.1 40 CFR Ch. I (7–1–21 Edition)

No. No.
86.1110–87 .................................................... 2060–0104 86.1845–01 .................................................... 2060–0104

86.1111–87 .................................................... 2060–0104 86.1845–05 .................................................... 2060–0104
86.1113–87 .................................................... 2060–0104 86.1847–01 .................................................... 2060–0104
86.1114–87 .................................................... 2060–0104 86.1862–04 .................................................... 2060–0104
86.1242–85 .................................................... 2060–0104 86.1920–86.1925 ........................................... 2060–0287
86.1242–90 .................................................... 2060–0104
86.1308–84 .................................................... 2060–0104 Clean-Fuel Vehicles
86.1310–90 .................................................... 2060–0104
86.1311–94 .................................................... 2060–0104 88.104–94(a), (c), (e), (f), (g), (h), (i), (j), (k) 2060–0104
86.1313–94 .................................................... 2060–0104 88.105–94 ...................................................... 2060–0104
86.1313–98 .................................................... 2060–0104 88.204–94(b)(1) ............................................. 2060–0314
86.1319–84 .................................................... 2060–0104 88.204–94(c) .................................................. 2060–0314
86.1319–90 .................................................... 2060–0104 88.305–94 ...................................................... 2060–0104
86.1323–84 .................................................... 2060–0104 88.306–94(a), (b) introductory text ................ 2060–0104
86.1327–98 .................................................... 2060–0104 88.306–94(b)(1) ............................................. 2060–0314
86.1332–84 .................................................... 2060–0104 88.306–94(b)(2) ............................................. 2060–0314
86.1332–90 .................................................... 2060–0104 88.306–94(b)(4) ............................................. 2060–0314
86.1334–84 .................................................... 2060–0104 88.306–94(c) .................................................. 2060–0314
86.1335–90 .................................................... 2060–0104 88.306–94(f) .................................................. 2060–0314
86.1336–84 .................................................... 2060–0104
86.1340–84 .................................................... 2060–0104 Control of Emissions From New and In-Use Nonroad
86.1340–90 .................................................... 2060–0104 Compression-Ignition Engines
86.1341–90 .................................................... 2060–0104
86.1341–98 .................................................... 2060–0104 89.1 ................................................................ 2060–0124
86.1342–90 .................................................... 2060–0104 89.2 ................................................................ 2060–0124
86.1344–94 .................................................... 2060–0104 89.114–89.120 ............................................... 2060–0287
86.1413 .......................................................... 2060–0104 89.122–89.127 ............................................... 2060–0287
86.1427 .......................................................... 2060–0104 89.129 ............................................................ 2060–0287
86.1432 .......................................................... 2060–0104 89.203–89.207 ............................................... 2060–0287
86.1434 .......................................................... 2060–0104 89.209–89.211 ............................................... 2060–0287
86.1437 .......................................................... 2060–0104 89.304–89.331 ............................................... 2060–0287
86.1442 .......................................................... 2060–0104 89.404–89.424 ............................................... 2060–0287
86.1542–84 .................................................... 2060–0104 89.505–89.512 ............................................... 2060–0064
86.1544–84 .................................................... 2060–0104 89.603–89.605 ............................................... 2060–0095
86.1705 .......................................................... 2060–0104 89.607–89.610 ............................................... 2060–0095
89.611 ............................................................ 2060–0007,
86.1707 .......................................................... 2060–0104
86.1708 .......................................................... 2060–0104 2060–0095
89.612 ............................................................ 2060–0095
86.1709 .......................................................... 2060–0104
89.801–89.803 ............................................... 2060–0048
86.1710 .......................................................... 2060–0104
89.903 ............................................................ 2060–0124
86.1712 .......................................................... 2060–0104
89.905–89.911 ............................................... 2060–0007
86.1713 .......................................................... 2060–0104
86.1714 .......................................................... 2060–0104
Control of Emissions From New and In-use Nonroad
86.1717 .......................................................... 2060–0104
Engines
86.1721 .......................................................... 2060–0104
86.1723 .......................................................... 2060–0104 90.107–90.108 ............................................... 2060–0338
86.1724 .......................................................... 2060–0104 90.113 ............................................................ 2060–0338
86.1725 .......................................................... 2060–0104 90.115–90.124 ............................................... 2060–0338
86.1726 .......................................................... 2060–0104 90.126 ............................................................ 2060–0338
86.1728 .......................................................... 2060–0104 90.304–90.329 ............................................... 2060–0338
86.1734 .......................................................... 2060–0104 90.404–90.427 ............................................... 2060–0338
86.1735 .......................................................... 2060–0104 90.505–90.509 ............................................... 2060–0295
86.1770 .......................................................... 2060–0104 90.511–90.512 ............................................... 2060–0295
86.1771 .......................................................... 2060–0104 90.604 ............................................................ 2060–0294
86.1776 .......................................................... 2060–0104 90.611–90.613 ............................................... 2060–0294
86.1777 .......................................................... 2060–0104 90.800 ............................................................ 2060–0048
86.1778 .......................................................... 2060–0104 90.802–90.804 ............................................... 2060–0048
86.1805–01 .................................................... 2060–0104 90.806 ............................................................ 2060–0048
86.1805–04 .................................................... 2060–0104 90.903 ............................................................ 2060–0124
86.1806–01 .................................................... 2060–0104 90.905–90.906 ............................................... 2060–0007
86.1806–05 .................................................... 2060–0104
86.1809–01 .................................................... 2060–0104 Determining Conformity of Federal Actions to State or
86.1811–01 .................................................... 2060–0104 Federal Implementation Plans
86.1811–04 .................................................... 2060–0104
86.1817–05 .................................................... 2060–0104 Part 93, subpart A ......................................... 2060–0561
86.1817–08 .................................................... 2060–0104 93.150–93.160 ............................................... 2060–0279
86.1823–01 .................................................... 2060–0104
86.1826–01 .................................................... 2060–0104 Control of Emissions From New and In-Use Marine
86.1829–01 .................................................... 2060–0104 Compression-Ignition Engines
86.1839–01 .................................................... 2060–0104
86.1840–01 .................................................... 2060–0104 94.7–94.12 ..................................................... 2060–0460.

86.1842–01 .................................................... 2060–0104 94.101–94.109 ............................................... 2060–0460
86.1843–01 .................................................... 2060–0104 94.203–94.222 ............................................... 2060–0460
86.1844–01 .................................................... 2060–0104 94.303–94.310 ............................................... 2060–0460
144

No. No.
94.403–94.408 ............................................... 2060–0460 122.47(b) ....................................................... 2040–0110,

94.508–94.509 ............................................... 2060–0460 2040–0068,
94.804 ............................................................ 2060–0460 2040–0170
94.904–94.911 ............................................... 2060–0460 122.48 ............................................................ 2040–0004,
2040–0170
Mandatory Patent Licenses 122.62(a) ....................................................... 2040–0068,
2040–0170
95.2 ................................................................ 2060–0307 122.63 ............................................................ 2040–0068,
2040–0170
Recognition Awards Under the Clean Water Act
State Permit Requirements
105.4(c) .......................................................... 2040–0009,
2040–0101 123.21–123.24 ............................................... 2040–0057,
105.7 .............................................................. 2040–0009, 2040–0170
2040–0101 123.25 ............................................................ 2040–0004
105.10 ............................................................ 2040–0009, 2040–0110
2040–0101 2040–0170
2040–0180
Oil Pollution Prevention
2040–0086
123.26–123.29 ............................................... 2040–0057,
112.1–112.7 ................................................... 2050–0021
2040–0170
Oil Pollution Prevention; Non-Transportation-Related 123.35(b) ....................................................... 2040–0211
Onshore Facilities 123.43 ............................................................ 2040–0057,
2040–0170
112.20 ............................................................ 2050–0135 123.44 ............................................................ 2040–0057,
2040–0170,
Designation, Reportable Quantities, and Notification for 2040–0180
Hazardous Substances 123.45 ............................................................ 2040–0057,
2040–0170
116.4 .............................................................. 2050–0046 123.62 ............................................................ 2040–0057,
117.3 .............................................................. 2050–0046 2040–0170,
117.21 ............................................................ 2050–0046 2040–0180
123.63 ............................................................ 2040–0057,
EPA Administered Permit Programs: The National 2040–0170,
Pollutant Discharge Elimination System 2040–0180
123.64 ............................................................ 2040–0057,
122.21(f)–(l) ................................................... 2040–0086, 2040–0170
2040–0170
122.21(f) ........................................................ 2040–0250 Procedures for Decisionmaking
122.21(i) ......................................................... 2040–0250
122.21(j), (q) .................................................. 2040–0086 124.5 .............................................................. 2040–0068
122.21(m)–(p) ................................................ 2040–0068, 124.31 ............................................................ 2050–0149
2040–0170 124.32 ............................................................ 2050–0149
122.21(r) ........................................................ 2040–0241, 124.33 ............................................................ 2050–0149
2040–0257, 124.53–124.54 ............................................... 2040–0057
2040–0268
122.23 (d), (e), (h) ......................................... 2040–0250 Criteria and Standards for the National Pollutant
122.23(i) ......................................................... 2040–0250 Discharge Elimination System
122.26(c), (d) ................................................. 2040–0086
122.26(g) ....................................................... 2040–0211 125.59–125.67, and appendix A and B ........ 2040–0088
122.28(b) ....................................................... 2040–0250 125.86 ............................................................ 2040–0241
122.41(h) ....................................................... 2040–0068, 125.87 ............................................................ 2040–0241
2040–0170 125.88 ............................................................ 2040–0241
122.41(j) ......................................................... 2040–0009, 125.89 ............................................................ 2040–0241
2040–0110, 125.95 ............................................................ 2040–0257
2040–0170 125.96 ............................................................ 2040–0257
122.41(l) ......................................................... 2040–0110, 125.97 ............................................................ 2040–0257
2040–0068, 125.98 ............................................................ 2040–0257
2040–0170 125.99 ............................................................ 2040–0257
122.42(c) ........................................................ 2040–0086 125.134 .......................................................... 2040–0268
122.42(a), (b), (l) ........................................... 2040–0068, 125.135 .......................................................... 2040–0268
2040–0170 125.136 .......................................................... 2040–0268
122.42(e) ....................................................... 2040–0250 125.137 .......................................................... 2040–0268
122.44(g), (i) .................................................. 2040–0004, 125.138 .......................................................... 2040–0268
2040–0170, 125.139 .......................................................... 2040–0268
2040–0110
122.44(j) ......................................................... 2040–0150 NPDES Electronic Reporting
122.44(r) ........................................................ 2040–0180
122.45(b) ....................................................... 2040–0004, 127.24 ............................................................ 2020–0037
2040–0110 127.26 ............................................................ 2020–0035.

122.45(b)(4) ................................................... 2040–0068 Water Quality Planning and Management
122.47(a) ....................................................... 2040–0110,
2040–0170 130.6–130.10 ................................................. 2040–0071
145
§ 9.1 40 CFR Ch. I (7–1–21 Edition)

No. No.
130.15 ............................................................ 2040–0071 141.201–141.210 ........................................... 2040–0090

141.401–141.405 ........................................... 2040–0271
Water Quality Standards Regulation 141.530–141.536 ........................................... 2040–0229
141.540–141.544 ........................................... 2040–0229
131.1 .............................................................. 2040–0180 141.550–141.553 ........................................... 2040–0229
131.5 .............................................................. 2040–0180 141.560–141.564 ........................................... 2040–0229
131.6–131.8 ................................................... 2040–0049 141.570–141.571 ........................................... 2040–0229
131.20 ............................................................ 2040–0049 141.600–141.605 ........................................... 2040–0265
131.21 ............................................................ 2040–0049, 141.620–141.626 ........................................... 2040–0265
2040–0180 141.629 .......................................................... 2040–0265
131.22 ............................................................ 2040–0049 141.706–141.710 ........................................... 2040–0266
131.31–131.36 ............................................... 2040–0049 141.713–141.714 ........................................... 2040–0266
141.716–141.723 ........................................... 2040–0266
Water Quality Guidance for the Great Lakes System
National Primary Drinking Water Regulations
132.1 .............................................................. 2040–0180 Implementation
132.2 .............................................................. 2040–0180
132.3 .............................................................. 2040–0180 142.2–142.3 ................................................... 2040–0090
132.4 .............................................................. 2040–0180 142.10 ............................................................ 2040–0090
132.5 .............................................................. 2040–0180 142.11 ............................................................ 2040–0090
Part 132, appendix A ..................................... 2040–0180 142.12 ............................................................ 2040–0090
Part 132, appendix B ..................................... 2040–0180 142.14(a)(1)–(7) ............................................. 2040–0205
Part 132, appendix C .................................... 2040–0180 142.14(a)(8) ................................................... 2040–0265
Part 132, appendix D .................................... 2040–0180 142.14(a)(9) ................................................... 2040–0266
Part 132, appendix E ..................................... 2040–0180 142.14(b)–(d) ................................................. 2040–0090
Part 132, appendix F ..................................... 2040–0180 142.14(b)–(d)(1) ............................................. 2040–0090
142.14(d)(2)–(7) ............................................. 2040–0204
Marine Sanitation Device Standard
142.14(d)(4)–(5) ............................................. 2040–0228
142.14(d)(6)–(7) ............................................. 2040–0090
Part 140 ......................................................... 2040–0187
142.14(d)(12)(i)–(iv) ....................................... 2040–0204
National Primary Drinking Water Regulations 142.14(d)(13)–(16) ......................................... 2040–0204
142.14(d)(17) ................................................. 2040–0271
141.2 .............................................................. 2040–0090 142.14(e)–(g) ................................................. 2040–0090
141.4 .............................................................. 2040–0090 142.15(a)–(b) ................................................. 2040–0090
141.11–141.15 ............................................... 2040–0090 142.15(c)(1)–(5) ............................................. 2040–0205
141.21 ............................................................ 2040–0205 142.15(c)(5) ................................................... 2040–0090
141.22 ............................................................ 2040–0090 142.15(c)(6) ................................................... 2040–0266
141.23A(a)–(b) ............................................... 2040–0204 142.15(c)(7) ................................................... 2040–0271
141.23(d)–141.24 .......................................... 2040–0204 142.15(d) ....................................................... 2040–0090
141.25 ............................................................ 2040–0090 142.16(a) ....................................................... 2040–0090
141.25(a)–(e) ................................................. 2040–0090 142.16(b) ....................................................... 2040–0205
141.26 ............................................................ 2040–0204 142.16(c) ........................................................ 2040–0090
141.26(a)–(b) ................................................. 2040–0228 142.16(e) ....................................................... 2040–0204
141.27–141.30 ............................................... 2040–0090 142.16(f) ........................................................ 2040–0090
141.31(a)–(c) and (e) .................................... 2040–0204 142.16(g) ....................................................... 2040–0205
141.31(d) ....................................................... 2040–0090 142.16(h) ....................................................... 2040–0204
141.32(a)–(g) ................................................. 2040–0090 142.16(i) ......................................................... 2040–0205
141.33(a)–(d) ................................................. 2040–0204 142.16(j) ......................................................... 2040–0229
141.33(e) ....................................................... 2040–0090 142.16(k)(1) ................................................... 2040–0204
141.35 ............................................................ 2040–0270 142.16(l)(1) and (2) ....................................... 2040–0204
141.40 ............................................................ 2040–0270 142.16(m) ...................................................... 2040–0265
141.41 ............................................................ 2040–0090 142.16(n) ....................................................... 2040–0266
141.42–141.43 ............................................... 2040–0204 142.16(o) ....................................................... 2040–0271
141.50–141.52 ............................................... 2040–0090 142.17–142.24 ............................................... 2040–0090
141.60–141.63 ............................................... 2040–0090 142.51 ............................................................ 2040–0090
141.70–141.74 ............................................... 2040–0090 142.56–142.57 ............................................... 2040–0090
141.75 ............................................................ 2040–0205 142.60–142.61 ............................................... 2040–0090
141.76 ............................................................ 2040–0205 142.62 ............................................................ 2040–0090
141.80–141.91 ............................................... 2040–0204 142.63–142.64 ............................................... 2040–0090
141.100 .......................................................... 2040–0090 142.70–142.78 ............................................... 2040–0090
141.110 .......................................................... 2040–0090 142.81 ............................................................ 2040–0090
141.111 .......................................................... 2040–0204 142.306–142.308 ........................................... 2040–0090
141.130–141.132 ........................................... 2040–0204 142.311–142.312 ........................................... 2040–0090
141.134–141.135 ........................................... 2040–0204
141.140–141.144 ........................................... 2040–0090 Underground Injection Control Program
141.153–141.154 ........................................... 2040–0090
141.155(a)–(g)(1) and (h) .............................. 2040–0090 144.8 .............................................................. 2040–0042
141.170 .......................................................... 2040–0205 144.12 ............................................................ 2040–0042
141.172 .......................................................... 2040–0205 144.14–144.15 ............................................... 2040–0042
141.173 .......................................................... 2040–0205 144.23 ............................................................ 2040–0042

141.174(a)–(b) ............................................... 2040–0205 144.25–144.28 ............................................... 2040–0042
141.175(a)–(b) ............................................... 2040–0205 144.31–144.33 ............................................... 2040–0042
141.175(c) ...................................................... 2040–0090 144.38 ............................................................ 2040–0042
146

No. No.
144.41 ............................................................ 2040–0042 152.414 .......................................................... 2070–0040,

144.51–144.55 ............................................... 2040–0042 2070–0060
144.62–144.66 ............................................... 2040–0042
144.70 ............................................................ 2040–0042 Registration Standards and Registration Review
144.79–144.89 ............................................... 2040–0214
145.23 ............................................................ 2040–0214 Part 155 ......................................................... 2070–0174
Underground Injection Control Program: Criteria and Labeling Requirements for Pesticides and Devices
Standards
Part 156 ......................................................... 2070–0060
146.10 ............................................................ 2040–0042
146.12–146.15 ............................................... 2040–0042 Packaging Requirements for Pesticides and Devices
146.22–146.25 ............................................... 2040–0042
146.32–146.35 ............................................... 2040–0042 Part 157 ......................................................... 2070–0052
146.52 ............................................................ 2040–0042
146.64 ............................................................ 2040–0042 Data Requirements for Registration
146.66–146.73 ............................................... 2040–0042
Part 158 ......................................................... 2070–0040,
State Underground Injection Control Programs 2070–0060,
2070–0174
147.104 .......................................................... 2040–0042
147.304–147.305 ........................................... 2040–0042 Statements of Policies and Interpretations
147.504 .......................................................... 2040–0042
147.754 .......................................................... 2040–0042 Part 159, subpart D ....................................... 2070–0039
147.904 .......................................................... 2040–0042
147.1154 ........................................................ 2040–0042 Good Laboratory Practice Standards
147.1354–147.1355 ....................................... 2040–0042
147.1454 ........................................................ 2040–0042 Part 160 ......................................................... 2070–0024,
147.1654 ........................................................ 2040–0042 2070–0032,
147.1954 ........................................................ 2040–0042 2070–0040,
147.2103–147.2104 ....................................... 2040–0042 2070–0055,
147.2154 ........................................................ 2040–0042 2070–0060,
147.2402 ........................................................ 2040–0042 2070–0174
147.2905 ........................................................ 2040–0042
147.2912–147.2913 ....................................... 2040–0042 Data Requirements for Registration of Antimicrobial
147.2915 ........................................................ 2040–0042 Pesticides
147.2918 ........................................................ 2040–0042
147.2920–147.2926 ....................................... 2040–0042 Part 161 ......................................................... 2070–0040,
147.2929 ........................................................ 2040–0042 2070–0060,
147.3002–147.3003 ....................................... 2040–0042 2070–0174
147.3006–147.3007 ....................................... 2040–0042
147.3011 ........................................................ 2040–0042 State Registration of Pesticide Products
147.3014–147.3016 ....................................... 2040–0042
147.3101 ........................................................ 2040–0042 162.153 .......................................................... 2070–0182
147.3104–147.3105 ....................................... 2040–0042
147.3107–147.3109 ....................................... 2040–0042 Pesticide Management and Disposal
Hazardous Waste Injection Restrictions
Part 165 ......................................................... 2070–0133
148.5 .............................................................. 2040–0042
Exemption of Federal and State Agencies for Use of
148.20–148.23 ............................................... 2040–0042
Pesticides Under Emergency Conditions
Pesticide Registration and Classification Procedures
Part 166 ......................................................... 2070–0182
152.46 ............................................................ 2070–0060
152.50 ............................................................ 2070–0024, Registration of Pesticide and Active Ingredient Pro-
2070–0040, ducing Establishments, Submission of Pesticide Re-
2070–0060 ports
152.80 ............................................................ 2070–0040,
2070–0060 Part 167 ......................................................... 2070–0078
152.85 ............................................................ 2070–0040,
2070–0060 Statements of Enforcement Policies and Interpretations
152.98 ............................................................ 2070–0060
152.122 .......................................................... 2070–0060 168.75 ............................................................ 2070–0027
152.132 .......................................................... 2070–0044 168.85 ............................................................ 2070–0027,
152.135 .......................................................... 2070–0060 2070–0028,
152.164 .......................................................... 2070–0060 2070–0078
152.404 .......................................................... 2070–0040,
2070–0060 Books and Records of Pesticide Production and
152.406 .......................................................... 2070–0040, Distribution

2070–0060
152.412 .......................................................... 2070–0040, 169.2 .............................................................. 2070–0028
2070–0060
147
§ 9.1 40 CFR Ch. I (7–1–21 Edition)

No. No.
Worker Protection Standards for Agricultural Pesticides 262.20 ............................................................ 2050–0039

262.22–262.23 ............................................... 2050–0039
Part 170 ......................................................... 2070–0148 262.34 ............................................................ 2050–0035,
2050–0085
Certification of Pesticide Applicators 262.40(a) ....................................................... 2050–0039
262.40(b) ....................................................... 2050–0024
Part 171 ......................................................... 2070–0029 262.40(c) ........................................................ 2050–0035
262.41 ............................................................ 2050–0024
Experimental Use Permits 262.42 ............................................................ 2050–0039
262.43 ............................................................ 2050–0035
Part 172 ......................................................... 2070–0040
262.44(a)–(b) ................................................. 2050–0039
262.44(c) ........................................................ 2050–0035
Procedures and Requirements for Plant-Incorporated
262.53–262.57 ............................................... 2050–0035
Protectants
262.60 ............................................................ 2050–0035
Part 174 ......................................................... 2070–0142 262.83–262.85. .............................................. 2050–0143
262.87 ............................................................ 2050–0143
Tolerances and Exemptions for Pesticide Chemical 262.90(c), (d), (f), (g) ..................................... 2010–0026
Residues in Food
Standards Applicable to Transporters of Hazardous
Part 180 ......................................................... 2070–0024 Waste
404 State Program Regulations 263.11 ............................................................ 2050–0028

263.20–263.22 ............................................... 2050–0039
233.10–233.12 ............................................... 2040–0168 263.30 ............................................................ 2050–0039
233.21 ............................................................ 2040–0168
233.30 ............................................................ 2040–0168 Standards for Owners and Operators of Hazardous Waste
233.50 ............................................................ 2040–0168 Treatment, Storage, and Disposal Facilities
233.52 ............................................................ 2040–0168
233.61 ............................................................ 2040–0140 264.11 ............................................................ 2050–0028
264.12(a) ....................................................... 2050–0120
Criteria for Classification of Solid Waste Disposal 264.13 ............................................................ 2050–0120,
Facilities and Practices 2050–0009
264.14 ............................................................ 2050–0009
257.8 .............................................................. 2050–0154 264.15 ............................................................ 2050–0120,
257.21(b) ....................................................... 2050–0154 2050–0009
257.21(h) ....................................................... 2050–0154 264.16 ............................................................ 2050–0120,
257.23 ............................................................ 2050–0154 2050–0009
257.24 ............................................................ 2050–0154 264.17 ............................................................ 2050–0120
257.25 ............................................................ 2050–0154 264.18 ............................................................ 2050–0009
257.27 ............................................................ 2050–0154 264.19 ............................................................ 2050–0009
257.30 ............................................................ 2050–0154 264.32 ............................................................ 2050–0009
264.35 ............................................................ 2050–0009
Criteria for Municipal Solid Waste Landfills 264.37 ............................................................ 2050–0120
264.51 ............................................................ 2050–0009
Part 258 ......................................................... 2050–0122
264.52 ............................................................ 2050–0009
258.10–258.16 ............................................... 2050–0122
264.53 ............................................................ 2050–0120
258.20 ............................................................ 2050–0122
264.54 ............................................................ 2050–0120
258.23 ............................................................ 2050–0122
264.56 ............................................................ 2050–0120
258.28–258.29 ............................................... 2050–0122
264.71 ............................................................ 2050–0039
258.51 ............................................................ 2050–0122
264.72 ............................................................ 2050–0039
258.53–258.55 ............................................... 2050–0122
258.57–258.58 ............................................... 2050–0122 264.73 ............................................................ 2050–0120
258.60–258.61 ............................................... 2050–0122 264.74 ............................................................ 2050–0120
258.71–258.74 ............................................... 2050–0122 264.75 ............................................................ 2050–0024
264.76 ............................................................ 2050–0039
Hazardous Waste Management System: General 264.90 ............................................................ 2050–0009
264.96 ............................................................ 2050–0120
260.20–260.22 ............................................... 2050–0053 264.97(g) ....................................................... 2050–0120
260.23 ............................................................ 2050–0145 264.97(h) ....................................................... 2050–0009
260.31–260.33 ............................................... 2050–0053 264.97(j) ......................................................... 2050–0120
264.98(c), (g)(1), (g)(5), (g)(6) ....................... 2050–0033
Identification and Listing of Hazardous Waste 264.98(g)(4), (h) ............................................ 2050–0009
264.99(c), (g), (h)(1), (i)(1), (i)(2) .................. 2050–0033
261.3 .............................................................. 2050–0085 264.99(h)(2), (i)(3), (j) .................................... 2050–0009
261.4 .............................................................. 2050–0053 264.100(e), (f), (g) ......................................... 2050–0033
261.4(h)(4) ..................................................... 2050–0207 264.100(h) ..................................................... 2050–0009
261.35 ............................................................ 2050–0115 264.101 .......................................................... 2050–0120
261.39 ............................................................ 2050–0053 264.112(a), (b), (c) ........................................ 2050–0009
261.40 ............................................................ 2050–0053 264.112(d) ..................................................... 2050–0120
261.41 ............................................................ 2050–0053 264.113(a), (b), (d) ........................................ 2050–0120
264.113(e) ..................................................... 2050–0050

Standards Applicable to Generators of Hazardous Waste 264.115 .......................................................... 2050–0120
264.116 .......................................................... 2050–0120
262.12 ............................................................ 2050–0028 264.118 .......................................................... 2050–0009
148

No. No.
264.119(a), (b) ............................................... 2050–0120 264.1036 ........................................................ 2050–0050

264.119(c) ...................................................... 2050–0009 264.1061 ........................................................ 2050–0050
264.120 .......................................................... 2050–0120 264.1062 ........................................................ 2050–0050
264.142(a) ..................................................... 2050–0009 264.1063 ........................................................ 2050–0050
264.142(b), (c), (d) ........................................ 2050–0120 264.1064 ........................................................ 2050–0050,
264.143 .......................................................... 2050–0120 2050–0009
264.144(a) ..................................................... 2050–0009 264.1065 ........................................................ 2050–0050
264.144(b), (c), (d) ........................................ 2050–0120 264.1089 ........................................................ 2060–0318
264.145 .......................................................... 2050–0120 264.1090 ........................................................ 2060–0318
264.147(a)(7), (b)(7), (f),(g) ........................... 2050–0120 264.1100 ........................................................ 2050–0050
264.147(a)(1), (b)(1), (c), (f), (g), (h), (i), (j) .. 2050–0009 264.1101 ........................................................ 2050–0050
264.148 .......................................................... 2050–0120
264.149 .......................................................... 2050–0009 Interim Status Standards for Owners and Operators of
264.150 .......................................................... 2050–0009 Hazardous Waste Treatment, Storage, and Disposal
264.190 .......................................................... 2050–0050 Facilities
264.191 .......................................................... 2050–0050
264.192(a) ..................................................... 2050–0009 265.11 ............................................................ 2050–0028
264.192(g) ..................................................... 2050–0050 265.12(a) ....................................................... 2050–0120
264.193(c), (d), (e), (g), (h) ........................... 2050–0009 265.13 ............................................................ 2050–0120
264.193(i) ....................................................... 2050–0050 265.15 ............................................................ 2050–0120
264.196 .......................................................... 2050–0050 265.16 ............................................................ 2050–0120
264.197(b) ..................................................... 2050–0050 265.19 ............................................................ 2050–0120
264.197(c) ...................................................... 2050–0009 265.37 ............................................................ 2050–0120
264.221 .......................................................... 2050–0009 265.51 ............................................................ 2050–0120
264.222(a) ..................................................... 2050–0009 265.52 ............................................................ 2050–0120
264.222(b) ..................................................... 2050–0050 265.53 ............................................................ 2050–0120
264.223(a) ..................................................... 2050–0009 265.54 ............................................................ 2050–0120
264.223(b), (c) ............................................... 2050–0050 265.56 ............................................................ 2050–0120
264.226(c) ...................................................... 2050–0050, 265.71 ............................................................ 2050–0039
2050–0009 265.72 ............................................................ 2050–0039
264.226(d) ..................................................... 2050–0050 265.73 ............................................................ 2050–0120
264.227 .......................................................... 2050–0050 265.75 ............................................................ 2050–0024
264.231 .......................................................... 2050–0009 265.76 ............................................................ 2050–0039
264.251 .......................................................... 2050–0009 265.90 ............................................................ 2050–0033
264.252(a) ..................................................... 2050–0009 265.92 ............................................................ 2050–0033
264.252(b) ..................................................... 2050–0050 265.93 ............................................................ 2050–0033
264.253(a) ..................................................... 2050–0009 265.94 ............................................................ 2050–0033
264.253(b), (c) ............................................... 2050–0050 265.112 .......................................................... 2050–0120
264.254 .......................................................... 2050–0050 265.113(a), (b), (d) ........................................ 2050–0120
264.259 .......................................................... 2050–0009 265.113(e) ..................................................... 2050–0050
264.271 .......................................................... 2050–0009 265.115 .......................................................... 2050–0120
264.272 .......................................................... 2050–0009 265.116 .......................................................... 2050–0120
264.276 .......................................................... 2050–0050, 265.118 .......................................................... 2050–0120
2050–0009 265.119 .......................................................... 2050–0120
264.278(a)–(f), (h) ......................................... 2050–0050 265.120 .......................................................... 2050–0120
264.278(g) ..................................................... 2050–0050, 265.142 .......................................................... 2050–0120
2050–0009 265.143 .......................................................... 2050–0120
264.280 .......................................................... 2050–0050 265.144 .......................................................... 2050–0120
264.283 .......................................................... 2050–0009 265.145 .......................................................... 2050–0120
264.301 .......................................................... 2050–0009 265.147 .......................................................... 2050–0120
264.302(a) ..................................................... 2050–0009 265.148 .......................................................... 2050–0120
264.302(b) ..................................................... 2050–0050 265.149 .......................................................... 2050–0120
264.303(a) ..................................................... 2050–0009 265.150 .......................................................... 2050–0120
264.303(b) ..................................................... 2050–0050 265.190 .......................................................... 2050–0035,
264.304(a) ..................................................... 2050–0009 2050–0050
264.304(b), (c) ............................................... 2050–0050 265.191 .......................................................... 2050–0035,
264.314 .......................................................... 2050–0050 2050–0050
264.317 .......................................................... 2050–0009 265.192 .......................................................... 2050–0035,
264.340 .......................................................... 2050–0009 2050–0050
264.343 .......................................................... 2050–0050 265.193 .......................................................... 2050–0035,
264.344 .......................................................... 2050–0009 2050–0050
264.347 .......................................................... 2050–0050 265.195 .......................................................... 2050–0120
264.552 .......................................................... 2050–0009 265.196 .......................................................... 2050–0035,
264.570 .......................................................... 2050–0050 2050–0050
264.571 .......................................................... 2050–0050 265.197(b) ..................................................... 2050–0050
264.573 .......................................................... 2050–0050 265.197(c) ...................................................... 2050–0120
264.574 .......................................................... 2050–0050 265.221 .......................................................... 2050–0050
264.575 .......................................................... 2050–0009 265.222 .......................................................... 2050–0050
264.603 .......................................................... 2050–0050 265.223 .......................................................... 2050–0050
264.1033(a) ................................................... 2050–0009 265.225 .......................................................... 2050–0050

264.1033(j) ..................................................... 2050–0050 265.226 .......................................................... 2050–0050
264.1034 ........................................................ 2050–0050 265.229 .......................................................... 2050–0050
264.1035 ........................................................ 2050–0050 265.254 .......................................................... 2050–0050
149
§ 9.1 40 CFR Ch. I (7–1–21 Edition)

No. No.
265.255 .......................................................... 2050–0050 270.17 ............................................................ 2050–0009

265.259 .......................................................... 2050–0050 270.18 ............................................................ 2050–0009
265.260 .......................................................... 2050–0050 270.19 ............................................................ 2050–0009
265.273 .......................................................... 2050–0120 270.20 ............................................................ 2050–0009
265.276 .......................................................... 2050–0050 270.21 ............................................................ 2050–0009
265.278 .......................................................... 2050–0050 270.22 ............................................................ 2050–0073
265.280 .......................................................... 2050–0050 270.23 ............................................................ 2050–0009
265.301 .......................................................... 2050–0050 270.24 ............................................................ 2050–0009
265.302 .......................................................... 2050–0050 270.25 ............................................................ 2050–0009
265.303 .......................................................... 2050–0050 270.26 ............................................................ 2050–0115
265.304 .......................................................... 2050–0050 270.30 ............................................................ 2050–0120
265.314 .......................................................... 2050–0050 270.33 ............................................................ 2050–0009
265.340 .......................................................... 2050–0050 270.40 ............................................................ 2050–0009
265.352 .......................................................... 2050–0050 270.41 ............................................................ 2050–0009
265.383 .......................................................... 2050–0050 270.42 ............................................................ 2050–0009
265.404 .......................................................... 2050–0050 270.51 ............................................................ 2050–0009
265.440 .......................................................... 2050–0050 270.62 ............................................................ 2050–0009,
265.441 .......................................................... 2050–0050 2050–0149
265.443 .......................................................... 2050–0050 270.63 ............................................................ 2050–0009
265.444 .......................................................... 2050–0050 270.65 ............................................................ 2050–0009
265.445 .......................................................... 2050–0120 270.66 ............................................................ 2050–0073,
265.1033 ........................................................ 2050–0050 2050–0149
265.1034 ........................................................ 2050–0050 270.72 ............................................................ 2050–0034
265.1035 ........................................................ 2050–0050 270.73 ............................................................ 2050–0009
265.1061 ........................................................ 2050–0050
265.1062 ........................................................ 2050–0050 Requirements for Authorization of State Hazardous Waste
265.1063 ........................................................ 2050–0050 Programs
265.1064 ........................................................ 2050–0050
265.1090 ........................................................ 2060–0318 271.5–271.8 ................................................... 2050–0041
265.1100 ........................................................ 2050–0050 271.20–271.21 ............................................... 2050–0041
265.1101 ........................................................ 2050–0050 271.23 ............................................................ 2050–0041
Standards for the Management of Specific Hazardous Standards for Universal Waste Management
Wastes and Specific Types of Hazardous Waste Man-
agement Facilities 273.14 ............................................................ 2050–0145
273.15 ............................................................ 2050–0145
266.70 (b) ...................................................... 2050–0028 273.18 ............................................................ 2050–0145
266.70(c) ........................................................ 2050–0050 273.32 ............................................................ 2050–0145
266.80 ............................................................ 2050–0028 273.34 ............................................................ 2050–0145
266.100 .......................................................... 2050–0073 273.35 ............................................................ 2050–0145
266.102 .......................................................... 2050–0073 273.38 ............................................................ 2050–0145
266.103 .......................................................... 2050–0073 273.39 ............................................................ 2050–0145
266.104 .......................................................... 2050–0073 273.61 ............................................................ 2050–0145
266.106 .......................................................... 2050–0073 273.62 ............................................................ 2050–0145
266.107 .......................................................... 2050–0073 273.80 ............................................................ 2050–0145
266.108 .......................................................... 2050–0073
266.109 .......................................................... 2050–0073 Standards for Management of Used Oil
266.111 .......................................................... 2050–0073
266.112 .......................................................... 2050–0073 279.10–279.11 ............................................... 2050–0124
Appendix IX ................................................... 2050–0073 279.42 ............................................................ 2050–0028,
2050–0124
Land Disposal Restrictions 279.43–279.44 ............................................... 2050–0124
279.46 ............................................................ 2050–0050
268.4–268.5 ................................................... 2050–0085 279.51 ............................................................ 2050–0028
268.6 .............................................................. 2050–0062 279.52–279.55 ............................................... 2050–0124
268.7 .............................................................. 2050–0085 279.56 ............................................................ 2050–0050
268.9 .............................................................. 2050–0085 279.57 ............................................................ 2050–0050,
268.42 ............................................................ 2050–0085 2050–0124
268.44 ............................................................ 2050–0085 279.62 ............................................................ 2050–0028
279.63 ............................................................ 2050–0124
EPA Administered Permit Programs: The Hazardous 279.65–279.66 ............................................... 2050–0050
Waste Permit Program 279.72 ............................................................ 2050–0050
279.73 ............................................................ 2050–0028
270.1 .............................................................. 2050–0028, 279.74–279.75 ............................................... 2050–0050
2050–0034, 279.82 ............................................................ 2050–0124
2050–0009
270.10 ............................................................ 2050–0009 Technical Standards and Corrective Action Require-
270.11 ............................................................ 2050–0034 ments for Owners and Operators of Underground Stor-
270.13 ............................................................ 2050–0034 age Tanks (USTs)
270.14 ............................................................ 2050–0009
270.14(b)(21) ................................................. 2050–0062, 280.11(a) ....................................................... 2050–0068

2050–0085 280.20(a)–(b) ................................................. 2050–0068
270.15 ............................................................ 2050–0009 280.20(e) ....................................................... 2050–0068
270.16 ............................................................ 2050–0009 280.22(a)–(f) .................................................. 2050–0068
150

No. No.
280.22(g) ....................................................... 2050–0068 302.8 .............................................................. 2050–0086

280.31 ............................................................ 2050–0068
280.33(f) ........................................................ 2050–0068 Hazardous Substances Superfund; Response Claims
280.34(a) ....................................................... 2050–0068 Procedures
280.34(b) ....................................................... 2050–0068
280.34(c) ........................................................ 2050–0068 307.11–307.14 ............................................... 2050–0106
280.40 ............................................................ 2050–0068 307.21–307.23 ............................................... 2050–0106
280.43 ............................................................ 2050–0068 307.30–307.32 ............................................... 2050–0106
280.44 ............................................................ 2050–0068
280.45 ............................................................ 2050–0068 Reimbursement to Local Governments for Emergency
280.50 ............................................................ 2050–0068 Response to Hazardous Substance Releases
280.53 ............................................................ 2050–0068
280.61 ............................................................ 2050–0068 310.05 ............................................................ 2050–0077
280.62 ............................................................ 2050–0068 310.10–310.12 ............................................... 2050–0077
280.63 ............................................................ 2050–0068 310.20 ............................................................ 2050–0077
280.64 ............................................................ 2050–0068 310.30 ............................................................ 2050–0077
280.65 ............................................................ 2050–0068 310.40 ............................................................ 2050–0077
280.66(a) ....................................................... 2050–0068 310.50 ............................................................ 2050–0077
280.66(c) ........................................................ 2050–0068 310.60 ............................................................ 2050–0077
280.66(d) ....................................................... 2050–0068 310.70 ............................................................ 2050–0077
280.67 ............................................................ 2050–0068 310.80 ............................................................ 2050–0077
280.71(a) ....................................................... 2050–0068 310.90 ............................................................ 2050–0077
280.72(a) ....................................................... 2050–0068 Part 310, appendix II ..................................... 2050–0077
280.74 ............................................................ 2050–0068
280.95 ............................................................ 2050–0068 Worker Protection Standards for Hazardous Waste
280.96 ............................................................ 2050–0068 Operations and Emergency Response
280.97 ............................................................ 2050–0068
280.98 ............................................................ 2050–0068 311.1–311.2 ................................................... 2050–0105
280.99 ............................................................ 2050–0068
280.100 .......................................................... 2050–0068 Trade Secrecy Claims for Emergency Planning and
280.101 .......................................................... 2050–0068 Community Right-to-Know; Health Professionals
280.102 .......................................................... 2050–0068
280.103 .......................................................... 2050–0068 350.5–350.16 ................................................. 2050–0078
280.104 .......................................................... 2050–0068 350.27 ............................................................ 2050–0078
280.105 .......................................................... 2050–0068 350.40 ............................................................ 2050–0078
280.106 .......................................................... 2050–0068
Emergency planning and notification
280.107 .......................................................... 2050–0068
280.108 .......................................................... 2050–0068
Part 355, appendix A, appendix B ................ 2050–0092
280.109(a) ..................................................... 2050–0068
280.109(b) ..................................................... 2050–0068 Hazardous Chemical Reporting: Community Right-to-
280.110 .......................................................... 2050–0068
Know
280.111 .......................................................... 2050–0068
280.111(b)(11) ............................................... 2050–0068 370.21 ............................................................ 2050–0072
280.114(a)–(d) ............................................... 2050–0068 370.25 ............................................................ 2050–0072
280.114(e) ..................................................... 2050–0068 370.30 ............................................................ 2050–0072
Approval of State Underground Storage Tank Programs Toxic Chemical Release Reporting: Community Right-to-
Know
281.120(a) ..................................................... 2050–0068
281.120(g) ..................................................... 2050–0068
Part 372, subpart A ....................................... 2025–0009
281.121 .......................................................... 2050–0068
372.22 ............................................................ 2025–0009
281.122 .......................................................... 2050–0068
372.25 ............................................................ 2025–0009
281.124 .......................................................... 2050–0068
372.27 ............................................................ 2025–0009
281.125 .......................................................... 2050–0068
372.30 ............................................................ 2025–0009
281.140 .......................................................... 2050–0068
372.38 ............................................................ 2025–0009
281.143(a) ..................................................... 2050–0068
Part 372, subpart C ....................................... 2025–0009
281.150 .......................................................... 2050–0068
Part 372, subpart D ....................................... 2025–0009
281.152 .......................................................... 2050–0068
281.161 .......................................................... 2050–0068 372.85 ............................................................ 2025–0009
372.95 ............................................................ 2025–0009
National Oil and Hazardous Substances Pollution
Contingency Plan General Pretreatment Regulations for Existing and New
Sources of Pollution
300.405 .......................................................... 2050–0046
300.425 .......................................................... 2050–0095 403.5(b) ......................................................... 2040–0009
300.430 .......................................................... 2050–0096 403.6–403.7 ................................................... 2040–0009
300.435 .......................................................... 2050–0096 403.8(a)–(e) ................................................... 2040–0009
300.920 .......................................................... 2050–0141 403.8(f) .......................................................... 2040–0009
Part 300, appendix A ..................................... 2050–0095 403.9–403.10 ................................................. 2040–0009
403.12(b)–(g) ................................................. 2040–0009
Designation, reportable quantities, and notification 403.12(h), (i) .................................................. 2040–0009

403.12(j), (k), (l), (o) ...................................... 2040–0009
302.4 .............................................................. 2050–0046 403.12(m), (p) ................................................ 2040–0009
302.6 .............................................................. 2050–0046 403.12(q) ....................................................... 2040–0009
151
§ 9.1 40 CFR Ch. I (7–1–21 Edition)

No. No.
403.13 ............................................................ 2040–0009 439.44–439.47 ............................................... 2040–0033

403.15 ............................................................ 2040–0009
403.17–403.18 ............................................... 2040–0009, Airport Deicing Point Source Category
2040–0170
449.10(a) ....................................................... 2040–0285
Feedlots Point Source Category Concentrated Aquatic Animal Production Point Source
Category
412.31–412.37 ............................................... 2040–0250
412.41–412.47 ............................................... 2040–0250 451.3 .............................................................. 2040–0258
451.11(d) ....................................................... 2040–0258
Steam Electric Generating Point Source Category 451.21(g) ....................................................... 2040–0258
423.12–423.13 ............................................... 2040–0033 Coil Coating Point Source Category
423.15 ............................................................ 2040–0033
465.03 ............................................................ 2040–0033
Pulp, Paper, and Paperboard Point Source Category
Porcelain Enameling Point Source Category
430.02(a)–(e) ................................................. 2040–0243
430.02(f) ........................................................ 2040–0242
466.03 ............................................................ 2040–0033
430.03 ............................................................ 2040–0207
430.14–430.17 ............................................... 2040–0033
Aluminum Forming Point Source Category
430.24(a) ....................................................... 2040–0033
430.24(b) ....................................................... 2040–0033
467.03 ............................................................ 2040–0033
2040–0202
430.24(c) ........................................................ 2040–0202
State Sludge Management Program Requirements
430.24(d) ....................................................... 2040–0033
430.24(e) ....................................................... 2040–0033
501.15(a) ....................................................... 2040–0086,
430.25–430.27 ............................................... 2040–0033
2040–0110
430.54–430.57 ............................................... 2040–0033
501.15(b) ....................................................... 2040–0004,
430.64–430.67 ............................................... 2040–0033
2040–0068,
430.74–430.77 ............................................... 2040–0033
430.84–430.87 ............................................... 2040–0033 2040–0110
430.94–430.97 ............................................... 2040–0033 501.15(c) ........................................................ 2040–0068
430.104–430.107 ........................................... 2040–0033 501.16 ............................................................ 2040–0057
430.114–430.117 ........................................... 2040–0033 501.21 ............................................................ 2040–0057
430.134–430.137 ........................................... 2040–0033
430.144–430.147 ........................................... 2040–0033 Standards for the Use or Disposal of Sewage Sludge
430.154–430.157 ........................................... 2040–0033
430.164–430.167 ........................................... 2040–0033 503.17–503.18 ............................................... 2040–0157
430.174–430.177 ........................................... 2040–0033 503.27–503.28 ............................................... 2040–0157
430.184–430.187 ........................................... 2040–0033 503.47–503.48 ............................................... 2040–0157
430.194–430.197 ........................................... 2040–0033
430.204–430.207 ........................................... 2040–0033 Fuel Economy of Motor Vehicles
430.214–430.217 ........................................... 2040–0033
430.224–430.227 ........................................... 2040–0033 600.005–87 .................................................... 2060–0104
430.234–430.237 ........................................... 2040–0033 600.006–86 .................................................... 2060–0104
430.244–430.247 ........................................... 2040–0033 600.006–89 .................................................... 2060–0104
430.254–430.257 ........................................... 2040–0033 600.007–80 .................................................... 2060–0104
430.264–430.267 ........................................... 2040–0033 600.010–86 .................................................... 2060–0104
600.113–88 .................................................... 2060–0104
The Builders’ Paper and Board Mills Point Source 600.113–93 .................................................... 2060–0104
Category 600.206–86 .................................................... 2060–0104
600.206–93 .................................................... 2060–0104
431.14–431.17 ............................................... 2040–0033 600.207–86 .................................................... 2060–0104
600.207–93 .................................................... 2060–0104
Coal Mining Point Source Category 600.209–85 .................................................... 2060–0104
600.305–77 .................................................... 2060–0104
434.72–434.75 ............................................... 2040–0239 600.306–86 .................................................... 2060–0104
434.82–434.83 ............................................... 2040–0239 600.307–86 .................................................... 2060–0104
434.85 ............................................................ 2040–0239 600.307–95 .................................................... 2060–0104
Part 434, Appendix B .................................... 2040–0239
600.310–86 .................................................... 2060–0104
600.311–86 .................................................... 2060–0104
Oil and Gas Extraction Point Source Category
600.312–86 .................................................... 2060–0104
435.13 ............................................................ 2040–0230 600.313–01 .................................................... 2060–0104
435.15 ............................................................ 2040–0230 600.313–86 .................................................... 2060–0104
435.43 ............................................................ 2040–0230 600.314–01 .................................................... 2060–0104
435.45 ............................................................ 2040–0230 600.314–86 .................................................... 2060–0104
600.507–86 .................................................... 2060–0104
Pharmaceutical Manufacturing Point Source Category 600.509–86 .................................................... 2060–0104
600.510–86 .................................................... 2060–0104

439.14–439.17 ............................................... 2040–0033 600.510–93 .................................................... 2060–0104
439.24–439.27 ............................................... 2040–0033 600.512–86 .................................................... 2060–0104
439.34–439.37 ............................................... 2040–0033
152

No. No.
Toxic Substances Control Act: General 721.484 .......................................................... 2070–0012

721.505 .......................................................... 2070–0012
700.45 ............................................................ 2070–0012, 721.520 .......................................................... 2070–0012
2070–0038 721.522 .......................................................... 2070–0012
721.524 .......................................................... 2070–0012
Reporting and Recordkeeping Requirements 721.525 .......................................................... 2070–0012
721.530 .......................................................... 2070–0012
Part 704 ......................................................... 2070–0067 721.532 .......................................................... 2070–0012
721.533 .......................................................... 2070–0012
Chemical Imports and Exports 721.535 .......................................................... 2070–0012
721.536 .......................................................... 2070–0012
Part 707 ......................................................... 2070–0030 721.537 .......................................................... 2070–0012
721.538 .......................................................... 2070–0012
TSCA Chemical Inventory Regulations 721.539 .......................................................... 2070–0012
721.540 .......................................................... 2070–0012
Part 710, subpart B ....................................... 2070–0070 721.545 .......................................................... 2070–0012
Part 710, subpart C ....................................... 2070–0162 721.550 .......................................................... 2070–0012
721.555 .......................................................... 2070–0012
Chemical Information Rules
721.558 .......................................................... 2070–0012
721.562 .......................................................... 2070–0012
Part 712 ......................................................... 2070–0054
721.575 .......................................................... 2070–0012
Health and Safety Data Reporting 721.600 .......................................................... 2070–0012
721.625 .......................................................... 2070–0012
Part 716 ......................................................... 2070–0004 721.630 .......................................................... 2070–0012
721.632 .......................................................... 2070–0012
Records and Reports of Allegations That Chemical Sub- 721.633 .......................................................... 2070–0012
stances Cause Significant Adverse Reactions to 721.638 .......................................................... 2070–0012
Health or the Environment 721.639 .......................................................... 2070–0012
721.640 .......................................................... 2070–0012
Part 717 ......................................................... 2070–0017 721.641 .......................................................... 2070–0012
721.642 .......................................................... 2070–0012
Premanufacture Notification 721.643 .......................................................... 2070–0012
721.644 .......................................................... 2070–0012
Part 720 ......................................................... 2070–0012 721.646 .......................................................... 2070–0012
721.647 .......................................................... 2070–0012
Significant New Uses of Chemical Substances 721.648 .......................................................... 2070–0012
721.650 .......................................................... 2070–0038
Part 721, subpart A ....................................... 2070–0012, 721.655 .......................................................... 2070–0012
2070–0038 721.715 .......................................................... 2070–0012
721.72 ............................................................ 2070–0012, 721.720 .......................................................... 2070–0012
2070–0038 721.750 .......................................................... 2070–0012
721.125 .......................................................... 2070–0012, 721.757 .......................................................... 2070–0012
2070–0038 721.775 .......................................................... 2070–0012
721.160 .......................................................... 2070–0012, 721.785 .......................................................... 2070–0012
2070–0038 721.805 .......................................................... 2070–0012
721.170 .......................................................... 2070–0012, 721.825 .......................................................... 2070–0012
2070–0038 721.840 .......................................................... 2070–0012
721.185 .......................................................... 2070–0012, 721.843 .......................................................... 2070–0012
2070–0038 721.875 .......................................................... 2070–0012
721.225 .......................................................... 2070–0012 721.910 .......................................................... 2070–0012
721.267 .......................................................... 2070–0012 721.925 .......................................................... 2070–0012
721.275 .......................................................... 2070–0012 721.950 .......................................................... 2070–0012
721.285 .......................................................... 2070–0012 721.977 .......................................................... 2070–0012
721.303 .......................................................... 2070–0012 721.980 .......................................................... 2070–0012
721.304 .......................................................... 2070–0012 721.981 .......................................................... 2070–0012
721.305 .......................................................... 2070–0012 721.982 .......................................................... 2070–0012
721.320 .......................................................... 2070–0012 721.983 .......................................................... 2070–0012
721.321 .......................................................... 2070–0012 721.984 .......................................................... 2070–0012
721.323 .......................................................... 2070–0012 721.987 .......................................................... 2070–0012
721.324 .......................................................... 2070–0012 721.988 .......................................................... 2070–0012
721.329 .......................................................... 2070–0012 721.990 .......................................................... 2070–0012
721.330 .......................................................... 2070–0012 721.1000 ........................................................ 2070–0012
721.333 .......................................................... 2070–0012 721.1025 ........................................................ 2070–0038
721.336 .......................................................... 2070–0012 721.1050 ........................................................ 2070–0012
721.338 .......................................................... 2070–0012 721.1055 ........................................................ 2070–0012
721.405 .......................................................... 2070–0012 721.1068 ........................................................ 2070–0012
721.430 .......................................................... 2070–0012 721.1070 ........................................................ 2070–0012
721.435 .......................................................... 2070–0012 721.1075 ........................................................ 2070–0012
721.445 .......................................................... 2070–0012 721.1085 ........................................................ 2070–0012
721.450 .......................................................... 2070–0012 721.1105 ........................................................ 2070–0012

721.463 .......................................................... 2070–0012 721.1120 ........................................................ 2070–0012
721.465 .......................................................... 2070–0012 721.1150 ........................................................ 2070–0012
721.480 .......................................................... 2070–0012 721.1155 ........................................................ 2070–0012
153
§ 9.1 40 CFR Ch. I (7–1–21 Edition)

No. No.
721.1187 ........................................................ 2070–0012 721.1950 ........................................................ 2070–0012

721.1193 ........................................................ 2070–0012 721.2025 ........................................................ 2070–0012
721.1210 ........................................................ 2070–0012 721.2060 ........................................................ 2070–0012
721.1225 ........................................................ 2070–0012 721.2075 ........................................................ 2070–0012
721.1230 ........................................................ 2070–0012 721.2076 ........................................................ 2070–0012
721.1240 ........................................................ 2070–0012 721.2077 ........................................................ 2070–0012
721.1300 ........................................................ 2070–0012 721.2078 ........................................................ 2070–0012
721.1325 ........................................................ 2070–0012 721.2079 ........................................................ 2070–0012
721.1350 ........................................................ 2070–0012 721.2081 ........................................................ 2070–0012
721.1372 ........................................................ 2070–0012 721.2083 ........................................................ 2070–0012
721.1375 ........................................................ 2070–0012 721.2084 ........................................................ 2070–0038
721.1425 ........................................................ 2070–0038 721.2085 ........................................................ 2070–0012
721.1430 ........................................................ 2070–0038 721.2086 ........................................................ 2070–0012
721.1435 ........................................................ 2070–0038 721.2087 ........................................................ 2070–0012
721.1440 ........................................................ 2070–0038 721.2088 ........................................................ 2070–0012
721.1450 ........................................................ 2070–0012 721.2089 ........................................................ 2070–0012
721.1500 ........................................................ 2070–0012 721.2091 ........................................................ 2070–0012
721.1550 ........................................................ 2070–0012 721.2092 ........................................................ 2070–0038
721.1555 ........................................................ 2070–0012 721.2093 ........................................................ 2070–0012
721.1568 ........................................................ 2070–0012 721.2094 ........................................................ 2070–0012
721.1576 ........................................................ 2070–0012 721.2095 ........................................................ 2070–0012
721.1577 ........................................................ 2070–0012 721.2097 ........................................................ 2070–0012
721.1578 ........................................................ 2070–0012 721.2098 ........................................................ 2070–0012
721.1579 ........................................................ 2070–0012 721.2120 ........................................................ 2070–0012
721.1580 ........................................................ 2070–0012 721.2121 ........................................................ 2070–0012
721.1612 ........................................................ 2070–0012 721.2122 ........................................................ 2070–0012
721.1620 ........................................................ 2070–0012 721.2140 ........................................................ 2070–0012
721.1625 ........................................................ 2070–0012 721.2145 ........................................................ 2070–0012
721.1630 ........................................................ 2070–0012 721.2155 ........................................................ 2070–0012
721.1637 ........................................................ 2070–0012 721.2175 ........................................................ 2070–0012
721.1640 ........................................................ 2070–0012 721.2222 ........................................................ 2070–0012
721.1643 ........................................................ 2070–0012 721.2250 ........................................................ 2070–0012
721.1645 ........................................................ 2070–0012 721.2260 ........................................................ 2070–0012
721.1648 ........................................................ 2070–0012 721.2265 ........................................................ 2070–0012
721.1650 ........................................................ 2070–0012 721.2270 ........................................................ 2070–0012
721.1655 ........................................................ 2070–0012 721.2275 ........................................................ 2070–0012
721.1660 ........................................................ 2070–0038 721.2280 ........................................................ 2070–0012
721.1675 ........................................................ 2070–0012 721.2287 ........................................................ 2070–0038
721.1680 ........................................................ 2070–0012 721.2340 ........................................................ 2070–0012
721.1700 ........................................................ 2070–0012 721.2345 ........................................................ 2070–0012
721.1705 ........................................................ 2070–0012 721.2350 ........................................................ 2070–0012
721.1725 ........................................................ 2070–0012 721.2355 ........................................................ 2070–0038
721.1728 ........................................................ 2070–0012 721.2380 ........................................................ 2070–0012
721.1729 ........................................................ 2070–0012 721.2385 ........................................................ 2070–0012
721.1730 ........................................................ 2070–0012 721.2410 ........................................................ 2070–0012
721.1731 ........................................................ 2070–0012 721.2420 ........................................................ 2070–0012
721.1732 ........................................................ 2070–0012 721.2465 ........................................................ 2070–0012
721.1734 ........................................................ 2070–0012 721.2475 ........................................................ 2070–0012
721.1735 ........................................................ 2070–0012 721.2480 ........................................................ 2070–0012
721.1738 ........................................................ 2070–0012 721.2485 ........................................................ 2070–0012
721.1745 ........................................................ 2070–0012 721.2520 ........................................................ 2070–0012
721.1747 ........................................................ 2070–0012 721.2527 ........................................................ 2070–0012
721.1750 ........................................................ 2070–0012 721.2532 ........................................................ 2070–0012
721.1755 ........................................................ 2070–0012 721.2535 ........................................................ 2070–0012
721.1760 ........................................................ 2070–0012 721.2540 ........................................................ 2070–0012
721.1765 ........................................................ 2070–0012 721.2560 ........................................................ 2070–0012
721.1767 ........................................................ 2070–0012 721.2565 ........................................................ 2070–0012
721.1775 ........................................................ 2070–0012 721.2570 ........................................................ 2070–0012
721.1790 ........................................................ 2070–0038 721.2575 ........................................................ 2070–0012
721.1800 ........................................................ 2070–0012 721.2577 ........................................................ 2070–0012
721.1805 ........................................................ 2070–0012 721.2580 ........................................................ 2070–0012
721.1820 ........................................................ 2070–0012 721.2582 ........................................................ 2070–0012
721.1825 ........................................................ 2070–0012 721.2584 ........................................................ 2070–0012
721.1850 ........................................................ 2070–0012 721.2585 ........................................................ 2070–0012
721.1852 ........................................................ 2070–0012 721.2600 ........................................................ 2070–0038
721.1875 ........................................................ 2070–0012 721.2625 ........................................................ 2070–0012
721.1878 ........................................................ 2070–0012 721.2673 ........................................................ 2070–0012
721.1880 ........................................................ 2070–0012 721.2675 ........................................................ 2070–0012
721.1900 ........................................................ 2070–0012 721.2685 ........................................................ 2070–0012
721.1907 ........................................................ 2070–0012 721.2725 ........................................................ 2070–0038

721.1920 ........................................................ 2070–0012 721.2752 ........................................................ 2070–0012
721.1925 ........................................................ 2070–0012 721.2755 ........................................................ 2070–0012
721.1930 ........................................................ 2070–0012 721.2800 ........................................................ 2070–0038
154

No. No.
721.2805 ........................................................ 2070–0012 721.3821 ........................................................ 2070–0012

721.2825 ........................................................ 2070–0012 721.3830 ........................................................ 2070–0012
721.2900 ........................................................ 2070–0012 721.3835 ........................................................ 2070–0012
721.2920 ........................................................ 2070–0012 721.3840 ........................................................ 2070–0012
721.2925 ........................................................ 2070–0012 721.3845 ........................................................ 2070–0012
721.2950 ........................................................ 2070–0012 721.3848 ........................................................ 2070–0012
721.3000 ........................................................ 2070–0012 721.3860 ........................................................ 2070–0012
721.3020 ........................................................ 2070–0012 721.3880 ........................................................ 2070–0012
721.3025 ........................................................ 2070–0012 721.3900 ........................................................ 2070–0012
721.3031 ........................................................ 2070–0012 721.4000 ........................................................ 2070–0012
721.3032 ........................................................ 2070–0012 721.4040 ........................................................ 2070–0012
721.3034 ........................................................ 2070–0012 721.4060 ........................................................ 2070–0012
721.3062 ........................................................ 2070–0012 721.4080 ........................................................ 2070–0038
721.3063 ........................................................ 2070–0012 721.4085 ........................................................ 2070–0012
721.3080 ........................................................ 2070–0012 721.4090 ........................................................ 2070–0012
721.3085 ........................................................ 2070–0012 721.4095 ........................................................ 2070–0012
721.3100 ........................................................ 2070–0012 721.4096 ........................................................ 2070–0012
721.3110 ........................................................ 2070–0012 721.4097 ........................................................ 2070–0012
721.3130 ........................................................ 2070–0012 721.4098 ........................................................ 2070–0012
721.3135 ........................................................ 2070–0012 721.4100 ........................................................ 2070–0012
721.3140 ........................................................ 2070–0012 721.4105 ........................................................ 2070–0012
721.3152 ........................................................ 2070–0012 721.4106 ........................................................ 2070–0012
721.3155 ........................................................ 2070–0012 721.4107 ........................................................ 2070–0012
721.3160 ........................................................ 2070–0038 721.4108 ........................................................ 2070–0012
721.3220 ........................................................ 2070–0038 721.4110 ........................................................ 2070–0012
721.3248 ........................................................ 2070–0012 721.4128 ........................................................ 2070–0012
721.3260 ........................................................ 2070–0012 721.4133 ........................................................ 2070–0012
721.3310 ........................................................ 2070–0012 721.4136 ........................................................ 2070–0012
721.3320 ........................................................ 2070–0012 721.4140 ........................................................ 2070–0038
721.3340 ........................................................ 2070–0012 721.4155 ........................................................ 2070–0038
721.3350 ........................................................ 2070–0038 721.4158 ........................................................ 2070–0038
721.3360 ........................................................ 2070–0012 721.4160 ........................................................ 2070–0038
721.3364 ........................................................ 2070–0012 721.4180 ........................................................ 2070–0038
721.3374 ........................................................ 2070–0012 721.4215 ........................................................ 2070–0012
721.3380 ........................................................ 2070–0012 721.4250 ........................................................ 2070–0012
721.3420 ........................................................ 2070–0012 721.4255 ........................................................ 2070–0012
721.3430 ........................................................ 2070–0038 721.4257 ........................................................ 2070–0012
721.3435 ........................................................ 2070–0012 721.4258 ........................................................ 2070–0012
721.3437 ........................................................ 2070–0012 721.4259 ........................................................ 2070–0012
721.3438 ........................................................ 2070–0012 721.4260 ........................................................ 2070–0012
721.3440 ........................................................ 2070–0012 721.4265 ........................................................ 2070–0012
721.3465 ........................................................ 2070–0012 721.4270 ........................................................ 2070–0012
721.3480 ........................................................ 2070–0012 721.4280 ........................................................ 2070–0012
721.3485 ........................................................ 2070–0012 721.4300 ........................................................ 2070–0012
721.3486 ........................................................ 2070–0012 721.4320 ........................................................ 2070–0012
721.3488 ........................................................ 2070–0012 721.4340 ........................................................ 2070–0012
721.3500 ........................................................ 2070–0012 721.4360 ........................................................ 2070–0038
721.3520 ........................................................ 2070–0012 721.4365 ........................................................ 2070–0012
721.3550 ........................................................ 2070–0012 721.4380 ........................................................ 2070–0012
721.3560 ........................................................ 2070–0012 721.4385 ........................................................ 2070–0012
721.3565 ........................................................ 2070–0012 721.4390 ........................................................ 2070–0012
721.3620 ........................................................ 2070–0012 721.4420 ........................................................ 2070–0012
721.3625 ........................................................ 2070–0012 721.4460 ........................................................ 2070–0012
721.3627 ........................................................ 2070–0012 721.4461 ........................................................ 2070–0012
721.3629 ........................................................ 2070–0012 721.4462 ........................................................ 2070–0012
721.3635 ........................................................ 2070–0012 721.4463 ........................................................ 2070–0012
721.3680 ........................................................ 2070–0012 721.4464 ........................................................ 2070–0012
721.3700 ........................................................ 2070–0012 721.4465 ........................................................ 2070–0012
721.3710 ........................................................ 2070–0012 721.4467 ........................................................ 2070–0012
721.3720 ........................................................ 2070–0012 721.4468 ........................................................ 2070–0012
721.3740 ........................................................ 2070–0012 721.4469 ........................................................ 2070–0012
721.3760 ........................................................ 2070–0012 721.4470 ........................................................ 2070–0012
721.3764 ........................................................ 2070–0012 721.4472 ........................................................ 2070–0012
721.3780 ........................................................ 2070–0012 721.4473 ........................................................ 2070–0012
721.3790 ........................................................ 2070–0012 721.4476 ........................................................ 2070–0012
721.3800 ........................................................ 2070–0012 721.4480 ........................................................ 2070–0012
721.3805 ........................................................ 2070–0012 721.4484 ........................................................ 2070–0012
721.3807 ........................................................ 2070–0012 721.4486 ........................................................ 2070–0012
721.3810 ........................................................ 2070–0012 721.4490 ........................................................ 2070–0012
721.3812 ........................................................ 2070–0012 721.4494 ........................................................ 2070–0012

721.3815 ........................................................ 2070–0012 721.4497 ........................................................ 2070–0012
721.3818 ........................................................ 2070–0012 721.4500 ........................................................ 2070–0012
721.3820 ........................................................ 2070–0012 721.4520 ........................................................ 2070–0012
155
§ 9.1 40 CFR Ch. I (7–1–21 Edition)

No. No.
721.4550 ........................................................ 2070–0012 721.5460 ........................................................ 2070–0012

721.4565 ........................................................ 2070–0012 721.5465 ........................................................ 2070–0012
721.4568 ........................................................ 2070–0012 721.5475 ........................................................ 2070–0012
721.4575 ........................................................ 2070–0012 721.5500 ........................................................ 2070–0012
721.4585 ........................................................ 2070–0012 721.5525 ........................................................ 2070–0012
721.4587 ........................................................ 2070–0012 721.5540 ........................................................ 2070–0012
721.4589 ........................................................ 2070–0012 721.5545 ........................................................ 2070–0012
721.4590 ........................................................ 2070–0012 721.5546 ........................................................ 2070–0012
721.4594 ........................................................ 2070–0012 721.5547 ........................................................ 2070–0012
721.4596 ........................................................ 2070–0012 721.5548 ........................................................ 2070–0012
721.4600 ........................................................ 2070–0012 721.5549 ........................................................ 2070–0012
721.4610 ........................................................ 2070–0012 721.5550 ........................................................ 2070–0012
721.4620 ........................................................ 2070–0012 721.5560 ........................................................ 2070–0012
721.4660 ........................................................ 2070–0012 721.5575 ........................................................ 2070–0012
721.4663 ........................................................ 2070–0012 721.5580 ........................................................ 2070–0012
721.4668 ........................................................ 2070–0012 721.5585 ........................................................ 2070–0012
721.4680 ........................................................ 2070–0012 721.5590 ........................................................ 2070–0012
721.4685 ........................................................ 2070–0012 721.5600 ........................................................ 2070–0038
721.4700 ........................................................ 2070–0012 721.5625 ........................................................ 2070–0038
721.4720 ........................................................ 2070–0012 721.5645 ........................................................ 2070–0012
721.4740 ........................................................ 2070–0038 721.5650 ........................................................ 2070–0012
721.4792 ........................................................ 2070–0012 721.5700 ........................................................ 2070–0012
721.4794 ........................................................ 2070–0012 721.5708 ........................................................ 2070–0012
721.4820 ........................................................ 2070–0012 721.5710 ........................................................ 2070–0038
721.4840 ........................................................ 2070–0012 721.5713 ........................................................ 2070–0012
721.4880 ........................................................ 2070–0012 721.5725 ........................................................ 2070–0012
721.4885 ........................................................ 2070–0012 721.5740 ........................................................ 2070–0012
721.4925 ........................................................ 2070–0038 721.5760 ........................................................ 2070–0012
721.5050 ........................................................ 2070–0012 721.5762 ........................................................ 2070–0012
721.5075 ........................................................ 2070–0012 721.5763 ........................................................ 2070–0012
721.5175 ........................................................ 2070–0038 721.5769 ........................................................ 2070–0012
721.5185 ........................................................ 2070–0012 721.5775 ........................................................ 2070–0012
721.5192 ........................................................ 2070–0012 721.5780 ........................................................ 2070–0012
721.5200 ........................................................ 2070–0012 721.5800 ........................................................ 2070–0012
721.5225 ........................................................ 2070–0012 721.5820 ........................................................ 2070–0012
721.5250 ........................................................ 2070–0012 721.5840 ........................................................ 2070–0012
721.5252 ........................................................ 2070–0012 721.5860 ........................................................ 2070–0012
721.5253 ........................................................ 2070–0012 721.5867 ........................................................ 2070–0012
721.5255 ........................................................ 2070–0012 721.5880 ........................................................ 2070–0012
721.5260 ........................................................ 2070–0012 721.5900 ........................................................ 2070–0012
721.5262 ........................................................ 2070–0012 721.5905 ........................................................ 2070–0012
721.5275 ........................................................ 2070–0012 721.5908 ........................................................ 2070–0012
721.5276 ........................................................ 2070–0012 721.5912 ........................................................ 2070–0012
721.5278 ........................................................ 2070–0012 721.5913 ........................................................ 2070–0012
721.5279 ........................................................ 2070–0012 721.5914 ........................................................ 2070–0012
721.5280 ........................................................ 2070–0012 721.5915 ........................................................ 2070–0012
721.5281 ........................................................ 2070–0012 721.5917 ........................................................ 2070–0012
721.5282 ........................................................ 2070–0012 721.5920 ........................................................ 2070–0012
721.5283 ........................................................ 2070–0012 721.5925 ........................................................ 2070–0012
721.5284 ........................................................ 2070–0012 721.5930 ........................................................ 2070–0012
721.5285 ........................................................ 2070–0012 721.5935 ........................................................ 2070–0012
721.5286 ........................................................ 2070–0012 721.5960 ........................................................ 2070–0012
721.5288 ........................................................ 2070–0012 721.5965 ........................................................ 2070–0012
721.5290 ........................................................ 2070–0012 721.5970 ........................................................ 2070–0012
721.5293 ........................................................ 2070–0012 721.5980 ........................................................ 2070–0012
721.5310 ........................................................ 2070–0012 721.5985 ........................................................ 2070–0012
721.5315 ........................................................ 2070–0012 721.6000 ........................................................ 2070–0038
721.5325 ........................................................ 2070–0012 721.6005 ........................................................ 2070–0012
721.5330 ........................................................ 2070–0012 721.6020 ........................................................ 2070–0012
721.5340 ........................................................ 2070–0012 721.6045 ........................................................ 2070–0012
721.5350 ........................................................ 2070–0012 721.6060 ........................................................ 2070–0012
721.5356 ........................................................ 2070–0012 721.6070 ........................................................ 2070–0012
721.5358 ........................................................ 2070–0012 721.6075 ........................................................ 2070–0012
721.5360 ........................................................ 2070–0012 721.6080 ........................................................ 2070–0012
721.5375 ........................................................ 2070–0012 721.6085 ........................................................ 2070–0012
721.5378 ........................................................ 2070–0012 721.6090 ........................................................ 2070–0012
721.5380 ........................................................ 2070–0012 721.6097 ........................................................ 2070–0012
721.5385 ........................................................ 2070–0012 721.6100 ........................................................ 2070–0012
721.5400 ........................................................ 2070–0012 721.6110 ........................................................ 2070–0012
721.5425 ........................................................ 2070–0012 721.6120 ........................................................ 2070–0012

721.5450 ........................................................ 2070–0012 721.6140 ........................................................ 2070–0012
721.5452 ........................................................ 2070–0012 721.6160 ........................................................ 2070–0012
721.5454 ........................................................ 2070–0012 721.6165 ........................................................ 2070–0012
156

No. No.
721.6167 ........................................................ 2070–0012 721.8145 ........................................................ 2070–0012

721.6170 ........................................................ 2070–0012 721.8153 ........................................................ 2070–0012
721.6175 ........................................................ 2070–0012 721.8155 ........................................................ 2070–0012
721.6176 ........................................................ 2070–0012 721.8160 ........................................................ 2070–0012
721.6178 ........................................................ 2070–0012 721.8175 ........................................................ 2070–0012
721.6180 ........................................................ 2070–0012 721.8225 ........................................................ 2070–0012
721.6181 ........................................................ 2070–0012 721.8250 ........................................................ 2070–0012
721.6183 ........................................................ 2070–0012 721.8340 ........................................................ 2070–0012
721.6186 ........................................................ 2070–0012 721.8350 ........................................................ 2070–0012
721.6193 ........................................................ 2070–0012 721.8450 ........................................................ 2070–0012
721.6196 ........................................................ 2070–0012 721.8485 ........................................................ 2070–0012
721.6200 ........................................................ 2070–0012 721.8500 ........................................................ 2070–0012
721.6205 ........................................................ 2070–0012 721.8657 ........................................................ 2070–0012
721.6220 ........................................................ 2070–0012 721.8658 ........................................................ 2070–0012
721.6440 ........................................................ 2070–0012 721.8660 ........................................................ 2070–0012
721.6470 ........................................................ 2070–0012 721.8670 ........................................................ 2070–0012
721.6475 ........................................................ 2070–0012 721.8673 ........................................................ 2070–0012
721.6477 ........................................................ 2070–0012 721.8675 ........................................................ 2070–0012
721.6479 ........................................................ 2070–0012 721.8700 ........................................................ 2070–0012
721.6485 ........................................................ 2070–0012 721.8750 ........................................................ 2070–0012
721.6490 ........................................................ 2070–0012 721.8775 ........................................................ 2070–0012
721.6493 ........................................................ 2070–0012 721.8780 ........................................................ 2070–0012
721.6495 ........................................................ 2070–0012 721.8825 ........................................................ 2070–0012
721.6498 ........................................................ 2070–0012 721.8850 ........................................................ 2070–0012
721.6505 ........................................................ 2070–0012 721.8875 ........................................................ 2070–0012
721.6515 ........................................................ 2070–0012 721.8900 ........................................................ 2070–0012
721.6520 ........................................................ 2070–0012 721.8920 ........................................................ 2070–0012
721.6540 ........................................................ 2070–0012 721.8940 ........................................................ 2070–0012
721.6560 ........................................................ 2070–0012 721.8950 ........................................................ 2070–0012
721.6620 ........................................................ 2070–0012 721.8965 ........................................................ 2070–0012
721.6660 ........................................................ 2070–0012 721.9000 ........................................................ 2070–0038
721.6680 ........................................................ 2070–0012 721.9005 ........................................................ 2070–0012
721.6900 ........................................................ 2070–0012 721.9010 ........................................................ 2070–0012
721.6920 ........................................................ 2070–0012 721.9075 ........................................................ 2070–0012
721.6980 ........................................................ 2070–0012 721.9078 ........................................................ 2070–0012
721.7000 ........................................................ 2070–0012 721.9079 ........................................................ 2070–0012
721.7020 ........................................................ 2070–0012 721.9080 ........................................................ 2070–0012
721.7046 ........................................................ 2070–0012 721.9100 ........................................................ 2070–0012
721.7160 ........................................................ 2070–0012 721.9220 ........................................................ 2070–0012
721.7200 ........................................................ 2070–0012 721.9265 ........................................................ 2070–0012
721.7210 ........................................................ 2070–0012 721.9270 ........................................................ 2070–0012
721.7220 ........................................................ 2070–0012 721.9280 ........................................................ 2070–0012
721.7250 ........................................................ 2070–0012 721.9285 ........................................................ 2070–0012
721.7255 ........................................................ 2070–0012 721.9300 ........................................................ 2070–0012
721.7260 ........................................................ 2070–0012 721.9400 ........................................................ 2070–0012
721.7270 ........................................................ 2070–0012 721.9460 ........................................................ 2070–0012
721.7280 ........................................................ 2070–0012 721.9470 ........................................................ 2070–0038
721.7285 ........................................................ 2070–0012 721.9480 ........................................................ 2070–0012
721.7286 ........................................................ 2070–0038 721.9484 ........................................................ 2070–0012
721.7290 ........................................................ 2070–0012 721.9485 ........................................................ 2070–0012
721.7375 ........................................................ 2070–0012 721.9486 ........................................................ 2070–0012
721.7378 ........................................................ 2070–0012 721.9487 ........................................................ 2070–0012
721.7440 ........................................................ 2070–0012 721.9488 ........................................................ 2070–0012
721.7450 ........................................................ 2070–0012 721.9490 ........................................................ 2070–0012
721.7480 ........................................................ 2070–0012 721.9492 ........................................................ 2070–0012
721.7500 ........................................................ 2070–0012 721.9495 ........................................................ 2070–0012
721.7600 ........................................................ 2070–0012 721.9497 ........................................................ 2070–0012
721.7620 ........................................................ 2070–0012 721.9499 ........................................................ 2070–0012
721.7655 ........................................................ 2070–0012 721.9500 ........................................................ 2070–0012
721.7700 ........................................................ 2070–0012 721.9501 ........................................................ 2070–0012
721.7710 ........................................................ 2070–0012 721.9502 ........................................................ 2070–0012
721.7720 ........................................................ 2070–0012 721.9503 ........................................................ 2070–0012
721.7770 ........................................................ 2070–0012 721.9504 ........................................................ 2070–0012
721.7780 ........................................................ 2070–0012 721.9505 ........................................................ 2070–0012
721.7785 ........................................................ 2070–0012 721.9506 ........................................................ 2070–0012
721.8079 ........................................................ 2070–0012 721.9507 ........................................................ 2070–0012
721.8082 ........................................................ 2070–0012 721.9508 ........................................................ 2070–0012
721.8085 ........................................................ 2070–0012 721.9509 ........................................................ 2070–0012
721.8090 ........................................................ 2070–0012 721.9511 ........................................................ 2070–0012
721.8095 ........................................................ 2070–0012 721.9513 ........................................................ 2070–0012

721.8100 ........................................................ 2070–0012 721.9514 ........................................................ 2070–0012
721.8130 ........................................................ 2070–0012 721.9515 ........................................................ 2070–0012
721.8140 ........................................................ 2070–0012 721.9516 ........................................................ 2070–0012
157
§ 9.1 40 CFR Ch. I (7–1–21 Edition)

No. No.
721.9517 ........................................................ 2070–0012 721.9973 ........................................................ 2070–0012

721.9518 ........................................................ 2070–0012 721.10000 ...................................................... 2070–0012
721.9520 ........................................................ 2070–0012 721.10001 ...................................................... 2070–0012
721.9526 ........................................................ 2070–0012 721.10002 ...................................................... 2070–0012
721.9527 ........................................................ 2070–0012 721.10003 ...................................................... 2070–0012
721.9530 ........................................................ 2070–0012 721.10004 ...................................................... 2070–0012
721.9535 ........................................................ 2070–0012 721.10005 ...................................................... 2070–0012
721.9538 ........................................................ 2070–0012 721.10006 ...................................................... 2070–0012
721.9540 ........................................................ 2070–0012 721.10007 ...................................................... 2070–0012
721.9545 ........................................................ 2070–0012 721.10008 ...................................................... 2070–0012
721.9550 ........................................................ 2070–0012 721.10009 ...................................................... 2070–0012
721.9570 ........................................................ 2070–0012 721.10010 ...................................................... 2070–0012
721.9572 ........................................................ 2070–0012 721.10011 ...................................................... 2070–0012
721.9573 ........................................................ 2070–0012 721.10012 ...................................................... 2070–0012
721.9575 ........................................................ 2070–0012 721.10013 ...................................................... 2070–0012
721.9576 ........................................................ 2070–0012 721.10014 ...................................................... 2070–0012
721.9577 ........................................................ 2070–0012 721.10015 ...................................................... 2070–0012
721.9580 ........................................................ 2070–0038 721.10016 ...................................................... 2070–0012
721.9582 ........................................................ 2070–0038 721.10017 ...................................................... 2070–0012
721.9595 ........................................................ 2070–0012 721.10018 ...................................................... 2070–0012
721.9597 ........................................................ 2070–0012 721.10019 ...................................................... 2070–0012
721.9620 ........................................................ 2070–0012 721.10020 ...................................................... 2070–0012
721.9630 ........................................................ 2070–0012 721.10021 ...................................................... 2070–0012
721.9635 ........................................................ 2070–0012 721.10022 ...................................................... 2070–0012
721.9640 ........................................................ 2070–0012 721.10023 ...................................................... 2070–0012
721.9650 ........................................................ 2070–0012 721.10024 ...................................................... 2070–0012
721.9656 ........................................................ 2070–0012 721.10025 ...................................................... 2070–0012
721.9657 ........................................................ 2070–0012 721.10026 ...................................................... 2070–0012
721.9658 ........................................................ 2070–0012 721.10027 ...................................................... 2070–0012
721.9659 ........................................................ 2070–0012 721.10028 ...................................................... 2070–0012
721.9660 ........................................................ 2070–0038 721.10029 ...................................................... 2070–0012
721.9661 ........................................................ 2070–0012 721.10030 ...................................................... 2070–0012
721.9662 ........................................................ 2070–0012 721.10031 ...................................................... 2070–0012
721.9663 ........................................................ 2070–0012 721.10032 ...................................................... 2070–0012
721.9664 ........................................................ 2070–0012 721.10033 ...................................................... 2070–0012
721.9665 ........................................................ 2070–0012 721.10034 ...................................................... 2070–0012
721.9668 ........................................................ 2070–0012 721.10035 ...................................................... 2070–0012
721.9670 ........................................................ 2070–0012 721.10036 ...................................................... 2070–0012
721.9671 ........................................................ 2070–0012 721.10037 ...................................................... 2070–0012
721.9672 ........................................................ 2070–0012 721.10038 ...................................................... 2070–0012
721.9674 ........................................................ 2070–0012 721.10039 ...................................................... 2070–0012
721.9675 ........................................................ 2070–0012 721.10040 ...................................................... 2070–0012
721.9680 ........................................................ 2070–0012 721.10041 ...................................................... 2070–0012
721.9685 ........................................................ 2070–0012 721.10042 ...................................................... 2070–0012
721.9700 ........................................................ 2070–0012 721.10043 ...................................................... 2070–0012
721.9717 ........................................................ 2070–0012 721.10044 ...................................................... 2070–0012
721.9719 ........................................................ 2070–0012 721.10045 ...................................................... 2070–0012
721.9720 ........................................................ 2070–0012 721.10046 ...................................................... 2070–0012
721.9730 ........................................................ 2070–0012 721.10047 ...................................................... 2070–0012
721.9740 ........................................................ 2070–0012 721.10048 ...................................................... 2070–0012
721.9750 ........................................................ 2070–0012 721.10049 ...................................................... 2070–0012
721.9790 ........................................................ 2070–0012 721.10050 ...................................................... 2070–0012
721.9795 ........................................................ 2070–0012 721.10051 ...................................................... 2070–0012
721.9798 ........................................................ 2070–0012 721.10052 ...................................................... 2070–0012
721.9800 ........................................................ 2070–0012 721.10053 ...................................................... 2070–0012
721.9820 ........................................................ 2070–0012 721.10054 ...................................................... 2070–0012
721.9825 ........................................................ 2070–0012 721.10055 ...................................................... 2070–0012
721.9830 ........................................................ 2070–0012 721.10056 ...................................................... 2070–0012
721.9840 ........................................................ 2070–0012 721.10058 ...................................................... 2070–0012
721.9850 ........................................................ 2070–0012 721.10059 ...................................................... 2070–0012
721.9892 ........................................................ 2070–0012 721.10060 ...................................................... 2070–0012
721.9900 ........................................................ 2070–0012 721.10061 ...................................................... 2070–0012
721.9920 ........................................................ 2070–0012 721.10062 ...................................................... 2070–0012
721.9925 ........................................................ 2070–0012 721.10063 ...................................................... 2070–0012
721.9928 ........................................................ 2070–0012 721.10064 ...................................................... 2070–0012
721.9929 ........................................................ 2070–0012 721.10065 ...................................................... 2070–0012
721.9930 ........................................................ 2070–0038 721.10066 ...................................................... 2070–0012
721.9952 ........................................................ 2070–0012 721.10067 ...................................................... 2070–0012
721.9957 ........................................................ 2070–0038 721.10068 ...................................................... 2070–0038
721.9959 ........................................................ 2070–0012 721.10070 ...................................................... 2070–0012

721.9965 ........................................................ 2070–0012 721.10071 ...................................................... 2070–0012
721.9969 ........................................................ 2070–0012 721.10072 ...................................................... 2070–0012
721.9970 ........................................................ 2070–0012 721.10073 ...................................................... 2070–0012
158

No. No.
721.10074 ...................................................... 2070–0012 721.10148 ...................................................... 2070–0012

721.10075 ...................................................... 2070–0012 721.10149 ...................................................... 2070–0012
721.10076 ...................................................... 2070–0012 721.10150 ...................................................... 2070–0012
721.10077 ...................................................... 2070–0012 721.10151 ...................................................... 2070–0012
721.10078 ...................................................... 2070–0012 721.10152 ...................................................... 2070–0012
721.10079 ...................................................... 2070–0012 721.10153 ...................................................... 2070–0012
721.10080 ...................................................... 2070–0012 721.10154 ...................................................... 2070–0012
721.10081 ...................................................... 2070–0012 721.10155 ...................................................... 2070–0012
721.10082 ...................................................... 2070–0012 721.10156 ...................................................... 2070–0012
721.10083 ...................................................... 2070–0012 721.10157 ...................................................... 2070–0012
721.10084 ...................................................... 2070–0012 721.10158 ...................................................... 2070–0012
721.10085 ...................................................... 2070–0012 721.10159 ...................................................... 2070–0012
721.10086 ...................................................... 2070–0012 721.10160 ...................................................... 2070–0012
721.10087 ...................................................... 2070–0012 721.10161 ...................................................... 2070–0012
721.10089 ...................................................... 2070–0012 721.10162 ...................................................... 2070–0012
721.10090 ...................................................... 2070–0012 721.10163 ...................................................... 2070–0012
721.10091 ...................................................... 2070–0012 721.10164 ...................................................... 2070–0012
721.10092 ...................................................... 2070–0012 721.10165 ...................................................... 2070–0012
721.10093 ...................................................... 2070–0012 721.10166 ...................................................... 2070–0012
721.10094 ...................................................... 2070–0012 721.10167 ...................................................... 2070–0012
721.10095 ...................................................... 2070–0012 721.10168 ...................................................... 2070–0012
721.10096 ...................................................... 2070–0012 721.10169 ...................................................... 2070–0012
721.10097 ...................................................... 2070–0012 721.10170 ...................................................... 2070–0012
721.10098 ...................................................... 2070–0012 721.10171 ...................................................... 2070–0012
721.10099 ...................................................... 2070–0012 721.10172 ...................................................... 2070–0012
721.10100 ...................................................... 2070–0012 721.10173 ...................................................... 2070–0012
721.10101 ...................................................... 2070–0012 721.10174 ...................................................... 2070–0012
721.10102 ...................................................... 2070–0012 721.10175 ...................................................... 2070–0012
721.10103 ...................................................... 2070–0012 721.10176 ...................................................... 2070–0012
721.10104 ...................................................... 2070–0012 721.10177 ...................................................... 2070–0012
721.10105 ...................................................... 2070–0012 721.10178 ...................................................... 2070–0012
721.10106 ...................................................... 2070–0012 721.10179 ...................................................... 2070–0012
721.10107 ...................................................... 2070–0012 721.10180 ...................................................... 2070–0012
721.10108 ...................................................... 2070–0012 721.10181 ...................................................... 2070–0012
721.10109 ...................................................... 2070–0012 721.10182 ...................................................... 2070–0012
721.10110 ...................................................... 2070–0012 721.10183 ...................................................... 2070–0012
721.10111 ...................................................... 2070–0012 721.10184 ...................................................... 2070–0012
721.10112 ...................................................... 2070–0012 721.10185 ...................................................... 2070–0012
721.10113 ...................................................... 2070–0012 721.10186 ...................................................... 2070–0012
721.10114 ...................................................... 2070–0012 721.10187 ...................................................... 2070–0012
721.10115 ...................................................... 2070–0012 721.10188 ...................................................... 2070–0012
721.10116 ...................................................... 2070–0012 721.10189 ...................................................... 2070–0012
721.10117 ...................................................... 2070–0012 721.10190 ...................................................... 2070–0012
721.10118 ...................................................... 2070–0012 721.10191 ...................................................... 2070–0012
721.10119 ...................................................... 2070–0012 721.10192 ...................................................... 2070–0012
721.10120 ...................................................... 2070–0012 721.10193 ...................................................... 2070–0012
721.10121 ...................................................... 2070–0012 721.10194 ...................................................... 2070–0012
721.10122 ...................................................... 2070–0012 721.10195 ...................................................... 2070–0012
721.10123 ...................................................... 2070–0012 721.10196 ...................................................... 2070–0012
721.10124 ...................................................... 2070–0012 721.10197 ...................................................... 2070–0012
721.10125 ...................................................... 2070–0012 721.10198 ...................................................... 2070–0012
721.10126 ...................................................... 2070–0012 721.10199 ...................................................... 2070–0012
721.10127 ...................................................... 2070–0012 721.10200 ...................................................... 2070–0012
721.10128 ...................................................... 2070–0012 721.10201 ...................................................... 2070–0012
721.10129 ...................................................... 2070–0012 721.10202 ...................................................... 2070–0012
721.10130 ...................................................... 2070–0012 721.10203 ...................................................... 2070–0012
721.10131 ...................................................... 2070–0012 721.10204 ...................................................... 2070–0012
721.10132 ...................................................... 2070–0012 721.10205 ...................................................... 2070–0012
721.10133 ...................................................... 2070–0012 721.10206 ...................................................... 2070–0012
721.10134 ...................................................... 2070–0012 721.10207 ...................................................... 2070–0012
721.10135 ...................................................... 2070–0012 721.10208 ...................................................... 2070–0012
721.10136 ...................................................... 2070–0012 721.10209 ...................................................... 2070–0012
721.10137 ...................................................... 2070–0012 721.10210 ...................................................... 2070–0012
721.10138 ...................................................... 2070–0012 721.10211 ...................................................... 2070–0012
721.10139 ...................................................... 2070–0012 721.10212 ...................................................... 2070–0012
721.10140 ...................................................... 2070–0012 721.10213 ...................................................... 2070–0012
721.10141 ...................................................... 2070–0012 721.10214 ...................................................... 2070–0012
721.10142 ...................................................... 2070–0012 721.10215 ...................................................... 2070–0012
721.10143 ...................................................... 2070–0012 721.10216 ...................................................... 2070–0012
721.10144 ...................................................... 2070–0012 721.10217 ...................................................... 2070–0012

721.10145 ...................................................... 2070–0012 721.10218 ...................................................... 2070–0012
721.10146 ...................................................... 2070–0012 721.10219 ...................................................... 2070–0012
721.10147 ...................................................... 2070–0012 721.10220 ...................................................... 2070–0012
159
§ 9.1 40 CFR Ch. I (7–1–21 Edition)

No. No.
721.10221 ...................................................... 2070–0012 721.10296 ...................................................... 2070–0012

721.10222 ...................................................... 2070–0012 721.10297 ...................................................... 2070–0012
721.10223 ...................................................... 2070–0012 721.10298 ...................................................... 2070–0012
721.10224 ...................................................... 2070–0012 721.10299 ...................................................... 2070–0012
721.10225 ...................................................... 2070–0012 721.10300 ...................................................... 2070–0012
721.10226 ...................................................... 2070–0038 721.10301 ...................................................... 2070–0012
721.10227 ...................................................... 2070–0038 721.10302 ...................................................... 2070–0012
721.10229 ...................................................... 2070–0038 721.10303 ...................................................... 2070–0012
721.10230 ...................................................... 2070–0012 721.10304 ...................................................... 2070–0012
721.10231 ...................................................... 2070–0012 721.10305 ...................................................... 2070–0012
721.10232 ...................................................... 2070–0012 721.10306 ...................................................... 2070–0012
721.10233 ...................................................... 2070–0012 721.10307 ...................................................... 2070–0012
721.10234 ...................................................... 2070–0012 721.10308 ...................................................... 2070–0012
721.10235 ...................................................... 2070–0012 721.10313 ...................................................... 2070–0012
721.10236 ...................................................... 2070–0012 721.10314 ...................................................... 2070–0012
721.10237 ...................................................... 2070–0012 721.10315 ...................................................... 2070–0012
721.10238 ...................................................... 2070–0012 721.10316 ...................................................... 2070–0012
721.10239 ...................................................... 2070–0012 721.10317 ...................................................... 2070–0012
721.10240 ...................................................... 2070–0012 721.10318 ...................................................... 2070–0012
721.10241 ...................................................... 2070–0012 721.10319 ...................................................... 2070–0012
721.10242 ...................................................... 2070–0012 721.10320 ...................................................... 2070–0012
721.10243 ...................................................... 2070–0012 721.10321 ...................................................... 2070–0012
721.10244 ...................................................... 2070–0012 721.10322 ...................................................... 2070–0012
721.10245 ...................................................... 2070–0012 721.10323 ...................................................... 2070–0012
721.10246 ...................................................... 2070–0012 721.10324 ...................................................... 2070–0012
721.10247 ...................................................... 2070–0012 721.10325 ...................................................... 2070–0012
721.10248 ...................................................... 2070–0012 721.10326 ...................................................... 2070–0012
721.10249 ...................................................... 2070–0012 721.10327 ...................................................... 2070–0012
721.10250 ...................................................... 2070–0012 721.10328 ...................................................... 2070–0012
721.10251 ...................................................... 2070–0012 721.10329 ...................................................... 2070–0012
721.10252 ...................................................... 2070–0012 721.10330 ...................................................... 2070–0012
721.10253 ...................................................... 2070–0012 721.10331 ...................................................... 2070–0012
721.10254 ...................................................... 2070–0012 721.10332 ...................................................... 2070–0012
721.10255 ...................................................... 2070–0012 721.10333 ...................................................... 2070–0012
721.10256 ...................................................... 2070–0012 721.10334 ...................................................... 2070–0012
721.10257 ...................................................... 2070–0012 721.10335 ...................................................... 2070–0012
721.10258 ...................................................... 2070–0012 721.10336 ...................................................... 2070–0012
721.10259 ...................................................... 2070–0012 721.10337 ...................................................... 2070–0012
721.10260 ...................................................... 2070–0012 721.10338 ...................................................... 2070–0012
721.10261 ...................................................... 2070–0012 721.10339 ...................................................... 2070–0012
721.10262 ...................................................... 2070–0012 721.10340 ...................................................... 2070–0012
721.10263 ...................................................... 2070–0012 721.10341 ...................................................... 2070–0012
721.10264 ...................................................... 2070–0012 721.10342 ...................................................... 2070–0012
721.10265 ...................................................... 2070–0012 721.10343 ...................................................... 2070–0012
721.10266 ...................................................... 2070–0012 721.10344 ...................................................... 2070–0012
721.10267 ...................................................... 2070–0012 721.10345 ...................................................... 2070–0012
721.10268 ...................................................... 2070–0012 721.10346 ...................................................... 2070–0012
721.10269 ...................................................... 2070–0012 721.10347 ...................................................... 2070–0012
721.10270 ...................................................... 2070–0012 721.10348 ...................................................... 2070–0012
721.10271 ...................................................... 2070–0012 721.10349 ...................................................... 2070–0012
721.10272 ...................................................... 2070–0012 721.10350 ...................................................... 2070–0012
721.10273 ...................................................... 2070–0012 721.10351 ...................................................... 2070–0012
721.10274 ...................................................... 2070–0012 721.10352 ...................................................... 2070–0012
721.10275 ...................................................... 2070–0012 721.10353 ...................................................... 2070–0012
721.10276 ...................................................... 2070–0012 721.10354 ...................................................... 2070–0012
721.10277 ...................................................... 2070–0012 721.10355 ...................................................... 2070–0012
721.10278 ...................................................... 2070–0012 721.10356 ...................................................... 2070–0012
721.10279 ...................................................... 2070–0012 721.10357 ...................................................... 2070–0012
721.10280 ...................................................... 2070–0012 721.10358 ...................................................... 2070–0012
721.10281 ...................................................... 2070–0038 721.10359 ...................................................... 2070–0012
721.10282 ...................................................... 2070–0012 721.10360 ...................................................... 2070–0012
721.10283 ...................................................... 2070–0012 721.10361 ...................................................... 2070–0012
721.10284 ...................................................... 2070–0012 721.10362 ...................................................... 2070–0012
721.10285 ...................................................... 2070–0012 721.10363 ...................................................... 2070–0012
721.10286 ...................................................... 2070–0012 721.10364 ...................................................... 2070–0012
721.10287 ...................................................... 2070–0012 721.10365 ...................................................... 2070–0012
721.10288 ...................................................... 2070–0012 721.10366 ...................................................... 2070–0012
721.10289 ...................................................... 2070–0012 721.10367 ...................................................... 2070–0012
721.10290 ...................................................... 2070–0012 721.10368 ...................................................... 2070–0012
721.10292 ...................................................... 2070–0012 721.10369 ...................................................... 2070–0012

721.10293 ...................................................... 2070–0012 721.10370 ...................................................... 2070–0012
721.10294 ...................................................... 2070–0012 721.10371 ...................................................... 2070–0012
721.10295 ...................................................... 2070–0012 721.10372 ...................................................... 2070–0012
160

No. No.
721.10373 ...................................................... 2070–0012 721.10452 ...................................................... 2070–0012

721.10374 ...................................................... 2070–0012 721.10453 ...................................................... 2070–0012
721.10375 ...................................................... 2070–0012 721.10454 ...................................................... 2070–0012
721.10376 ...................................................... 2070–0012 721.10455 ...................................................... 2070–0012
721.10377 ...................................................... 2070–0012 721.10456 ...................................................... 2070–0012
721.10378 ...................................................... 2070–0012 721.10457 ...................................................... 2070–0012
721.10379 ...................................................... 2070–0012 721.10458 ...................................................... 2070–0012
721.10380 ...................................................... 2070–0012 721.10459 ...................................................... 2070–0012
721.10381 ...................................................... 2070–0012 721.10460 ...................................................... 2070–0012
721.10382 ...................................................... 2070–0012 721.10461 ...................................................... 2070–0012
721.10383 ...................................................... 2070–0012 721.10462 ...................................................... 2070–0012
721.10384 ...................................................... 2070–0012 721.10463 ...................................................... 2070–0012
721.10385 ...................................................... 2070–0012 721.10464 ...................................................... 2070–0012
721.10386 ...................................................... 2070–0012 721.10465 ...................................................... 2070–0012
721.10387 ...................................................... 2070–0012 721.10466 ...................................................... 2070–0012
721.10388 ...................................................... 2070–0012 721.10467 ...................................................... 2070–0012
721.10389 ...................................................... 2070–0012 721.10468 ...................................................... 2070–0012
721.10390 ...................................................... 2070–0012 721.10469 ...................................................... 2070–0012
721.10391 ...................................................... 2070–0012 721.10470 ...................................................... 2070–0012
721.10392 ...................................................... 2070–0012 721.10471 ...................................................... 2070–0012
721.10393 ...................................................... 2070–0012 721.10472 ...................................................... 2070–0012
721.10394 ...................................................... 2070–0012 721.10473 ...................................................... 2070–0012
721.10395 ...................................................... 2070–0012 721.10474 ...................................................... 2070–0012
721.10396 ...................................................... 2070–0012 721.10475 ...................................................... 2070–0012
721.10397 ...................................................... 2070–0012 721.10476 ...................................................... 2070–0012
721.10398 ...................................................... 2070–0012 721.10477 ...................................................... 2070–0012
721.10399 ...................................................... 2070–0012 721.10478 ...................................................... 2070–0012
721.10400 ...................................................... 2070–0012 721.10479 ...................................................... 2070–0012
721.10401 ...................................................... 2070–0012 721.10480 ...................................................... 2070–0012
721.10408 ...................................................... 2070–0012 721.10481 ...................................................... 2070–0012
721.10409 ...................................................... 2070–0012 721.10482 ...................................................... 2070–0012
721.10410 ...................................................... 2070–0012 721.10483 ...................................................... 2070–0012
721.10411 ...................................................... 2070–0012 721.10484 ...................................................... 2070–0012
721.10412 ...................................................... 2070–0012 721.10485 ...................................................... 2070–0012
721.10413 ...................................................... 2070–0012 721.10486 ...................................................... 2070–0012
721.10414 ...................................................... 2070–0012 721.10487 ...................................................... 2070–0012
721.10415 ...................................................... 2070–0012 721.10488 ...................................................... 2070–0012
721.10416 ...................................................... 2070–0012 721.10489 ...................................................... 2070–0012
721.10417 ...................................................... 2070–0012 721.10490 ...................................................... 2070–0012
721.10418 ...................................................... 2070–0012 721.10491 ...................................................... 2070–0012
721.10419 ...................................................... 2070–0012 721.10492 ...................................................... 2070–0012
721.10420 ...................................................... 2070–0012 721.10493 ...................................................... 2070–0012
721.10421 ...................................................... 2070–0012 721.10494 ...................................................... 2070–0012
721.10422 ...................................................... 2070–0012 721.10495 ...................................................... 2070–0012
721.10423 ...................................................... 2070–0012 721.10496 ...................................................... 2070–0012
721.10424 ...................................................... 2070–0012 721.10497 ...................................................... 2070–0012
721.10425 ...................................................... 2070–0012 721.10498 ...................................................... 2070–0012
721.10426 ...................................................... 2070–0012 721.10499 ...................................................... 2070–0012
721.10427 ...................................................... 2070–0012 721.10500 ...................................................... 2070–0012
721.10428 ...................................................... 2070–0012 721.10501 ...................................................... 2070–0012
721.10429 ...................................................... 2070–0012 721.10502 ...................................................... 2070–0012
721.10430 ...................................................... 2070–0012 721.10503 ...................................................... 2070–0012
721.10431 ...................................................... 2070–0012 721.10504 ...................................................... 2070–0012
721.10432 ...................................................... 2070–0012 721.10505 ...................................................... 2070–0012
721.10433 ...................................................... 2070–0012 721.10506 ...................................................... 2070–0012
721.10434 ...................................................... 2070–0012 721.10507 ...................................................... 2070–0012
721.10435 ...................................................... 2070–0012 721.10508 ...................................................... 2070–0012
721.10436 ...................................................... 2070–0012 721.10509 ...................................................... 2070–0012
721.10437 ...................................................... 2070–0012 721.10510 ...................................................... 2070–0012
721.10438 ...................................................... 2070–0012 721.10511 ...................................................... 2070–0012
721.10439 ...................................................... 2070–0012 721.10512 ...................................................... 2070–0012
721.10440 ...................................................... 2070–0012 721.10513 ...................................................... 2070–0012
721.10441 ...................................................... 2070–0012 721.10514 ...................................................... 2070–0012
721.10442 ...................................................... 2070–0012 721.10515 ...................................................... 2070–0012
721.10443 ...................................................... 2070–0012 721.10516 ...................................................... 2070–0012
721.10444 ...................................................... 2070–0012 721.10517 ...................................................... 2070–0012
721.10445 ...................................................... 2070–0012 721.10518 ...................................................... 2070–0012
721.10446 ...................................................... 2070–0012 721.10519 ...................................................... 2070–0012
721.10447 ...................................................... 2070–0012 721.10520 ...................................................... 2070–0012
721.10448 ...................................................... 2070–0012 721.10521 ...................................................... 2070–0012

721.10449 ...................................................... 2070–0012 721.10522 ...................................................... 2070–0012
721.10450 ...................................................... 2070–0012 721.10523 ...................................................... 2070–0012
721.10451 ...................................................... 2070–0012 721.10524 ...................................................... 2070–0012
161
§ 9.1 40 CFR Ch. I (7–1–21 Edition)

No. No.
721.10525 ...................................................... 2070–0012 721.10598 ...................................................... 2070–0012

721.10526 ...................................................... 2070–0012 721.10599 ...................................................... 2070–0012
721.10527 ...................................................... 2070–0012 721.10600 ...................................................... 2070–0012
721.10528 ...................................................... 2070–0012 721.10601 ...................................................... 2070–0012
721.10529 ...................................................... 2070–0012 721.10602 ...................................................... 2070–0012
721.10530 ...................................................... 2070–0012 721.10603 ...................................................... 2070–0012
721.10531 ...................................................... 2070–0012 721.10604 ...................................................... 2070–0012
721.10532 ...................................................... 2070–0012 721.10605 ...................................................... 2070–0012
721.10533 ...................................................... 2070–0012 721.10606 ...................................................... 2070–0012
721.10534 ...................................................... 2070–0012 721.10607 ...................................................... 2070–0012
721.10535 ...................................................... 2070–0012 721.10608 ...................................................... 2070–0012
721.10536 ...................................................... 2070–0038 721.10609 ...................................................... 2070–0012
721.10537 ...................................................... 2070–0012 721.10610 ...................................................... 2070–0012
721.10538 ...................................................... 2070–0012 721.10611 ...................................................... 2070–0012
721.10539 ...................................................... 2070–0012 721.10618 ...................................................... 2070–0012
721.10540 ...................................................... 2070–0012 721.10619 ...................................................... 2070–0012
721.10541 ...................................................... 2070–0012 721.10620 ...................................................... 2070–0012
721.10542 ...................................................... 2070–0012 721.10621 ...................................................... 2070–0012
721.10543 ...................................................... 2070–0012 721.10622 ...................................................... 2070–0012
721.10544 ...................................................... 2070–0012 721.10624 ...................................................... 2070–0012
721.10545 ...................................................... 2070–0012 721.10625 ...................................................... 2070–0012
721.10546 ...................................................... 2070–0012 721.10626 ...................................................... 2070–0012
721.10547 ...................................................... 2070–0012 721.10627 ...................................................... 2070–0012
721.10548 ...................................................... 2070–0012 721.10628 ...................................................... 2070–0012
721.10549 ...................................................... 2070–0012 721.10629 ...................................................... 2070–0012
721.10550 ...................................................... 2070–0012 721.10630 ...................................................... 2070–0012
721.10551 ...................................................... 2070–0012 721.10631 ...................................................... 2070–0012
721.10552 ...................................................... 2070–0012 721.10632 ...................................................... 2070–0012
721.10553 ...................................................... 2070–0012 721.10633 ...................................................... 2070–0012
721.10554 ...................................................... 2070–0012 721.10634 ...................................................... 2070–0012
721.10555 ...................................................... 2070–0012 721.10635 ...................................................... 2070–0012
721.10556 ...................................................... 2070–0012 721.10636 ...................................................... 2070–0012
721.10557 ...................................................... 2070–0012 721.10637 ...................................................... 2070–0012
721.10558 ...................................................... 2070–0012 721.10638 ...................................................... 2070–0012
721.10559 ...................................................... 2070–0012 721.10639 ...................................................... 2070–0012
721.10560 ...................................................... 2070–0012 721.10640 ...................................................... 2070–0012
721.10561 ...................................................... 2070–0012 721.10641 ...................................................... 2070–0012
721.10562 ...................................................... 2070–0012 721.10642 ...................................................... 2070–0012
721.10563 ...................................................... 2070–0012 721.10643 ...................................................... 2070–0012
721.10564 ...................................................... 2070–0012 721.10644 ...................................................... 2070–0012
721.10565 ...................................................... 2070–0012 721.10645 ...................................................... 2070–0012
721.10566 ...................................................... 2070–0012 721.10646 ...................................................... 2070–0012
721.10567 ...................................................... 2070–0012 721.10647 ...................................................... 2070–0012
721.10568 ...................................................... 2070–0012 721.10648 ...................................................... 2070–0012
721.10569 ...................................................... 2070–0012 721.10649 ...................................................... 2070–0012
721.10570 ...................................................... 2070–0012 721.10651 ...................................................... 2070–0012
721.10571 ...................................................... 2070–0012 721.10652 ...................................................... 2070–0012
721.10572 ...................................................... 2070–0012 721.10653 ...................................................... 2070–0012
721.10573 ...................................................... 2070–0012 721.10654 ...................................................... 2070–0012
721.10574 ...................................................... 2070–0012 721.10655 ...................................................... 2070–0012
721.10575 ...................................................... 2070–0012 721.10656 ...................................................... 2070–0012
721.10576 ...................................................... 2070–0012 721.10657 ...................................................... 2070–0012
721.10577 ...................................................... 2070–0012 721.10658 ...................................................... 2070–0012
721.10578 ...................................................... 2070–0012 721.10659 ...................................................... 2070–0012
721.10579 ...................................................... 2070–0012 721.10660 ...................................................... 2070–0012
721.10580 ...................................................... 2070–0012 721.10661 ...................................................... 2070–0012.
721.10581 ...................................................... 2070–0012 721.10662 ...................................................... 2070–0012.
721.10582 ...................................................... 2070–0012 721.10663 ...................................................... 2070–0012.
721.10583 ...................................................... 2070–0012 721.10664 ...................................................... 2070–0012.
721.10584 ...................................................... 2070–0012 721.10665 ...................................................... 2070–0012.
721.10585 ...................................................... 2070–0012 721.10666 ...................................................... 2070–0012.
721.10586 ...................................................... 2070–0012 721.10667 ...................................................... 2070–0012.
721.10587 ...................................................... 2070–0012 721.10668 ...................................................... 2070–0012.
721.10588 ...................................................... 2070–0012 721.10669 ...................................................... 2070–0012.
721.10589 ...................................................... 2070–0012 721.10670 ...................................................... 2070–0012.
721.10590 ...................................................... 2070–0012 721.10671 ...................................................... 2070–0012
721.10591 ...................................................... 2070–0012 721.10672 ...................................................... 2070–0012
721.10592 ...................................................... 2070–0012 721.10673 ...................................................... 2070–0012
721.10593 ...................................................... 2070–0012 721.10674 ...................................................... 2070–0012
721.10594 ...................................................... 2070–0012 721.10675 ...................................................... 2070–0012

721.10595 ...................................................... 2070–0012 721.10676 ...................................................... 2070–0012
721.10596 ...................................................... 2070–0012 721.10677 ...................................................... 2070–0012
721.10597 ...................................................... 2070–0012 721.10678 ...................................................... 2070–0012
162

No. No.
721.10679 ...................................................... 2070–0012 721.10764 ...................................................... 2070–0012

721.10680 ...................................................... 2070–0012 721.10766 ...................................................... 2070–0012
721.10681 ...................................................... 2070–0012 721.10767 ...................................................... 2070–0012
721.10682 ...................................................... 2070–0012 721.10768 ...................................................... 2070–0012
721.10683 ...................................................... 2070–0012 721.10769 ...................................................... 2070–0012
721.10684 ...................................................... 2070–0012 721.10770 ...................................................... 2070–0012
721.10685 ...................................................... 2070–0012 721.10771 ...................................................... 2070–0012
721.10686 ...................................................... 2070–0012 721.10772 ...................................................... 2070–0012
721.10687 ...................................................... 2070–0012 721.10773 ...................................................... 2070–0012
721.10688 ...................................................... 2070–0012 721.10774 ...................................................... 2070–0012
721.10689 ...................................................... 2070–0012 721.10775 ...................................................... 2070–0012
721.10690 ...................................................... 2070–0012 721.10777 ...................................................... 2070–0012
721.10692 ...................................................... 2070–0012 721.10778 ...................................................... 2070–0012
721.10693 ...................................................... 2070–0012 721.10779 ...................................................... 2070–0012
721.10695 ...................................................... 2070–0012 721.10780 ...................................................... 2070–0012
721.10696 ...................................................... 2070–0012 721.10781 ...................................................... 2070–0012
721.10697 ...................................................... 2070–0012 721.10782 ...................................................... 2070–0012
721.10698 ...................................................... 2070–0012 721.10783 ...................................................... 2070–0012
721.10699 ...................................................... 2070–0012 721.10784 ...................................................... 2070–0012
721.10700 ...................................................... 2070–0012 721.10785 ...................................................... 2070–0012
721.10701 ...................................................... 2070–0012 721.10786 ...................................................... 2070–0012
721.10702 ...................................................... 2070–0012 721.10787 ...................................................... 2070–0012
721.10703 ...................................................... 2070–0012 721.10788 ...................................................... 2070–0012
721.10704 ...................................................... 2070–0012 721.10793 ...................................................... 2070–0012
721.10705 ...................................................... 2070–0012 721.10794 ...................................................... 2070–0012
721.10706 ...................................................... 2070–0012 721.10795 ...................................................... 2070–0012
721.10707 ...................................................... 2070–0012 721.10796 ...................................................... 2070–0012
721.10708 ...................................................... 2070–0012 721.10797 ...................................................... 2070–0012
721.10709 ...................................................... 2070–0012 721.10798 ...................................................... 2070–0012
721.10710 ...................................................... 2070–0012 721.10799 ...................................................... 2070–0012
721.10711 ...................................................... 2070–0012 721.10800 ...................................................... 2070–0012
721.10712 ...................................................... 2070–0012 721.10801 ...................................................... 2070–0012
721.10713 ...................................................... 2070–0012 721.10802 ...................................................... 2070–0012
721.10714 ...................................................... 2070–0012 721.10803 ...................................................... 2070–0012
721.10715 ...................................................... 2070–0012 721.10804 ...................................................... 2070–0012
721.10716 ...................................................... 2070–0012 721.10805 ...................................................... 2070–0012
721.10718 ...................................................... 2070–0012 721.10806 ...................................................... 2070–0012
721.10721 ...................................................... 2070–0012 721.10807 ...................................................... 2070–0012
721.10722 ...................................................... 2070–0012 721.10808 ...................................................... 2070–0012
721.10724 ...................................................... 2070–0012 721.10809 ...................................................... 2070–0012
721.10725 ...................................................... 2070–0012 721.10810 ...................................................... 2070–0012
721.10726 ...................................................... 2070–0012 721.10811 ...................................................... 2070–0012
721.10727 ...................................................... 2070–0012 721.10812 ...................................................... 2070–0012
721.10728 ...................................................... 2070–0012 721.10813 ...................................................... 2070–0012
721.10729 ...................................................... 2070–0012 721.10814 ...................................................... 2070–0012
721.10730 ...................................................... 2070–0012 721.10815 ...................................................... 2070–0012
721.10731 ...................................................... 2070–0012 721.10816 ...................................................... 2070–0012
721.10732 ...................................................... 2070–0012 721.10817 ...................................................... 2070–0012
721.10733 ...................................................... 2070–0012 721.10818 ...................................................... 2070–0012
721.10734 ...................................................... 2070–0012 721.10819 ...................................................... 2070–0012
721.10736 ...................................................... 2070–0012 721.10820 ...................................................... 2070–0012
721.10737 ...................................................... 2070–0012 721.10821 ...................................................... 2070–0012
721.10738 ...................................................... 2070–0012 721.10822 ...................................................... 2070–0012
721.10739 ...................................................... 2070–0012 721.10823 ...................................................... 2070–0012
721.10740 ...................................................... 2070–0012 721.10824 ...................................................... 2070–0012
721.10745 ...................................................... 2070–0012 721.10825 ...................................................... 2070–0012
721.10746 ...................................................... 2070–0012 721.10826 ...................................................... 2070–0012
721.10747 ...................................................... 2070–0012 721.10827 ...................................................... 2070–0012
721.10748 ...................................................... 2070–0012 721.10828 ...................................................... 2070–0012
721.10749 ...................................................... 2070–0012 721.10829 ...................................................... 2070–0012
721.10750 ...................................................... 2070–0012 721.10830 ...................................................... 2070–0012
721.10751 ...................................................... 2070–0012 721.10831 ...................................................... 2070–0012
721.10752 ...................................................... 2070–0012 721.10832 ...................................................... 2070–0012
721.10753 ...................................................... 2070–0012 721.10833 ...................................................... 2070–0012
721.10754 ...................................................... 2070–0012 721.10834 ...................................................... 2070–0012
721.10755 ...................................................... 2070–0012 721.10835 ...................................................... 2070–0012
721.10756 ...................................................... 2070–0012 721.10836 ...................................................... 2070–0012
721.10757 ...................................................... 2070–0012 721.10837 ...................................................... 2070–0012
721.10758 ...................................................... 2070–0012 721.10838 ...................................................... 2070–0012
721.10759 ...................................................... 2070–0012 721.10839 ...................................................... 2070–0012

721.10760 ...................................................... 2070–0012 721.10840 ...................................................... 2070–0012
721.10761 ...................................................... 2070–0012 721.10841 ...................................................... 2070–0012
721.10763 ...................................................... 2070–0012 721.10843 ...................................................... 2070–0012
163
§ 9.1 40 CFR Ch. I (7–1–21 Edition)

No. No.
721.10844 ...................................................... 2070–0012 721.10923 ...................................................... 2070–0012

721.10845 ...................................................... 2070–0012 721.10924 ...................................................... 2070–0012
721.10846 ...................................................... 2070–0012 721.10925 ...................................................... 2070–0012
721.10847 ...................................................... 2070–0012 721.10927 ...................................................... 2070–0012
721.10848 ...................................................... 2070–0012 721.10928 ...................................................... 2070–0012
721.10849 ...................................................... 2070–0012 721.10929 ...................................................... 2070–0012
721.10850 ...................................................... 2070–0012 721.10930 ...................................................... 2070–0012
721.10851 ...................................................... 2070–0038 721.10931 ...................................................... 2070–0012
721.10852 ...................................................... 2070–0012 721.10932 ...................................................... 2070–0012
721.10853 ...................................................... 2070–0012 721.10933 ...................................................... 2070–0012
721.10854 ...................................................... 2070–0012 721.10934 ...................................................... 2070–0012
721.10855 ...................................................... 2070–0012 721.10935 ...................................................... 2070–0012
721.10856 ...................................................... 2070–0012 721.10936 ...................................................... 2070–0012
721.10857 ...................................................... 2070–0012 721.10937 ...................................................... 2070–0012
721.10858 ...................................................... 2070–0012 721.10938 ...................................................... 2070–0012
721.10859 ...................................................... 2070–0012 721.10939 ...................................................... 2070–0012
721.10860 ...................................................... 2070–0012 721.10940 ...................................................... 2070–0012
721.10861 ...................................................... 2070–0012 721.10941 ...................................................... 2070–0012
721.10862 ...................................................... 2070–0012 721.10943 ...................................................... 2070–0012
721.10863 ...................................................... 2070–0012 721.10944 ...................................................... 2070–0012
721.10864 ...................................................... 2070–0012 721.10945 ...................................................... 2070–0012
721.10865 ...................................................... 2070–0012 721.10946 ...................................................... 2070–0012
721.10866 ...................................................... 2070–0012 721.10947 ...................................................... 2070–0012
721.10867 ...................................................... 2070–0012 721.10948 ...................................................... 2070–0012
721.10868 ...................................................... 2070–0012 721.10949 ...................................................... 2070–0012
721.10869 ...................................................... 2070–0012 721.10950 ...................................................... 2070–0012
721.10870 ...................................................... 2070–0012 721.10951 ...................................................... 2070–0012
721.10872 ...................................................... 2070–0012 721.10952 ...................................................... 2070–0012
721.10875 ...................................................... 2070–0012 721.10953 ...................................................... 2070–0012
721.10876 ...................................................... 2070–0012 721.10954 ...................................................... 2070–0012
721.10877 ...................................................... 2070–0012 721.10955 ...................................................... 2070–0012
721.10878 ...................................................... 2070–0012 721.10956 ...................................................... 2070–0012
721.10879 ...................................................... 2070–0012 721.10957 ...................................................... 2070–0012
721.10880 ...................................................... 2070–0012 721.10958 ...................................................... 2070–0012
721.10881 ...................................................... 2070–0012 721.10959 ...................................................... 2070–0012
721.10882 ...................................................... 2070–0012 721.10960 ...................................................... 2070–0012
721.10883 ...................................................... 2070–0012 721.10961 ...................................................... 2070–0012
721.10884 ...................................................... 2070–0012 721.10962 ...................................................... 2070–0012
721.10885 ...................................................... 2070–0012 721.10963 ...................................................... 2070–0012
721.10886 ...................................................... 2070–0012 721.10964 ...................................................... 2070–0012
721.10887 ...................................................... 2070–0012 721.10965 ...................................................... 2070–0012
721.10888 ...................................................... 2070–0012 721.10966 ...................................................... 2070–0012
721.10889 ...................................................... 2070–0012 721.10967 ...................................................... 2070–0012
721.10890 ...................................................... 2070–0012 721.10968 ...................................................... 2070–0012
721.10891 ...................................................... 2070–0012 721.10969 ...................................................... 2070–0012
721.10892 ...................................................... 2070–0012 721.10970 ...................................................... 2070–0012
721.10893 ...................................................... 2070–0012 721.10971 ...................................................... 2070–0012
721.10894 ...................................................... 2070–0012 721.10972 ...................................................... 2070–0012
721.10895 ...................................................... 2070–0012 721.10973 ...................................................... 2070–0012
721.10896 ...................................................... 2070–0012 721.10974 ...................................................... 2070–0012
721.10897 ...................................................... 2070–0012 721.10975 ...................................................... 2070–0012
721.10898 ...................................................... 2070–0012 721.10976 ...................................................... 2070–0012
721.10899 ...................................................... 2070–0012 721.10977 ...................................................... 2070–0012
721.10900 ...................................................... 2070–0012 721.10978 ...................................................... 2070–0012
721.10901 ...................................................... 2070–0012 721.10979 ...................................................... 2070–0012
721.10903 ...................................................... 2070–0012 721.10980 ...................................................... 2070–0012
721.10904 ...................................................... 2070–0012 721.10981 ...................................................... 2070–0012
721.10905 ...................................................... 2070–0012 721.10982 ...................................................... 2070–0012
721.10906 ...................................................... 2070–0012 721.10983 ...................................................... 2070–0012
721.10907 ...................................................... 2070–0012 721.10984 ...................................................... 2070–0012
721.10908 ...................................................... 2070–0012 721.10985 ...................................................... 2070–0012
721.10909 ...................................................... 2070–0012 721.10986 ...................................................... 2070–0012
721.10910 ...................................................... 2070–0012 721.10987 ...................................................... 2070–0012
721.10911 ...................................................... 2070–0012 721.10988 ...................................................... 2070–0012
721.10912 ...................................................... 2070–0012 721.10989 ...................................................... 2070–0012
721.10914 ...................................................... 2070–0012 721.10990 ...................................................... 2070–0012
721.10915 ...................................................... 2070–0012 721.10991 ...................................................... 2070–0012
721.10916 ...................................................... 2070–0012 721.10992 ...................................................... 2070–0012
721.10917 ...................................................... 2070–0012 721.10993 ...................................................... 2070–0012
721.10918 ...................................................... 2070–0012 721.10994 ...................................................... 2070–0012

721.10919 ...................................................... 2070–0012 721.10995 ...................................................... 2070–0012
721.10921 ...................................................... 2070–0012 721.10996 ...................................................... 2070–0012
721.10922 ...................................................... 2070–0012 721.10997 ...................................................... 2070–0012
164

No. No.
721.10998 ...................................................... 2070–0012 721.11087 ...................................................... 2070–0012

721.10999 ...................................................... 2070–0012 721.11088 ...................................................... 2070–0012
721.11000 ...................................................... 2070–0012 721.11089 ...................................................... 2070–0012
721.11001 ...................................................... 2070–0012 721.11090 ...................................................... 2070–0012
721.11002 ...................................................... 2070–0012 721.11091 ...................................................... 2070–0012
721.11003 ...................................................... 2070–0012 721.11092 ...................................................... 2070–0012
721.11004 ...................................................... 2070–0012 721.11093 ...................................................... 2070–0012
721.11005 ...................................................... 2070–0012 721.11094 ...................................................... 2070–0012
721.11006 ...................................................... 2070–0012 721.11095 ...................................................... 2070–0012
721.11007 ...................................................... 2070–0012 721.11097 ...................................................... 2070–0012
721.11008 ...................................................... 2070–0012 721.11098 ...................................................... 2070–0012
721.11009 ...................................................... 2070–0012 721.11099 ...................................................... 2070–0012
721.11010 ...................................................... 2070–0012 721.11100 ...................................................... 2070–0012
721.11011 ...................................................... 2070–0012 721.11101 ...................................................... 2070–0012
721.11012 ...................................................... 2070–0012 721.11102 ...................................................... 2070–0012
721.11013 ...................................................... 2070–0012 721.11103 ...................................................... 2070–0012
721.11014 ...................................................... 2070–0012 721.11104 ...................................................... 2070–0012
721.11015 ...................................................... 2070–0012 721.11105 ...................................................... 2070–0012
721.11016 ...................................................... 2070–0012 721.11106 ...................................................... 2070–0012
721.11017 ...................................................... 2070–0012 721.11107 ...................................................... 2070–0012
721.11018 ...................................................... 2070–0012 721.11108 ...................................................... 2070–0012
721.11019 ...................................................... 2070–0012 721.11109 ...................................................... 2070–0012
721.11024 ...................................................... 2070–0012 721.11110 ...................................................... 2070–0012
721.11025 ...................................................... 2070–0012 721.11111 ...................................................... 2070–0012
721.11026 ...................................................... 2070–0012 721.11112 ...................................................... 2070–0012
721.11027 ...................................................... 2070–0012 721.11113 ...................................................... 2070–0012
721.11028 ...................................................... 2070–0012 721.11114 ...................................................... 2070–0012
721.11031 ...................................................... 2070–0012 721.11115 ...................................................... 2070–0012
721.11032 ...................................................... 2070–0012 721.11116 ...................................................... 2070–0012
721.11033 ...................................................... 2070–0012 721.11117 ...................................................... 2070–0012
721.11034 ...................................................... 2070–0012 721.11118 ...................................................... 2070–0012
721.11035 ...................................................... 2070–0012 721.11119 ...................................................... 2070–0012
721.11036 ...................................................... 2070–0012 721.11120 ...................................................... 2070–0012
721.11037 ...................................................... 2070–0012 721.11123 ...................................................... 2070–0012
721.11038 ...................................................... 2070–0012 721.11124 ...................................................... 2070–0012
721.11039 ...................................................... 2070–0012 721.11125 ...................................................... 2070–0012
721.11040 ...................................................... 2070–0012 721.11126 ...................................................... 2070–0012
721.11041 ...................................................... 2070–0012 721.11127 ...................................................... 2070–0012
721.11042 ...................................................... 2070–0012 721.11128 ...................................................... 2070–0012
721.11043 ...................................................... 2070–0012 721.11129 ...................................................... 2070–0012
721.11044 ...................................................... 2070–0012 721.11130 ...................................................... 2070–0012
721.11045 ...................................................... 2070–0012 721.11131 ...................................................... 2070–0012
721.11046 ...................................................... 2070–0012 721.11132 ...................................................... 2070–0012
721.11047 ...................................................... 2070–0012 721.11133 ...................................................... 2070–0012
721.11048 ...................................................... 2070–0012 721.11134 ...................................................... 2070–0012
721.11049 ...................................................... 2070–0012 721.11135 ...................................................... 2070–0012
721.11050 ...................................................... 2070–0012 721.11136 ...................................................... 2070–0012
721.11051 ...................................................... 2070–0012 721.11137 ...................................................... 2070–0012
721.11052 ...................................................... 2070–0012 721.11138 ...................................................... 2070–0012
721.11053 ...................................................... 2070–0012 721.11139 ...................................................... 2070–0012
721.11054 ...................................................... 2070–0012 721.11140 ...................................................... 2070–0012
721.11055 ...................................................... 2070–0012 721.11141 ...................................................... 2070–0012
721.11056 ...................................................... 2070–0012 721.11142 ...................................................... 2070–0012
721.11057 ...................................................... 2070–0012 721.11143 ...................................................... 2070–0012
721.11058 ...................................................... 2070–0012 721.11144 ...................................................... 2070–0012
721.11068 ...................................................... 2070–0012 721.11145 ...................................................... 2070–0012
721.11069 ...................................................... 2070–0012 721.11146 ...................................................... 2070–0012
721.11070 ...................................................... 2070–0012 721.11147 ...................................................... 2070–0012
721.11071 ...................................................... 2070–0012 721.11148 ...................................................... 2070–0012
721.11072 ...................................................... 2070–0012 721.11149 ...................................................... 2070–0012
721.11073 ...................................................... 2070–0012 721.11151 ...................................................... 2070–0012
721.11074 ...................................................... 2070–0012 721.11152 ...................................................... 2070–0012
721.11075 ...................................................... 2070–0012 721.11153 ...................................................... 2070–0012
721.11076 ...................................................... 2070–0012 721.11154 ...................................................... 2070–0012
721.11077 ...................................................... 2070–0012 721.11155 ...................................................... 2070–0012
721.11078 ...................................................... 2070–0012 721.11156 ...................................................... 2070–0012
721.11079 ...................................................... 2070–0012 721.11157 ...................................................... 2070–0012
721.11080 ...................................................... 2070–0012 721.11158 ...................................................... 2070–0012
721.11081 ...................................................... 2070–0012 721.11159 ...................................................... 2070–0012
721.11083 ...................................................... 2070–0012 721.11160 ...................................................... 2070–0012

721.11084 ...................................................... 2070–0012 721.11161 ...................................................... 2070–0012
721.11085 ...................................................... 2070–0012 721.11162 ...................................................... 2070–0012
721.11086 ...................................................... 2070–0012 721.11166 ...................................................... 2070–0012
165
§ 9.1 40 CFR Ch. I (7–1–21 Edition)

No. No.
721.11167 ...................................................... 2070–0012 721.11242 ...................................................... 2070–0012

721.11168 ...................................................... 2070–0012 721.11243 ...................................................... 2070–0012
721.11169 ...................................................... 2070–0012 721.11244 ...................................................... 2070–0012
721.11170 ...................................................... 2070–0012 721.11245 ...................................................... 2070–0012
721.11171 ...................................................... 2070–0012 721.11246 ...................................................... 2070–0012
721.11172 ...................................................... 2070–0012 721.11247 ...................................................... 2070–0012
721.11174 ...................................................... 2070–0012 721.11248 ...................................................... 2070–0012
721.11175 ...................................................... 2070–0012 721.11249 ...................................................... 2070–0012
721.11176 ...................................................... 2070–0012 721.11250 ...................................................... 2070–0012
721.11177 ...................................................... 2070–0012 721.11251 ...................................................... 2070–0012
721.11178 ...................................................... 2070–0012 721.11252 ...................................................... 2070–0012
721.11179 ...................................................... 2070–0012 721.11253 ...................................................... 2070–0012
721.11180 ...................................................... 2070–0012 721.11254 ...................................................... 2070–0012
721.11181 ...................................................... 2070–0012 721.11255 ...................................................... 2070–0012
721.11182 ...................................................... 2070–0012 721.11256 ...................................................... 2070–0012
721.11183 ...................................................... 2070–0012 721.11257 ...................................................... 2070–0012
721.11184 ...................................................... 2070–0012 721.11258 ...................................................... 2070–0012
721.11185 ...................................................... 2070–0012 721.11260 ...................................................... 2070–0012
721.11186 ...................................................... 2070–0012 721.11261 ...................................................... 2070–0012
721.11187 ...................................................... 2070–0012 721.11262 ...................................................... 2070–0012
721.11188 ...................................................... 2070–0012 721.11263 ...................................................... 2070–0012
721.11189 ...................................................... 2070–0012 721.11264 ...................................................... 2070–0012
721.11190 ...................................................... 2070–0012 721.11265 ...................................................... 2070–0012
721.11191 ...................................................... 2070–0012 721.11266 ...................................................... 2070–0012
721.11192 ...................................................... 2070–0012 721.11295 ...................................................... 2070–0012
721.11194 ...................................................... 2070–0012 721.11296 ...................................................... 2070–0012
721.11195 ...................................................... 2070–0012 721.11297 ...................................................... 2070–0012
721.11196 ...................................................... 2070–0012 721.11330 ...................................................... 2070–0012
721.11197 ...................................................... 2070–0012 721.11331 ...................................................... 2070–0012
721.11198 ...................................................... 2070–0012 721.11332 ...................................................... 2070–0012
721.11199 ...................................................... 2070–0012 721.11333 ...................................................... 2070–0012
721.11200 ...................................................... 2070–0012 721.11334 ...................................................... 2070–0012
721.11201 ...................................................... 2070–0012 721.11335 ...................................................... 2070–0012
721.11202 ...................................................... 2070–0012 721.11336 ...................................................... 2070–0012
721.11203 ...................................................... 2070–0012 721.11337 ...................................................... 2070–0012
721.11204 ...................................................... 2070–0012 721.11338 ...................................................... 2070–0012
721.11205 ...................................................... 2070–0012 721.11339 ...................................................... 2070–0012
721.11206 ...................................................... 2070–0012 721.11340 ...................................................... 2070–0012
721.11207 ...................................................... 2070–0012 721.11341 ...................................................... 2070–0012
721.11208 ...................................................... 2070–0012 721.11342 ...................................................... 2070–0012
721.11209 ...................................................... 2070–0012 721.11343 ...................................................... 2070–0012
721.11210 ...................................................... 2070–0012 721.11344 ...................................................... 2070–0012
721.11211 ...................................................... 2070–0012 721.11345 ...................................................... 2070–0012
721.11212 ...................................................... 2070–0012 721.11375 ...................................................... 2070–0012
721.11213 ...................................................... 2070–0012 721.11376 ...................................................... 2070–0012
721.11214 ...................................................... 2070–0012 721.11377 ...................................................... 2070–0012
721.11215 ...................................................... 2070–0012 721.11378 ...................................................... 2070–0012
721.11216 ...................................................... 2070–0012 721.11379 ...................................................... 2070–0012
721.11217 ...................................................... 2070–0012 721.11380 ...................................................... 2070–0012
721.11218 ...................................................... 2070–0012 721.11412 ...................................................... 2070–0012
721.11219 ...................................................... 2070–0012 721.11413 ...................................................... 2070–0012
721.11220 ...................................................... 2070–0012 721.11414 ...................................................... 2070–0012
721.11221 ...................................................... 2070–0012 721.11415 ...................................................... 2070–0012
721.11222 ...................................................... 2070–0012 721.11416 ...................................................... 2070–0012
721.11223 ...................................................... 2070–0012 721.11417 ...................................................... 2070–0012
721.11224 ...................................................... 2070–0012 721.11419 ...................................................... 2070–0012
721.11225 ...................................................... 2070–0012 721.11447 ...................................................... 2070–0012
721.11226 ...................................................... 2070–0012 721.11448 ...................................................... 2070–0012
721.11227 ...................................................... 2070–0012 721.11449 ...................................................... 2070–0012
721.11228 ...................................................... 2070–0012 721.11450 ...................................................... 2070–0012
721.11229 ...................................................... 2070–0012 721.11451 ...................................................... 2070–0012
721.11230 ...................................................... 2070–0012 721.11452 ...................................................... 2070–0012
721.11231 ...................................................... 2070–0012 721.11453 ...................................................... 2070–0012
721.11232 ...................................................... 2070–0012 721.11454 ...................................................... 2070–0012
721.11233 ...................................................... 2070–0012 721.11455 ...................................................... 2070–0012
721.11234 ...................................................... 2070–0012 721.11456 ...................................................... 2070–0012
721.11235 ...................................................... 2070–0012 721.11457 ...................................................... 2070–0012
721.11236 ...................................................... 2070–0012 721.11458 ...................................................... 2070–0012
721.11237 ...................................................... 2070–0012 721.11460 ...................................................... 2070–0012
721.11238 ...................................................... 2070–0012 721.11461 ...................................................... 2070–0012

721.11239 ...................................................... 2070–0012 721.11463 ...................................................... 2070–0012
721.11240 ...................................................... 2070–0012 721.11464 ...................................................... 2070–0012
721.11241 ...................................................... 2070–0012 721.11465 ...................................................... 2070–0012
166

No. No.
721.11466 ...................................................... 2070–0012 Good Laboratory Practice Standards

721.11467 ...................................................... 2070–0012
721.11468 ...................................................... 2070–0012 Part 792 ......................................................... 2070–0004,
721.11469 ...................................................... 2070–0012 2070–0017,
721.11470 ...................................................... 2070–0012 2070–0033,
721.11471 ...................................................... 2070–0012 2070–0054,
721.11472 ...................................................... 2070–0012 2070–0067
721.11473 ...................................................... 2070–0012
721.11474 ...................................................... 2070–0012 Provisional Test Guidelines
721.11475 ...................................................... 2070–0012
721.11476 ...................................................... 2070–0012 795.232 .......................................................... 2070–0033
721.11477 ...................................................... 2070–0012
721.11478 ...................................................... 2070–0012 Identification of Specific Chemical Substance and Mixture
721.11479 ...................................................... 2070–0012 Testing Requirements
721.11480 ...................................................... 2070–0012
721.11481 ...................................................... 2070–0012 Part 799 ......................................................... 2070–0033
721.11482 ...................................................... 2070–0012
721.11483 ...................................................... 2070–0012 Fees for Engine, Vehicle, and Equipment Compliance
721.11484 ...................................................... 2070–0012 Programs
721.11485 ...................................................... 2070–0012
721.11486 ...................................................... 2070–0012 1027.140 ........................................................ 2060–0104,
721.11487 ...................................................... 2070–0012 2060–0545
721.11488 ...................................................... 2070–0012
721.11489 ...................................................... 2070–0012 Control of Emissions from Locomotives
Premanufacture Notification Exemptions 1033.825 ........................................................ 2060–0287
Part 723 ......................................................... 2070–0012 Control of Emissions From New and In-Use Heavy-Duty
Highway Engines
Reporting Requirements and Review Processes for
Microorganisms 1036.825 ........................................................ 2060–0678
Part 725 ......................................................... 2070–0012 Control of Emissions From New Heavy-Duty Motor
Vehicles
Lead-Based Paint Poisoning Prevention in Certain
Residential Structures
1037.825 ........................................................ 2060–0678
Part 745, subpart E ....................................... 2070–0195 Control of Emissions from New and In-use Nonroad
Part 745, subpart F ....................................... 2070–0151 Compression-Ignition Engines
Part 745, subpart L ........................................ 2070–0195
Part 745, subpart Q ....................................... 2070–0195 1039.825 ........................................................ 2060–0287
Water Treatment Chemicals Control of Emissions From New and In-use Marine
Compression-ignition Engines and Vessels
Part 749 ......................................................... 2070–0193
1042.825 ........................................................ 2060–0827
Polychlorinated Biphenyls (PCBs) Manufacturing, Proc-
essing, Distribution in Commerce, and Use Prohibi- Control of NOX, SOX, and PM Emissions From Marine
tions Engines and Vessels Subject to the Marpol Protocol
Part 761 ......................................................... 2070–0012 1043.40–1043.95 ........................................... 2060–0641

Control of Emissions from Spark-ignition Propulsion
Asbestos Marine Engines
Part 763, subpart E ....................................... 2070–0091 1045.825 ........................................................ 2060–0321
Part 763, subpart G ....................................... 2070–0072
Control of Emissions From New, Large Nonroad Spark-
Dibenzo-para-dioxin/Dibenzofurans
Ignition Engines
766.35(b)(1) ................................................... 2070–0054
1048.825 ........................................................ 2060–0338
766.35(b)(2) ................................................... 2070–0054
766.35(b)(3) ................................................... 2070–0017
Control of Emissions from Recreational Engines and
766.35(b)(4)(iii) .............................................. 2070–0054
Vehicles
766.35(c)(1)(i) ................................................ 2070–0054
766.35(c)(1)(ii) ............................................... 2070–0054
1051.825 ........................................................ 2060–0338
766.35(c)(1)(iii) .............................................. 2070–0017
766.38 ............................................................ 2070–0054
Control of Emissions from New, Small Nonroad Spark-
Procedures Governing Testing Consent Agreements and ignition Engines and Equipment
Test Rules
1054.825 ........................................................ 2060–0338
Part 790 ......................................................... 2070–0033
167
§ 9.1, Nt. 40 CFR Ch. I (7–1–21 Edition)
OMB control effective July 6, 2021. For the convenience of

40 CFR citation No. the user, the added text is set forth as fol-
lows:
Control of Evaporative Emissions from New and In-use
Nonroad and Stationary Equipment § 9.1 OMB approvals under the Paperwork
Reduction Act.
1060.825 ........................................................ 2060–0321,
2060–0338
* * * * *
General Compliance Provisions for Nonroad Programs
OMB control
1068.5 ............................................................ 2040–0460 40 CFR citation No.
1068.25 .......................................................... 2040–0460
1068.27 .......................................................... 2040–0460
1068.120 ........................................................ 2040–0460 * * * * *
1068.201–260 ................................................ 2040–0460 Significant New Uses of Chemical Sub-
1068.301–355 ................................................ 2040–0460 stances.
1068.450 ........................................................ 2040–0460
1068.455 ........................................................ 2040–0460
* * * * *
1068.501 ........................................................ 2040–0460
721.11278 ...................................................... 2070–0012
1068.525 ........................................................ 2040–0460
721.11282 ...................................................... 2070–0012
1068.530 ........................................................ 2040–0460
721.11283 ...................................................... 2070–0012
Distribution of Off-Site Consequence Analysis 721.11285 ...................................................... 2070–0012
Information 721.11286 ...................................................... 2070–0012
721.11287 ...................................................... 2070–0012
1400.3 ............................................................ 2050–0172 721.11289 ...................................................... 2070–0012
1400.4 ............................................................ 2050–0172 721.11290 ...................................................... 2070–0012
1400.6 ............................................................ 2050–0172 721.11291 ...................................................... 2070–0012
1400.9 ............................................................ 2050–0172 721.11292 ...................................................... 2070–0012
721.11293 ...................................................... 2070–0012
Uniform National Discharge Standards for Vessels of the 721.11294 ...................................................... 2070–0012
Armed Forces
* * * * *
1700.9–1700.12 ............................................. 2040–0187 721.11603 ...................................................... 2070–0012
1 The ICRs referenced in this section of the table encom- * * * * *
pass the applicable general provisions contained in 40 CFR
part 60, subpart A, which are not independent information col-
lection requirements.
2 The ICRs referenced in this section of the table encom-
pass the applicable general provisions contained in 40 CFR
* * * * *
part 61, subpart A, which are not independent information col- 2. At 86 FR 30188, June 7, 2021, § 9.1 was
3 The ICRs referenced in this section of the table encom- amended by adding entries for §§ 721.11498
pass the applicable general provisions contained in 40 CFR through 721.11505 in numerical order under
part 63, subpart A, which are not independent information col- the undesignated center heading ‘‘Signifi-
cant New Uses of Chemical Substances’’, ef-
[58 FR 27472, May 10, 1993] fective Aug. 6, 2021. For the convenience of
the user, the added text is set forth as fol-
EDITORIAL NOTES: 1. For FEDERAL REGISTER lows:
citations affecting § 9.1, see the List of CFR
Sections Affected, which appears in the § 9.1 OMB Approvals Under the Paperwork
Finding Aids section of the printed volume Reduction Act.
and at www.govinfo.gov.
2. At 65 FR 76745, Dec. 7, 2000, the table in * * * * *
§ 9.1 was amended, but amendments could not
be incorporated because of inaccurate 40 CFR citation OMB control No.
amendatory instructions.
3. At 71 FR 767, Jan. 5, 2006, the table was * * * * *
amended under the heading ‘‘National Pri-
mary Drinking Water Regulations Imple- Significant New Uses of Chemical Substances
mentation’’ by removing the entry for
§ 142.15(c); however, the amendment could * * * * *
not be incorporated because that entry does 721.11498 .................................................. 2070–0012
not exist. 721.11499 .................................................. 2070–0012
721.11500 .................................................. 2070–0012
EFFECTIVE DATE NOTES: 1. At 86 FR 24333, 721.11501 .................................................. 2070–0012
May 6, 2021, § 9.1 was amended by adding en- 721.11502 .................................................. 2070–0012
tries for §§ 721.11278, 721.11282, 721.11283, 721.11503 .................................................. 2070–0012
721.11285 through 721.11287, 721.11289 through 721.11504 .................................................. 2070–0012
721.11294, and 721.11603 in numerical order 721.11505 .................................................. 2070–0012

under the undesignated center heading ‘‘Sig-
* * * * *
nificant New Uses of Chemical Substances’’,
168
* * * * * PART 10—ADMINISTRATIVE CLAIMS

3. At 86 FR 30194, June 7, 2021, § 9.1 was UNDER FEDERAL TORT CLAIMS ACT
amended by adding entries for §§ 721.11491
through 721.11497 in numerical order under Subpart A—General
the undesignated center heading ‘‘Signifi-
cant New Uses of Chemical Substances’’, ef- Sec.
fective Aug. 6, 2021. For the convenience of 10.1 Scope of regulations.
the user, the added text is set forth as fol-
lows: Subpart B—Procedures
§ 9.1 OMB approvals under the Paperwork 10.2 Administrative claim; when presented;
Reduction Act. place of filing.
10.3 Administrative claims; who may file.
* * * * * 10.4 Evidence to be submitted.
10.5 Investigation, examination, and deter-
40 CFR citation OMB control No. mination of claims.
10.6 Final denial of claim.
10.7 Payment of approved claim.
* * * * *
10.8 Release.
Significant New Uses of Chemical Substances 10.9 Penalties.
10.10 Limitation on Environmental Protec-
tion Agency’s authority.
* * * * * 10.11 Relationship to other agency regula-
721.11491 .................................................. 2070–0012
721.11492 .................................................. 2070–0012
tions.
721.11493 .................................................. 2070–0012 AUTHORITY: Sec. 1, 80 Stat. 306; 28 U.S.C.
721.11494 .................................................. 2070–0012
2672; 28 CFR part 14.
721.11495 .................................................. 2070–0012
721.11496 .................................................. 2070–0012 SOURCE: 38 FR 16868, June 27, 1973, unless
721.11497 .................................................. 2070–0012 otherwise noted.
* * * * *
Subpart A—General
4. At 86 FR 30200, June 7, 2021, § 9.1 was
amended by adding entries for §§ 721.11507 § 10.1 Scope of regulations.
through 721.11513 in numerical order under
the undesignated center heading ‘‘Signifi- The regulations in this part apply
cant New Uses of Chemical Substances’’, ef- only to claims asserted under the Fed-
fective Aug. 6, 2021. For the convenience of eral Tort Claims Act, as amended, 28
the user, the added text is set forth as fol- U.S.C. 2671–2680, for money damages
lows: against the United States because of
§ 9.1 OMB approvals under the Paperwork
damage to or loss of property or per-
Reduction Act. sonal injury or death, caused by the
negligent or wrongful act or omission
* * * * * of any employee of the Environmental
Protection Agency (EPA) while acting
40 CFR citation OMB control No. within the scope of his/her employ-
ment.
* * * * * [51 FR 25832, July 16, 1986]
Significant New Uses of Chemical Substances
Subpart B—Procedures
* * * * *
721.11507 .................................................. 2070–0012 § 10.2 Administrative claim; when pre-
721.11508 .................................................. 2070–0012 sented; place of filing.
721.11509 .................................................. 2070–0012
721.11510 .................................................. 2070–0012 (a) For purpose of the regulations in
721.11511 .................................................. 2070–0012 this part, a claim shall be deemed to
721.11512 .................................................. 2070–0012 have been presented when the Environ-
721.11513 .................................................. 2070–0012
mental 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

5. At 86 FR 34355, June 29, 2021, § 9.1 was for money damages in a sum certain
amended, effective July 29, 2021. for damage to or loss of property, for
169
§ 10.3 40 CFR Ch. I (7–1–21 Edition)
personal injury, or for death, alleged to sert such a claim under applicable
have occurred by reason of the inci- State law.
dent. A claim which should have been (d) A claim for loss wholly com-
presented to EPA, but which was mis- pensated by an insurer with the rights
takenly addressed to or filed with an- of a subrogee may be presented by the
other Federal agency, shall be deemed insurer. A claim for loss partially com-
to be presented to EPA as of the date pensated by an insurer with the rights
that the claim is received by EPA. A of a subrogee may be presented by the
claim mistakenly addressed to or filed insurer or the insured individually as
with EPA shall forthwith be trans- their respective interests appear, or
ferred to the appropriate Federal agen- jointly. Whenever an insurer presents a
cy, if ascertainable, or returned to the claim asserting the rights of a
claimant. subrogee, he shall present with his
(b) A claim presented in compliance claim appropriate evidence that he has
with paragraph (a) of this section may the rights of a subrogee.
be amended by the claimant at any (e) A claim presented by an agent or
time prior to final action by the Ad- legal representative shall be presented
ministrator, or his designee, or prior to in the name of the claimant, be signed
the exercise of the claimant’s option to by the agent or legal representative,
bring suit under 28 U.S.C. 2675(a). show the title or legal capacity of the
Amendments shall be submitted in person signing, and be accompanied by
writing and signed by the claimant or evidence of his authority to present a
his duly authorized agent or legal rep- claim on behalf of the claimant as
resentative. Upon the timely filing of agent, executor, administrator, parent,
an amendment to a pending claim, guardian, or other representative.
EPA shall have 6 months in which to
make a final disposition of the claim as § 10.4 Evidence to be submitted.
amended and the claimant’s option (a) Death. In support of a claim based
under 28 U.S.C. 2675(a) shall not accrue on death, the claimant may be required
until 6 months after the filing of an to submit the following evidence or in-
amendment. formation:
(c) Forms may be obtained and (1) An authenticated death certifi-
claims may be filed with the EPA of- cate or other competent evidence show-
fice having jurisdiction over the em- ing cause of death, date of death, and
ployee involved in the accident or inci- age of the decedent.
dent, or with the EPA Claims Officer, (2) Decedent’s employment or occu-
Office of General Counsel (2311), 1200 pation at time of death, including his
Pennsylvania Ave., NW., Washington, monthly or yearly salary or earnings
DC 20460. (if any), and the duration of his last
employment or occupation.
[38 FR 16868, June 27, 1973, as amended at 51 (3) Full names, addresses, birth dates,
FR 25832, July 16, 1986] kinship, and marital status of the dece-
dent’s survivors, including identifica-
§ 10.3 Administrative claims; who may
file. tion of those survivors who were de-
pendent for support upon the decedent
(a) A claim for injury to or loss of at the time of his death.
property may be presented by the (4) Degree of support afforded by the
owner of the property interest which is decendent to each survivor dependent
the subject of the claim, his duly au- upon him for support at the time of his
thorized agent, or his legal representa- death.
tive. (5) Decedent’s general physical and
(b) A claim for personal injury may mental condition before death.
be presented by the injured person, his (6) Itemized bills for medical and bur-
duly authorized agent, or his legal rep- ial expenses incurred by reason of the
resentative. incident causing death, or itemized re-
(c) A claim based on death may be ceipts of payments for such expenses.
presented by the executor or adminis- (7) If damages for pain and suffering
trator of the decedent’s estate or by prior to death are claimed, a physi-
any other person legally entitled to as- cian’s detailed statement specifying
170
the injuries suffered, duration of pain ther the personal injury or the dam-
and suffering, any drugs administered ages claimed.
for pain and the decedent’s physical (c) Property Damage. In support of a
condition in the interval between in- claim for damage to or loss of property,
jury and death. real or personal, the claimant may be
(8) Any other evidence or information required to submit the following evi-
which may have a bearing on either the dence or information:
responsibility of the United States for (1) Proof of ownership.
the death or the damages claimed. (2) A detailed statement of the
(b) Personal Injury. In support of a amount claimed with respect to each
claim for personal injury, including item of property.
(3) An itemized receipt of payment
pain and suffering, the claimant may
for necessary repairs or itemized writ-
be required to submit the following
ten estimates of the cost of such re-
evidence or information:
pairs.
(1) A written report by his attending (4) A statement listing date of pur-
physician or dentist setting forth the chase, purchase price, market value of
nature and extent of the injury, nature the property as of date of damage, and
and extent of treatment, any degree of salvage value, where repair is not eco-
temporary or permanent disability, the nomical.
prognosis, period of hospitalization, (5) Any other evidence or information
and any diminished earning capacity. which may have a bearing on the re-
In addition, the claimant may be responsibility of the United States either
quired to submit to a physical or men- for the injury to or loss of property or
tal examination by a physician em- for the damage claimed.
ployed or designated by EPA. A copy of (d) Time limit. All evidence required
the report of the examining physician to be submitted by this section shall be
shall be made available to the claimant furnished by the claimant within a rea-
upon the claimant’s written request sonable time. Failure of a claimant to
provided that the claimant has, upon furnish evidence necessary to a deter-
request, furnished the report referred mination of his claim within three
to in the first sentence of this subpara- months after a request therefor has
graph and has made or agrees in writ- been mailed to his last known address
ing to make available to EPA any may be deemed an abandonment of the
other physician’s reports previously or claim. The claim may be thereupon
thereafter made of the physical or disallowed.
mental condition which is the subject
matter of his claim. § 10.5 Investigation, examination, and
determination of claims.
(2) Itemized bills for medical, dental,
hospital and related expenses incurred, The EPA Claims Officer adjusts, de-
or itemized receipts of payment for termines, compromises and settles all
such expenses. administrative tort claims filed with
(3) If the prognosis reveals the neces- EPA. In carrying out these functions,
sity for future treatment, a statement the EPA Claims Officer makes such in-
of expected duration of and expenses vestigations as are necessary for a de-
for such treatment. termination of the validity of the
(4) If a claim is made for loss of time claim. The decision of the EPA Claims
from employment, a written statement Officer is a final agency decision of
from his employer showing actual time purposes of 28 U.S.C. 2675.
lost from employment, whether he is a [51 FR 25832, July 16, 1986]
full or part-time employee, and wages
or salary actually lost. § 10.6 Final denial of claim.
(5) If a claim is made for loss of in- (a) Final denial of an administrative
come and the claimant is self-em- claim shall be in writing and sent to
ployed, documentary evidence showing the claimant, his attorney, or legal
the amount of earnings actually lost. representative by certified or reg-
(6) Any other evidence or information istered mail. The notification of final
which may have a bearing on the re- denial may include a statement of the
sponsibility of the United States for ei- reasons for the denial and shall include
171
§ 10.7 40 CFR Ch. I (7–1–21 Edition)
a statement that, if the claimant is or any employee of the Government

dissatisfied with EPA’s action, he may arising out of the same subject matter.
file suit in an appropriate U.S. District
Court not later than 6 months after the § 10.9 Penalties.
date of mailing of the notification. A person who files a false claim or
(b) Prior to the commencement of makes a false or fraudulent statement
suit and prior to the expiration of the in a claim against the United States
6-month period after the date of mail- may be liable to a fine of not more
ing by certified or registered mail of than $10,000 or to imprisonment of not
notice of final denial of the claim as more than 5 years, or both (18 U.S.C.
provided in 28 U.S.C. 2401(b), a claim- 287,1001), and, in addition, to a for-
ant, his duly authorized agent, or legal feiture of $2,000 and a penalty of double
representative, may file a written re- the loss or damage sustained by the
quest with the EPA for reconsideration United States (31 U.S.C. 3729).
of a final denial of a claim under para- [38 FR 16868, June 27, 1973, as amended at 51
graph (a) of this section. Upon the FR 25832, July 16, 1986]
timely filing of a request for reconsid-
eration, EPA shall have 6 months from § 10.10 Limitation on Environmental
the date of filing in which to make a Protection Agency’s authority.
final disposition of the claim and the (a) An award, compromise or settle-
claimant’s option under 28 U.S.C. ment of a claim hereunder in excess of
2675(a) to bring suit shall not accrue $25,000 shall be effected only with the
until 6 months after the filing of a re- prior written approval of the Attorney
quest for reconsideration. Final action General or his designee. For the pur-
on a request for reconsideration shall poses of this paragraph, a principal
be effected in accordance with the pro- claim and any derivative or subrogated
visions of paragraph (a) of this section. claim shall be treated as a single
claim.
§ 10.7 Payment of approved claim. (b) An administrative claim may be
(a) Upon allowance of his claim, adjusted, determined, compromised or
claimant or his duly authorized agent settled hereunder only after consulta-
shall sign the voucher for payment, tion with the Department of Justice
Standard Form 1145, before payment is when, in the opinion of the Environ-
made. mental Protection Agency:
(1) A new precedent or a new point of
(b) When the claimant is represented
law is involved; or
by an attorney, the voucher for pay-
(2) A question of policy is or may be
ment (SF 1145) shall designate both the
involved; or
claimant and his attorney as ‘‘payees.’’ (3) The United States is or may be
The check shall be delivered to the at- entitled to indemnity or contribution
torney whose address shall appear on from a third party and the Agency is
the voucher. unable to adjust the third party claim;
(c) No attorney shall charge fees in or
excess of 25 percent of a judgment or (4) The compromise of a particular
settlement after litigation, or in excess claim, as a practical matter, will or
of 20 percent of administrative settle- may control the disposition of a re-
ments (28 U.S.C. 2678). lated claim in which the amount to be
paid may exceed $25,000.
§ 10.8 Release. (c) An administrative claim may be
Acceptance by the claimant, his adjusted, determined, compromised, or
agent or legal representative of any settled by EPA hereunder only after
award, compromise or settlement made consultation with the Department of
hereunder, shall be final and conclusive Justice when EPA is informed or is
on the claimant, his agent or legal rep- otherwise aware that the United States
resentative and any other person on or an employee, agent, or cost-plus
whose behalf or for whose benefit the contractor of the United States is in-
claim has been presented, and shall volved in litigation based on a claim
constitute a complete release of all arising out of the same incident or
claims against either the United States transaction.
172
§ 10.11 Relationship to other agency Agency policy and procedures must

regulations. conform to applicable provisions of Ex-
The regulations in this part supple- ecutive Order 11652, and the National
ment the Attorney General’s regula- Security Council Directive of May 17,
tions in part 14 of chapter 1 of title 28, 1972, governing the safeguarding of na-
CFR, as amended. Those regulations, tional security information.
including subsequent amendments
thereto, and the regulations in this § 11.3 Responsibilities.
part apply to the consideration by the (a) Classification and Declassifica-
Environmental Protection Agency of tion Committee: This committee, ap-
administrative claims under the Fed- pointed by the Administrator, has the
eral Tort Claims Act. authority to act on all suggestions and
[38 FR 16868, June 27, 1973, as amended at 51 complaints with respect to EPA’s ad-
FR 25832, July 16, 1986] ministration of this order. It shall es-
tablish procedures to review and act
PART 11—SECURITY CLASSIFICA- within 30 days upon all applications
TION REGULATIONS PURSUANT and appeals regarding requests for de-
TO EXECUTIVE ORDER 11652 classification. The Administrator, act-
ing through the committee, shall be
Sec. authorized to overrule previous deter-
11.1 Purpose. minations in whole or in part when, in
11.2 Background. its judgment, continued protection is
11.3 Responsibilities.
11.4 Definitions.
no longer required. If the committee
11.5 Procedures. determines that continued classifica-
11.6 Access by historical researchers and tion is required under section 5(B) of
former Government officials. Executive Order 11652, it shall prompt-
AUTHORITY: Executive Order 11652 (37 FR ly so notify the requester and advise
5209, March 10, 1972) and the National Secu- him that he may appeal the denial to
rity Directive of May 17, 1972 (37 FR 10053, the Interagency Classification Review
May 19, 1972). Committee.
SOURCE: 37 FR 23541, Nov. 4, 1972, unless (b) Director, Security and Inspection
otherwise noted. Division, Office of Administration: The
Director, Security and Inspection Divi-
§ 11.1 Purpose.
sion, is responsible for the overall man-
These regulations establish policy agement and direction of a program de-
and procedures governing the classi- signed to assure the proper handling
fication and declassification of na- and protection of classified informa-
tional security information. They tion, and that classified information in
apply also to information or material the Agency’s possession bears the ap-
designated under the Atomic Energy propriate classification markings. He
Act of 1954, as amended, as ‘‘Restricted also will assure that the program oper-
Data,’’ or ‘‘Formerly Restricted Data’’
ates in accordance with the policy es-
which, additionally, is subject to the
tablished herein, and will serve as Sec-
provisions of the Act and regulations of
retary of the Classification and Declas-
the Atomic Energy Commission.
sification Committee.
§ 11.2 Background. (c) Assistant Administrators, Re-
While the Environmental Protection gional Administrators, Heads of Staff
Agency does not have the authority to Offices, Directors of National Environ-
originally classify information or ma- mental Research Centers are respon-
terial in the interest of the national se- sible for designating an official within
curity, it may under certain cir- their respective areas who shall be re-
cumstances downgrade or declassify sponsible for:
previously classified material or gen- (1) Serving as that area’s liaison with
erate documents incorporating classi- the Director, Security and Inspection
fied information properly originated by Division, for questions or suggestions

other agencies of the Federal Govern- concerning security classification mat-
ment which must be safeguarded. ters.
173
§ 11.4 40 CFR Ch. I (7–1–21 Edition)
(2) Reviewing and approving, as the dicate the degree of protection re-
representative of the contracting of- quired.
fices, the DD Form 254, Contract Secu- (1) Top Secret. Top Secret refers to
rity Classification Specification, issued national security information or mate-
to contractors. rial which requires the highest degree
(d) Employees; (1) Those employees of protection. The test for assigning
generating documents incorporating Top Secret classification shall be
classified information properly origi- whether its unauthorized disclosure
nated by other agencies of the Federal could reasonably be expected to cause
Government are responsible for assur- exceptionally grave damage to the na-
ing that the documents are marked in tional security. Examples of ‘‘excep-
a manner consistent with security clas- tionally grave damage’’ include armed
sification assignments. hostilities against the United States or
(2) Those employees preparing infor- its allies; disruption of foreign rela-
mation for public release are respon- tions vitally affecting the national se-
sible for assuring that such informa- curity; the compromise of vital na-
tion is reviewed to eliminate classified tional defense plans or complex
information. cryptologic and communications intel-
(3) All employees are responsible for ligence systems; the revelation of sen-
bringing to the attention of the Direc- sitive intelligence operations; and the
tor, Security and Inspection Division, disclosure of scientific or technological
any security classification problems developments vital to national secu-
needing resolution. rity. This classification shall be used
with the utmost restraint.
§ 11.4 Definitions. (2) Secret. Secret refers to that na-
tional security information or material
(a) Classified information. Official in- which requires a substantial degree of
formation which has been assigned a protection. The test for assigning Se-
security classification category in the cret classification shall be whether its
interest of the national defense or for- unauthorized disclosure could reason-
eign relations of the United States. ably be expected to cause serious dam-
(b) Classified material. Any document, age to the national security. Examples
apparatus, model, film, recording, or of ‘‘serious damage’’ include disruption
any other physical object from which of foreign relations significantly af-
classified information can be derived fecting the national security; signifi-
by study, analysis, observation, or use cant impairment of a program or pol-
of the material involved. icy directly related to the national se-
(c) Marking. The act of physically in- curity; revelation of significant mili-
dicating the classification assignment tary plans or intelligence operations;
on classified material. and compromise of scientific or techno-
(d) National security information. As logical developments relating to na-
used in this order this term is synony- tional security. The classification Se-
mous with ‘‘classified information.’’ It cret shall be sparingly used.
is any information which must be pro- (3) Confidential. Confidential refers to
tected against unauthorized disclosure that national security information or
in the interest of the national defense material which requires protection.
or foreign relations of the United The test for assigning Confidential
States. classification shall be whether its un-
(e) Security classification assignment. authorized disclosure could reasonably
The prescription of a specific security be expected to cause damage to the na-
classification for a particular area or tional security.
item of information. The information
involved constitutes the sole basis for § 11.5 Procedures.
determining the degree of classifica- (a) General. Agency instructions on
tion assigned. access, marking, safekeeping, account-
(f) Security classification category. The ability, transmission, disposition, and
specific degree of classification (Top destruction of classification informa-

Secret, Secret or Confidential) as- tion and material will be found in the
signed to classified information to in- EPA Security Manual for Safeguarding
174
Classified Material. These instructions become automatically downgraded to

shall conform with the National Secu- Secret at the end of the second full cal-
rity Council Directive of May 17, 1972, endar year following the year in which
governing the classification, down- it was originated, downgraded to Con-
grading, declassification, and safe- fidential at the end of the fourth full
guarding of National Security Informa- calendar year following the year in
tion. which it was originated, and declas-
(b) Classification. (1) When informa- sified at the end of the 10th full cal-
tion or material is originated within endar year following the year in which
EPA and it is believed to require classi- it was originated.
fication, the person or persons respon- (ii) Secret. Information and material
sible for its origination shall protect it originally classified Secret shall be-
in the manner prescribed for protection come automatically downgraded to
of classified information. The informa- Confidential at the end of the second
tion will then be transmitted under ap- full calendar year following the year in
propriate safeguards to the Director, which it was originated, and declas-
Security and Inspection Division, who sified at the end of the eighth full cal-
will forward it to the department hav- endar year following the year in which
ing primary interest in it with a re- it was originated.
quest that a classification determina- (iii) Confidential. Information and
tion be made. material originally classified Confiden-
(2) A holder of information or mate- tial shall become automatically declas-
rial which incorporates classified infor- sified at the end of the sixth full cal-
mation properly originated by other endar year following the year in which
agencies of the Federal Government it was originated.
shall observe and respect the classifica- (2) Exemption from the General Declas-
tion assigned by the originator. sification Schedule. Information or ma-
(3) If a holder believes there is unnec- terial classified before June 1, 1972, as-
essary classification, that the assigned signed to Group 4 under Executive
classification is improper, or that the Order No. 10501, as amended, shall be
document is subject to declassification, subject to the General Declassification
he shall so advise the Director, Secu- Schedule. All other information or ma-
rity and Inspection Division, who will terial classified before June 1, 1972,
be responsible for obtaining a resolu- whether or not assigned to Groups 1, 2,
tion. or 3, of Executive Order No. 10501, as
(c) Downgrading and declassification. amended, shall be excluded from the
Classified information and material of- General Declassification Schedule.
ficially transferred to the Agency dur- However, at any time after the expira-
ing its establishment, pursuant to Re- tion of 10 years after the date of origin
organization Plan No. 3 of 1970, shall be it shall be subject to a mandatory clas-
declassified in accordance with proce- sification review and disposition in ac-
dures set forth below. Also, the same cordance with the following criteria
procedures will apply to the declas- and conditions:
sification of any information in the (i) It shall be declassified unless it
Agency’s possession which originated falls within one of the following cri-
in departments or agencies which no teria:
longer exist, except that no declas- (a) Classified information or material
sification will occur in such cases until furnished by foreign governments or
other departments having an interest international organizations and held
in the subject matter have been con- by the United States on the under-
sulted. Other classified information in standing that it be kept in confidence.
the Agency’s possession may be down- (b) Classified information or material
graded or declassified by the official specifically covered by statute, or per-
authorizing its classification, by a suc- taining to cryptography, or disclosing
cessor in capacity, or by a supervisory intelligence sources or methods.
official of either. (c) Classified information or material
(1) General Declassification Schedule— disclosing a system, plan, installation,

(i) Top Secret. Information or material project, or specific foreign relations
originally classified Top Secret shall matter, the continuing protection of
175
§ 11.6 40 CFR Ch. I (7–1–21 Edition)
which is essential to the national secu- (vi) Classification review requests. As

rity. required by paragraph (ii) of this para-
(d) Classified information or material graph (c)(2) of this order, a request for
the disclosure of which would place a classification review must describe the
person in immediate jeopardy. document with sufficient particularity
(ii) Mandatory review of exempted ma- to enable the Department or Agency to
terial. All classified information and identify it and obtain it with a reason-
material originated after June 1, 1972, able amount of effort. Whenever a re-
which is exempted under any of the quest is deficient in its description of
above criteria shall be subject to a the record sought, the requester should
classification review by the originating be asked to provide additional identi-
department at any time after the expi- fying information whenever possible.
ration of 10 years from the date of ori- Before denying a request on the ground
gin provided: that it is unduly burdensome, the re-
(a) A department or member of the quester should be asked to limit his re-
public requests a review; quest to records that are reasonably
(b) The request describes the docu- obtainable. If nonetheless the requester
ment or record with sufficient particu- does not describe the records sought
larity to enable the department to with sufficient particularity, or the
identify it; and record requested cannot be obtained
(c) The record can be obtained with a with a reasonable amount of effort, the
reasonable amount of effort. requester shall be notified of the rea-
(d) Information or material which no sons why no action will be taken and of
longer qualifies for exemption under his right to appeal such decision.
any of the above criteria shall be de-
classified. Information or material § 11.6 Access by historical researchers
which continues to qualify under any and former Government officials.
of the above criteria shall be so (a) Access to classified information
marked, and, unless impossible, a date or material may be granted to histor-
for automatic declassification shall be ical researchers or to persons who for-
set. merly occupied policymaking positions
(iii) All requests for ‘‘mandatory re- to which they were appointed by the
view’’ shall be directed to: President: Provided, however, That in
Director, Security and Inspection Division, each case the head of the originating
Environmental Protection Agency, Wash- Department shall:
ington, DC 20460. (1) Determine that access is clearly
consistent with the interests of the na-
The Director, Security and Inspection
tional security; and
Division shall promptly notify the ac-
tion office of the request, and the ac- (2) Take appropriate steps to assure
tion office shall immediately acknowl- that classified information or material
edge receipt of the request in writing. is not published or otherwise com-
(iv) Burden of proof for administrative promised.
determinations. The burden of proof is (b) Access granted a person by reason
on the originating Agency to show that of his having previously occupied a pol-
continued classification is warranted icymaking position shall be limited to
within the terms of this paragraph those papers which the former official
(c)(2). originated, reviewed, signed, or re-
(v) Availability of declassified material. ceived while in public office, except as
Upon a determination under paragraph related to the ‘‘Declassification of
(ii) of this paragraph (c)(2), that the re- Presidential Papers,’’ which shall be
quested material no longer warrants treated as follows:
classification, it shall be declassified (1) Declassification of Presidential Pa-
and made promptly available to the re- pers. The Archivist of the United
quester, if not otherwise exempt from States shall have authority to review
disclosure under section 552(b) of Title and declassify information and mate-
5 U.S.C. (Freedom of Information Act) rial which has been classified by a
or other provision of law. President, his White House Staff or
176
special committee or commission ap- tion Agency (EPA) may be found at 40

pointed by him and which the Archi- CFR part 7 (1986).
vist has in his custody at any archival
depository, including a Presidential li- § 12.102 Application.
brary. Such declassification shall only This part applies to all programs or
be undertaken in accord with: activities conducted by the agency, ex-
(i) The terms of the donor’s deed of cept for programs or activities con-
gift; ducted outside the United States that
(ii) Consultations with the Depart- do not involve individuals with handi-
ments having a primary subject-matter caps in the United States.
interest; and
(iii) The provisions of § 11.5(c). § 12.103 Definitions.
(2) [Reserved] For purposes of this part, the term—
Agency means Environmental Protec-
PART 12—NONDISCRIMINATION tion Agency.
ON THE BASIS OF HANDICAP IN Assistant Attorney General means the
PROGRAMS OR ACTIVITIES CON- Assistant Attorney General, Civil
DUCTED BY THE ENVIRONMENTAL Rights Division, U.S. Department of
PROTECTION AGENCY Justice.
Auxiliary aids means services or de-
Sec. vices that enable persons with im-
12.101 Purpose. paired sensory, manual, or speaking
12.102 Application. skills to have an equal opportunity to
12.103 Definitions. participate in, and enjoy the benefits
12.104–12.109 [Reserved] of, programs or activities conducted by
12.110 Self-evaluation. the agency. For example, auxiliary aids
12.111 Notice.
12.112–12.129 [Reserved]
useful for persons with impaired vision
12.130 General prohibitions against dis- include readers, Brailled materials,
crimination. audio recordings, and other similar
12.131–12.139 [Reserved] services and devices. Auxiliary aids
12.140 Employment. useful for persons with impaired hear-
12.141–12.148 [Reserved] ing include telephone handset ampli-
12.149 Program accessibility: Discrimina- fiers, telephones compatible with hear-
tion prohibited.
12.150 Program accessibility: Existing fa- ing aids, telecommunication devices
cilities. for deaf persons (TDD’s), interpreters,
12.151 Program accessibility: New construc- notetakers, written materials, and
tion and alterations. other similar services and devices.
12.152–12.159 [Reserved] Complete complaint means a written
12.160 Communications. statement that contains the complain-
12.161–12.169 [Reserved] ant’s name and address and describes
12.170 Compliance procedures.
12.171–12.999 [Reserved] the agency’s alleged discriminatory ac-
tion in sufficient detail to inform the
AUTHORITY: 29 U.S.C. 794. agency of the nature and date of the al-
SOURCE: 52 FR 30606, Aug. 14, 1987, unless leged violation of section 504. It shall
otherwise noted. be signed by the complainant or by
someone authorized to do so on his or
§ 12.101 Purpose. her behalf. Complaints filed on behalf
The purpose of this part is to effec- of classes or third parties shall describe
tuate section 119 of the Rehabilitation, or identify (by name, if possible) the
Comprehensive Services, and Develop- alleged victims of discrimination.
mental Disabilities Amendments of Facility means all or any portion of
1978, which amended section 504 of the buildings, structures, equipment,
Rehabilitation Act of 1973 to prohibit roads, walks, parking lots, rolling
discrimination on the basis of handicap stock or other conveyances, or other
in programs or activities conducted by real or personal property.
Executive agencies or the U.S. Postal Individual with handicaps means any
Service. Section 504 regulations appli- person who has a physical or mental
cable to recipients of financial assist- impairment that substantially limits
ance from the Environmental Protec- one or more major life activities, has a
177
§§ 12.104–12.109 40 CFR Ch. I (7–1–21 Edition)
record of such an impairment, or is re- achieve a level of accomplishment, an

garded as having such an impairment. individual with handicaps who meets
As used in this definition, the phrase: the essential eligibility requirements
(1) Physical or mental impairment in- and who can achieve the purpose of the
cludes— program or activity, without modifica-
(i) Any physiological disorder or con- tions in the program or activity that
dition, cosmetic disfigurement, or ana- the agency can demonstrate would re-
tomical loss affecting one or more of sult in a fundamental alteration in its
the following body systems: Neuro- nature; or
logical; musculoskeletal; special sense (2) With respect to any other pro-
organs; respiratory, including speech gram or activity an individual with
organs; cardiovascular; reproductive, handicaps who meets the essential eli-
digestive, genitourinary; hemic and gibility requirements for participation
lymphatic; skin, and endocrine; or in, or receipt of benefits from, that pro-
(ii) Any mental or psychological dis- gram or activity.
order, such as mental retardation, or- (3) Qualified handicapped person as
ganic brain syndrome, emotional or that term is defined for purposes of em-
mental illness, and specific learning ployment in 29 CFR 1613.702(f), which is
disabilities. The term physical or mental made applicable to this part by § 12.140.
impairment includes, but is not limited Section 504 means section 504 of the
to, such diseases and conditions as or- Rehabilitation Act of 1973 (Pub. L. 93–
thopedic, visual, speech, and hearing 112, 87 Stat. 394 (29 U.S.C. 794)), as
impairments, cerebral palsy, epilepsy, amended by the Rehabilitation Act
muscular dystrophy, multiple sclerosis, Amendments of 1974 (Pub. L. 93–516, 88
cancer, heart disease, diabetes, mental Stat. 1617); and the Rehabilitation,
retardation, emotional illness, and Comprehensive Services, and Develop-
drug addiction and alcoholism. mental Disabilities Amendments of
(2) Major life activities includes func- 1978 (Pub. L. 95–602, 92 Stat. 2955); and
tions such as caring for one’s self, per- the Rehabilitation Act Amendments of
forming manual tasks, walking, seeing, 1986 (Pub. L. 99–506, 100 Stat. 1810). As
hearing, speaking, breathing, learning, used in this part, section 504 applies
and working. only to programs or activities con-
(3) Has a record of such an impairment ducted by Executive agencies and not
means has a history of, or has been to federally assisted programs.
misclassified as having, a mental or
physical impairment that substantially §§ 12.104–12.109 [Reserved]
limits one or more major life activi-
ties. § 12.110 Self-evaluation.
(4) Is regarded as having an impairment (a) The agency shall, by November 13,
means— 1987, begin a nationwide evaluation, of
(i) Has a physical or mental impair- its current policies and practices, and
ment that does not substantially limit the effects thereof, that do not or may
major life activities but is treated by not meet the requirements of this part.
the agency as constituting such a limi- The agency shall provide an oppor-
tation; tunity to interested persons, including
(ii) Has a physical or mental impair- individuals with handicaps or organiza-
ment that substantially limits major tions representing individuals with
life activities only as a result of the at- handicaps to, participate in the self-
titudes of others toward such impair- evaluation process by submitting com-
ment; or ments (both oral and written).
(iii) Has none of the impairments de- (b) The evaluation shall be concluded
fined in subparagraph (1) of this defini- by September 14, 1988, with a written
tion but is treated by the agency as report submitted to the Administrator
having such an impairment. that states the findings of the self-eval-
Qualified individual with handicaps uation, any remedial action taken, and
means— recommendations, if any, for further
(1) With respect to any agency pro- remedial action.

gram or activity under which a person (c) The Administrator shall, within
is required to perform services or to 60 days of the receipt of the report of
178
the evaluation and recommendations, same result, to gain the same benefit,
direct that certain remedial actions be or to reach the same level of achieve-
taken as he/she deems appropriate. ment as that provided to others;
(d) The agency shall, for at least (iv) Provide different or separate aid,
three years following completion of the benefits, or services to individuals with
evaluation required under paragraph handicaps or to any class of individuals
(b) of this section, maintain on file and with handicaps than is provided to oth-
make available for public inspection: ers unless such action is necessary to
(1) A list of the interested persons provide qualified individuals with
consulted; handicaps with aid, benefits, or serv-
(2) A description of the areas exam- ices that are as effective as those pro-
ined and any problems identified; and vided to others;
(3) A description of any modifications (v) Deny a qualified individual with
made. handicaps the opportunity to partici-
pate as a member of planning or advi-
§ 12.111 Notice. sory boards; or
The agency shall make available to (vi) Otherwise limit a qualified indi-
employees, unions representing em- vidual with handicaps in the enjoy-
ployees, applicants, participants, bene- ment of any right, privilege, advan-
ficiaries, and other interested persons tage, or opportunity enjoyed by others
such information regarding the provi- receiving the aid, benefit, or service.
sions of this part and its applicability (2) The agency may not deny a quali-
to the programs or activities conducted fied individual with handicaps the op-
by the agency, and make such informa- portunity to participate in programs or
tion available to them in such manner activities that are not separate or dif-
as the agency head finds necessary to ferent, despite the existence of permis-
apprise such persons of the protections sibly separate or different programs or
against discrimination assured them activities.
by section 504 and this regulation. (3) The agency may not, directly or
through contractual or other arrange-
§§ 12.112–12.129 [Reserved] ments, utilize criteria or methods of
administration the purpose or effect of
§ 12.130 General prohibitions against which would—
discrimination. (i) Subject qualified individuals with
(a) No qualified individual with handicaps to discrimination on the
handicaps shall, on the basis of handi- basis of handicap; or
cap, be excluded from participation in, (ii) Defeat or substantially impair ac-
be denied the benefits of, or otherwise complishment of individuals with
be subjected to discrimination under handicaps.
any program or activity conducted by (4) The agency may not, in deter-
the agency. mining the site or location of a facil-
(b)(1) The agency, in providing any ity, make selections the purpose or ef-
aid, benefit, or service, may not, di- fect of which would—
rectly or through contractual, licens- (i) Exclude individuals with handi-
ing, or other arrangements, on the caps from, deny them the benefits of,
basis of handicap— or otherwise subject them to discrimi-
(i) Deny a qualified individual with nation under any program or activity
handicaps the opportunity to partici- conducted by the agency; or
pate in or benefit from the aid, benefit, (ii) Defeat or substantially impair
or service; the accomplishment of the objectives
(ii) Afford a qualified individual with of a program or activity with respect
handicaps an opportunity to partici- to individuals with handicaps.
pate in or benefit from the aid, benefit, (5) The agency, in the selection of
or service that is not equal to that af- procurement contractors, may not use
forded others; criteria that subject qualified individ-
(iii) Provide a qualified individual uals with handicaps to discrimination
with handicaps with an aid, benefit, or on the basis of handicap.

service that is not as effective in af- (6) The agency may not administer a
fording equal opportunity to obtain the licensing or certification program in a
179
§§ 12.131–12.139 40 CFR Ch. I (7–1–21 Edition)
manner that subjects qualified individ- § 12.150 Program accessibility: Exist-

uals with handicaps to discrimination ing facilities.
on the basis of handicap, nor may the (a) General. The agency shall operate
agency establish requirements for the each program or activity so that the
programs or activities of licensees or program or activity, when viewed in its
certified entities that subject qualified entirety, is readily accessible to and
individuals with handicaps to discrimi- usable by individuals with handicaps.
nation on the basis of handicap. How- This paragraph does not—
ever, the program or activities of enti- (1) Necessarily require the agency to
ties that are licensed or certified by make each of its existing facilities ac-
the agency are not, themselves, cov- cessible to and usable by individuals
ered by this part. with handicaps; or
(c) The exclusion of nonhandicapped (2) Require the agency to take any
action that it can demonstrate would
persons from the benefits of a program
result in a fundamental alteration in
limited by Federal statute or Execu-
the nature of a program or activity or
tive order to individuals with handi- in undue financial and administrative
caps or the exclusion of a specific class burdens. In those circumstances where
of individuals with handicaps from a agency personnel believe that the pro-
program limited by Federal statute or posed action would fundamentally
Executive order to a different class of alter the program or activity or would
individuals with handicaps is not pro- result in undue financial and adminis-
hibited by this part. trative burdens, the agency has the
(d) The agency shall administer pro- burden of proving that compliance with
grams and activities in the most inte- § 12.150(a) would result in such alter-
grated setting appropriate to the needs ation or burdens. The decision that
of qualified individuals with handicaps. compliance would result in such alter-
ation or burdens must be made by the
§§ 12.131–12.139 [Reserved] agency head or designee after consid-
ering all agency resources available for
§ 12.140 Employment. use in the funding and operation of the
No qualified individual with handi- conducted program or activity, and
caps shall, on the basis of handicap, be must be accompanied by a written
subjected to discrimination in employ- statement of the reasons for reaching
ment under any program or activity that conclusion. If an action would re-
conducted by the agency. The defini- sult in such an alteration or such bur-
tions, requirements, and procedures of dens, the agency shall take any other
section 501 of the Rehabilitation Act of action that would not result in such an
alteration or such burdens but would
1973 (29 U.S.C. 791), as established by
nevertheless ensure that individuals
the Equal Employment Opportunity
with handicaps receive the benefits and
Commission in 29 CFR part 1613, shall
services of the program or activity.
apply to employment in federally con- (b) Methods. The agency may comply
ducted programs or activities. with the requirements of this section
through such means as redesign of
§§ 12.141–12.148 [Reserved]
equipment, reassignment of services to
§ 12.149 Program accessibility: Dis- accessible buildings, assignment of
crimination prohibited. aides to beneficiaries, home visits, de-
livery of services at alternate acces-
Except as otherwise provided in sible sites, alteration of existing facili-
§ 12.150, no qualified individual with ties and construction of new facilities,
handicaps shall, because the agency’s use of accessible rolling stock, or any
facilities are inaccessible to or unus- other methods that result in making
able by individuals with handicaps, be its programs or activities readily ac-
denied the benefits of, be excluded from cessible to and usable by individuals
participation in, or otherwise be sub- with handicaps. The agency is not re-
jected to discrimination under any pro- quired to make structural changes in

gram or activity conducted by the existing facilities where other methods
agency. are effective in achieving compliance
180
with this section. The agency, in mak- § 12.151 Program accessibility: New
ing alterations to existing buildings, construction and alterations.
shall meet accessibility requirements Each building or part of a building
to the extent compelled by the Archi- that is constructed or altered by, on
tectural Barriers Act of 1968, as amend- behalf of, or for the use of the agency
ed (42 U.S.C. 4151–4157), and any regula- shall be designed, constructed, or al-
tions implementing it. In choosing tered so as to be readily accessible to
among available methods for meeting and usable by individuals with handi-
the requirements of this section, the caps. The definitions, requirements,
agency shall give priority to those and standards of the Architectural Bar-
methods that offer programs and ac- riers Act (42 U.S.C. 4151–4157), as estab-
tivities to qualified individuals with lished in 41 CFR 101–19.600 to 101–19.607,
handicaps in the most integrated set- apply to buildings covered by this sec-
ting appropriate. tion.
(c) Time period for compliance. The
§§ 12.152–12.159 [Reserved]
agency shall comply with the obliga-
tions established under this section by § 12.160 Communications.
November 13, 1987, except that where
structural changes in facilities are un- (a) The agency shall take appropriate
dertaken, such changes shall be made steps to ensure effective communica-
by September 14, 1990, but in any event tion with applicants, participants, per-
sonnel of other Federal entities, and
as expeditiously as possible.
members of the public.
(d) Transition plan. In the event that
(1) The agency shall furnish appro-
structural changes to facilities will be
priate auxiliary aids where necessary
undertaken to achieve program acces-
to afford an individual with handicaps
sibility, the agency shall develop, by an equal opportunity to participate in,
March 14, 1988, a transition plan set- and enjoy the benefits of, a program or
ting forth the steps necessary to com- activity conducted by the agency.
plete such changes. The agency shall (i) In determining what type of auxil-
provide an opportunity to interested iary aid is necessary, the agency shall
persons, including individuals with give primary consideration to the re-
handicaps or organizations rep- quests of the individuals with handi-
resenting individuals with handicaps to caps.
participate in the development of the (ii) The agency need not provide indi-
transition plan by submitting com- vidually prescribed devices, readers for
ments (both oral and written). A copy personal use or study, or other devices
of the transition plan shall be made of a personal nature.
available for public inspection. The (2) Where the agency communicates
plan shall, at a minimum— with applicants and beneficiaries by
(1) Identify physical obstacles in the telephone, telecommunication devices
agency’s facilities that limit the acces- for deaf persons (TDD’s) or equally ef-
sibility of its programs or activities to fective telecommunication systems
individuals with handicaps; shall be used.
(2) Describe in detail the methods (b) The agency shall ensure that in-
that will be used to make the facilities terested persons, including persons
accessible; with impaired vision or hearing, can
(3) Specify the schedule for taking obtain information as to the existence
the steps necessary to achieve compli- and location of accessible services, ac-
ance with this section and, if the time tivities, and facilities.
period of the transition plan is longer (c) The agency shall provide signage
at a primary entrance to each of its in-
than one year, identify steps that will
accessible facilities, directing users to
be taken during each year of the tran-
a location at which they can obtain in-
sition period; and
formation about accessible facilities.
(4) Indicate the official responsible The international symbol for accessi-
for implementation of the plan. bility shall be used at each primary en-
trance of an accessible facility.
181
§§ 12.161–12.169 40 CFR Ch. I (7–1–21 Edition)
(d) This section does not require the this time period for good cause. The
agency to take any action that it can agency shall accept and investigate all
demonstrate would result in a funda- complete complaints for which it has
mental alteration in the nature of a jurisdiction.
program or activity or in undue finan- (e) If the agency receives a complaint
cial and administrative burdens. In over which it does not have jurisdic-
those circumstances where agency per- tion, it shall promptly notify the com-
sonnel believe that the proposed action plainant and shall make reasonable ef-
would fundamentally alter the program forts to refer the complaint to the ap-
or activity or would result in undue fi- propriate Government entity.
nancial and administrative burdens, (f) The agency shall notify the Archi-
the agency has the burden of proving tectural and Transportation Barriers
that compliance with § 12.160 would re- Compliance Board upon receipt of any
sult in such alteration or burdens. The complaint alleging that a building of
decision that compliance would result facility that is subject to the Architec-
in such alteration or burdens must be tural Barriers Act of 1968, as amended
made by the agency head or designee (42 U.S.C. 4151–4157), is not readily ac-
after considering all agency resources cessible to and usable by individuals
available for use in the funding and op- with handicaps.
eration of the conducted program or (g) Within 180 days of the receipt of a
activity, and must be accompanied by complete complaint for which it has ju-
a written statement of the reasons for risdiction, the agency shall notify the
reaching that conclusion. If an action complainant of the results of the inves-
required to comply with this section tigation in a letter containing—
would result in such an alteration or (1) Findings of fact and conclusions
such burdens, the agency shall take of law;
any other action that would not result (2) A description of a remedy for each
in such an alteration or such burdens violation found; and
but would nevertheless ensure that, to (3) A notice of the right to appeal.
the maximum extent possible, individ- (h) Appeals of the findings of fact and
uals with handicaps receive the bene- conclusions of law or remedies must be
fits and services of the program or ac- filed by the complainant within 90 days
tivity. of receipt from the agency of the letter
required by paragraph (g) of this sec-
§§ 12.161–12.169 [Reserved] tion. The agency may extend this time
for good cause.
§ 12.170 Compliance procedures. (i) Timely appeals shall be accepted
(a) Except as provided in paragraph and processed by the Administrator or
(b) of this section, this section applies a designee.
to all allegations of discrimination on (j) The Administrator or a designee
the basis of handicap in programs or shall notify the complainant of the re-
activities conducted by the agency. sults of the appeal within 60 days of the
(b) The agency shall process com- receipt of the request. If the Adminis-
plaints alleging violations of section trator or designee determines that ad-
504 with respect to employment accord- ditional information is needed from the
ing to the procedures established by complainant, he or she shall have 60
the Equal Employment Opportunity days from the date of receipt of the ad-
Commission in 29 CFR part 1613 pursu- ditional information to make his or her
ant to section 501 of the Rehabilitation determination on the appeal.
Act of 1973 (29 U.S.C. 791). (k) The time limits cited in para-
(c) Responsibility for coordinating graphs (g) and (j) of this section above
implementation of this section shall be may be extended with the permission
vested in the Director of the Office of of the Assistant Attorney General.
Civil Rights, EPA or his/her designate. (l) The agency may delegate its au-
(d) The complainant may file a com- thority for conducting complaint in-
plete complaint at any EPA office. All vestigations to other Federal agencies,
complete complaints must be filed except that the authority for making
within 180 days of the alleged act of the final determination may not be
discrimination. The agency may extend delegated to another agency.
182
§§ 12.171–12.999 [Reserved] Subpart G—Referrals

13.33 Referrals to the Department of Jus-
PART 13—CLAIMS COLLECTION tice.
STANDARDS
Subpart H—Referral of Debts to IRS for Tax
Subpart A—General Refund Offset
13.34 Purpose.
Sec.
13.35 Applicability and scope.
13.1 Purpose and scope.
13.36 Administrative charges.
13.2 Definitions.
13.37 Notice requirement before offset.
13.3 Interagency claims. 13.38 Review within the Agency.
13.4 Other remedies. 13.39 Agency determination.
13.5 Claims involving criminal activities or 13.40 Stay of offset.
misconduct.
13.6 Subdivision of claims not authorized. AUTHORITY: 5 U.S.C. 552a, 5512, and 5514; 31
13.7 Omission not a defense. U.S.C. 3711 et seq. and 3720A; 4 CFR parts 101–
10.
Subpart B—Collection SOURCE: 53 FR 37270, Sept. 23, 1988, unless
otherwise noted.
13.8 Collection rule.
13.9 Initial notice.
13.10 Aggressive collection actions; docu- Subpart A—General
mentation.
13.11 Interest, penalty and administrative
§ 13.1 Purpose and scope.
costs. This regulation prescribes standards
13.12 Interest and charges pending waiver or and procedures for the Environmental
review. Protection Agency’s (EPA’s) collection
13.13 Contracting for collection services. and disposal of debts. These standards
13.14 Use of credit reporting agencies. and procedures are applicable to all
13.15 Taxpayer information. debts for which a statute, regulation or
13.16 Liquidation of collateral.
contract does not prescribe different
13.17 Suspension or revocation of license or
eligibility.
standards or procedures. This regula-
13.18 Installment payments. tion covers EPA’s collection, com-
13.19 Analysis of costs; automation; preven- promise, suspension, termination, and
tion of overpayments, delinquencies or referral of debts.
defaults.
§ 13.2 Definitions.
Subpart C—Administrative Offset (a) Debt means an amount owed to
13.20 Administrative offset of general debts.
the United States from sources which
13.21 Employee salary offset—general. include loans insured or guaranteed by
13.22 Salary offset when EPA is the creditor the United States and all other
agency. amounts due the United States from
13.23 Salary offset when EPA is not the fees, grants, contracts, leases, rents,
creditor agency. royalties, services, sales of real or per-
sonal property, overpayments, fines,
Subpart D—Compromise of Debts penalties, damages, interest, forfeit-
ures (except those arising under the
13.24 General.
13.25 Standards for compromise.
Uniform Code of Military Justice), and
13.26 Payment of compromised claims. all other similar sources. As used in
13.27 Joint and several liability. this regulation, the terms debt and
13.28 Execution of releases. claim are synonymous.
(b) Delinquent debt means any debt
Subpart E—Suspension of Collection Action which has not been paid by the date
specified by the Government for pay-
13.29 Suspension—general. ment or which has not been satisfied in
13.30 Standards for suspension. accordance with a repayment agree-
ment.
Subpart F—Termination of Debts
(c) Debtor means an individual, orga-

13.31 Termination—general. nization, association, corporation, or a
13.32 Standards for termination. State or local government indebted to
183
§ 13.3 40 CFR Ch. I (7–1–21 Edition)
the United States or a person or entity referral to the General Accounting Of-
with legal responsibility for assuming fice (GAO).
the debtor’s obligation.
(d) Agency means the United States § 13.4 Other remedies.
Environmental Protection Agency. (a) This regulation does not super-
(e) Administrator means the Adminis- sede or require omission or duplication
trator of EPA or an EPA employee or of administrative proceedings required
official designated to act on the Ad- by contract, statute, regulation or
ministrator’s behalf. other Agency procedures, e.g., resolu-
(f) Administrative offset means the tion of audit findings under grants or
withholding of money payable by the contracts, informal grant appeals, for-
United States to, or held by the United mal appeals, or review under a procure-
States for, a person to satisfy a debt ment contract.
the person owes the Government. (b) The remedies and sanctions avail-
(g) Creditor agency means the Federal able to the Agency under this regula-
agency to which the debt is owed. tion for collecting debts are not in-
(h) Disposable pay means that part of tended to be exclusive. The Agency
current basic pay, special pay, incen- may impose, where authorized, other
tive pay, retired pay, retainer pay, or appropriate sanctions upon a debtor for
in the case of an employee not entitled inexcusable, prolonged or repeated fail-
to basic pay, other authorized pay re- ure to pay a debt. For example, the
maining after the deduction of any Agency may stop doing business with a
amount described in 5 CFR 581.105 (b) grantee, contractor, borrower or lend-
through (f). These deductions include, er; convert the method of payment
but are not limited to: Social security under a grant or contract from an ad-
withholdings; Federal, State and local vance payment to a reimbursement
tax withholdings; health insurance pre- method; or revoke a grantee’s or con-
miums; retirement contributions; and tractor’s letter-of-credit.
life insurance premiums. § 13.5 Claims involving criminal activi-
(i) Employee means a current em- ties or misconduct.
ployee of the Federal Government in-
(a) The Administrator will refer cases
cluding a current member of the Armed
of suspected criminal activity or mis-
Forces.
conduct to the EPA Office of Inspector
(j) Person means an individual, firm,
General. That office has the responsi-
partnership, corporation, association
bility for investigating or referring the
and, except for purposes of administra-
matter, where appropriate, to the De-
tive offsets under subpart C and inter-
partment of Justice (DOJ), and/or re-
est, penalty and administrative costs
turning it to the Administrator for fur-
under subpart B of this regulation, in-
ther actions. Examples of activities
cludes State and local governments
which should be referred are matters
and Indian tribes and components of
involving fraud, anti-trust violations,
tribal governments.
embezzlement, theft, false claims or
(k) Employee salary offset means the misuse of Government money or prop-
administrative collection of a debt by erty.
deductions at one or more officially es- (b) The Administrator will not ad-
tablished pay intervals from the cur- ministratively compromise, terminate,
rent pay account of an employee with- suspend or otherwise dispose of debts
out the employee’s consent. involving criminal activity or mis-
(l) Waiver means the cancellation, re- conduct without the approval of DOJ.
mission, forgiveness or non-recovery of
a debt or debt-related charge as per- § 13.6 Subdivision of claims not au-
mitted or required by law. thorized.
A claim will not be subdivided to
§ 13.3 Interagency claims. avoid the $20,000 limit on the Agency’s
This regulation does not apply to authority to compromise, suspend, or
debts owed EPA by other Federal agen- terminate a debt. A debtor’s liability
cies. Such debts will be resolved by ne- arising from a particular transaction
gotiation between the agencies or by or contract is a single claim.
184
§ 13.7 Omission not a defense. (4) That interest charges and, except
Failure by the Administrator to com- for State and local governments and
ply with any provision of this regula- Indian tribes, penalty charges and ad-
tion is not available to a debtor as a ministrative costs may be assessed
defense against payment of a debt. against a delinquent debt;
(5) Of any rights available to the
Subpart B—Collection debtor to dispute the validity of the
debt or to have recovery of the debt
§ 13.8 Collection rule. waived (citing the available review or
(a) The Administrator takes action waiver authority, the conditions for re-
to collect all debts owed the United view or waiver, and the effects of the
States arising out of EPA activities review or waiver request on the collec-
and to reduce debt delinquencies. Col- tion of the debt), and of the possibility
lection actions may include sending of assessment of interest, penalty and
written demands to the debtor’s last administrative costs; and
known address. Written demand may (6) The address, telephone number
be preceded by other appropriate ac- and name of the person available to
tion, including immediate referral to discuss the debt.
DOJ for litigation, when such action is (b) EPA will respond promptly to
necessary to protect the Government’s communications from the debtor. Re-
interest. The Administrator may con- sponse generally will be within 20 days
tact the debtor by telephone, in person of receipt of communication from the
and/or in writing to demand prompt debtor.
payment, to discuss the debtor’s posi- (c) Subsequent demand letters also
tion regarding the existence, amount will advise the debtor of any interest,
or repayment of the debt, to inform the
penalty or administrative costs which
debtor of its rights (e.g., to apply for
have been assessed and will advise the
waiver of the indebtedness or to have
an administrative review) and of the debtor that the debt may be referred to
basis for the debt and the consequences a credit reporting agency (see § 13.14), a
of nonpayment or delay in payment. collection agency (see § 13.13) or to DOJ
(b) The Administrator maintains an (see § 13.33) if it is not paid.
administrative file for each debt and/or
§ 13.10 Aggressive collection actions;
debtor which documents the basis for
documentation.
the debt, all administrative collection
actions regarding the debt (including (a) EPA takes actions and effective
communications to and from the debt- follow-up on a timely basis to collect
or) and its final disposition. Informa- all claims of the United States for
tion from a debt file relating to an in- money and property arising out of
dividual may be disclosed only for pur- EPA’s activities. EPA cooperates with
poses which are consistent with this other Federal agencies in their debt
regulation, the Privacy Act of 1974 and collection activities.
other applicable law. (b) All administrative collection ac-
tions are documented in the claim file,
§ 13.9 Initial notice.
and the bases for any compromise, ter-
(a) When the Administrator determination or suspension of collection
mines that a debt is owed EPA, he pro- actions is set out in detail. This docu-
vides a written initial notice to the mentation, including the Claims Col-
debtor. Unless otherwise provided by lection Litigation Report required
agreement, contract or order, the ini- § 13.33, is retained in the appropriate
tial notice informs the debtor:
debt file.
(1) Of the amount, nature and basis of
the debt; § 13.11 Interest, penalty and adminis-
(2) That payment is due immediately trative costs.
upon receipt of the notice;
(3) That the debt is considered delin- (a) Interest. EPA will assess interest
quent if it is not paid within 30 days of on all delinquent debts unless prohib-
the date mailed or hand-delivered; ited by statute, regulation or contract.
185
§ 13.12 40 CFR Ch. I (7–1–21 Edition)
(1) Interest begins to accrue on all (c) Penalties. As provided by 31 U.S.C.

debts from the date of the initial no- 3717(e)(2), a penalty charge will be as-
tice to the debtor. EPA will not re- sessed on all debts, except those owned
cover interest where the debt is paid by State and local governments and In-
within 30 days of the date of the notice. dian tribes, more than 90 days delin-
EPA will assess an annual rate of in- quent. The penalty charge will be at a
terest that is equal to the rate of the rate not to exceed 6% per annum and
current value of funds to the United will be assessed monthly.
States Treasury (i.e., the Treasury tax (d) Allocation of payments. A partial
and loan account rate) as prescribed payment by a debtor will be applied
and published by the Secretary of the first to outstanding administrative
Treasury in the FEDERAL REGISTER and costs, second to penalty assessments,
the Treasury Fiscal Requirements third to accrued interest and then to
Manual Bulletins, unless a different the outstanding debt principal.
rate is necessary to protect the inter- (e) Waiver. (1) The Administrator
est of the Government. EPA will notify may (without regard to the amount of
the debtor of the basis for its finding the debt) waive collection of all or part
that a different rate is necessary to of accrued interest, penalty or adminis-
protect the interest of the Govern- trative costs, where he determines
ment. that—
(2) The Administrator may extend (i) Waiver is justified under the cri-
the 30-day period for payment where he teria of § 13.25;
determines that such action is in the (ii) The debt or the charges resulted
best interest of the Government. A de- from the Agency’s error, action or in-
cision to extend or not to extend the action, and without fault by the debt-
payment period is final and is not sub- or; or
ject to further review. (iii) Collection of these charges
(3) The rate of interest, as initially would be against equity and good con-
assessed, remains fixed for the duration science or not in the best interest of
of the indebtedness. If a debtor defaults the United States.
on a repayment agreement, interest (2) A decision to waive interest, pen-
may be set at the Treasury rate in ef- alty charges or administrative costs
fect on the date a new agreement is ex- may be made at any time prior to pay-
ecuted. ment of a debt. However, where these
(4) Interest will not be assessed on in- charges have been collected prior to
terest charges, administrative costs or the waiver decision, they will not be
later payment penalties. However, refunded. The Administrator’s decision
where a debtor defaults on a previous to waive or not waive collection of
repayment agreement and interest, ad- these charges is a final agency action.
ministrative costs and penalties
charges have been waived under the de- § 13.12 Interest and charges pending
faulted agreement, these charges can waiver or review.
be reinstated and added to the debt Interest, penalty charges and admin-
principal under any new agreement and istrative costs will continue to accrue
interest charged on the entire amount on a debt during administrative appeal,
of the debt. either formal or informal, and during
(b) Administrative costs of collecting waiver consideration by the Agency;
overdue debts. The costs of the Agency’s except, that interest, penalty charges
administrative handling of overdue and administrative costs will not be as-
debts, based on either actual or aver- sessed where a statute or a regulation
age cost incurred, will be charged on specifically prohibits collection of the
all debts except those owed by State debt during the period of the adminis-
and local governments and Indian trative appeal or the Agency review.
tribes. These costs include both direct
and indirect costs. Administrative § 13.13 Contracting for collection serv-
costs will be assessed monthly ices.

throughout the period the debt is over- EPA will use private collection serv-
due except as provided by § 13.12. ices where it determines that their use
186
is in the best interest of the Govern- the information authorized for disclo-
ment. Where EPA determines that sure by this subsection; and
there is a need to contract for collec- (iii) The debtor can request a com-
tion services it will— plete explanation of the claim, can dis-
(a) Retain sole authority to resolve pute the information in EPA’s records
any dispute by the debtor of the valid- concerning the claim, and can file for
ity of the debt, to compromise the an administrative review, waiver or re-
debt, to suspend or terminate collec- consideration of the claim, where ap-
tion action, to refer the debt to DOJ plicable.
for litigation, and to take any other (c) Before information is submitted
action under this part which does not to a credit reporting agency, EPA will
result in full collection of the debt; provide a written statement to the re-
(b) Require the contractor to comply porting agency that all required ac-
with the Privacy Act of 1974, as amend- tions have been taken. Additionally,
ed, to the extent specified in 5 U.S.C. EPA will, thereafter, ensure that the
552a(m), with applicable Federal and credit reporting agency is promptly in-
State laws pertaining to debt collec- formed of any substantive change in
tion practices (e.g., the Fair Debt Col- the conditions or amounts of the debt,
lection Practices Act (15 U.S.C. 1692 et and promptly verify or correct infor-
seq.)), and with applicable regulations mation relevant to the claim.
of the Internal Revenue Service; (d) If a debtor disputes the validity of
(c) Require the contractor to account the debt, the credit reporting agency
accurately and fully for all amounts will refer the matter to the appropriate
collected; and EPA official. The credit reporting
(d) Require the contractor to provide agency will exclude the debt from its
to EPA, upon request, all data and re- reports until EPA certifies in writing
ports contained in its files relating to that the debt is valid.
its collection actions on a debt. § 13.15 Taxpayer information.
§ 13.14 Use of credit reporting agen- (a) The Administrator may obtain a
cies. debtor’s current mailing address from
EPA reports delinquent debts to ap- the Internal Revenue Service.
(b) Addresses obtained from the In-
propriate credit reporting agencies.
ternal Revenue Service will be used by
(a) EPA provides the following infor-
the Agency, its officers, employees,
mation to the reporting agencies:
agents or contractors and other Fed-
(1) A statement that the claim is eral agencies only to collect or dispose
valid and is overdue; of debts, and may be disclosed to credit
(2) The name, address, taxpayer iden- reporting agencies only for the purpose
tification number and any other infor- of their use in preparing a commercial
mation necessary to establish the iden- credit report on the taxpayer for use by
tity of the debtor; EPA.
(3) The amount, status and history of
the debt; and § 13.16 Liquidation of collateral.
(4) The program or pertinent activity Where the Administrator holds a se-
under which the debt arose. curity instrument with a power of sale
(b) Before disclosing debt informa- or has physical possession of collateral,
tion, EPA will: he may liquidate the security or collat-
(1) Take reasonable action to locate eral and apply the proceeds to the over-
the debtor if a current address is not due debt. EPA will exercise this right
available; and where the debtor fails to pay within a
(2) If a current address is available, reasonable time after demand, unless
notify the debtor by certified mail, re- the cost of disposing of the collateral is
turn receipt requested, that: disproportionate to its value or special
(i) The designated EPA official has circumstances require judicial fore-
reviewed the claim and has determined closure. However, collection from other
that it is valid and overdue; businesses, including liquidation of se-

(ii) That within 60 days EPA intends curity or collateral, is not a pre-
to disclose to a credit reporting agency requisite to requiring payment by a
187
§ 13.17 40 CFR Ch. I (7–1–21 Edition)
surety or insurance company unless ex- default. The size and frequency of in-
pressly required by contract or statute. stallment payments will bear a reason-
The Administrator will give the debtor able relation to the size of the debt and
reasonable notice of the sale and an ac- the debtor’s ability to pay. The install-
counting of any surplus proceeds and ment payments will be sufficient in
will comply with any other require- size and frequency to liquidate the debt
ments of law or contract. in not more than 3 years, unless the
§ 13.17 Suspension or revocation of li- Administrator determines that a
cense or eligibility. longer period is required. Installment
payments of less than $50 per month
When collecting statutory penalties,
generally will not be accepted, but may
forfeitures, or debts for purposes of en-
forcement or compelling compliance, be accepted where the debtor’s finan-
the Administrator may suspend or re- cial or other circumstances justify. If
voke licenses or other privileges for the debt is unsecured, the Adminis-
any inexcusable, prolonged or repeated trator may require the debtor to exe-
failure of a debtor to pay a claim. Addi- cute a confess-judgment note with a
tionally, the Administrator may sus- tax carry-forward and a tax carry-back
pend or disqualify any contractor, provision. Where the Administrator se-
lender, broker, borrower, grantee or cures a confess-judgment note, the Ad-
other debtor from doing business with ministrator will provide the debtor a
EPA or engaging in programs EPA written explanation of the con-
sponsors or funds if a debtor fails to sequences of the debtor’s signing the
pay its debts to the Government within note.
a reasonable time. Debtors will be noti- (b) If a debtor owes more than one
fied before such action is taken and ap- debt and designates how a voluntary
plicable suspension or debarment pro- installment payment is to be applied
cedures will be used. The Adminis- among the debts, that designation will
trator will report the failure of any be approved if the Administrator deter-
surety to honor its obligations to the mines that the designation is in the
Treasury Department for action under best interest of the United States. If
6 U.S.C. 11.
the debtor does not designate how the
§ 13.18 Installment payments. payment is to be applied, the Adminis-
trator will apply the payment to the
(a) Whenever, feasible, and except as
various debts in accordance with the
otherwise provided by law, debts owed
best interest of the United States, pay-
to the United States, together with in-
terest, penalty and administrative ing special attention to applicable
costs, as required by § 13.11, will be col- statutes of limitations.
lected in a single payment. However,
§ 13.19 Analysis of costs; automation;
where the Administrator determines prevention of overpayments, delin-
that a debtor is financially unable to quencies or defaults.
pay the indebtedness in a single pay-
ment or that an alternative payment (a) The Administrator may periodi-
mechanism is in the best interest of cally compare EPA’s costs in handling
the United States, the Administrator debts with the amounts it collects,
may approve repayment of the debt in (b) The Administrator may periodi-
installments. The debtor has the bur- cally consider the need, feasibility, and
den of establishing that it is finan- cost effectiveness of automated debt
cially unable to pay the debt in a sin- collection operations.
gle payment or that an alternative (c) The Administrator may establish
payment mechanism is warranted. If internal controls to identify the causes
the Administrator agrees to accept of overpayments and delinquencies and
payment by installments, the Adminis- may issue procedures to prevent future
trator may require a debtor to execute occurrences of the identified problems.
a written agreement which specifies all
the terms of the repayment arrange-

ment and which contains a provision
accelerating the debt in the event of
188
Subpart C—Administrative Offset (c) Multiple debts. Where moneys are

available for offset against multiple
§ 13.20 Administrative offset of general debts of a debtor, it will be applied in
debts. accordance with the best interest of
This subpart provides for EPA’s col- the Government as determined by the
lection of debts by administrative off- Administrator on a case-by-case basis.
set under section 5 of the Debt Collec- (d) Statutory bar to offset. Administra-
tion Act of 1982 (31 U.S.C. 3716), other tive offset will not be made more than
statutory authorities and the common 10 years after the Government’s right
law. It does not apply to offsets against to collect the debt first accrued, unless
employee salaries covered by §§ 13.21, facts material to the Government’s
13.22 and 13.23 of this subpart. EPA will right to collect the debt were not
collect debts by administrative offsets known and could not have been known
where it determines that such collec- through the exercise of reasonable care
tions are feasible and are not otherwise by the officer responsible for discov-
prohibited by statute or contract. ering or collecting the debt. For pur-
EPA will decide, on a case-by-case poses of offset, the right to collect a
basis, whether collection by adminis- debt accrues when the appropriate EPA
trative offset is feasible and that its official determines that a debt exists
use furthers and protects the interest (e.g., contracting officer, grant award
of the United States. official, etc.), when it is affirmed by an
(a) Standards. (1) The Administrator administrative appeal or a court hav-
collects debts by administrative offset ing jurisdiction, or when a debtor de-
if— faults on a payment agreement, which-
(i) The debt is certain in amount; ever is latest. An offset occurs when
(ii) Efforts to obtain direct payment money payable to the debtor is first
from the debtor have been, or would withheld or when EPA requests offset
most likely be, unsuccessful or the Ad- from money held by another agency.
ministrator and the debtor agree to the (e) Pre-offset notice. Before initiating
offset; offset, the Administrator sends the
(iii) Offset is not expressly or implic- debtor written notice of:
itly prohibited by statute, regulation (1) The basis for and the amount of
or contract; the debt as well as the Agency’s inten-
(iv) Offset is cost-effective or has sig- tion to collect the debt by offset if pay-
nificant deterrent value; ment or satisfactory response has not
(v) Offset does not substantially im- been received within 30 days of the no-
pair or defeat program objectives; and tice;
(vi) Offset is best suited to further (2) The debtor’s right to submit an
and protect the Government’s interest. alternative repayment schedule, to in-
(2) The Administrator may, in deter- spect and copy agency records per-
mining the method and amount of the taining to the debt, to request review
offset, consider the financial impact on of the determination of indebtedness or
the debtor. to apply for waiver under any available
(b) Interagency offset. The Adminis- statute or regulation; and
trator may offset a debt owed to an- (3) Applicable interest, penalty
other Federal agency from amounts charges and administrative costs.
due or payable by EPA to the debtor, (f) Alternative repayment. The Admin-
or may request another Federal agency istrator may, at the Administrator’s
to offset a debt owed to EPA. The Ad- discretion, enter into a repayment
ministrator may request the Internal agreement with the debtor in lieu of
Revenue Service to offset an overdue offset. In deciding whether to accept
debt from a Federal income tax refund payment of the debt by an alternative
due a debtor where reasonable at- repayment agreement, the Adminis-
tempts to obtain payment have failed. trator may consider such factors as the
Interagency offsets from employee sal- amount of the debt, the length of the
aries will be made in accordance with proposed repayment period, whether

the procedures contained in §§ 13.22 and the debtor is willing to sign a confess-
13.23. judgment note, past Agency dealings
189
§ 13.21 40 CFR Ch. I (7–1–21 Edition)
with the debtor, documentation sub- § 13.21 Employee salary offset—gen-

mitted by the debtor indicating that an eral.
offset will cause undue financial hard-
(a) Purpose. This section establishes
ship, and the debtor’s financial ability
EPA’s policies and procedures for re-
to adhere to the terms of a repayment
covery of debts owed to the United
agreement. The Administrator may re-
States by installment collection from
quire financial documentation from
the debtor before considering the re- the current pay account of an em-
payment arrangement. ployee.
(g) Review of administrative determina- (b) Scope. The provisions of this sec-
tion. (1) A debt will not be offset while tion apply to collection by salary offset
a debtor is seeking either formal or in- under 5 U.S.C. 5514 of debts owed EPA
formal review of the validity of the and debts owed to other Federal agen-
debt under this section or under an- cies by EPA employees. This section
other statute, regulation or contract. does not apply to debts owed EPA aris-
However, interest, penalty and admin- ing from travel advances under 5 U.S.C.
istrative costs will continue to accrue 5705, employee training expenses under
during this period, unless otherwise 5 U.S.C. 4108 and to other debts where
waived by the Administrator. The Ad- collection by salary offset is explicitly
ministrator may initiate offset as soon provided for or prohibited by another
as practical after completion of review statute.
or after a debtor waives the oppor- (c) References. The following statutes
tunity to request review. and regulations apply to EPA’s recov-
(2) The Administrator may adminis- ery of debts due the United States by
tratively offset a debt prior to the com- salary offset:
pletion of a formal or informal review (1) 5 U.S.C. 5514, as amended, gov-
where the determines that: erning the installment collection of
(i) Failure to take the offset would debts;
substantially prejudice EPA’s ability (2) 31 U.S.C. 3716, governing the liq-
to collect the debt; and uidation of debts by administrative off-
(ii) The time before the first offset is set;
to be made does not reasonably permit (3) 5 CFR part 550, subpart K, setting
the completion of the review proce- forth the minimum requirements for
dures. (Offsets taken prior to comple- executive agency regulations on salary
tion of the review process will be fol- offset; and
lowed promptly by the completion of
(4) 4 CFR parts 101–105, the Federal
the process. Amounts recovered by off-
Claims Collection Standards.
set but later found not to be owed will
be refunded promptly.) § 13.22 Salary offset when EPA is the
(3) The debtor must provide a written creditor agency.
request for review of the decision to
offset the debt no later than 15 days (a) Entitlement to notice, hearing, writ-
after the date of the notice of the offset ten response and decision. (1) Prior to
unless a different time is specifically initiating collection action through
prescribed. The debtor’s request must salary offset, EPA will first provide the
state the basis for the request for re- employee with the opportunity to pay
view. in full the amount owed, unless such
(4) The Administrator may grant an notification will compromise the Gov-
extension of time for filing a request ernment’s ultimate ability to collect
for review if the debtor shows good the debt.
cause for the late filing. A debtor who (2) Except as provided in paragraph
fails timely to file or to request an ex- (b) of this section, each employee from
tension waives the right to review. whom the Agency proposes to collect a
(5) The Administrator will issue, no debt by salary offset under this section
later than 60 days after the filing of the is entitled to receive a written notice
request, a written final decision based as described in paragraph (c) of this

on the evidence, record and applicable section.
law.
190
(3) Each employee owing a debt to (4) An explanation of the require-

the United States which will be col- ments concerning interest, penalty and
lected by salary offset is entitled to re- administrative costs;
quest a hearing on the debt. This re- (5) The employee’s right to inspect
quest must be filed as prescribed in and copy all records relating to the
paragraph (d) of this section. The debt or to request and receive a copy of
Agency will make appropriate hearing such records;
arrangements which are consistent (6) If not previously provided, the em-
with law and regulations. Where a ployee’s right to enter into a written
hearing is held, the employee is enti- agreement for a repayment schedule
tled to a written decision on the fol- differing from that proposed by the
lowing issues: Agency where the terms of the pro-
(i) The determination of the Agency posed repayment schedule are accept-
concerning the existence or amount of able to the Agency. (Such an agree-
the debt; and ment must be in writing and signed by
(ii) The repayment schedule, if it was both the employee and the appropriate
not established by written agreement EPA official and will be included in the
between the employee and the Agency. employee’s personnel file and docu-
(b) Exceptions to entitlement to notice, mented in the EPA payroll system);
hearing, written response and final deci- (7) The right to a hearing conducted
sion. The procedural requirements of by a hearing official not under the con-
paragraph (a) of this section are not trol of the Administrator, if a request
applicable to any adjustment of pay is filed;
arising out of an employee’s election of (8) The method and time for request-
coverage or a change in coverage under ing a hearing;
a Federal benefits program (such as (9) That the filing of a request for
health insurance) requiring periodic hearing within 15 days of receipt of the
deductions from pay, if the amount to original notification will stay the as-
be recovered was accumulated over sessment of interest, penalty and ad-
four pay periods or less. However, if the ministrative costs and the commence-
amount to be recovered was accumu- ment of collection proceedings;
lated over more than four pay periods (10) That a final decision on the hear-
the full procedures prescribed under ing (if requested) will be issued at the
paragraph (d) of this section will be ex- earliest practical date, but no later
tended to the employee. than 60 days after the filing of the re-
(c) Notification before deductions begin. quest, unless the employee requests
Except as provided in paragraph (b) of and the hearing official grants a delay
this section, deductions will not be in the proceedings;
made unless the employee is first pro- (11) That knowingly false or frivolous
vided with a minimum of 30 calendar statements, representations or evi-
days written notice. Notice will be sent dence may subject the employee to—
by certified mail (return receipt re- (i) Disciplinary procedures under 5
quested), and must include the fol- U.S.C. chapter 75 or any other applica-
lowing: ble statutes or regulations;
(1) The Agency’s determination that (ii) Criminal penalties under 18
a debt is owed, including the origin, na- U.S.C. 286, 287, 1001 and 1002 or other
ture, and amount of the debt; applicable statutory authority; or
(2) The Agency’s intention to collect (iii) Penalties under the False Claims
the debt by means of deductions from Act, 31 U.S.C. 3729–3731, or any other
the employee’s current disposable pay applicable statutory authority;
account; (12) Any other rights and remedies
(3) The amount, frequency, proposed available under statutes or regulations
beginning date and duration of the in- governing the program for which the
tended deductions. (The proposed be- collection is being made; and
ginning date for salary offset cannot be (13) That amounts paid or deducted
earlier than 30 days after the date of for the debt, except administrative
notice, unless this would compromise costs and penalty charges where the
the Government’s ultimate ability to entire debt is not waived or termi-
resolve the debt); nated, which are later waived or found
191
§ 13.22 40 CFR Ch. I (7–1–21 Edition)
not owed to the United States will be (2) Written decisions provided after a
promptly refunded to the employee. request for hearing will, at a minimum,
(d) Request for hearing. An employee state the facts evidencing the nature
may request a hearing by filing a writ- and origin of the alleged debt; and the
ten request directly with the Director, hearing official’s analysis, findings and
Financial Management Division (2734R) conclusions.
, U.S. Environmental Protection Agen- (3) The decision of the hearing offi-
cy, 1200 Pennsylvania Ave., NW., Wash- cial is final and binding on the parties.
ington, DC 20460. The request must (g) Request for waiver. In certain in-
state the bases upon which the em- stances, an employee may have a stat-
ployee disputes the proposed collection utory right to request a waiver of over-
of the debt. The request must be signed payment of pay or allowances, e.g., 5
by the employee and be received by U.S.C. 5584 or 5 U.S.C. 5724(i). When an
EPA within 15 days of the employee’s employee requests waiver consider-
receipt of the notification of proposed ation under a right authorized by stat-
deductions. The employee should sub- ute, further collection on the debt will
mit in writing all facts, evidence and be suspended until a final administra-
witnesses which support his/her positive decision is made on the waiver re-
tion to the Director, Financial Man- quest. However, where it appears that
agement Division, within 15 days of the the Government’s ability to recover
date of the request for a hearing. The the debt may be adversely affected be-
Director, Financial Management Divi- cause of the employee’s resignation,
sion, will arrange for the services of a termination or other action, suspen-
hearing official not under the control sion of recovery is not required. During
of the Administrator and will provide the period of the suspension, interest,
the hearing official with all documents penalty charges and administrative
relating to the claim. costs will not be assessed against the
(e) Requests for hearing made after time debt. The Agency will not duplicate,
expires. Late requests for a hearing for purposes of salary offset, any of the
may be accepted if the employee can procedures already provided the debtor
show that the delay in filing the re- under a request for waiver.
quest for a hearing was due to cir- (h) Method and source of collection. A
cumstances beyond the employee’s debt will be collected in a lump-sum or
control. by installment deductions at estab-
(f) Form of hearing, written response lished pay intervals from an employ-
and final decision. (1) Normally, a hear- ee’s current pay account, unless the
ing will consist of the hearing official employee and the Agency agree to al-
making a decision based upon a review ternative arrangements for payment.
of the claims file and any materials The alternative payment schedule
submitted by the debtor. However, in must be in writing, signed by both the
instances where the hearing official de- employee and the Administrator and
termines that the validity of the debt will be documented in the Agency’s
turns on an issue of veracity or credi- files.
bility which cannot be resolved (i) Limitation on amount of deduction.
through review of documentary evi- The size and frequency of installment
dence, the hearing official at his dis- deductions generally will bear a rea-
cretion may afford the debtor an oppor- sonable relation to the size of the debt
tunity for an oral hearing. Such oral and the employee’s ability to pay.
hearings will consist of an informal However, the amount deducted for any
conference before a hearing official in period may not exceed 15 percent of the
which the employee and the Agency disposable pay from which the deduc-
will be given the opportunity to tion is made, unless the employee has
present evidence, witnesses and argu- agreed in writing to the deduction of a
ment. If desired, the employee may be greater amount. If possible, the install-
represented by an individual of his/her ment payments will be in amounts suf-
choice. The Agency shall maintain a ficient to liquidate the debt in three
summary record of oral hearings pro- years or less. Installment payments of
vided under these procedures. less than $25 normally will be accepted
192
only in the most unusual cir- Management (OPM) will be completed

cumstances. and certified to the new paying office
(j) Duration of deduction. If the em- by EPA. EPA will certify: That the em-
ployee is financially unable to pay a ployee owes a debt; the amount and the
debt in a lump-sum or the amount of basis for the debt; the date on which
the debt exceeds 15 percent of dispos- payment is due; the date the Govern-
able pay, collection will be made in in- ment’s rights to collect the debt first
stallments. Installment deductions will accrued; and that EPA’s regulations
be made over the period of active duty implementing 5 U.S.C. 5514 have been
or employment except as provided in approved by OPM.
paragraph (a)(1) of this section. (2) The new paying agency will be ad-
(k) When deductions may begin. (1) De- vised of the amount which has already
ductions to liquidate an employee’s been collected, the number of install-
debt will begin on the date stated in ments and the commencement date for
the Agency’s notice of intention to col- the first installment, if other than the
lect from the employee’s current pay next officially established pay period.
unless the debt has been repaid or the EPA will also identify to the new pay-
employee has filed a timely request for ing agency the actions it has taken and
hearing on issues for which a hearing is the dates of such actions.
appropriate. (3) EPA will place or will arrange to
(2) If the employee has filed a timely have placed in the employee’s official
request for hearing with the Agency, personnel file the information required
deductions will begin after the hearing by paragraphs (n) (1) and (2) of this sec-
official has provided the employee with tion.
a final written decision indicating the
(4) Upon receipt of the official per-
amount owed the Government. Fol-
sonnel file from EPA, the new paying
lowing the decision by the hearing offi-
agency will resume collection from the
cial, the employee will be given 30 days
employee’s current pay account and
to repay the amount owed prior to col-
will notify both the employee and EPA
lection through salary offset, unless
of the resumption.
otherwise provided by the hearing offi-
cial. (o) Interest, penalty and administrative
(l) Liquidation from final check. If the cost. EPA will assess interest and ad-
employee retires, resigns, or the period ministrative costs on debts collected
of employment ends before collection under these procedures. The following
of the debt is completed, the remainder guidelines apply to the assessment of
of the debt will be offset from subse- these costs on debts collected by salary
quent payments of any nature due the offset:
employee (e.g., final salary payment, (1) A processing and handling charge
lump-sum leave, etc.). will be assessed on debts collected
(m) Recovery from other payments due through salary offset under this sec-
a separated employee. If the debt cannot tion. Where offset begun prior to the
be liquidated by offset from any final employee’s receipt of the 30-day writ-
payment due the employee on the date ten notice of the proposed offset, proc-
of separation, EPA will liquidate the essing and handling costs will only be
debt, where appropriate, by adminis- assessed after the expiration of the 30-
trative offset from later payments of day notice period and after the comple-
any kind due the former employee tion of any hearing requested under
(e.g., retirement pay). Such adminis- paragraph (d) of this section or waiver
trative offset will be taken in accord- consideration under paragraph (g) of
ance with the procedures set forth in this section.
§ 13.20. (2) Interest will be assessed on all
(n) Employees who transfer to another debts not collected within 30 days of ei-
Federal agency. If an EPA employee ther the date of the notice where the
transfers to another Federal agency employee has not requested a hearing
prior to repaying a debt owed to EPA, within the allotted time, completion of
the following action will be taken: a hearing pursuant to paragraph (d) of

(1) The appropriate debt-claim form this section, or completion of waiver
specified by the Office of Personnel consideration under paragraph (g) of
193
§ 13.23 40 CFR Ch. I (7–1–21 Edition)
this section, whichever is later. Inter- (3) If the collection is to be made in

est will continue to accrue during the installments, the creditor agency must
period of the recovery. also advise EPA of the number of in-
(3) Deductions by salary offset nor- stallments to be collected, the amount
mally begin prior to the time for as- of each installment, and the com-
sessment of a penalty. Therefore, a mencement date of the first install-
penalty charge will not be assessed un- ment, if a date other than the next es-
less deductions occur more than 120 tablished pay period.
days from the date of notice to the (4) Unless the employee has con-
debtor and penalty assessments have sented in writing to the salary deduc-
not been suspended because of waiver tions or signed a statement acknowl-
consideration by EPA. edging receipt of the required proce-
(p) Non-waiver of right by payment. An
dures and this information is attached
employee’s payment under protest of
to the claim form, the creditor agency
all or any portion of a debt does not
must indicate the actions it took under
waive any rights which the employee
its procedures for salary offset and the
may have under either these proce-
dures or any other provision of law. dates of such actions.
(q) Refunds. EPA will promptly re- (b) Processing of the claim by EPA—(1)
fund to the employee amounts paid or Incomplete claims. If EPA receives an
deducted pursuant to this section, the improperly completed claim form, the
recovery of which is subsequently claim form and all accompanying ma-
waived or otherwise found not owing to terial will be returned to the request-
the United States. Refunds do not bear ing (creditor) agency with notice that
interest unless specifically authorized OPM procedures must be followed and
by law. a properly completed claim form must
(r) Time limit for commencing recovery be received before any salary offset can
by salary setoff. EPA will not initiate be taken. The notice should identify
salary offset to collect a debt more specifically what is needed from the re-
than 10 years after the Government’s questing agency for the claim to be
right to collect the debt first accrued, processed.
unless facts material to the right to (2) Complete claims. If the claim proce-
collect the debt were not known and dures in paragraph (a) of this section
could not have been known through the have been properly completed, deduc-
exercise of reasonable care by the Gov- tion will begin on the next established
ernment official responsible for discov- pay period. EPA will not review the
ering and collecting such debts. merits of the creditor agency’s deter-
§ 13.23 Salary offset when EPA is not minations with respect to the amount
the creditor agency. or validity of the debt as stated in the
debt claim form. EPA will not assess a
The requirements below apply when handling or any other related charge to
EPA has been requested to collect a
cover the cost of its processing the
debt owed by an EPA employee to an-
claim.
other Federal agency.
(a) Format for the request for recovery. (c) Employees separating from EPA be-
(1) The creditor agency must complete fore a debt to another agency is col-
fully the appropriate claim form speci- lected—(1) Employees separating from
fied by OPM. Government service. If an employee be-
(2) The creditor agency must certify gins separation action before EPA col-
to EPA on the debt claim form: The lects the total debt due the creditor
fact that the employee owes a debt; the agency, the following actions will be
date that the debt first accrued; and taken:
that the creditor agency’s regulations (i) To the extent possible, the balance
implementing 5 U.S.C. 5514 have been owed the creditor agency will be liq-
approved by OPM and send it to the Di- uidated from subsequent payments of
rector, Financial Management Division any nature due the employee from EPA
(2734R), U.S. Environmental Protection in accordance with § 13.22(1);

Agency, 1200 Pennsylvania Ave., NW., (ii) If the total amount of the debt
Washington, DC 20460. cannot be recovered, EPA will certify
194
to the creditor agency and the em- the Administrator has a debtor’s firm
ployee the total amount of EPA’s col- written offer for compromise which is
lection; and substantial in amount but the Admin-
(iii) If EPA is aware that the em- istrator is uncertain as to whether the
ployee is entitled to payments from the offer should be accepted, he may refer
Civil Service Retirement and Dis- the offer and the supporting data to
ability Fund or other similar pay- DOJ or GAO for action.
ments, it will forward a copy of the
claim form to the agency responsible § 13.25 Standards for compromise.
for making such payments as notice (a) EPA may compromise a claim
that a debt is outstanding. EPA will pursuant to this section if EPA cannot
also send a copy of the claim form to collect the full amount because the
the creditor agency so that it can file debtor does not have the financial abil-
a certified claim against the payments. ity to pay the full amount of the debt
(2) Employees who transfer to another within a reasonable time, or the debtor
Federal agency. If an EPA employee refuses to pay the claim in full and the
transfers to another Federal agency be- Government does not have the ability
fore EPA collects the total amount due to enforce collection in full within a
the creditor agency, the following ac- reasonable time by enforced collection
tions will be taken: proceedings. In evaluating the accept-
(i) EPA will certify the total amount ability of the offer, the Administrator
of the collection made on the debt; and may consider, among other factors, the
(ii) The employee’s official personnel following:
folder will be sent to the new paying (1) Individual debtors. (i) Age and
agency. (It is the responsibility of the health of the debtor;
creditor agency to ensure that the col- (ii) Present and potential income;
lection is resumed by the new paying (iii) Inheritance prospects;
agency.) (iv) The possibility that assets have
been concealed or improperly trans-
Subpart D—Compromise of Debts ferred by the debtor;
(v) The availability of assets or in-
§ 13.24 General. come which may be realized by en-
EPA may compromise claims for forced collection proceedings; or
money or property where the claim, ex- (vi) The applicable exemptions avail-
clusive of interest, penalty and admin- able to the debtor under State and Fed-
istrative costs, does not exceed $20,000. eral law in determining the Govern-
Where the claim exceeds $20,000, the ment’s ability to enforce collection.
authority to accept the compromise (2) Municipal and quasi-municipal debt-
rests solely with DOJ. The Adminis- ors. (i) The size of the municipality or
trator may reject an offer of com- quasi-municipal entity;
promise in any amount. Where the (ii) The availability of current and
claim exceeds $20,000 and EPA rec- future resources sufficient to pay the
ommends acceptance of a compromise debt (e.g., bonding authority, rate ad-
offer, it will refer the claim with its justment authority, or taxing author-
recommendation to DOJ for approval. ity); or
The referral will be in the form of the (iii) The ratio of liabilities (both
Claims Collection Litigation Report short and long term) to assets.
(CCLR) and will outline the basis for (3) Commercial debtors. (i) Ratio of as-
EPA’s recommendation. EPA refers sets to liabilities;
compromise offers for claims in excess (ii) Prospects of future income or
of $100,000 to the Commercial Litiga- losses; or
tion Branch, Civil Division, Depart- (iii) The availability of assets or in-
ment of Justice, Washington, DC 20530, come which may be realized by en-
unless otherwise provided by Depart- forced collection proceedings.
ment of Justice delegations or proce- (b) EPA may compromise a claim, or
dures. EPA refers offers of compromise recommend acceptance of a com-
for claims of $20,000 to $100,000 to the promise to DOJ, where there is sub-
United States Attorney in whose judi- stantial doubt concerning the Govern-
cial district the debtor can be found. If ment’s ability to prove its case in
195
§ 13.26 40 CFR Ch. I (7–1–21 Edition)
court for the full amount of the claim, agreement which accelerates payment
either because of the legal issues in- of the balance due upon default.
volved or a bona fide dispute as to the
facts. The amount accepted in com- § 13.27 Joint and several liability.
promise in such cases will fairly reflect When two or more debtors are jointly
the probability of prevailing on the and severally liable, collection action
legal issues involved, considering fully will not be withheld against one debtor
the availability of witnesses and other until the other or others pay their pro-
evidentiary data required to support portionate share. The amount of a
the Government’s claim. In deter- compromise with one debtor is not
mining the litigative risks involved, precedent in determining compromises
EPA will give proportionate weight to from other debtors who have been de-
the likely amount of court costs and termined to be jointly and severally
attorney fees the Government may liable on the claim.
incur if it is unsuccessful in litigation.
(c) EPA may compromise a claim, or § 13.28 Execution of releases.
recommend acceptance of a com- Upon receipt of full payment of a
promise to DOJ, if the cost of collec- claim or the amount compromised,
tion does not justify the enforced col- EPA will prepare and execute a release
lection of the full amount of the debt. on behalf of the United States. The re-
The amount accepted in compromise in lease will include a provision which
such cases may reflect an appropriate voids the release if it was procured by
discount for the administrative and fraud, misrepresentation, a false claim
litigative costs of collection, taking or by mutual mistake of fact.
into consideration the time it will take
to effect collection. Costs of collection Subpart E—Suspension of
may be a substantial factor in the set- Collection Action
tlement of small claims, but normally
will not carry great weight in the set- § 13.29 Suspension—general.
tlement of large claims. In determining The Administrator may suspend the
whether the cost of collection justifies Agency’s collection actions on a debt
enforced collection of the full amount, where the outstanding debt principal
EPA may consider the positive effect does not exceed $20,000, the Govern-
that enforced collection of the claim ment cannot presently collect or en-
may have on the collection of other force collection of any significant sum
similar claims. from the debtor, the prospects of future
(d) Statutory penalties, forfeitures or collection justify retention of the debt
debts established as an aid to enforce- for periodic review and there is no risk
ment and to compel compliance may be of expiration of the statute of limita-
compromised where the Administrator tions during the period of suspension.
determines that the Agency’s enforce- Additionally, the Administrator may
ment policy, in terms of deterrence and waive the assessment of interest, pen-
securing compliance (both present and alty charges and administrative costs
future), will be adequately served by during the period of the suspension.
accepting the offer. Suspension will be for an established
time period and generally will be re-
§ 13.26 Payment of compromised viewed at least every six months to en-
claims. sure the continued propriety of the sus-
The Administrator normally will not pension. DOJ approval is required to
approve a debtor’s request to pay a suspend debts exceeding $20,000. Unless
compromised claim in installments. otherwise provided by DOJ delegations
However, where the Administrator de- or procedures, the Administrator refers
termines that payment of a com- requests for suspension of debts of
promise by installments is necessary to $20,000 to $100,000 to the United States
effect collection, a debtor’s request to Attorney in whose district the debtor
pay in installments may be approved. resides. Debts exceeding $100,000 are re-
Normally, where installment repay- ferred to the Commercial Litigation

ment is approved, the debtor will be re- Branch, Civil Division, Department of
quired to execute a confess-judgment Justice, for approval.
196
§ 13.30 Standards for suspension. (3) Collection of the debt will cause
undue hardship to the debtor.
(a) Inability to locate debtor. The Ad-
(e) Refund barred by statute or regula-
ministrator may suspend collection on tion. The Administrator will ordinarily
a debt where he determines that the suspend collection action during the
debtor cannot be located presently but pendency of his consideration of a
that there is a reasonable belief that waiver request or administrative re-
the debtor can be located in the future. view where statute and regulation pre-
(b) Financial condition of debtor. The clude refund of amounts collected by
Administrator may suspend collection the Agency should the debtor prevail.
action on a claim when the debtor The Administrator may decline to sus-
owns no substantial equity in real or pend collection where he determines
personal property and is unable to that the request for waiver or adminis-
make payment on the claim or effect a trative review is frivolous or was made
compromise but the debtor’s future fi- primarily to delay collection.
nancial prospects justify retention of
the claim for periodic review, provided
that:
Subpart F—Termination of Debts
(1) The applicable statute of limita- § 13.31 Termination—general.
tions will not expire during the period
The Administrator may terminate
of the suspension, can be tolled or has collection actions and write-off debts,
started running anew; including accrued interest, penalty and
(2) Future collection can be effected administrative costs, where the debt
by offset, notwithstanding the 10-year principal does not exceed $20,000. If the
statute of limitations for administra- debt exceeds $20,000, EPA obtains the
tive offsets; or approval of DOJ in order to terminate
(3) The debtor agrees to pay interest further collection actions. Unless oth-
on the debt and suspension is likely to erwise provided for by DOJ regulations
enhance the debtor’s ability to fully or procedures, requests to terminate
pay the principal amount of the debt collection on debts in excess of $100,000
with interest at a later date. are referred to the Commercial Litiga-
(c) Request for waiver or administrative tion Branch, Civil Division, Depart-
review—mandatory. The Administrator ment of Justice, for approval. Debts in
will suspend collection activity where excess of $20,000 but $100,000 or less are
a statute provides for mandatory waiv- referred to the United States Attorney
er consideration or administrative re- in whose judicial district the debtor
view prior to agency collection of a can be found.
debt. The Administrator will suspend
EPA’s collection actions during the pe- § 13.32 Standards for termination.
riod provided for the debtor to request A debt may be terminated where the
review or waiver and during the period Administrator determines that:
of the Agency’s evaluation of the re- (a) The Government cannot collect or
quest. enforce collection of any significant
(d) Request for waiver or administrative sum from the debtor, having due regard
review—permissive. The Administrator for available judicial remedies, the
may suspend collection activities on debtor’s ability to pay, and the exemp-
debts of $20,000 or less during the pend- tions available to the debtor under
ency of a permissive waiver or adminis- State and Federal law;
trative review where he determines (b) The debtor cannot be located,
that: there is no security remaining to be
(1) There is a reasonable possibility liquidated, the applicable statute of
that waiver will be granted and the limitations has expired, and the pros-
debtor may be found not owing the pects of collecting by offset are too re-
debt (in whole or in part); mote to justify retention of the claim;
(2) The Government’s interest is pro- (c) The cost of further collection ac-
tected, if suspension is granted, by the tion is likely to exceed the amount re-
reasonable assurance that the debt can coverable;

be recovered if the debtor does not pre- (d) The claim is determined to be le-
vail; or gally without merit; or
197
§ 13.33 40 CFR Ch. I (7–1–21 Edition)
(e) The evidence necessary to prove § 13.35 Applicability and scope.

the claim cannot be produced or the
(a) This subpart implements 31 U.S.C.
necessary witnesses are unavailable
3720A, which authorizes the IRS to re-
and efforts to induce voluntary pay-
duce a tax refund by the amount of a
ment have failed.
past-due legally enforceable debt owed
to the United States.
Subpart G—Referrals (b) For purposes of this section, a
past-due legally enforceable debt ref-
§ 13.33 Referrals to the Department of
Justice. erable to the IRS is a debt which is
owed to the United States and:
(a) Prompt referral. The Administrator (1) Except in the case of a judgment
refers to DOJ for litigation all claims debt, has been delinquent for at least
on which aggressive collection actions three months but has not been delin-
have been taken but which could not be quent for more than ten years at the
collected, compromised, suspended or time the offset is made;
terminated. Referrals are made as
(2) Cannot be currently collected pur-
early as possible, consistent with ag-
suant to the salary offset provisions of
gressive agency collection action, and
5 U.S.C. 5514(a)(1);
within the period for bringing a timely
(3) Is ineligible for administrative
suit against the debtor.
offset under 31 U.S.C. 3716(a) by reason
(1) Unless otherwise provided by DOJ
of 31 U.S.C. 3716(c)(2) or cannot be col-
regulations or procedures, EPA refers
lected by administrative offset under 31
for litigation debts of more than
U.S.C. 3716(a) by the Agency against
$100,000 to the Commercial Litigation
amounts payable to or on behalf of the
Branch, Civil Division, Department of
debtor by or on behalf of the Agency;
Justice, Washington, DC 20530.
(4) With respect to which EPA has
(2) Unless otherwise provided by DOJ
given the taxpayer at least 60 days
regulations or procedures, EPA refers
from the date of notification to present
for litigation debts of $100,000 or less to
evidence that all or part of the debt is
the United States Attorney in whose
judicial district the debtor can be not past-due or not legally enforceable,
found. has considered evidence presented by
such taxpayer, if any, and has deter-
(b) Claims Collection Litigation Report
mined that an amount of such debt is
(CCLR). Unless an exception has been
past-due and legally enforceable;
granted by DOJ, the CCLR is used for
referrals of all administratively (5) Has been disclosed by EPA to a
uncollectible claims to DOJ and is used consumer reporting agency as author-
to refer all offers of compromise. ized by 31 U.S.C. 3711(f), unless a con-
sumer reporting agency would be pro-
hibited from using such information by
Subpart H—Referral of Debts to IRS 15 U.S.C. 1681c, or unless the amount of
for Tax Refund Offset the debt does not exceed $100.00;
(6) With respect to which EPA has
SOURCE: 59 FR 651, Jan. 5, 1994, unless oth- notified or has made a reasonable at-
erwise noted. tempt to notify the taxpayer that the
debt is past-due and, unless repaid
§ 13.34 Purpose.
within 60 days thereafter, the debt will
This subpart establishes procedures be referred to the IRS for offset against
for the Environmental Protection any overpayment of tax;
Agency (EPA) to refer past-due debts (7) Is at least $25.00; and
to the Internal Revenue Service (IRS) (8) All other requirements of 31
for offset against the income tax re- U.S.C. 3720A and the Department of the
funds of persons owing debts to EPA. It Treasury regulations at 26 CFR
specifies the Agency procedures and 301.6402–6 relating to the eligibility of a
the rights of the debtor applicable to debt for tax return offset have been
claims for the payment of debts owed satisfied.
to EPA.
198
Environmental Protection Agency Pt. 14
§ 13.36 Administrative charges. notification required by paragraph (a)

In accordance with § 13.11, all admin- of this section. Failure to submit the
istrative charges incurred in connec- notification and evidence within 60
tion with the referral of a debt to the days will result in an automatic refer-
IRS shall be assessed on the debt and ral of the debt to the IRS without fur-
thus increase the amount of the offset. ther action by EPA.
(c) Review of the evidence. EPA will
§ 13.37 Notice requirement before off- consider all available evidence related
set. to the debt. Within 30 days, if feasible,
A request for reduction of an IRS tax EPA will notify the debtor whether
refund will be made only after EPA EPA has sustained, amended, or can-
makes a determination that an amount celled its determination that the debt
is owed and past-due and provides the is past-due and legally enforceable.
debtor with 60 days written notice.
EPA’s notice of intention to collect by § 13.39 Agency determination.
IRS tax refund offset (Notice of Intent) (a) Following review of the evidence,
will state: EPA will issue a written decision.
(a) The amount of the debt; (b) If EPA either sustains or amends
(b) That unless the debt is repaid its determination, it shall notify the
within 60 days from the date of EPA’s debtor of its intent to refer the debt to
Notice of Intent, EPA intends to col- the IRS for offset against the debtor’s
lect the debt by requesting the IRS to Federal income tax refund. If EPA can-
reduce any amounts payable to the cels its original determination, the
debtor as refunds of Federal taxes paid debt will not be referred to IRS.
by an amount equal to the amount of
the debt and all accumulated interest § 13.40 Stay of offset.
and other charges;
(c) That the debtor has a right to If the debtor timely notifies the EPA
present evidence that all or part of the that he or she is exercising the right
debt is not past-due or not legally en- described in § 13.38(a) and timely sub-
forceable; and mits evidence in accordance with
(d) A mailing address for forwarding § 13.38(b), any notice to the IRS will be
any written correspondence and a con- stayed until the issuance of a written
tact name and phone number for any decision which sustains or amends its
questions. original determination.
§ 13.38 Review within the Agency. PART 14—EMPLOYEE PERSONAL

(a) Notification by debtor. A debtor PROPERTY CLAIMS
who receives a Notice of Intent has the
right to present evidence that all or Sec.
part of the debt is not past-due or not 14.1 Scope and purpose.
legally enforceable. To exercise this 14.2 Definitions.
right, the debtor must: 14.3 Incident to service.
(1) Send a written request for a re- 14.4 Reasonable and proper.
view of the evidence to the address pro- 14.5 Who may file a claim.
vided in the notice; 14.6 Time limits for filing a claim.
(2) State in the request the amount 14.7 Where to file a claim.
disputed and the reasons why the debt- 14.8 Investigation of claims.
or believes that the debt is not past- 14.9 Approval and payment of claims.
due or is not legally enforceable; and 14.10 Procedures for reconsideration.
(3) Include in the request any docu- 14.11 Principal types of allowable claims.
14.12 Principal types of unallowable claims.
ments which the debtor wishes to be
14.13 Items fraudulently claimed.
considered or state that additional in-
14.14 Computation of award.
formation will be submitted within the
remainder of the 60-day period. AUTHORITY: Military Personnel and Civil-
(b) Submission of evidence. The debtor ian Employees’ Claims Act of 1964, as amend-
may submit evidence showing that all ed (31 U.S.C. 3721).

or part of the debt is not past-due or SOURCE: 51 FR 24146, July 2, 1986, unless
not legally enforceable along with the otherwise noted.
199
§ 14.1 40 CFR Ch. I (7–1–21 Edition)
§ 14.1 Scope and purpose. ee’s performance of duty. Whether an

This part prescribes regulations for item is incident to service is deter-
the Military Personnel and Civilian mined by the facts of each claim. The
Employees’ Claims Act of 1964 (the employee has the burden of showing
Act), 31 U.S.C. 3721. The Act allows the that the item was incident to his/her
Administrator of the U.S. Environ- governmental service.
mental Protection Agency (EPA) to § 14.4 Reasonable and proper.
settle and pay claims of EPA employ-
ees for damage to or loss of their per- EPA does not insure its employees
sonal property which was incident to from every loss or damage to personal
service. A claim under the Act is al- property they may sustain. In order for
lowed only where the claim is substan- a claim to be allowed, the item must
tiated and the Administrator deter- not only have been incident to service,
mines that possession of the property it must also have been reasonable and
was reasonable or proper under the cir- proper for the employee to possess the
cumstances existing at the time and item at the time and place of its loss or
place of the loss and no part of the loss damage. Generally, the possession of
was caused by any negligent or wrong- an item is reasonable and proper when
ful act or omission of the employee or the item is of a type and quantity
his/her agent. which EPA reasonably expected its em-
ployees to possess at the time and
§ 14.2 Definitions. place of the loss or damage. Con-
As used in this part: sequently, items which are exception-
(a) EPA Claims Officer is the Agency ally expensive, excessive quantities of
official delegated the responsibility by otherwise allowable items, personal
the Administrator to carry out the pro- items which are used in place of items
visions of the Act. usually provided to employees by EPA
(b) Claim means a demand for pay- or items which are primarily of aes-
ment by an employee or his/her rep- thetic value are not considered reason-
resentative for the value or the repair able or proper items and are unallow-
cost of an item of personal property able.
damaged, lost or destroyed as an inci- § 14.5 Who may file a claim.
dent to government service.
(c) Employee means a person ap- A claim may be filed by an employee
pointed to a position with EPA. or by his/her authorized agent or legal
(d) Settle means the act of consid- representative. If a claim is otherwise
ering, ascertaining, adjusting, deter- allowable under this part, a claim can
mining or otherwise resolving a claim. be filed by a surviving spouse, child,
(e) Accrual date means the date of the parent, brother or sister of a deceased
incident causing the loss or damage or employee.
the date on which the loss or damage
should have been discovered by the em- § 14.6 Time limits for filing a claim.
ployee through the exercise of reason- A claim under this part is considered
able care. by the EPA Claims Officer only if it is
(f) Depreciation is the reduction in in writing and received within two
value of an item caused by the elapse years after the claim accrues. The EPA
of time between the date of acquisition Claims Officer may consider a claim
and the date of loss or damage. not filed within this period when the
claim accrued during a period of armed
§ 14.3 Incident to service. conflict and the requirements of 31
In order for a claim to be allowed U.S.C. 3721(g) are met.
under this part, the EPA Claims Officer
must determine that the item of per- § 14.7 Where to file a claim.
sonal property, at the time of damage An employee or his/her representa-
or loss, was used by the employee as an tive may file a claim with his/her Ad-
incident to government service. An ministrative Office or the Safety Office
item is incident to service when posses- for the facility. The employee should
sion of the item by the employee had complete and submit to the Adminis-
substantial relationship to the employ- trative Office or the Safety Office a
200
completed EPA Form 3370–1, ‘‘Em- § 14.11 Principal types of allowable

ployee Claim for Loss of or Damage to claims.
Personal Property.’’ That Office then (a) General. A claim under this part is
forwards the form and any other rel- allowed for tangible personal property
evant information to the EPA Claims
of a type and quantity that was reason-
Officer, Office of General Counsel
able and proper for the employee to
(2311), 1200 Pennsylvania Ave., NW.,
possess under the circumstances at the
Washington, DC 20460.
time of the loss or damage. In evalu-
§ 14.8 Investigation of claims. ating whether a claim is allowable, the
EPA Claims Officer may consider such
The EPA Claims Officer investigates factors as: The employee’s use of the
claims filed under this part. The EPA item; whether EPA generally is aware
Claims Officer may request additional that such items are used by its employ-
documentation from an employee (e.g., ees; or whether the loss was caused by
repair estimates and receipts), inter- a failure of EPA to provide adequate
view witnesses, and conduct any fur- protection against the loss.
ther investigation he believes is war-
(b) Examples of claims which are allow-
ranted by the facts of the claim.
able. Claims which are ordinarily al-
§ 14.9 Approval and payment of claims. lowed include loss or damage which oc-
curred:
(a) EPA’s approval and payment of a
(1) In a place officially designated for
claim is limited by the Act to $25,000.
storage of property such as a ware-
The EPA Claims Officer considers, ad-
house, office, garage, or other storage
justs, determines, compromises and
place;
settles all claims filed under this part.
The decision of the EPA Claims Officer (2) In a marine, rail, aircraft, or
is final unless reconsideration under other common disaster or natural dis-
§ 14.10 is granted. aster such as a fire, flood, or hurricane;
(b) The EPA Claims Officer will ap- (3) When the personal property was
prove and pay claims filed for a de- subjected to an extraordinary risk in
ceased employee by persons specified in the employee’s performance of duty,
§ 14.5 in the following order: such as in connection with an emer-
(1) The spouse’s claim. gency situation, a civil disturbance,
(2) A child’s claim. common or natural disaster, or during
(3) A parent’s claim. efforts to save government property or
(4) A brother’s or sister’s claim. human life;
(4) When the property was used for
§ 14.10 Procedures for reconsideration. the benefit of the government at the
The EPA Claims Officer, at his dis- specific direction of a supervisor;
cretion, may reconsider a decision (5) When the property was money or
when the employee establishes that an other valuables deposited with an au-
error was made in the computation of thorized government agent for safe-
the award or that evidence or material keeping; and
facts were unavailable to the employee (6) When the property was a vehicle
at the time of the filing of the claim which was subjected to an extraor-
and the failure to provide the informa- dinary risk in the employee’s perform-
tion was not the result of the employ- ance of duty and the use of the vehicle
ee’s lack of care. An employee seeking was at the specific direction of the em-
reconsideration of a decision must file, ployee’s supervisor.
within 30 days of the date of the deci- (c) Claims for articles of clothing.
sion, a written request with the EPA Claims for loss or damage to clothing
Claims Officer for reconsideration. The and accessories worn by an employee
request for reconsideration must speci- may be allowed where:
fy, where applicable, the error, the evi- (1) The damage or loss occurred dur-
dence or material facts not previously ing the employee’s performance of offi-
considered by the EPA Claims Officer cial duty in an unusual or extraor-
and the reason why the employee be- dinary risk situation;
lieves that the evidence or facts pre- (2) The loss or damage occurred dur-
viously were not available. ing the employee’s response to an
201
§ 14.12 40 CFR Ch. I (7–1–21 Edition)
emergency situation, to a natural dis- tion with the carrier prior to shipment
aster such as fire, flood, hurricane, or of the item;
to a man-made disaster such as a (d) Loss of bankbooks, checks, notes,
chemical spill; stock certifications, money orders, or
(3) The loss or damage was caused by travelers checks;
faulty or defective equipment or fur- (e) Property owned by the United
niture maintained by EPA; or States unless the employee is finan-
(4) The item was stolen even though cially responsible for it to another gov-
the employee took reasonable pre- ernment agency;
cautions to protect the item from (f) Claims for loss or damage to a bi-
theft. cycle or a private motor vehicle, unless
(d) Claims for loss or damage to house- allowable under § 14.11(b)(6);
hold items. (1) Claims for damages to (g) Losses of insurers or subrogees;
household goods may be allowed where: (h) Losses recoverable from insurers
(i) The loss or damages occurred or carriers;
while the goods were being shipped pur- (i) Losses recovered or recoverable
suant to an EPA authorized change in pursuant to contract;
duty station; (j) Claims for damage or loss caused,
(ii) The employee filed a claim for in whole or in part, by the negligent or
the damages with the appropriate car- wrongful acts of the employee or his/
rier; and her agent;
(iii) The employee substantiates that (k) Property used for personal busi-
he/she has suffered a loss in excess of ness or profit;
the amount paid by the carrier. (l) Theft from the possession of the
(2) Where a carrier has refused to employee unless the employee took
make an award to an employee because reasonable precautions to protect the
of his/her failure to comply with the item from theft;
carrier’s claims procedures, any award (m) Property acquired, possessed or
by EPA will be reduced by the max- transported in violation of law or regu-
imum amount payable for the item by lations;
the carrier under its contract of ship- (n) Unserviceable property; or
ment. Where an employee fails to no- (o) Damage or loss to an item during
tify the carrier of damages or loss, ei- shipment of household goods where the
ther at the time of delivery of the damage or loss was caused by the em-
household goods or within a reasonable ployee’s negligence in packing the
time after discovery, any award by item.
EPA will be reduced by the amount of
the carrier’s maximum contractual li- § 14.13 Items fraudulently claimed.
ability for the damage or loss. The em- Where the EPA Claims Officer deter-
ployee has the burden of proving his/ mines that an employee has inten-
her entitlement to reimbursement tionally misrepresented the cost, con-
from EPA for amounts in excess of that dition, cost of repair or a material fact
allowed by the carrier. concerning a claim, he/she may, at his
discretion, deny the entire amount
§ 14.12 Principal types of unallowable claimed for the item. Further, where
claims. the EPA Claims Officer determines
Claims that ordinarily will not be al- that the employee intentionally has
lowed include: materially misrepresented the costs,
(a) Loss or damage totaling less than conditions or nature of repairs of the
$25; claim, he will refer it to appropriate of-
(b) Money or currency, except when ficials (e.g., Inspector General, the em-
deposited with an authorized govern- ployee’s supervisor, etc.) for action.
ment agency for safekeeping;
(c) Loss or damage to an item of ex- § 14.14 Computation of award.
traordinary value or to an antique (a) The amount awarded on any item
where the item was shipped with may not exceed its adjusted cost. Ad-
household goods, unless the employee justed cost is either the purchase price
filed a valid appraisal or authentica- of the item or its value at the time of
202
acquisition, less appropriate deprecia- pand or restrict any rights granted

tion. The amount normally payable for under the PA.
property damaged beyond economical (b) These procedures apply only to re-
repair is its depreciated value imme- quests by individuals seeking their own
diately before the loss or damage, less records and only to records maintained
any salvage value. If the cost of repair by EPA. These procedures do not apply
is less than the depreciated value, it to those systems specifically exempt
will be considered to be economically under §§ 16.11 and 16.12 herein or to any
repairable and only the cost of repair government-wide systems maintained
will be allowable. by other Federal agencies.
(b) Notwithstanding a contract to the (c) Privacy Act requests made by in-
contrary, the representative of an em- dividuals for records about themselves
ployee is limited by 31 U.S.C. 3721(i) to and which are processed under this
receipt of not more than 10 percent of Part, will also be treated as FOIA re-
the amount of an award under this part quests and processed as appropriate
for services related to the claim. A per- under 40 CFR Part 2 to ensure full dis-
son violating this paragraph is subject closure.
to a fine of not more than $1,000. 31
U.S.C. 3721(i). § 16.2 Definitions.
As used in this part:
PART 16—IMPLEMENTATION OF (a) The terms individual, maintain,
PRIVACY ACT OF 1974 record, and system of records have the
same meanings as specified in 5 U.S.C.
Sec. 552a.
16.1 Purpose and scope. (b) EPA means the Environmental
16.2 Definitions. Protection Agency.
16.3 Procedures for accessing, correcting, or (c) Working days means calendar days
amending personal records. excluding Saturdays, Sundays, and
16.4 Times, places, and requirements for Federal holidays.
identification of individuals making re-
quests. § 16.3 Procedures for accessing, cor-
16.5 Request for correction or amendment recting, or amending personal
of record. records.
16.6 Initial decision on request for access to, (a) Any individual who—
or correction or amendment of, records.
(1) Wishes to be informed whether a
16.7 The appeal process.
16.8 Special procedures: Medical Records.
system of records maintained by EPA
16.9 Fees. contains any record pertaining to him
16.10 Penalties. or her,
16.11 General exemptions. (2) Seeks access to an EPA record
16.12 Specific exemptions. about him or her that is maintained in
an EPA PA system of records, includ-
AUTHORITY: 5 U.S.C. 301, 552a (as revised).
ing an accounting of any disclosures of
SOURCE: 71 FR 234, Jan. 4, 2006, unless oth- that record; or
erwise noted. (3) Seeks to amend or correct a
record about him or her that is main-
§ 16.1 Purpose and scope. tained in a system of records, may sub-
(a) This part implements the Privacy mit a written request to the EPA Pri-
Act of 1974 (5 U.S.C. 552a) (PA or Act) vacy Act Officer, Environmental Pro-
by establishing Environmental Protec- tection Agency, Headquarters Freedom
tion Agency (EPA or Agency) policies of Information Office, Office of Envi-
and procedures that permit individuals ronmental Information (MC–2822T),
to obtain access to and request amend- 1200 Pennsylvania Avenue, NW., Wash-
ment or correction of information ington, DC 20460 or via the Agency’s
about themselves that is maintained in Privacy Act Web site at http://
Agency systems of records. This part www.epa.gov/privacy or by fax, (202) 566–
also establishes policies and procedures 1639.
for administrative appeals of requests (b) All requests for access to, or the
for access to, or correction or amend- correction or amendment of personal
ment of, records. This part does not ex- records should cite the Privacy Act of
203
§ 16.4 40 CFR Ch. I (7–1–21 Edition)
1974 and reference the type of request or obtain access to records about an-
being made (i.e., access, correction or other individual under false pretenses.
amendment). Requests must include: (c) An individual may have another
(1) The name and signature of the in- person accompany him or her during
dividual making the request; inspection of the records, and the sys-
(2) The name of the PA system of tem manager may require the request-
records (as set forth in EPA’s FEDERAL ing individual to sign a statement au-
REGISTER PA systems of records no- thorizing disclosure of the record in
tices) to which the request relates; and the presence of that other person.
(3) A statement whether a personal (d) An individual may request a copy
inspection of the records or a copy of of the requested record.
them by mail is desired. (e) No verification of identity will be
(c) A statement declaring his or her required where the records sought have
identity and stipulating that he or she been determined to be publicly avail-
understands it is a misdemeanor pun- able under the Freedom of Information
ishable by fine up to $5,000 to know- Act.
ingly and willfully seek or obtain ac- § 16.5 Request for correction or
cess to records about another indi- amendment of record.
vidual under false pretenses.
An individual may request correction
(d) A requester who cannot determine
or amendment of any record pertaining
which PA system of records to request
to him or her in a system of records
may ask for assistance by writing to maintained by EPA by submitting a re-
the Headquarters Freedom of Informa- quest in writing to the Freedom of In-
tion Office, Attention: Privacy Act Of- formation Office, or via the Agency’s
ficer, Environmental Protection Agen- Privacy Act Web site at http://
cy, (MC–2822T), 1200 Pennsylvania Ave- www.epa.gov/privacy or by fax, (202) 566–
nue, NW., Washington, DC 20460 or via 1639. The following information must
e-mail to http://www.epa.gov/privacy or be provided:
by fax, (202) 566–1639. (a) The name and signature of the in-
dividual making the request;
§ 16.4 Times, places, and requirements
for identification of individuals (b) The name of the system of
making requests. records;
(c) A description of the information
(a) If an individual requesting access sought to be corrected or amended and
under § 16.3 asks for personal inspection the specific reasons for the correction
of records, and if EPA grants the re- or amendment; and
quest, the individual may appear at the (d) Sufficient documentation of iden-
time and place specified in EPA’s re- tity as described under § 16.4(b). (An in-
sponse or arrange another time with dividual who is unable to provide the
the appropriate Agency official. identification under § 16.4(b) or is sub-
(b) Before conducting a personal in- mitting a request on line, must provide
spection of his or her records, an indi- a statement declaring his or her iden-
vidual must present sufficient identi- tity and stipulating that he or she un-
fication (e.g., driver’s license, em- derstands it is a misdemeanor punish-
ployee identification card, social secu- able by fine up to $5,000 to knowingly
rity card, or credit card) to establish and willfully seek or obtain access to
that he or she is the subject of the records about another individual under
records. EPA reserves the right to de- false pretenses).
termine the adequacy of the identifica-
tion. An individual who is unable to § 16.6 Initial decision on request for
provide such identification described access to, or correction or amend-
under paragraph (b) of this section will ment of, records.
complete and sign, in the presence of (a) Within 10 working days of receipt
an agency official, a statement declar- of a request, the Agency Privacy Act
ing his or her identity and stipulating Officer will send a letter to the re-
that he or she understands it is a mis- quester acknowledging receipt of the

demeanor punishable by fine up to request and promptly forward it to the
$5,000 to knowingly and willfully seek manager of the system of records
204
where the requested record is located (g) If the appeal under § 16.7(e)(6) is
with instructions to: denied, the requester will be notified of
(1) Make a determination whether to the right to seek judicial review in ac-
permit access to the record, or to make cordance with subsection (g) of the Pri-
the requested correction or amend- vacy Act.
ment;
(2) Inform the requester of that de- § 16.7 The appeal process.
termination and, if the determination (a) An individual whose request for
is to deny access to the record, or to access to, or correction or amendment
not correct or amend it, the reason for of a record is initially denied and who
that decision and the procedures for wishes to appeal that denial may do so
appeal. by sending a letter to EPA’s Privacy
(b) If the system manager is unable Act Officer within 30 days of the re-
to decide whether to grant a request of ceipt of the initial denial. The appeal
access to, or amendment or correction must identify and restate the initial
of a record within 20 working days of request. If an appeal concerns an ad-
the Agency’s receipt of the request, he verse decision by the Office of Inspec-
or she will inform the requester rea- tor General, the Privacy Act Officer
sons for the delay, and an estimate of will forward it to the Counsel to the In-
when a decision will be made. spector General, or his or her designee,
(c) In reviewing a request for the cor- who will then act on the appeal. The
rection or amendment of a record, the Counsel to the Inspector General, or
system manager will be guided by the his or her designee, will carry out all
requirements of 5 U.S.C. 552a(e)(1) and responsibilities with respect to PA ap-
(e)(5). peals that are otherwise assigned to
(d) A system manager who decides to EPA’s General Counsel under this sec-
grant all or any portion of a request to tion; however, if the Counsel to the In-
correct or amend a record will inform spector General has signed the initial
any person or entity outside EPA that adverse determination, the General
was provided the record of the correc- Counsel, or his or her designee, will act
tion or amendment, and, where there is on the appeal.
an accounting of that disclosure, make (b) EPA’s General Counsel, or his or
a note of the action taken in the ac- her designee, will make final decisions
counting. on PA appeals within 30 working days
(e) If a request pursuant to § 16.3 for from the date on which the appeal is
access to a record is in a system of properly received in the Office of Gen-
records which is exempted, the records eral Counsel, unless, for good cause
system manager or designee will decide shown, the 30-day period is extended
whether any information will nonethe- and the requester is notified of the ex-
less be made available. If the decision tension in writing. Such extensions
is to deny access, the reason for denial will be utilized only in exceptional cir-
and the appeal procedure will be given cumstances.
to the requester. (c) In conducting PA appeals, the
(f) A person whose request for access General Counsel, or his or her designee,
is initially denied may appeal that de- will be guided by the requirements of 5
nial to EPA’s Privacy Act Officer. U.S.C. 552a(e)(1) and (e)(5).
EPA’s General Counsel will decide the (d) If an appeal is granted in whole or
appeal within 30 working days. If an in part, the requester will be notified,
appeal concerns a system of records in writing, and access to the record
maintained by the Office of Inspector will be granted, or the correction or
General, the Privacy Act Officer will amendment of the record will be made.
forward the appeal to the Counsel to In all such cases, the Privacy Act Offi-
the Inspector General who will decide cer will ensure that § 16.7(d) is complied
on the appeal in accordance with § 16.7. with.
The Counsel to the Inspector General (e) If the General Counsel or the
will carry out all responsibilities with Counsel to the Inspector General de-
respect to the appeal that are other- cides not to grant all or any portion of
wise assigned to EPA’s General Coun- an appeal, the requester will be in-
sel under § 16.7. formed:
205
§ 16.8 40 CFR Ch. I (7–1–21 Edition)
(1) Of the decision and its basis; EPA–46 OCEFT/NEIC Master Track-
(2) Of the requester’s right to file a ing System.
concise statement of reasons for dis- EPA–63 eDiscovery Enterprise Tool
agreeing with EPA’s decision; Suite.
(3) Of the procedures for filing such (b) Authority. Under 5 U.S.C.
statement of disagreement; 552a(j)(2), the head of any Federal agen-
(4) That such statements of disagree- cy may by rule exempt any PA system
ments will be made available in subse- of records within the agency from cer-
quent disclosures of the record, to- tain provisions of the Act, if the sys-
gether with an agency statement (if tem of records is maintained by an
deemed appropriate) summarizing its agency or component thereof which
refusal; performs as its principal function any
(5) That prior recipients of the dis- activity pertaining to the enforcement
puted record will be provided with of criminal laws and which consists of:
statements as in paragraph (e)(4) of (1) Information compiled for the pur-
this section, to the extent that an ac- pose of identifying individual criminal
counting of disclosures is maintained offenders and alleged offenders and
under 5 U.S.C. 552a(c); and consisting only of identifying data and
(6) Of the requester’s right to seek ju- notations of arrests, the nature and
dicial review under 5 U.S.C. 552a(g). disposition of criminal charges, sen-
tencing, confinement, release, and pa-
§ 16.8 Special procedures: Medical role and probation status;
Records.
(2) Information compiled for the pur-
Should EPA receive a request for ac- pose of a criminal investigation, in-
cess to medical records (including psy- cluding reports of informants and in-
chological records) disclosure of which vestigators, and associated with an
the system manager decides would be identifiable individual; or
harmful to the individual to whom (3) Reports identifiable to an indi-
they relate, EPA may refuse to disclose vidual compiled at any stage of the
the records directly to the individual process of enforcement of the criminal
and instead offer to transmit them to a laws from arrest or indictment through
physician designated by the individual. release from supervision.
§ 16.9 Fees. (c) Qualification for exemption. (1) The

Agency’s system of records, EPA–17
No fees will be charged for providing system of records is maintained by the
the first copy of a record or any por- Criminal Investigation Division, Office
tion of a record to an individual to of Criminal Enforcement, Forensics,
whom the record pertains. The fee and Training, a component of EPA
schedule for reproducing other records which performs as its principal func-
is the same as that set forth in 40 CFR tion activities pertaining to the en-
21.07. forcement of criminal laws. Authority
for the Division’s criminal law enforce-
§ 16.10 Penalties.
ment activities comes from Powers of
The Act provides, in pertinent part: Environmental Protection Agency, 18
‘‘Any person who knowingly and will- U.S.C. 3063; Comprehensive Environ-
fully requests or obtains any record mental Response, Compensation and
concerning an individual from an agen- Liability Act, 42 U.S.C. 9603; Resource
cy under false pretenses shall be guilty Conservation and Recovery Act, 42
of a misdemeanor and fined not more U.S.C. 6928; Federal Water Pollution
than $5,000.’’ (5 U.S.C. 552a(i)(3)) Control Act, 33 U.S.C. 1319, 1321; Toxic
Substances Control Act, 15 U.S.C. 2614,
§ 16.11 General exemptions. 2615; Clean Air Act, 42 U.S.C. 7413; Fed-
(a) Systems of records affected. EPA–17 eral Insecticide, Fungicide and
OCEFT Criminal Investigative Index Rodenticide Act, 7 U.S.C. 136j, 136l;
and Files. Safe Drinking Water Act, 42 U.S.C.
EPA–40 Inspector General’s Oper- 300h–2, 300i–1; Noise Control Act of 1972,
ation and Reporting (IGOR) System In- 42 U.S.C. 4912; Emergency Planning and
vestigative Files. Community Right-To-Know Act of 1986,
206
42 U.S.C. 11045; and the Marine Protec- mental Response, Compensation and
tion, Research, and Sanctuaries Act of Liability Act, 42 U.S.C. 9603; Resource
1972, 33 U.S.C. 1415. Conservation and Recovery Act, 42
(2) The Agency’s system of records, U.S.C. 6928; Federal Water Pollution
EPA–40 system of records is main- Control Act, 33 U.S.C. 1319, 1321; Toxic
tained by the Office of Investigations Substances Control Act, 15 U.S.C. 2614,
of the Office of Inspector General 2615; Clean Air Act, 42 U.S.C. 7413; Fed-
(OIG), a component of EPA that per- eral Insecticide, Fungicide and
forms as its principal function activi- Rodenticide Act, 7 U.S.C. 136j, 136l;
ties pertaining to the enforcement of Safe Drinking Water Act, 42 U.S.C.
criminal laws. Authority for the crimi- 300h–2, 300i–1; Noise Control Act of 1972,
nal law enforcement activities of the 42 U.S.C. 4912; Emergency Planning and
OIG’s Office of Investigations is the In- Community Right-To-Know Act of 1986,
spector General Act of 1978, as amend- 42 U.S.C. 11045; and the Marine Protec-
ed, 5 U.S.C. app. 3. tion, Research, and Sanctuaries Act of
(3) The Agency’s system of records, 1972, 33 U.S.C. 1415.
EPA–46 system of records is main- (d) Scope of Exemption. EPA systems
tained by the National Enforcement In- of records 17, 40, 46 and 63 are exempted
vestigations Center, Office of Criminal from the following provisions of the
Enforcement, Forensics, and Training, PA: 5 U.S.C. 552a(c)(3) and (4); (d);
a component of EPA which performs as (e)(1), (2), (3), (4)(G), and (H), (5), and
its principal function activities per- (8); (f)(2) through (5); and (g). To the ex-
taining to the enforcement of criminal tent that the exemption for EPA sys-
laws. Authority for the criminal law tems of records 17, 40, 46 and 63 claimed
enforcement activities comes from Re- under 5 U.S.C. 552a(j)(2) of the Act is
organization Plan No. 3 of 1970 (5 U.S.C. held to be invalid, then an exemption
app. 1), effective December 2, 1970; Pow- under 5 U.S.C. 552a(k)(2) is claimed for
ers of Environmental Protection Agen- these systems of records from (c)(3),
cy, 18 U.S.C. 3063; Comprehensive Envi- (d), (e)(1), (e)(4)(G), (H), and (f)(2)
ronmental Response Compensation and through (5). For Agency’s system of
Liability Act , 42 U.S.C. 9603; Resource records, EPA system 40, an exemption
Conservation and Recovery Act, 42 is separately claimed under 5 U.S.C.
U.S.C. 6928; Federal Water Pollution 552(k)(5) from (c)(3), (d), (e)(1), (e)(4)(G),
Control Act, 33 U.S.C. 1319, 1321; Toxic (4)(H), and (f)(2) through (5).
Substances Control Act, 15 U.S.C. 2614, (e) Reasons for exemption. EPA sys-
2615; Clean Air Act, 42 U.S.C. 7413; Fed- tems of records 17, 40, 46 and 63 are ex-
eral Insecticide, Fungicide and empted from the above provisions of
Rodenticide Act, 7 U.S.C. 136j, 136l; the PA for the following reasons:
Safe Drinking Water Act, 42 U.S.C. (1) 5 U.S.C. 552a(c)(3) requires an
300h–2, 300i–1; Emergency Planning and agency to make the accounting of each
Community Right-To-Know Act of 1986, disclosure of records available to the
42 U.S.C. 11045; and the Marine Protec- individual named in the record upon re-
tion, Research, and Sanctuaries Act of quest. These accountings must state
1972, 33 U.S.C. 1415. the date, nature, and purpose of each
(4) The Agency’s system of records, disclosure of a record and the name and
EPA–63 system of records is main- address of the recipient. Accounting for
tained by the Office of Environmental each disclosure would alert the sub-
Information, Office of Enterprise Infor- jects of an investigation to the exist-
mation Programs, on behalf of the ence of the investigation and the fact
Criminal Investigation Division, Office that they are subjects of the investiga-
of Criminal Enforcement, Forensics, tion. The release of such information
and Training, a component of EPA to the subjects of an investigation
which performs as its principal func- would provide them with significant in-
tion activities pertaining to the en- formation concerning the nature of the
forcement of criminal laws. Authority investigation, and could seriously im-
for the Division’s criminal law enforce- pede or compromise the investigation,
ment activities comes from Powers of endanger the physical safety of con-
Environmental Protection Agency, 18 fidential sources, witnesses, law en-
U.S.C. 3063; Comprehensive Environ- forcement personnel and their families,
207
§ 16.11 40 CFR Ch. I (7–1–21 Edition)
and lead to the improper influencing of ways possible to detect the relevance
witnesses, the destruction of evidence, or necessity of specific information in
or the fabrication of testimony. the early stages of an investigation.
(2) 5 U.S.C. 552a(c)(4) requires an Relevance and necessity are often ques-
agency to inform any person or other tions of judgment and timing, and it is
agency about any correction or nota- only after the information is evaluated
tion of dispute made by the agency in that the relevance and necessity of
accordance with subsection (d) of the such information can be established. In
Act. Since EPA is claiming that these addition, during the course of the in-
systems of records are exempt from vestigation, the investigator may ob-
subsection (d) of the Act, concerning tain information which is incidental to
access to records, this section is inap- the main purpose of the investigation
plicable and is exempted to the extent but which may relate to matters under
that these systems of records are ex- the investigative jurisdiction of an-
empted from subsection (d) of the Act. other agency. Such information cannot
(3) 5 U.S.C. 552a(d) requires an agency readily be segregated. Furthermore,
to permit an individual to gain access during the course of the investigation,
to records pertaining to him or her, to the investigator may obtain informa-
request amendment to such records, to tion concerning the violation of laws
request a review of an agency decision other than those which are within the
not to amend such records, and to con- scope of his jurisdiction. In the interest
test the information contained in such of effective law enforcement, the EPA
records. Granting access to records in
investigators should retain this infor-
these systems of records could inform
mation, since it can aid in establishing
the subject of an investigation of an
patterns of criminal activity and can
actual or potential criminal violation
provide valuable leads for other law en-
of the existence of that investigation,
forcement agencies.
of the nature and scope of the informa-
tion and evidence obtained as to his ac- (5) 5 U.S.C. 552a(e)(2) requires an
tivities, of the identity of confidential agency to collect information to the
sources, witnesses, and law enforce- greatest extent practicable directly
ment personnel, and could provide in- from the subject individual when the
formation to enable the subject to information may result in adverse de-
avoid detection or apprehension. terminations about an individual’s
Granting access to such information rights, benefits, and privileges under
could seriously impede or compromise Federal programs. The application of
an investigation, endanger the physical this provision could impair investiga-
safety of confidential sources, wit- tions and law enforcement by alerting
nesses, law enforcement personnel and the subject of an investigation of the
their families, lead to the improper in- existence of the investigation, enabling
fluencing of witnesses, the destruction the subject to avoid detection or appre-
of evidence, or the fabrication of testi- hension, to influence witnesses improp-
mony, and disclose investigative tech- erly, to destroy evidence, or to fab-
niques and procedures. In addition, ricate testimony. Moreover, in certain
granting access to such information circumstances, the subject of an inves-
could disclose classified, security-sen- tigation cannot be required to provide
sitive, or confidential business infor- information to investigators, and infor-
mation and could constitute an unwar- mation must be collected from other
ranted invasion of the personal privacy sources. Furthermore, it is often nec-
of others. essary to collect information from
(4) 5 U.S.C. 552a(e)(1) requires each sources other than the subject of the
agency to maintain in its records only investigation to verify the accuracy of
such information about an individual the evidence collected.
as is relevant and necessary to accom- (6) 5 U.S.C. 552a(e)(3) requires an
plish a purpose of the agency required agency to inform each person whom it
by statute or by Executive order of the asks to supply information, on a form
President. The application of this pro- that can be retained by the person, of
vision could impair investigations and the authority under which the informa-
law enforcement, because it is not al- tion is sought and whether disclosure
208
is mandatory or voluntary; of the prin- moment it is collected. In collecting

cipal purposes for which the informa- information for criminal law enforce-
tion is intended to be used; of the rou- ment purposes, it is not possible to de-
tine uses which may be made of the in- termine in advance what information
formation; and of the effects on the is accurate, relevant, timely, and com-
person, if any, of not providing all or plete. Facts are first gathered and then
any part of the requested information. placed into a logical order to prove or
The application of this provision could disprove objectively the criminal be-
provide the subject of an investigation havior of an individual. Material that
with substantial information about the may seem unrelated, irrelevant, or in-
nature of that investigation, which complete when collected may take on
could interfere with the investigation. added meaning or significance as the
Moreover, providing such a notice to investigation progresses. The restric-
the subject of an investigation could tions of this provision could interfere
seriously impede or compromise on un- with the preparation of a complete in-
dercover investigation by revealing its vestigative report, thereby impeding
existence and could endanger the phys- effective law enforcement.
ical safety of confidential sources, wit- (9) 5 U.S.C. 552a(e)(8) requires an
nesses, and investigators by revealing agency to make reasonable efforts to
their identities. serve notice on an individual when any
(7) 5 U.S.C. 552a(e)(4) (G) and (H) re- record on such individual is made
quire an agency to publish a FEDERAL available to any person under compul-
REGISTER notice concerning its proce-
sory legal process when such process
dures for notifying an individual at his
becomes a matter of public record.
request if the system of records con-
Complying with this provision could
tains a record pertaining to him or her,
prematurely reveal an ongoing crimi-
how to gain access to such a record,
nal investigation to the subject of the
and how to contest its content. Since
investigation.
EPA is claiming that these systems of
records are exempted from parts of sub- (10) 5 U.S.C. 552a(f)(1) requires an
section (f)(2) through (5) of the Act, agency to promulgate rules which shall
concerning agency rules, and sub- establish procedures whereby an indi-
section (d) of the Act, concerning ac- vidual can be notified in response to
cess to records, these requirements are his request if any system of records
inapplicable and are exempted to the named by the individual contains a
extent that these systems of records record pertaining to him or her. Since
are exempted from subsections (f) and EPA is claiming that these systems of
(d) of the Act. Although EPA is claim- records are exempt from subsection (d)
ing exemption from these require- of the Act, concerning access to
ments, the Agency has published such records, the requirements of sub-
a notice concerning its notification, sections (f)(2) through (5) of the Act,
access, and contest procedures because, concerning agency rules for obtaining
under certain circumstances, EPA access to such records, are inapplicable
might decide it is appropriate for an in- and are exempted to the extent that
dividual to have access to all or a por- these systems of records are exempted
tion of the individual’s records in these from subsection (d) of the Act. Al-
systems of records. though EPA is claiming exemption
(8) 5 U.S.C. 552a(e)(5) requires an from the requirements of subsection
agency to maintain its records with (f)(2) through (5) of the Act, EPA has
such accuracy, relevance, timeliness, promulgated rules which establish
and completeness as is reasonably nec- Agency procedures because, under cer-
essary to assure fairness to the indi- tain circumstances, it might be appro-
vidual in making any determination priate for an individual to have access
about the individual. Since the Act de- to all or a portion of his records in
fines maintain to include the collection these systems of records. These proce-
of information, complying with this dures are described elsewhere in this
provision would prevent the collection part.

of any data not shown to be accurate, (11) 5 U.S.C. 552a(g) provides for civil
relevant, timely, and complete at the remedies if an agency fails to comply
209
§ 16.12 40 CFR Ch. I (7–1–21 Edition)
with the requirements concerning ac- EPA–63 eDiscovery Enterprise Tool

cess to records under subsections (d)(1) Suite.
and (3) of the Act; maintenance of (2) Authority. Under 5 U.S.C.
records under subsection (e)(5) of the 552a(k)(2), the head of any Federal
Act; and any other provision of the agency may by rule exempt any PA
Act, or any rule promulgated there- system of records within the agency
under, in such a way as to have an ad- from certain provisions of the Act, if
verse effect on an individual. Since the system of records is investigatory
EPA is claiming that these systems of material compiled for law enforcement
records are exempt from subsections purposes, other than material within
(c)(3) and (4), (d), (e)(1), (2), (3), (4)(G), the scope of subsection (j)(2) of the Act.
(H), and (I), (5), and (8), and (f) of the However, if any individual is denied
Act, the provisions of subsection (g) of any right, privilege, or benefit that the
the Act are inapplicable and are ex- individual would otherwise be entitled
empted to the extent that these sys- to by Federal law, or for which he or
tems of records are exempted from she would otherwise be eligible, as a re-
those subsections of the Act. sult of the maintenance of the mate-
(f) Exempt records provided by another rial, the material must be provided, ex-
agency. Individuals may not have accept to the extent that the disclosure
cess to records maintained by the EPA would reveal the identify of a confiden-
if such records were provided by an- tial source.
other Federal agency which has deter- (3) Qualification for exemption. All of
mined by regulation that such records the affected PA systems of records con-
are subject to general exemption under tain investigatory material compiled
5 U.S.C. 552a(j). If an individual re- for law enforcement purposes, material
quests access to such exempt records, which is not within the scope of sub-
EPA will consult with the source agen- section (j)(2) of the Act.
cy.
(4) Scope of exemption. (i) EPA sys-
(g) Exempt records included in a non- tems of records 17, 30, 40, 41, 46 and 63
exempt system of records. All records ob-
are exempted from the following provi-
tained from a system of records that
sions of the PA, subject to the limita-
has been determined by regulation to
tions set forth in 5 U.S.C. 552a(k)(2): 5
be subject to general exemption under
U.S.C. 552a(c)(3); (d); (e)(1), (4)(G) and
5 U.S.C. 552a(j) retain their exempt sta-
(4)(H); and (f)(2) through (5). EPA sys-
tus even if such records are also in-
tem of records 21 is exempt from the
cluded in a system of records for which
following provisions of the PA, subject
a general exemption has not been
to the limitations set forth in 5 U.S.C.
claimed.
552a(k)(2): 5 U.S.C. 552a(c)(3), (d), and
[71 FR 234, Jan. 4, 2006, as amended at 83 FR (e)(1).
62718, Dec. 6, 2018] (ii) An individual is ‘‘denied any
right, privilege, or benefit that he or
§ 16.12 Specific exemptions. she would otherwise be entitled by Fed-
(a) Exemption under 5 U.S.C. eral law, or for which he or she would
552a(k)(2)—(1) Systems of records af- otherwise be eligible, as a result of the
fected. EPA–17 OCEFT Criminal Inves- maintenance of such material,’’ only if
tigative Index and Files. EPA actually uses the material in de-
EPA–21 External Compliance Pro- nying or proposing to deny such right,
gram Discrimination Complaint Files. privilege, or benefit.
EPA–30 OIG Hotline Allegation Sys- (iii) EPA–17 OCEFT Criminal Inves-
tem. tigative Index and Files, EPA–40 In-
EPA–40 Inspector General’s Oper- spector General’s Operation and Re-
ation and Reporting (IGOR) System In- porting (IGOR) System Investigative
vestigative Files. Files, and EPA–46 OCEFT/NEIC Master
EPA–41 Inspector General’s Oper- Tracking System are exempted under 5
ation and Reporting (IGOR) System U.S.C. 552a(j)(2), and these systems are
Personnel Security Files. exempted under 5 U.S.C. 552a(k)(2) only

EPA–46 OCEFT/NEIC Master Track- to the extent that the (j)(2) exemption
ing System. is held to be invalid.
210
(5) Reasons for exemption. EPA sys- cedures. In addition, granting access to
tems of records 17, 21, 30, 40, 41, 46 and such information could disclose classi-
63 are exempted from the above provi- fied, security-sensitive, or confidential
sions of the PA for the following rea- business information and could con-
sons: stitute an unwarranted invasion of the
(i) 5 U.S.C. 552a(c)(3) requires an personal privacy of others.
agency to make the accounting of each (iii) 5 U.S.C. 552a(e)(1) requires each
disclosure of records available to the agency to maintain in its records only
individual named in the record at his such information about an individual
or her request. These accountings must as is relevant and necessary to accom-
state the date, nature, and purpose of plish a purpose of the agency required
each disclosure of a record and the by statute or by Executive order of the
name and address of the recipient. Ac- President. Maintaining records in this
counting for each disclosure would way could impair investigations and
alert the subjects of an investigation law enforcement efforts, because it is
to the existence of the investigation not always possible to detect the rel-
and the fact that they are subjects of evance or necessity of specific informa-
the investigation. The release of such tion in the early stages of an investiga-
information to the subjects of an inves- tion. The relevance and necessity of
tigation would provide them with sig- maintaining information are often
nificant information concerning the questions of judgment and timing, and
nature of the investigation, and could it is only after that information is
seriously impede or compromise the in- evaluated that its relevance and neces-
vestigation, endanger the physical sity can be established. In addition,
safety of confidential sources, wit- during the course of an investigation,
nesses, law enforcement personnel and the investigator may obtain informa-
their families, and lead to the improper tion which is incidental to the main
influencing of witnesses, the destruc- purpose of the investigation but which
tion of evidence, or the fabrication of may relate to matters under the inves-
testimony. tigative jurisdiction of another agency.
(ii) 5 U.S.C. 552a(d) requires an agen- Such information cannot readily be
cy to permit an individual to gain ac- segregated. Furthermore, during the
cess to records pertaining to him or course of an investigation, the investi-
her, to request amendment of such gator may obtain information con-
records, to request a review of an agen- cerning the violation of laws other
cy decision not to amend such records, than those within the scope of the
and to contest the information con- agency’s jurisdiction. In the interest of
tained in such records. Granting access effective law enforcement, EPA inves-
to records in these affected PA systems tigators should retain this informa-
of records could inform the subject of tion, since it can aid in establishing
an investigation of an actual or poten- patterns of criminal activity and can
tial criminal violation, of the existence provide valuable leads for other law en-
of that investigation, of the nature and forcement agencies.
scope of the information and evidence (iv) 5 U.S.C. 552a(e)(4)(G) and (H) re-
obtained as to his or her activities, of quire an agency to publish a FEDERAL
the identity of confidential sources, REGISTER notice concerning its proce-
witnesses, and law enforcement per- dures for notifying an individual upon
sonnel, and could provide information request if the system of records con-
to enable the subject to avoid detection tains a record pertaining to him or her,
or apprehension. Granting access to how the individual can gain access to
such information could seriously im- the record, and how to contest its con-
pede or compromise an investigation, tent. Since EPA is claiming that these
endanger the physical safety of con- systems of records are exempt from
fidential sources, witnesses, law en- subsection (f)(2) through (5) of the Act,
forcement personnel and their families, concerning agency rules, and sub-
lead to the improper influencing of wit- section (d) of the Act, concerning ac-
nesses, the destruction of evidence, or cess to records, these requirements are

the fabrication of testimony, and dis- inapplicable and are exempted to the
close investigative techniques and pro- extent that these systems of records
211
§ 16.12 40 CFR Ch. I (7–1–21 Edition)
are exempted from subsections (f) and classified information, but only to the
(d) of the Act. Although EPA is claim- extent that the disclosure of such ma-
ing exemption from these require- terial would reveal the identity of a
ments, EPA has published such a no- source who furnished information to
tice concerning its notification, access, the Government under an express
and contest procedures because, under promise that the identity of the source
certain circumstances, EPA might de- would be held in confidence, or, prior
cide it is appropriate for an individual to September 27, 1975, under an implied
to have access to all or a portion of his promise that the identity would be
records in these systems of records. held in confidence.
(v) 5 U.S.C. 552a(f)(1) requires an (3) Qualification for exemption. These
agency to promulgate rules which shall systems contain investigatory material
establish procedures whereby an indi- compiled solely for the purpose of de-
vidual can be notified in response to termining suitability, eligibility, or
his or her request if any system of qualifications for Federal civilian em-
records named by the individual con- ployment, military service, Federal
tains a record pertaining to him or her. contracts, or access to classified infor-
Since EPA is claiming that these sys- mation.
tems of records are exempt from sub- (4) Scope of exemption. (i) EPA 36 is
section (d) of the Act, concerning ac- exempted from 5 U.S.C. 552a(c)(3) and
cess to records, the requirements of (d). EPA 40 and 41 are exempted from
subsections (f)(2) through (5) of the the following provisions of the PA, sub-
Act, concerning agency rules for object to the limitations of 5 U.S.C.
taining access to such records, are in- 552a(k)(5); 5 U.S.C. 552a(c)(3); (d); (e)(1),
applicable and are exempted to the ex- (4)(H); and (f)(2) through (5).
tent that these systems of records are (ii) To the extent that records in
exempted from subsection (d) of the EPA 40 and 41 reveal a violation or po-
Act. Although EPA is claiming exemp- tential violation of law, then an ex-
tion from the requirements of sub- emption under 5 U.S.C. 552a(k)(2) is
section (f)(2) through (5) of the Act, also claimed for these records. EPA 40
EPA has promulgated rules which es- is also exempt under 5 U.S.C. 552a(j)(2)
tablish Agency procedures because, of the Act.
under certain circumstances, it might (5) Reasons for exemption. EPA 36, 40,
be appropriate for an individual to and 41 are exempted from the above
have access to all or a portion of his provisions of the PA for the following
records in these systems of records. reasons:
These procedures are described else- (i) 5 U.S.C. 552a(c)(3) requires an
where in this part. agency to make the accounting of each
(b) Exemption under 5 U.S.C. disclosure of records available to the
552a(k)(5)—(1) Systems of records af- individual named in the record at his
fected. EPA 36 Research Grant, Coop- or her request. These accountings must
erative Agreement, and Fellowship Ap- state the date, nature, and purpose of
plication Files. each disclosure of a record and the
EPA 40 Inspector General’s Oper- name and address of the recipient.
ation and Reporting (IGOR) System In- Making such an accounting could cause
vestigative Files. the identity of a confidential source to
EPA 41 Inspector General’s Oper- be revealed, endangering the physical
ation and Reporting (IGOR) System safety of the confidential source, and
Personnel Security Files. could impair the ability of the EPA to
(2) Authority. Under 5 U.S.C. compile, in the future, investigatory
552a(k)(5), the head of any agency may material for the purpose of deter-
by rule exempt any system of records mining suitability, eligibility, or quali-
within the agency from certain provi- fications for Federal civilian employ-
sions of the PA, if the system of ment, Federal contracts, or access to
records is investigatory material com- classified information.
piled solely for the purpose of deter- (ii) 5 U.S.C. 552a(d) requires an agen-
mining suitability, eligibility, or quali- cy to permit an individual to gain ac-

fications for Federal civilian employ- cess to records pertaining to him or
ment, Federal contracts, or access to her, to request amendment to such
212
records, to request a review of an agen- for obtaining access to records. Since

cy decision not to amend such records, EPA is claiming that these systems of
and to contest the information con- records are exempt from subsection (d)
tained in such records. Granting such of the Act, concerning access to
access could cause the identity of a records, the requirements of sub-
confidential source to be revealed, en- sections (f)(2) through (5) of the Act,
dangering the physical safety of the concerning agency rules for obtaining
confidential source, and could impair access to such records, are inapplicable
the ability of the EPA to compile, in and are exempt to the extent that this
the future, investigatory material for system of records is exempt from sub-
the purpose of determining suitability, section (d) of the Act. Although EPA is
eligibility, or qualifications for Federal claiming exemption from the require-
civilian employment, Federal con- ments of subsections (f)(2) through (5)
tracts, or access to classified informa- of the Act, EPA has promulgated rules
tion. which establish Agency procedures be-
(iii) 5 U.S.C. 552a(e)(1) requires each cause, under certain circumstances, it
agency to maintain in its records only might be appropriate for an individual
such information about an individual to have access to all or a portion of his
as is relevant and necessary to accom- records in this system of records. These
plish a purpose of the agency required procedures are described elsewhere in
by statute or by Executive order of the this part.
President. The application of this pro- (c) Exemption under 5 U.S.C.
vision could impair investigations, be- 552a(k)(1)—(1) System of records affected.
cause it is not always possible to de- EPA 41 Inspector General’s Operation
tect the relevance or necessity of spe- and Reporting (IGOR) System Per-
cific information in the early stages of sonnel Security Files.
an investigation. Relevance and neces-
(2) Authority. Under 5 U.S.C.
sity are often questions of judgment
552a(k)(1), the head of any agency may
and timing, and it is only after the in-
by rule exempt any system of records
formation is evaluated that the rel-
within the agency from certain provi-
evance and necessity of such informa-
sions of the Privacy Act of 1974, if the
tion can be established.
system of records is subject to the pro-
(iv) 5 U.S.C. 552a(e)(4)(H) requires an
agency to publish a FEDERAL REGISTER visions of 5 U.S.C. 552(b)(1). A system of
notice concerning its procedures for records is subject to the provisions of 5
notifying an individual upon request U.S.C. 552(b)(1) if it contains records
how to gain access to any record per- that are specifically authorized under
taining to him or her and how to con- criteria established by an Executive
test its content. Since EPA is claiming order to be kept secret in the interest
that these systems of records are ex- of national defense or foreign policy
empt from subsections (f)(2) through (5) and are in fact properly classified pur-
of the Act, concerning agency rules, suant to such Executive order.
and subsection (b) of the Act, con- (3) Qualification for Exemption. EPA 41
cerning access to records, these re- may contain some records that bear a
quirements are inapplicable and are ex- national defense/foreign policy classi-
empted to the extent that these sys- fication of Confidential, Secret, or Top
tems of records are exempted from sub- Secret.
sections (f)(2) through (5) and (d) of the (4) Scope of exemption. To the extent
Act. Although EPA is claiming exemp- that EPA 41 contains records provided
tion from these requirements, EPA has by other Federal agencies that are spe-
published such a notice concerning its cifically authorized under criteria es-
access and contest procedures because, tablished by Executive Order to be
under certain circumstances, EPA kept secret in the interest of national
might decide it is appropriate for an in- defense or foreign policy and are in fact
dividual to have access to all or a por- properly classified by other Federal
tion of his records in these systems of agencies pursuant to that Executive
records. Order, the system of records is exempt-

(v) 5 U.S.C. 552a(f)(2) through (5) re- ed from the following provisions of the
quire an agency to promulgate rules PA: 5 U.S.C. 552a(c)(3); (d); (e)(1), (4)(G)
213
§ 16.12 40 CFR Ch. I (7–1–21 Edition)
and (4)(H); and (f)(2) through (5) of the access to records, these requirements
Act. are inapplicable and are exempted to
(5) Reasons for exemption. EPA 41 is the extent that this system of records
exempted from the above provisions of is exempted from subsections (f) and
the PA for the following reasons: (d) of the Act. Although EPA is claim-
(i) 5 U.S.C. 552a(c)(3) requires an ing exemption from these require-
agency to make the accounting of each ments, EPA has published such a no-
disclosure of records available to the tice concerning its notification, access,
individual named in the record at his and contest procedures because, under
request. These accountings must state certain circumstances, EPA might de-
the date, nature, and purpose of each cide it is appropriate for an individual
disclosure of a record and the name and to have access to all or a portion of his
address of the recipient. Making such records in this system of records.
an accounting could result in the re- (v) 5 U.S.C. 552a(f)(1) requires an
lease of properly classified informa- agency to promulgate rules which shall
tion, which would compromise the na- establish procedures whereby an indi-
tional defense or disrupt foreign policy. vidual can be notified in response to
(ii) 5 U.S.C. 552a(d) requires an agen- his request if any system of records
cy to permit an individual to gain ac- named by the individual contains a
cess to records pertaining to him or record pertaining to him or her. Since
her, to request amendment to such EPA is claiming that this system of
records, to request a review of an agen- records is exempt from subsection (d)
cy decision not to amend such records,
of the Act, concerning access to
and to contest the information con-
records, the requirements of sub-
tained in such records. Granting such
sections (f)(2) through (5) of the Act,
access could cause the release of prop-
concerning agency rules for obtaining
erly classified information, which
access to such records, are inapplicable
would compromise the national defense
and are exempted to the extent that
or disrupt foreign policy.
this system of records is exempt from
(iii) 5 U.S.C. 552a(e)(1) requires each
subsection (d) of the Act. Although
agency to maintain in its records only
EPA is claiming exemption from the
such information about an individual
requirements of subsection (f) of the
as is relevant and necessary to accom-
plish a purpose of the agency required Act, EPA has promulgated rules which
by statute or by Executive order of the establish Agency procedures because,
President. The application of this pro- under certain circumstances, it might
vision could impair personnel security be appropriate for an individual to
investigations which use properly clas- have access to all or a portion of his or
sified information, because it is not al- her records in this system of records.
ways possible to know the relevance or These procedures are described else-
necessity of specific information in the where in this part.
early stages of an investigation. Rel- (d) Exempt records provided by another
evance and necessity are often ques- Federal agency. Individuals may not
tions of judgment and timing, and it is have access to records maintained by
only after the information is evaluated the EPA if such records were provided
that the relevance and necessity of by another Federal agency which has
such information can be established. determined by regulation that such
(iv) 5 U.S.C. 552a(e)(4) (G) and (H) re- records are subject to general exemp-
quire an agency to publish a FEDERAL tion under 5 U.S.C. 552a(j) or specific
REGISTER notice concerning its proce- exemption under 5 U.S.C. 552a(k). If an
dures for notifying an individual upon individual requests access to such ex-
request if the system of records con- empt records, EPA will consult with
tains a record pertaining to him or her, the source agency.
how to gain access to such a record, (e) Exempt records included in a non-
and how to contest its content. Since exempt system of records. All records ob-
EPA is claiming that this system of tained from a system of records which
records is exempt from subsection (f) of has been determined by regulation to

the Act, concerning agency rules, and be subject to specific exemption under
subsection (d) of the Act, concerning 5 U.S.C. 552a(k) retain their exempt
214
status even if such records are also in- vails over EPA in an adversary adju-
cluded in a system of records for which dication before EPA unless EPA’s posi-
a specific exemption has not been tion as a party to the proceeding was
claimed. substantially justified or special cir-
[71 FR 234, Jan. 4, 2006, as amended at 83 FR
cumstances make an award unjust. The
62718, Dec. 6, 2018] purpose of these rules is to establish
procedures for the submission and con-
sideration of applications for awards
PART 17—IMPLEMENTATION OF THE against EPA when the underlying deci-
EQUAL ACCESS TO JUSTICE ACT sion is not reviewed by a court.
IN EPA ADMINISTRATIVE PRO-
CEEDINGS § 17.2 Definitions.
As used in this part:
Subpart A—General Provisions
(a) The Act means section 504 of title
Sec. 5 U.S.C., as amended by section
17.1 Purpose of these rules. 203(a)(1) of the Equal Access to Justice
17.2 Definitions. Act, Public Law No. 96–481.
17.3 Proceedings covered.
(b) Administrator means the Adminis-
17.4 Applicability to EPA proceedings.
17.5 Eligibility of applicants. trator of the Environmental Protection
17.6 Standards for awards. Agency.
17.7 Allowable fees and other expenses. (c) Adversary adjudication means an
17.8 Delegation of authority. adjudication required by statute to be
held pursuant to 5 U.S.C. 554 in which
Subpart B—Information Required From the position of the United States is
Applicants represented by counsel or otherwise,
17.11 Contents of application. but excludes an adjudication for the
17.12 Net worth exhibit. purpose of granting or renewing a li-
17.13 Documentation of fees and expenses. cense.
17.14 Time for submission of application. (d) EPA means the Environmental
Protection Agency, an Agency of the
Subpart C—Procedures for Considering
United States.
Applications
(e) Presiding officer means the official,
17.21 Filing and service of documents. without regard to whether he is des-
17.22 Answer to application. ignated as an administrative law judge
17.23 Comments by other parties. or a hearing officer or examiner, who
17.24 Settlement. presides at the adversary adjudication.
17.25 Extensions of time and further pro-
ceedings. (f) Proceeding means an adversary ad-
17.26 Decision on application. judication as defined in § 17.2(b).
17.27 Agency review.
17.28 Judicial review. § 17.3 Proceedings covered.
17.29 Payment of award. (a) These rules apply to adversary ad-
AUTHORITY: Section 504, Title 5 U.S.C., as judications required by statute to be
amended by sec. 203(a)(1), Equal Access to conducted by EPA under 5 U.S.C. 554.
Justice Act (Title 2 of Pub. L. 96–481, 94 Stat. To the extent that they are adversary
2323). adjudications, the proceedings con-
SOURCE: 48 FR 39936, Sept. 2, 1983, unless ducted by EPA to which these rules
otherwise noted. apply include:
(1) A hearing to consider the assess-
Subpart A—General Provisions ment of a noncompliance penalty under
section 120 of the Clean Air Act as
§ 17.1 Purpose of these rules. amended (42 U.S.C. 7420);
These rules are adopted by EPA pur- (2) A hearing to consider the termi-
suant to section 504 of title 5 U.S.C., as nation of an individual National Pollu-
added by section 203(a)(1) of the Equal tion Discharge Elimination System
Access to Justice Act, Public Law No. permit under section 402 of the Clean
96–481. Under the Act, an eligible party Water Act as amended (33 U.S.C. 1342);
may receive an award for attorney’s (3) A hearing to consider the assess-
fees and other expenses when it pre- ment of any civil penalty under section
215
§ 17.4 40 CFR Ch. I (7–1–21 Edition)
16(a) of the Toxic Substances Control § 17.5 Eligibility of applicants.

Act (15 U.S.C. 2615(a)); (a) To be eligible for an award of at-
(4) A hearing to consider ordering a torney’s fees and other expenses under
manufacturer of hazardous chemical the Act, the applicant must be a pre-
substances or mixtures to take actions vailing party in the adversary adju-
under section 6(b) of the Toxic Sub- dication for which it seeks an award.
stances Control Act (15 U.S.C. 2605(b)), The term party is defined in 5 U.S.C.
to decrease the unreasonable risk posed 551(3). The applicant must show that it
by a chemical substance or mixture; meets all conditions of eligibility set
(5) A hearing to consider the assess- out in this subpart and in subpart B.
ment of any civil penalty under section (b) The types of eligible applicants
14(a) of the Federal Insecticide, Fun- are as follows:
gicide, and Rodenticide Act as amend- (1) An individual with a net worth of
ed (7 U.S.C. 1361); not more than $1 million;
(6) A hearing to consider suspension (2) The sole owner of an unincor-
of a registrant for failure to take ap- porated business which has a net worth
propriate steps in the development of of not more than $5 million and not
registration data under section more than 500 employees;
3(c)(2)(B) of the Federal Insecticide, (3) A charitable or other tax-exempt
Fungicide and Rodenticide Act as organization described in section
amended (7 U.S.C. 136a); 501(c)(3) of the Internal Revenue Code
(7) A hearing to consider the suspen- (26 U.S.C. 501(c)(3)) with not more than
sion or cancellation of a registration 500 employees;
under section 6 of the Federal Insecti- (4) A cooperative association as de-
cide, Fungicide, and Rodenticide Act as fined in section 15(a) of the Agricul-
amended (7 U.S.C. 136d); tural Marketing Act (12 U.S.C. 114j(a))
(8) A hearing to consider the assess- with not more than 500 employees; and
ment of any civil penalty or the rev- (5) Any other partnership, corpora-
ocation or suspension of any permit tion, association, or public or private
under section 105(a) or 105(f) of the Ma- organization with a net worth of not
rine Protection, Research, and Sanc- more than $5 million and not more
tuaries Act as amended (33 U.S.C. than 500 employees.
1415(a), 33 U.S.C. 1415(f)); (c) For the purpose of eligibility, the
(9) A hearing to consider the issuance net worth and number of employees of
of a compliance order or the assess- an applicant shall be determined as of
ment of any civil penalty conducted the date of adversary adjudication was
under section 3008 of the Resource Con- initiated.
servation and Recovery Act as amend- (d) An applicant who owns an unin-
ed (42 U.S.C. 6928); corporated business will be considered
(10) A hearing to consider the as an individual rather than a sole
issuance of a compliance order under owner of an unincorporated business if
section 11(d) of the Noise Control Act the issues on which the applicant pre-
as amended (42 U.S.C. 4910(d)). vails are related primarily to personal
(b) If a proceeding includes both mat- interests rather than to business inter-
ters covered by the Act and matters est.
specifically excluded from coverage, (e) The employees of an applicant in-
any award made will include only fees clude all persons who regularly per-
and expenses related to covered issues. form services for remuneration for the
applicant under the applicant’s direc-
§ 17.4 Applicability to EPA pro- tion and control. Part-time employees
ceedings. shall be included.
The Act applies to an adversary adju- (f) The net worth and number of em-
dication pending before EPA at any ployees of the applicant and all of its
time between October 1, 1981 and Sep- affiliates shall be aggregated to deter-
tember 30, 1984. This includes pro- mine eligibility. An individual or group
ceedings begun before October 1, 1981 if of individuals, corporation, or other en-
final EPA action has not been taken tity that directly or indirectly controls
before that date, and proceedings pend- or owns a majority of the voting shares
ing on September 30, 1984. of another business’ board of directors,
216
trustees, or other persons exercising (3) The difficulty or complexity of

similar functions, shall be considered the issues raised by the application;
an affiliate of that business for pur- (4) Any necessary and reasonable ex-
poses of this part. In addition, the Pre- penses incurred;
siding Officer may determine that fi- (5) Such other factors as may bear on
nancial relationships of the applicant the value of the services performed.
other than those described in this para-
graph constitute special circumstances § 17.8 Delegation of authority.
that would make an award unjust.
The Administrator delegates to the
(g) An applicant is not eligible if it
Environmental Appeals Board author-
has participated in the proceeding on
ity to take final action relating to the
behalf of other persons or entities that
Equal Access to Justice Act. The Envi-
are ineligible.
ronmental Appeals Board is described
§ 17.6 Standards for awards. at 40 CFR 1.25(e). This delegation does
not preclude the Environmental Ap-
(a) A prevailing applicant may re-
peals Board from referring any matter
ceive an award for fees and expenses in-
related to the Equal Access to Justice
curred in connection with a proceeding
Act to the Administrator when the En-
unless the position of the EPA as a
vironmental Appeals Board deems it
party to the proceeding was substan-
appropriate to do so. When an appeal or
tially justified or unless special cir-
motion is referred to the Adminis-
cumstances make the award sought un-
trator by the Environmental Appeals
just. No presumption arises that the
Board, all parties shall be so notified
agency’s position was not substantially
and the rules in this part referring to
justified simply because the agency did
the Environmental Appeals Board shall
not prevail.
be interpreted as referring to the Ad-
(b) An award shall be reduced or de-
ministrator.
nied if the applicant has unduly or un-
reasonably protracted the proceeding. [57 FR 5323, Feb. 13, 1992]
§ 17.7 Allowable fees and other ex-

penses. Subpart B—Information Required
(a) The following fees and other ex-
From Applicants
penses are allowable under the Act: § 17.11 Contents of application.
(1) Reasonable expenses of expert wit-
nesses; (a) An application for award of fees
(2) The reasonable cost of any study, and expenses under the Act shall iden-
analysis, engineering report, test, or tify the applicant and the proceeding
project which EPA finds necessary for for which an award is sought. The ap-
the preparation of the party’s case; plication shall show that the applicant
(3) Reasonable attorney or agent fees; has prevailed and identify the position
(b) The amount of fees awarded will of EPA in the proceeding that the ap-
be based upon the prevailing market plicant alleges was not substantially
rates for the kind and quality of serv- justified.
ices furnished, except that: (b) The application shall include a
(1) Compensation for an expert wit- statement that the applicant’s net
ness will not exceed $24.09 per hour; worth as of the time the proceeding
and was initiated did not exceed $1 million
(2) Attorney or agent fees will not be if the applicant is an individual (other
in excess of $75 per hour. than a sole owner of an unincorporated
(c) In determining the reasonableness business seeking an award in that ca-
of the fee sought, the Presiding Officer pacity) or $5 million in the case of all
shall consider the following: other applicants. An applicant may
(1) The prevailing rate for similar omit this statement if:
services in the community in which the (1) It attaches a copy of a ruling by
attorney, agent, or witness ordinarily the Internal Revenue Service that it
performs services; qualifies as an organization described

(2) The time actually spent in the in section 501(c)(3) of the Internal Rev-
representation of the applicant; enue Code of 1954 (26 U.S.C. 501(c)(3))
217
§ 17.12 40 CFR Ch. I (7–1–21 Edition)
and is exempt from taxation under sec- ing of the net worth of all such affili-
tion 501(a) of the Code or, in the case of ates or of the applicant including the
such an organization not required to affiliates. The exhibit may be in any
obtain a ruling from the Internal Rev- form that provides full disclosure of as-
enue Service on its exempt status, a sets and liabilities of the applicant and
statement that describes the basis for any affiliates and is sufficient to deter-
the applicant’s belief that it qualifies mine whether the applicant qualifies
under section 501(c)(3) of the Code; or under the standards of 5 U.S.C.
(2) It states that it is a cooperative 504(b)(1)(B)(i). The Presiding Officer
association as defined in section 15(a) may require an applicant to file addi-
of the Agricultural Marketing Act (12 tional information to determine the
U.S.C. 114j(a)). applicant’s eligibility for an award.
(c) If the applicant is a partnership, (b) The net worth exhibit shall de-
corporation, association, or organiza- scribe any transfers of assets from, or
tion, or a sole owner of an unincor- obligations incurred by, the applicant
porated business, the application shall or any affiliate occurring in the one-
state that the applicant did not have year period prior to the date on which
more than 500 employees at the time the proceeding was initiated that re-
the proceeding was initiated, giving duced the net worth of the applicant
the number of its employees and de- and its affiliates below the applicable
scribing briefly the type and purpose of net worth ceiling. If there were no such
its organization or business. transactions, the applicant shall so
(d) The application shall itemize the state.
amount of fees and expenses sought. (c) The net worth exhibit shall be in-
(e) The application may include any cluded in the public record of the pro-
other matters that the applicant be- ceeding.
lieves should be considered in deter-
(Approved by the Office of Management and
mining whether and in what amount an
award should be made.
(f) The application shall be signed by § 17.13 Documentation of fees and ex-
the applicant with respect to the eligi- penses.
bility of the applicant and by the at- (a) The application shall be accom-
torney of the applicant with respect to panied by full documentation of fees
fees and expenses sought. The applica- and expenses, including the cost of any
tion shall contain or be accompanied study, engineering report, test, or
by a written verification under oath or project, for which an award is sought.
affirmation or under penalty of perjury (b) The documentation shall include
that the information provided in the an affidavit from any attorney, agent,
application and all accompanying ma- or expert witness representing or ap-
terial is true and complete to the best pearing in behalf of the party stating
of the signer’s information and belief. the actual time expended and the rate
(Approved by the Office of Management and at which fees and other expenses were
Budget under control number 2000–0403) computed and describing the specific
services performed.
§ 17.12 Net worth exhibit. (1) The affidavit shall itemize in de-
(a) Each applicant except a qualified tail the services performed by the date,
tax exempt organization or a qualified number of hours per date, and the serv-
cooperative must submit with its appli- ices performed during those hours. In
cation a detailed exhibit showing its order to establish the hourly rate, the
net worth at the time the proceeding affidavit shall state the hourly rate
was initiated. If any individual, cor- which is billed and paid by the major-
poration, or other entity directly or in- ity of clients during the relevant time
directly controls or owns a majority of periods.
the voting shares or other interest of (2) If no hourly rate is paid by the
the applicant, or if the applicant di- majority of clients because, for in-
rectly or indirectly owns or controls a stance, the attorney or agent rep-
majority of the voting shares or other resents most clients on a contingency

interest of any corporation or other en- basis, the attorney or agent shall pro-
tity, the exhibit must include a show- vide affidavits from two attorneys or
218
agents with similar experience, who Subpart C—Procedures for

perform similar work, stating the Considering Applications
hourly rate which they bill and are
paid by the majority of their clients § 17.21 Filing and service of docu-
during a comparable time period. ments.
(c) The documentation shall also in- An application for an award and any
clude a description of any expenses for other pleading or document related to
which reimbursement is sought and a the application shall be filed and
statement of the amounts paid and served on all parties to the proceeding
payable by the applicant or by any in the same manner as other pleadings
other person or entity for the services in the proceeding.
provided.
(d) The Presiding Officer may require § 17.22 Answer to application.
the applicant to provide vouchers, re-
(a) Within 30 calendar days after
ceipts, or other substantiation for any service of the application, EPA counsel
expenses claimed. shall file an answer.
(Approved by the Office of Management and (b) If EPA counsel and the applicant
Budget under control number 2000–0430) believe that they can reach a settle-
ment concerning the award, EPA coun-
§ 17.14 Time for submission of applica- sel may file a statement of intent to
tion.
negotiate. The filing of such a state-
(a) An application must be filed no ment shall extend the time for filing an
later than 30 days after final disposi- answer an additional 30 days.
tion of the proceeding. If agency review (c) The answer shall explain in detail
or reconsideration is sought or taken any objections to the award requested
of a decision in which an applicant be- and identify the facts relied on to sup-
lieves it has prevailed, action on the port the objection. If the answer is
award of fees shall be stayed pending based on any alleged facts not already
final agency disposition of the under- reflected in the record of the pro-
lying controversy. ceeding, EPA counsel shall include
(b) Final disposition means the later with the answer either a supporting af-
of: fidavit or affidavits or request for fur-
(1) The date on which the Agency de- ther proceedings under § 17.25.
cision becomes final, either through
disposition by the Environmental Ap- § 17.23 Comments by other parties.
peals Board of a pending appeal or Any party to a proceeding other than
through an initial decision becoming the applicant and EPA counsel may file
final due to lack of an appeal or comments on an application within 30
(2) The date of final resolution of the calendar days after it is served or on an
proceeding, such as settlement or vol- answer within 15 calendar days after it
untary dismissal, which is not subject is served.
to a petition for rehearing or reconsid-
eration. § 17.24 Settlement.
(c) If judicial review is sought or A prevailing party and EPA counsel
taken of the final agency disposition of may agree on a proposed settlement of
the underlying controversy, then agen- an award before final action on the ap-
cy proceedings for the award of fees plication, either in connection with a
will be stayed pending completion of settlement of the underlying pro-
judicial review. If, upon completion of ceeding or after the underlying pro-
review, the court decides what fees to ceeding has been concluded. If the
award, if any, then EPA shall have no party and EPA counsel agree on a pro-
authority to award fees. posed settlement of an award before an
application has been filed, the applica-

FR 5323, Feb. 13, 1992] tion shall be filed with the proposed
settlement.
219
§ 17.25 40 CFR Ch. I (7–1–21 Edition)
§ 17.25 Extensions of time and further protracted the final resolution of the
proceedings. matter in controversy; and
(a) The Presiding Officer may, on mo- (f) The amounts, if any, awarded for
tion and for good cause shown, grant fees and other expenses, explaining any
extensions of time, other than for fil- difference between the amount re-
ing an application for fees and ex- quested and the amount awarded.
penses, after final disposition in the ad-
§ 17.27 Agency review.
versary adjudication.
(b) Ordinarily, the determination of The recommended decision of the
an award will be made on the basis of Presiding Officer will be reviewed by
the written record of the underlying EPA in accordance with EPA’s proce-
proceeding and the filings required or dures for the type of substantive pro-
permitted by the foregoing sections of ceeding involved.
these rules. However, the adjudicative
officer may sua sponte or on motion of § 17.28 Judicial review.
any party to the proceedings require or Judicial review of final EPA deci-
permit further filings or other action, sions on awards may be sought as pro-
such as an informal conference, oral ar- vided in 5 U.S.C. 504(c)(2).
gument, additional written submis-
sions, or an evidentiary hearing. Such § 17.29 Payment of award.
further action shall be allowed only An applicant seeking payment of an
when necessary for full and fair resolu- award shall submit a copy of the final
tion of the issues arising from the ap- decision granting the award to the Of-
plication and shall take place as fice of Financial Management for Proc-
promptly as possible. A motion for fur- essing. A statement that review of the
ther filings or other action shall spe- underlying decision is not being sought
cifically identify the information in the United States courts or that the
sought on the disputed issues and shall process for seeking review of the award
explain why the further filings or other has been completed must also be in-
action is necessary to resolve the cluded.
issues.
(c) In the event that an evidentiary PART 18—ENVIRONMENTAL PRO-
hearing is required or permitted by the TECTION RESEARCH FELLOWSHIPS
adjudicative officer, such hearing and
any related filings or other action re-
AND SPECIAL RESEARCH CON-
quired or permitted shall be conducted SULTANTS FOR ENVIRONMENTAL
pursuant to the procedural rules gov- PROTECTION
erning the underlying adversary adju-
dication. Sec.
18.1 Definitions.
§ 17.26 Decision on application. 18.2 Applicability.
18.3 Purpose of Environmental Protection
The Presiding Officer shall issue a Research Fellowships.
recommended decision on the applica- 18.4 Establishment of Environmental Pro-
tion which shall include proposed writ- tection Research Fellowships.
ten findings and conclusions on such of 18.5 Qualifications of Environmental Pro-
the following as are relevant to the detection Research Fellows.
18.6 Method of Application.
cision: 18.7 Selection and Appointment of Environ-
(a) The applicant’s status as a pre- mental Protection Research Fellows.
vailing party; 18.8 Stipends, Allowances, and Benefits.
(b) The applicant’s qualification as a 18.9 Duration of Environmental Protection
‘‘party’’ under 5 U.S.C. 504(b)(1)(B); Research Fellowships.
(c) Whether EPA’s position as a party 18.10 Appointment of Special Research Con-
to the proceeding was substantially sultants for Environmental Protection.
justified; 18.11 Standards of Conduct and Financial
Disclosure.
(d) Whether the special cir-
cumstances make an award unjust; AUTHORITY: 42 U.S.C. 209; Pub. L. 109–54, 119
(e) Whether the applicant during the Stat. 531.

course of the proceedings engaged in SOURCE: 71 FR 16702, Apr. 4, 2006, unless
conduct that unduly and unreasonably otherwise noted.
220
§ 18.1 Definitions. methods impracticable or less effec-

tive.
As used in this part, continental
United States does not include Hawaii § 18.4 Establishment of Environmental
or Alaska. The Administrator means Protection Research Fellowships.
the Administrator of the EPA and any
All Environmental Protection Re-
other officer or employee of the Agen-
search fellowships shall be established
cy to whom the authority involved
by the Administrator or designee. In
may be delegated. An Environmental
establishing an Environmental Protec-
Protection Research Fellowship is one
tion Research fellowship, or a series of
which requires the performance of serv-
Environmental Protection Research
ices, either full or part time, for the
fellowships, the Administrator shall
EPA. A Special Research Consultant
prescribe in writing the conditions (in
for Environmental Protection is a spe-
addition to those provided in the regu-
cial consultant appointed to assist and
lations in this part) under which Envi-
advise in the operations of the research
ronmental Protection Research fellows
activities of the EPA.
will be appointed and will hold their
§ 18.2 Applicability. fellowships.
The regulations in this part apply to § 18.5 Qualifications for Environ-

the establishment of Environmental mental Protection Research Fellow-
Protection Research Fellowships, the ships.
designation of persons to receive such Scholastic and other qualifications
fellowships, the appointment of Envi- shall be prescribed by the Adminis-
ronmental Protection Research fel- trator or designee for each Environ-
lows, and the appointment of Special mental Protection Research fellowship,
Research Consultants for environ- or series of Environmental Protection
mental protection in the EPA. The Research fellowships. Each individual
EPA’s statutory authority for these ac- appointed to an Environmental Protec-
tions is established in Title II of the In- tion Research fellowship shall: have
terior, Environmental and Related presented satisfactory evidence of gen-
Agencies Appropriations Act of 2006 eral suitability, including professional
(Pub. L. 109–54). Under an administra- and personal fitness; possess any other
tive provision of Public Law 109–54 the qualifications as reasonably may be
Administrator may, after consultation prescribed; and meet all requirements
with the Office of Personnel Manage- and standards for documentation and
ment, make up to five (5) appointments disclosure of conflicts of interest and
in any fiscal year from 2006 to 2011 for ethical professional conduct.
the Office of Research and Develop-
ment under the authority provided in § 18.6 Method of Application.
42 U.S.C. 209. Appointees under this Application for an Environmental
statutory authority shall be employees Protection Research fellowship shall be
of the EPA. made in accordance with procedures es-
tablished by the Administrator or des-
§ 18.3 Purpose of Environmental Pro- ignee.
tection Research Fellowships.
Environmental Protection Research § 18.7 Selection and appointment of
Fellowships in the Agency are for the Environmental Protection Research
purpose of encouraging and promoting Fellows.
research, studies, and investigations The Administrator or designee shall
related to the protection of human do the following: prescribe a suitable
health and the environment. Such fel- professional and personal fitness re-
lowships may be provided to secure the view and an examination of the appli-
services of talented scientists and engi- cant’s qualifications; designate in writ-
neers for a period of limited duration ing persons to receive Environmental
for research that furthers the EPA’s Protection Research fellowships; and
mission where the nature of the work establish procedures for the appoint-
or the character of the individual’s ment of Environmental Protection Re-
services render customary employing search fellows.
221
§ 18.8 40 CFR Ch. I (7–1–21 Edition)
§ 18.8 Stipends, Allowances, and Bene- (c) Benefits. In addition to other bene-
fits. fits provided herein, Environmental
(a) Stipends. Each Environmental Protection Research fellows shall be
Protection Research fellow shall be en- entitled to benefits as provided by law
or regulation for other civilian employ-
titled to such stipend as is authorized
ees of the Agency.
by the Administrator or designee.
(d) Training. Environmental Protec-
(b) Travel and transportation allow-
tion Research fellows are eligible for
ances. Under conditions prescribed by
training at Government expense on the
the Administrator or designee, an indi-
same basis as other Agency employees.
vidual appointed as an Environmental
Protection Research fellow may be au- § 18.9 Duration of Environmental Pro-
thorized travel and transportation or tection Research Fellowships.
relocation allowances for his or her im- Initial appointments to Environ-
mediate family under subchapter I of mental Protection Research fellow-
chapter 57 of title 5 U.S.C. 5701, in con- ships may be made for varying periods
junction with travel authorized by the not in excess of 5 years. Such an ap-
Administrator or designee. Included pointment may be extended for varying
under this part is travel from place of periods not in excess of 5 years for each
residence, within or outside the conti- period in accordance with procedures
nental United States, to first duty sta- and requirements established by the
tion; for any change of duty station or- Administrator or designee.
dered by the Administrator or designee
during the term of the fellowship; and § 18.10 Appointment of Special Re-
from last duty station to the place of search Consultants for Environ-
residence which the individual left to mental Protection.
accept the fellowship, or to some other (a) Purpose. When the EPA requires
place at no greater cost to the Govern- the services of consultants with exper-
ment. An Environmental Protection tise in environmental sciences or engi-
Research fellow shall be entitled to neering who cannot be obtained when
travel allowances or transportation needed through regular civil service
and per diem while traveling on official appointment or under the compensa-
business away from his or her perma- tion provisions of the Classification
nent duty station during the term of Act of 1949, Special Research Consult-
the fellowship. Except as otherwise ants may be appointed to assist and ad-
provided herein, an Environmental vise in the operations of the EPA, sub-
Protection Research fellow shall be en- ject to the provisions of the following
titled to travel and transportation al- paragraphs and in accordance with
lowances authorized in this part at the such instructions as may be issued
same rates as may be authorized by from time to time by the Adminis-
law and regulations for other civilian trator or designee.
employees of the EPA. If an Environ- (b) Appointments. Appointments, pur-
mental Protection Research fellow dies suant to the provisions of this section,
during the term of a fellowship, and may be made by those officials in the
the place of residence that was left by EPA to whom authority has been dele-
the fellow to accept the fellowship was gated by the Administrator or des-
outside the continental United States, ignee.
the payment of expenses of preparing (c) Compensation. The per diem or
the remains for burial and transporting other rates of compensation shall be
them to the place of residence for in- fixed by the appointing officer in ac-
terment may be authorized. In the case cordance with criteria established by
of deceased fellows whose place of resi- the Administrator or designee.
dence was within the continental
United States, payment of the expenses § 18.11 Standards of Conduct and Fi-
of preparing the remains and trans- nancial Disclosure.
porting them to the place of residence All individuals appointed to an Envi-
for interment may be authorized as ronmental Protection Research Fel-

provided for other civilian employees lowship or as a Special Research Con-
of the Agency. sultant shall be subject to the same
222
current standards and disclosure regu- curred after December 6, 2013 through
lations and requirements as Title 5 ap- November 2, 2015, and to violations oc-
pointees. curring after November 2, 2015, where
penalties were assessed before August
PART 19—ADJUSTMENT OF CIVIL 1, 2016. The statutory civil monetary
MONETARY PENALTIES FOR IN- penalty levels set forth in the fourth
column of Table 2 of § 19.4 apply to all
FLATION violations which occurred after Janu-
ary 12, 2009 through December 6, 2013.
Sec.
19.1 Applicability. The statutory civil monetary penalty
19.2 Effective date. levels set forth in the fifth column of
19.3 [Reserved] Table 2 of § 19.4 apply to all violations
19.4 Statutory civil monetary penalties, as which occurred after March 15, 2004
adjusted for inflation, and tables. through January 12, 2009. The statu-
AUTHORITY: Pub. L. 101–410, Oct. 5, 1990, 104 tory civil monetary penalty levels set
Stat. 890, as amended by Pub. L. 104–134, title forth in the sixth column of Table 2 of
III, sec. 31001(s)(1), Apr. 26, 1996, 110 Stat. § 19.4 apply to all violations which oc-
1321–373; Pub. L. 105–362, title XIII, sec. curred after January 30, 1997 through
1301(a), Nov. 10, 1998, 112 Stat. 3293; Pub. L. March 15, 2004.
114–74, title VII, sec. 701(b), Nov. 2, 2015, 129
Stat. 599. [85 FR 83820, Dec. 23, 2020]
SOURCE: 73 FR 75345, Dec. 11, 2008, unless § 19.3 [Reserved]
otherwise noted.
§ 19.4 Statutory civil monetary pen-
§ 19.1 Applicability. alties, as adjusted for inflation, and
This part applies to each statutory tables.
provision under the laws administered Table 1 of this section sets out the
by the Environmental Protection statutory civil monetary penalty pro-
Agency concerning the civil monetary visions of statutes administered by the
penalties which may be assessed in ei- EPA, with the third column setting out
ther civil judicial or administrative the latest operative statutory civil
proceedings. monetary penalty levels for violations
that occur or occurred after November
§ 19.2 Effective date. 2, 2015, where penalties are assessed on
(a) The statutory civil monetary pen- or after December 23, 2020. The fourth
alty levels set forth in the third col- column displays the operative statu-
umn of Table 1 of § 19.4 apply to all vio- tory civil monetary penalty levels
lations which occur or occurred after where penalties were assessed on or
November 2, 2015, where the penalties after January 13, 2020, but before De-
are assessed on or after December 23, cember 23, 2020. Table 2 of this section
2020. The statutory civil monetary pen- sets out the statutory civil monetary
alty levels set forth in the fourth col- penalty provision of statutes adminis-
umn of Table 1 of § 19.4 apply to all vio- tered by the EPA, with the operative
lations which occurred after November statutory civil monetary penalty lev-
2, 2015, where the penalties were as- els, as adjusted for inflation, for viola-
sessed on or after January 13, 2020, but tions that occurred on or before No-
before December 23, 2020. vember 2, 2015, and for violations that
(b) The statutory monetary penalty occurred after November 2, 2015, where
levels in the third column of Table 2 to penalties were assessed before August
§ 19.4 apply to all violations which oc- 1, 2016.
223
VerDate Sep<11>2014
TABLE 1 OF § 19.4—CIVIL MONETARY PENALTY INFLATION ADJUSTMENTS
§ 19.4
10:47 Feb 16, 2022

Statutory civil
Statutory civil monetary penalties
monetary penalties for violations that
for violations occurred after
that occur or November 2, 2015, Statutory civil
occurred after
U.S. Code citation Environmental statute where penalties monetary penalties,
Jkt 253152
November 2, 2015, were assessed as enacted
where penalties on or after
are assessed January 13, 2020,
on or after but before
December 23, 2020 December 23, 2020
PO 00000
7 U.S.C. 136l(a)(1) ........................................... FEDERAL INSECTICIDE, FUN- $20,528 $20,288 $5,000
GICIDE, AND RODENTICIDE ACT
(FIFRA).
7 U.S.C. 136l(a)(2) 1 ......................................... FIFRA .................................................. 3,011/1,940/3,011 2,976/1,917/2,976 1,000/500/1,000
Frm 00234
15 U.S.C. 2615(a)(1) ........................................ TOXIC SUBSTANCES CONTROL 41,056 40,576 25,000
ACT (TSCA).
15 U.S.C. 2647(a) ............................................. TSCA ................................................... 11,803 11,665 5,000
15 U.S.C. 2647(g) ............................................. TSCA ................................................... 9,753 9,639 5,000
Fmt 8010
31 U.S.C. 3802(a)(1) ........................................ PROGRAM FRAUD CIVIL REMEDIES 11,803 11,665 5,000
224
ACT (PFCRA).
31 U.S.C. 3802(a)(2) ........................................ PFCRA ................................................. 11,803 11,665 5,000
33 U.S.C. 1319(d) ............................................. CLEAN WATER ACT (CWA) .............. 56,460 55,800 25,000
33 U.S.C. 1319(g)(2)(A) ................................... CWA .................................................... 22,584/56,460 22,320/55,800 10,000/25,000
Sfmt 8010
33 U.S.C. 1319(g)(2)(B) ................................... CWA .................................................... 22,584/282,293 22,320/278,995 10,000/125,000
33 U.S.C. 1321(b)(6)(B)(i) ................................ CWA .................................................... 19,505/48,762 19,277/48,192 10,000/25,000
33 U.S.C. 1321(b)(6)(B)(ii) ............................... CWA .................................................... 19,505/243,808 19,277/240,960 10,000/125,000
33 U.S.C. 1321(b)(7)(A) ................................... CWA .................................................... 48,762/1,951 48,192/1,928 25,000/1,000
33 U.S.C. 1321(b)(7)(B) ................................... CWA .................................................... 48,762 48,192 25,000
33 U.S.C. 1321(b)(7)(C) ................................... CWA .................................................... 48,762 48,192 25,000
33 U.S.C. 1321(b)(7)(D) ................................... CWA .................................................... 195,047/5,851 192,768/5,783 100,000/3,000
33 U.S.C. 1414b(d)(1) ...................................... MARINE PROTECTION, RESEARCH, 1,299 1,284 600
AND SANCTUARIES ACT
Y:\SGML\253152.XXX
(MPRSA).
33 U.S.C. 1415(a) ............................................. MPRSA ................................................ 205,276/270,784 202,878/267,621 50,000/125,000
33 U.S.C. 1901 note (see 1409(a)(2)(A)) ......... CERTAIN ALASKAN CRUISE SHIP 14,966/37,412 14,791/36,975 10,000/25,000
OPERATIONS (CACSO).
253152
33 U.S.C. 1901 note (see 1409(a)(2)(B)) ......... CACSO ................................................ 14,966/187,059 14,791/184,874 10,000/125,000
33 U.S.C. 1901 note (see 1409(b)(1)) ............. CACSO ................................................ 37,412 36,975 25,000
33 U.S.C. 1908(b)(1) ........................................ ACT TO PREVENT POLLUTION 76,764 75,867 25,000
FROM SHIPS (APPS).
33 U.S.C. 1908(b)(2) ........................................ APPS ................................................... 15,352 15,173 5,000

VerDate Sep<11>2014
42 U.S.C. 300g–3(b) ......................................... SAFE DRINKING WATER ACT 59,017 58,328 25,000
(SDWA).
42 U.S.C. 300g–3(g)(3)(A) ............................... SDWA .................................................. 59,017 58,328 25,000
10:47 Feb 16, 2022

42 U.S.C. 300g–3(g)(3)(B) ............................... SDWA .................................................. 11,803/41,120 11,665/40,640 5,000/25,000
42 U.S.C. 300g–3(g)(3)(C) ............................... SDWA .................................................. 41,120 40,640 25,000
42 U.S.C. 300h–2(b)(1) .................................... SDWA .................................................. 59,017 58,328 25,000
42 U.S.C. 300h–2(c)(1) .................................... SDWA .................................................. 23,607/295,088 23,331/291,641 10,000/125,000
Jkt 253152
42 U.S.C. 300h–2(c)(2) .................................... SDWA .................................................. 11,803/295,088 11,665/291,641 5,000/125,000
42 U.S.C. 300h–3(c) ......................................... SDWA .................................................. 20,528/43,792 20,288/43,280 5,000/10,000
42 U.S.C. 300i(b) .............................................. SDWA .................................................. 24,674 24,386 15,000
42 U.S.C. 300i–1(c) .......................................... SDWA .................................................. 143,621/1,436,220 141,943/1,419,442 100,000/1,000,000
42 U.S.C. 300j(e)(2) ......................................... SDWA .................................................. 10,263 10,143 2,500
PO 00000
42 U.S.C. 300j–4(c) .......................................... SDWA .................................................. 59,017 58,328 25,000
42 U.S.C. 300j–6(b)(2) ..................................... SDWA .................................................. 41,120 40,640 25,000
42 U.S.C. 300j–23(d) ........................................ SDWA .................................................. 10,832/108,315 10,705/107,050 5,000/50,000
42 U.S.C. 4852d(b)(5) ...................................... RESIDENTIAL LEAD-BASED PAINT 18,364 18,149 10,000
Frm 00235
HAZARD REDUCTION ACT OF
Environmental Protection Agency
1992.
42 U.S.C. 4910(a)(2) ........................................ NOISE CONTROL ACT OF 1972 ....... 38,805 38,352 10,000
42 U.S.C. 6928(a)(3) ........................................ RESOURCE CONSERVATION AND 102,638 101,439 25,000
RECOVERY ACT (RCRA).
Fmt 8010
42 U.S.C. 6928(c) ............................................. RCRA ................................................... 61,820 61,098 25,000
225
42 U.S.C. 6928(g) ............................................. RCRA ................................................... 76,764 75,867 25,000
42 U.S.C. 6928(h)(2) ........................................ RCRA ................................................... 61,820 61,098 25,000
42 U.S.C. 6934(e) ............................................. RCRA ................................................... 15,352 15,173 5,000
Sfmt 8010
42 U.S.C. 6973(b) ............................................. RCRA ................................................... 15,352 15,173 5,000
42 U.S.C. 6991e(a)(3) ...................................... RCRA ................................................... 61,820 61,098 25,000
42 U.S.C. 6991e(d)(1) ...................................... RCRA ................................................... 24,730 24,441 10,000
42 U.S.C. 6991e(d)(2) ...................................... RCRA ................................................... 24,730 24,441 10,000
42 U.S.C. 7413(b) ............................................. CLEAN AIR ACT (CAA) ...................... 102,638 101,439 25,000
42 U.S.C. 7413(d)(1) ........................................ CAA ..................................................... 48,762/390,092 48,192/385,535 25,000/200,000
42 U.S.C. 7413(d)(3) ........................................ CAA ..................................................... 9,753 9,639 5,000
42 U.S.C. 7524(a) ............................................. CAA ..................................................... 48,762/4,876 48,192/4,819 25,000/2,500
42 U.S.C. 7524(c)(1) ........................................ CAA ..................................................... 390,092 385,535 200,000
Y:\SGML\253152.XXX
42 U.S.C. 7545(d)(1) ........................................ CAA ..................................................... 48,762 48,192 25,000
42 U.S.C. 9604(e)(5)(B) ................................... COMPREHENSIVE ENVIRON- 59,017 58,328 25,000
MENTAL RESPONSE, COM-
PENSATION, AND LIABILITY ACT
253152
(CERCLA).
42 U.S.C. 9606(b)(1) ........................................ CERCLA .............................................. 59,017 58,328 25,000
42 U.S.C. 9609(a)(1) ........................................ CERCLA .............................................. 59,017 58,328 25,000
42 U.S.C. 9609(b) ............................................. CERCLA .............................................. 59,017/177,053 58,328/174,985 25,000/75,000
§ 19.4
42 U.S.C. 9609(c) ............................................. CERCLA .............................................. 59,017/177,053 58,328/174,985 25,000/75,000

VerDate Sep<11>2014
TABLE 1 OF § 19.4—CIVIL MONETARY PENALTY INFLATION ADJUSTMENTS—Continued
§ 19.4
10:47 Feb 16, 2022

Statutory civil
Statutory civil monetary penalties
monetary penalties for violations that
for violations occurred after
that occur or November 2, 2015, Statutory civil
occurred after
U.S. Code citation Environmental statute where penalties monetary penalties,
Jkt 253152
November 2, 2015, were assessed as enacted
where penalties on or after
are assessed January 13, 2020,
on or after but before
December 23, 2020 December 23, 2020
PO 00000
42 U.S.C. 11045(a) ........................................... EMERGENCY PLANNING AND COM- 59,017 58,328 25,000
MUNITY RIGHT-TO-KNOW ACT
(EPCRA).
42 U.S.C. 11045(b)(1)(A) ................................. EPCRA ................................................ 59,017 58,328 25,000
Frm 00236
42 U.S.C. 11045(b)(2) ...................................... EPCRA ................................................ 59,017/177,053 58,328/174,985 25,000/75,000
42 U.S.C. 11045(b)(3) ...................................... EPCRA ................................................ 59,017/177,053 58,328/174,985 25,000/75,000
42 U.S.C. 11045(c)(1) ...................................... EPCRA ................................................ 59,017 58,328 25,000
42 U.S.C. 11045(c)(2) ...................................... EPCRA ................................................ 23,607 23,331 10,000
Fmt 8010
42 U.S.C. 11045(d)(1) ...................................... EPCRA ................................................ 59,017 58,328 25,000
226
42 U.S.C. 14304(a)(1) ...................................... MERCURY-CONTAINING AND RE- 16,450 16,258 10,000
CHARGEABLE BATTERY MAN-
AGEMENT ACT (BATTERY ACT).
Sfmt 8010
42 U.S.C. 14304(g) ........................................... BATTERY ACT .................................... 16,450 16,258 10,000
1 Note that 7 U.S.C. 136l(a)(2) contains three separate statutory maximum civil penalty provisions. The first mention of $1,000 and the $500 statutory maximum
civil penalty amount were originally enacted in 1978 (Pub. L. 95–396), and the second mention of $1,000 was enacted in 1972 (Pub. L. 92–516).
Y:\SGML\253152.XXX
253152
TABLE 2 OF § 19.4—CIVIL MONETARY PENALTY INFLATION ADJUSTMENTS

Statutory civil
penalties for Statutory civil Statutory civil Statutory civil
violations after penalties for penalties for penalties for
December 6, violations after violations after violations after Statutory civil
Environmental stat- 2013 through
U.S. Code citation January 12, March 15, January 30, penalties, as
ute November 2, 2009 through 2004 through 1997 through enacted
2015, or as- December 6, January 12, March 15,
sessed before 2013 2009 2004
August 1,
2016
7 U.S.C. 136l(a)(1) FEDERAL INSEC- $7,500 $7,500 $6,500 $5,500 $5,000

TICIDE, FUN-
GICIDE, AND
RODENTICIDE
ACT (FIFRA).
7 U.S.C. 136l(a)(2) FIFRA .................... 750/1,100 750/1,100 650/1,100 550/1,000 500/1,000
15 U.S.C. TOXIC SUB- 37,500 37,500 32,500 27,500 25,000
2615(a)(1). STANCES CON-
TROL ACT
(TSCA).
15 U.S.C. 2647(a) TSCA ..................... 7,500 7,500 6,500 5,500 5,000
15 U.S.C. 2647(g) TSCA ..................... 7,500 7,500 5,500 5,000 5,000
31 U.S.C. PROGRAM 7,500 7,500 6,500 5,500 5,000
3802(a)(1). FRAUD CIVIL
REMEDIES ACT
(PFCRA).
31 U.S.C. PFCRA .................. 7,500 7,500 6,500 5,500 5,000
3802(a)(2).
33 U.S.C. 1319(d) CLEAN WATER 37,500 37,500 32,500 27,500 25,000
ACT (CWA).
33 U.S.C. CWA ...................... 16,000/37,500 16,000/37,500 11,000/32,500 11,000/27,500 10,000/25,000
1319(g)(2)(A).
33 U.S.C. CWA ...................... 16,000/ 16,000/ 11,000/ 11,000/ 10,000/
1319(g)(2)(B). 187,500 177,500 157,500 137,500 125,000
33 U.S.C. CWA ...................... 16,000/37,500 16,000/37,500 11,000/32,500 11,000/27,500 10,000/25,000
1321(b)(6)(B)(i).
33 U.S.C. CWA ...................... 16,000/ 16,000/ 11,000/ 11,000/ 10,000/
1321(b)(6)(B)(ii). 187,500 177,500 157,500 137,500 125,000
33 U.S.C. CWA ...................... 37,500/2,100 37,500/1,100 32,500/1,100 27,500/1,100 25,000/1,000
1321(b)(7)(A).
33 U.S.C. CWA ...................... 37,500 37,500 32,500 27,500 25,000
1321(b)(7)(B).
33 U.S.C. CWA ...................... 37,500 37,500 32,500 27,500 25,000
1321(b)(7)(C).
33 U.S.C. CWA ...................... 150,000/5,300 140,000/4,300 130,000/4,300 110,000/3,300 100,000/3,000
1321(b)(7)(D).
33 U.S.C. MARINE PROTEC- 860 860 760 660 600
1414b(d)(1) 1. TION, RE-
SEARCH, AND
SANCTUARIES
ACT (MPRSA).
33 U.S.C. 1415(a) MPRSA .................. 75,000/ 70,000/ 65,000/ 55,000/ 50,000/
187,500 177,500 157,500 137,500 125,000
33 U.S.C. 1901 CERTAIN ALAS- 11,000/27,500 11,000/27,500 10,000/25,000 10,000/ 10,000/25,000
note (see KAN CRUISE 2 25,000
1409(a)(2)(A)). SHIP OPER-

ATIONS
(CACSO).
33 U.S.C. 1901 CACSO .................. 11,000/ 11,000/ 10,000/ 10,000/ 10,000/
note (see 147,500 137,500 125,000 125,000 125,000
1409(a)(2)(B)).
33 U.S.C. 1901 CACSO .................. 27,500 27,500 25,000 25,000 25,000
note (see
1409(b)(1)).
42 U.S.C. 300g– SAFE DRINKING 37,500 37,500 32,500 27,500 25,000
3(b). WATER ACT
(SDWA).
42 U.S.C. 300g– SDWA .................... 37,500 37,500 32,500 27,500 25,000
3(g)(3)(A).
42 U.S.C. 300g– SDWA .................... 7,000/32,500 7,000/32,500 6,000/27,500 5,000/25,000 5,000/25,000

3(g)(3)(B).
42 U.S.C. 300g– SDWA .................... 32,500 32,500 27,500 25,000 25,000
3(g)(3)(C).
227
§ 19.4 40 CFR Ch. I (7–1–21 Edition)

Statutory civil
August 1,
2016
42 U.S.C. 300h– SDWA .................... 37,500 37,500 32,500 27,500 25,000

2(b)(1).
42 U.S.C. 300h– SDWA .................... 16,000/ 16,000/ 11,000/ 11,000/ 10,000/
2(c)(1). 187,500 177,500 157,500 137,500 125,000
42 U.S.C. 300h– SDWA .................... 7,500/187,500 7,500/177,500 6,500/157,500 5,500/137,500 5,000/125,000
2(c)(2).
42 U.S.C. 300h– SDWA .................... 7,500/16,000 7,500/16,000 6,500/11,000 5,500/11,000 5,000/10,000
3(c).
42 U.S.C. 300i(b) .. SDWA .................... 21,500 16,500 16,500 15,000 15,000
42 U.S.C. 300i–1(c) SDWA .................... 120,000/ 110,000/ 100,000/ 22,000/ 20,000/50,000
1,150,000 1,100,000 1,000,000 3 55,000
42 U.S.C. SDWA .................... 3,750 3,750 2,750 2,750 2,500

300j(e)(2).
42 U.S.C. 300j–4(c) SDWA .................... 37,500 37,500 32,500 27,500 25,000
42 U.S.C. 300j– SDWA .................... 32,500 32,500 27,500 25,000 25,000
6(b)(2).
42 U.S.C. 300j– SDWA .................... 7,500/75,000 7,500/70,000 6,500/65,000 5,500/55,000 5,000/50,000
23(d).
42 U.S.C. RESIDENTIAL 16,000 16,000 11,000 11,000 10,000
4852d(b)(5). LEAD–BASED
PAINT HAZARD
REDUCTION
ACT OF 1992.
42 U.S.C. NOISE CONTROL 16,000 16,000 11,000 11,000 10,000
4910(a)(2). ACT OF 1972.
42 U.S.C. RESOURCE CON- 37,500 37,500 32,500 27,500 25,000
6928(a)(3). SERVATION
AND RECOV-
ERY ACT
(RCRA).
42 U.S.C. 6928(c) RCRA .................... 37,500 37,500 32,500 27,500 25,000
42 U.S.C. 6928(g) RCRA .................... 37,500 37,500 32,500 27,500 25,000
42 U.S.C. RCRA .................... 37,500 37,500 32,500 27,500 25,000
6928(h)(2).
42 U.S.C. 6934(e) RCRA .................... 7,500 7,500 6,500 5,500 5,000
42 U.S.C. 6973(b) RCRA .................... 7,500 7,500 6,500 5,500 5,000
42 U.S.C. RCRA .................... 37,500 37,500 32,500 27,500 25,000
6991e(a)(3).
42 U.S.C. RCRA .................... 16,000 16,000 11,000 11,000 10,000
6991e(d)(1).
42 U.S.C. RCRA .................... 16,000 16,000 11,000 11,000 10,000
6991e(d)(2).
42 U.S.C. 7413(b) CLEAN AIR ACT 37,500 37,500 32,500 27,500 25,000
(CAA).
42 U.S.C. CAA ....................... 37,500/ 37,500/ 32,500/ 27,500/ 25,000/
7413(d)(1). 320,000 295,000 270,000 220,000 200,000
42 U.S.C. CAA ....................... 7,500 7,500 6,500 5,500 5,000
7413(d)(3).
42 U.S.C. 7524(a) CAA ....................... 3,750/37,500 3,750/37,500 2,750/32,500 2,750/27,500 2,500/25,000
42 U.S.C. CAA ....................... 320,000 295,000 270,000 220,000 200,000
7524(c)(1).
42 U.S.C. CAA ....................... 37,500 37,500 32,500 27,500 25,000
7545(d)(1).
42 U.S.C. COMPREHENSIVE 37,500 37,500 32,500 27,500 25,000
9604(e)(5)(B). ENVIRON-
MENTAL RE-
SPONSE, COM-
PENSATION,
AND LIABILITY
ACT (CERCLA).
42 U.S.C. CERCLA ................ 37,500 37,500 32,500 27,500 25,000

9606(b)(1).
42 U.S.C. CERCLA ................ 37,500 37,500 32,500 27,500 25,000
9609(a)(1).
228

Statutory civil
August 1,
2016
42 U.S.C. 9609(b) CERCLA ................ 37,500/ 37,500/ 32,500/97,500 27,500/82,500 25,000/75,000

117,500 107,500
42 U.S.C. 9609(c) CERCLA ................ 37,500/ 37,500/ 32,500/97,500 27,500/82,500 25,000/75,000
117,500 107,500
42 U.S.C. 11045(a) EMERGENCY 37,500 37,500 32,500 27,500 25,000
PLANNING AND
COMMUNITY
RIGHT–TO–
KNOW ACT
(EPCRA).
42 U.S.C. EPCRA .................. 37,500 37,500 32,500 27,500 25,000
11045(b)(1)(A) 4.
42 U.S.C. EPCRA .................. 37,500/ 37,500/ 32,500/97,500 27,500/82,500 25,000/75,000
11045(b)(2). 117,500 107,500
42 U.S.C. EPCRA .................. 37,500/ 37,500/ 32,500/97,500 27,500/82,500 25,000/75,000
11045(b)(3). 117,500 107,500
42 U.S.C. EPCRA .................. 37,500 37,500 32,500 27,500 25,000
11045(c)(1).
42 U.S.C. EPCRA .................. 16,000 16,000 11,000 11,000 10,000
11045(c)(2).
42 U.S.C. EPCRA .................. 37,500 37,500 32,500 27,500 25,000
11045(d)(1).
42 U.S.C. MERCURY–CON- 16,000 16,000 11,000 10,000 10,000
14304(a)(1). TAINING AND
RECHARGE-
ABLE BATTERY
MANAGEMENT
ACT (BATTERY
ACT).
42 U.S.C. 14304(g) BATTERY ACT ..... 16,000 16,000 11,000 10,000 10,000
1 Note that 33 U.S.C. 1414b (d)(1)(B) contains additional penalty escalation provisions that must be applied to the penalty
amounts set forth in this Table 2. The amounts set forth in this Table 2 reflect an inflation adjustment to the calendar year 1992
penalty amount expressed in section 104B(d)(1)(A), which is used to calculate the applicable penalty amount under MPRSA sec-
tion 104B(d)(1)(B) for violations that occur in any subsequent calendar year.
2 CACSO was passed on December 21, 2000 as part of Title XIV of the Consolidated Appropriations Act of 2001, Public Law
106–554, 33 U.S.C. 1901 note.
3 The original statutory penalty amounts of $20,000 and $50,000 under section 1432(c) of the SDWA, 42 U.S.C. 300i–1(c),
were subsequently increased by Congress pursuant to section 403 of the Public Health Security and Bioterrorism Preparedness
and Response Act of 2002, Public Law 107–188 (June 12, 2002), to $100,000 and $1,000,000, respectively. The EPA did not
adjust these new penalty amounts in its 2004 Civil Monetary Penalty Inflation Adjustment Rule (‘‘2004 Rule’’), published on Feb-
ruary 13, 2004, because they had gone into effect less than two years prior to the 2004 Rule.
4 Consistent with how the EPA’s other penalty authorities are displayed under this section, this Table 2 now delineates, on a
subpart-by-subpart basis, the penalty authorities enumerated under section 325(b) of EPCRA, 42 U.S.C. 11045(b) (i.e., 42
U.S.C. 11045(b)(1)(A), (b)(2), and (b)(3)).
[85 FR 1753, Jan. 13, 2020, as amended at 85 20.9 Cost recovery.

FR 83820, Dec. 23, 2020] 20.10 Revocation.
APPENDIX A TO PART 20—GUIDELINES FOR
PART 20—CERTIFICATION OF CERTIFICATION
FACILITIES AUTHORITY: Secs. 301, 704, 80 Stat. 379, 83
Stat. 667; 5 U.S.C. 301, 26 U.S.C. 169.
Sec.
20.1 Applicability. SOURCE: 36 FR 22382, Nov. 25, 1971, unless
20.2 Definitions. otherwise noted.
20.3 General provisions.
20.4 Notice of intent to certify. § 20.1 Applicability.
20.5 Applications. The regulations of this part apply to
20.6 State certification. certifications by the Administrator of

20.7 General policies.
water or air pollution control facilities
20.8 Requirements for certification.
229
§ 20.2 40 CFR Ch. I (7–1–21 Edition)
for purposes of section 169 of the Inter- of, stores, or prevents the creation of
nal Revenue Code of 1954, as amended, pollutants, contaminants, wastes, or
26 U.S.C. 169, as to which the amortiza- heat.
tion period began after December 31, (g) State means the States, the Dis-
1975. Certification of air or water pollu- trict of Columbia, the Commonwealth
tion control facilities as to which the of Puerto Rico, the Canal Zone, Guam,
amortization period began before Janu- American Samoa, the Virgin Islands,
ary 1, 1976, will continue to be governed and the Trust Territory of the Pacific
by Environmental Protection Agency Islands.
regulations published November 25,
1971, at 36 FR 22382. Applicable regula- [36 FR 22382, Nov. 25, 1971, as amended at 43
FR 1340, Jan. 9, 1978]
tions of the Department of Treasury
are at 26 CFR 1.169 et seq. § 20.3 General provisions.
[43 FR 1340, Jan. 9, 1978]
(a) An applicant shall file an applica-
§ 20.2 Definitions. tion in accordance with this part for
each separate facility for which certifi-
As used in this part, the following cation is sought; Provided, That one ap-
terms shall have the meaning indicated plication shall suffice in the case of
below: substantially identical facilities which
(a) Act means, when used in connec- the applicant has installed or plans to
tion with water pollution control fa- install in connection with substan-
cilities, the Federal Water Pollution tially identical properties; Provided fur-
Control Act, as amended (33 U.S.C. 1251 ther, That an application may incor-
et seq.) or, when used in connection
porate by reference material contained
with air pollution control facilities,
in an application previously submitted
the Clean Air Act, as amended (42
by the applicant under this part and
U.S.C. 1857 et seq.).
pertaining to substantially identical
(b) State certifying authority means:
facilities.
(1) For water pollution control facili-
ties, the State pollution control agency (b) The applicant shall, at the time of
as defined in section 502 of the Act. application to the State certifying au-
(2) For air pollution control facili- thority, submit an application in the
ties, the air pollution control agency form prescribed by the Administrator
designated pursuant to section 302(b)(1) to the Regional Administrator for the
of the Act; or region in which the facility is located.
(3) For both air and water pollution (c) Applications will be considered
control facilities, any interstate agen- complete and will be processed when
cy authorized to act in place of the cer- the Regional Administrator receives
tifying agency of a State. the completed State certification.
(c) Applicant means any person who (d) Applications may be filed prior or
files an application with the Adminis- subsequent to the commencement of
trator for certification that a facility construction, acquisition, installation,
is in compliance with the applicable or operation of the facility.
regulations of Federal agencies and in (e) An amendment to an application
furtherance of the general policies of shall be submitted in the same manner
the United States for cooperation with as the original application and shall be
the States in the prevention and abate- considered a part of the original appli-
ment of water or air pollution under cation.
the Act. (f) If the facility is certified by the
(d) Administrator means the Adminis- Regional Administrator, notice of cer-
trator, Environmental Protection tification will be issued to the Sec-
Agency. retary of the Treasury or his delegate,
(e) Regional Administrator means the and a copy of the notice shall be for-
Regional designee appointed by the Ad- warded to the applicant and to the
ministrator to certify facilities under State certifying authority. If the facil-
this part. ity is denied certification, the Regional
(f) Facility means property com- Administrator will advise the applicant
prising any new identifiable treatment and State certifying authority in writ-
facility which removes, alters, disposes ing of the reasons therefor.
230
(g) No certification will be made by scribe, shall be signed by the applicant

the Regional Administrator for any fa- or agent thereof, and shall include the
cility prior to the time it is placed in following information:
operation and the application, or (a) Name, address, and Internal Rev-
amended application, in connection enue Service identifying number of the
with such facility so states. applicant;
(h) An applicant may appeal any de- (b) Type and narrative description of
cision of the Regional Administrator the new identifiable facility for which
which:
certification is (or will be) sought, in-
(1) Denies certification;
cluding a copy of schematic or engi-
(2) Disapproves the applicant’s sug-
gested method of allocating costs pur- neering drawings, and a description of
suant to § 20.8(e); or the function and operation of such fa-
(3) Revokes a certification pursuant cility;
to § 20.10. (c) Address (or proposed address) of
Any such appeal may be taken by filing facility location;
with the Administrator within 30 days (d) A general description of the oper-
from the date of the decision of the Re- ation in connection with which the fa-
gional Administrator a written state- cility is (or will be) used and a descrip-
ment of objections to the decision ap- tion of the specific process or processes
pealed from. Within 60 days after re- resulting in discharges or emissions
ceipt of such appeal the Administrator which are (or will be) controlled or pre-
shall affirm, modify, or revoke the de- vented by the facility.
cision of the Regional Administrator, (e) If the facility is (or will be) used
stating in writing his reasons therefor. in connection with more than one
[36 FR 22382, Nov. 25, 1971, as amended at 43 plant or other property, one or more of
FR 1340, Jan. 9, 1978] which were not in operation before
January 1, 1976, a description of the op-
§ 20.4 Notice of intent to certify. erations of the facility in respect to
(a) On the basis of applications sub- each plant or other property, including
mitted prior to the construction, re- a reasonable allocation of the costs of
construction, erection, acquisition, or the facility among the plants being
operation of a facility, the Regional serviced, and a description of the rea-
Administrator may notify applicants soning and accounting method or
that such facility will be certified if: methods used to arrive at these alloca-
(1) The Regional Administrator de- tions.
termines that such facility, if con- (f) A description of the effect of the
structed, reconstructed, erected, ac- facility in terms of type and quantity
quired, installed, and operated in ac- of pollutants, contaminants, wastes, or
cordance with such application will be heat, removed, altered, stored, disposed
in compliance with requirements iden-
of, or prevented by the facility.
tified in § 20.8; and if
(2) The application is accompanied by (g) If the facility performs a function
a statement from the State certifying other than removal, alteration, stor-
authority that such facility, if con- age, prevention, or disposal of pollut-
structed, reconstructed, acquired, ants, contaminants, wastes, or heat, a
erected, installed, and operated in ac- description of all functions performed
cordance with such application, will be by the facility, including a reasonable
in conformity with the State program identification of the costs of the facil-
or requirements for abatement or con- ity allocable to removal, alteration,
trol of water or air pollution. storage, prevention, or disposal of pol-
(b) Notice of actions taken under this lutants, contaminants, wastes, or heat
section will be given to the appropriate and a description of the reasoning and
State certifying authority. accounting method or methods used to
arrive at the allocation.
§ 20.5 Applications. (h) Date when such construction, re-
Applications for certification under construction, or erection will be com-

this part shall be submitted in such pleted or when such facility was (or
manner as the Administrator may pre- will be) acquired;
231
§ 20.6 40 CFR Ch. I (7–1–21 Edition)
(i) Date when such facility is placed taries thereof; to improve the sanitary
(or is intended to be placed) in oper- condition of surface and underground
ation; waters; and to conserve such waters for
(j) Identification of the applicable public water supplies, propagation of
State and local water or air pollution fish and aquatic life and wildlife, rec-
control requirements and standards, if reational purposes, and agricultural,
any; industrial, and other legitimate uses.
(k) Expected useful life of facility; (b) The general policy of the United
(l) Cost of construction, acquisition, States for cooperation with the States
installation, operation, and mainte- in the prevention and abatement of air
nance of the facility; pollution is to cooperate with and to
(m) Estimated profits reasonably ex- assist the States and local govern-
pected to be derived through the recov- ments in protecting and enhancing the
ery of wastes or otherwise in the oper- quality of the Nation’s air resources by
ation of the facility over the period re- the prevention and abatement of condi-
ferred to in paragraph (a)(6) of 26 CFR tions which cause or contribute to air
1.169–2; pollution which endangers the public
(n) The percentage (if any, and if the health or welfare.
taxpayer claims that the percentage is
5 percent or less) by which the facility § 20.8 Requirements for certification.
(1) increases the output or capacity, (2) (a) Subject to § 20.9, the Regional Ad-
extends the useful life, or (3) reduces ministrator will certify a facility if he
the total operating costs of the oper- makes the following determinations:
ating unit of the plant or other prop- (1) It has been certified by the State
erty most directly associated with the certifying authority.
pollution control facility and a descrip- (2) That the facility:
tion of the reasoning and accounting (i) Removes, alters, disposes of,
method or methods used to arrive at stores, or prevents the creation of pol-
this percentage. lutants, contaminants, wastes, or heat,
(o) Such other information as the Ad- which, but for the facility, would be re-
ministrator deems necessary for cer- leased into the environment;
tification. (ii) Does not by a factor or more than
[36 FR 22382, Nov. 25, 1971, as amended at 43 5 percent: (A) Increase the output or
FR 1340, Jan. 9, 1978] capacity, (B) extend the useful life, or
(C) reduce the total operating costs of
§ 20.6 State certification. the operating unit (of the plant or
The State certification shall be by other property) most directly associ-
the State certifying authority having ated with the pollution control facil-
jurisdiction with respect to the facility ity; and
in accordance with 26 U.S.C. (iii) Does not significantly alter the
169(d)(1)(A) and (d)(2). The certification nature of the manufacturing or produc-
shall state that the facility described tion process or facility.
in the application has been con- (3) The applicant is in compliance
structed, reconstructed, erected, or ac- with all regulations of Federal agen-
quired in conformity with the State cies applicable to use of the facility,
program or requirements for abate- including conditions specified in any
ment or control of water or air pollu- NPDES permit issued to the applicant
tion. It shall be executed by an agent under section 402 of the Act.
or officer authorized to act on behalf of (4) The facility furthers the general
the State certifying authority. policies of the United States and the
States in the prevention and abate-
§ 20.7 General policies. ment of pollution.
(a) The general policies of the United (5) The applicant has complied with
States for cooperation with the States all the other requirements of this part
in the prevention and abatement of and has submitted all requested infor-
water pollution are: To enhance the mation.
quality and value of our water re- (b) In determining whether use of a
sources; to eliminate or reduce the pol- facility furthers the general policies of
lution of the nation’s waters and tribu- the United States and the States in the
232
prevention and abatement of water pol- (e) Where a facility is used in connec-
lution, the Regional Administrator tion with more than one plant or other
shall consider whether such facility is property, one or more of which were
consistent with the following, insofar not in operation before January 1, 1976,
as they are applicable to the waters or where a facility will perform a func-
which will be affected by the facility: tion other than the removal, alter-
(1) All applicable water quality ation, storage, disposal, or prevention
standards, including water quality cri- of pollutants, contaminants, wastes, or
teria and plans of implementation and heat, the Regional Administrator will
enforcement established pursuant to so indicate on the notice of certifi-
section 303 of the Act or State laws or cation and will approve or disapprove
regulations; the applicant’s suggested method of al-
(2) Decisions issued pursuant to sec- locating costs. If the Regional Admin-
tion 310 of the Act; istrator disapproves the applicant’s
(3) Water pollution control programs suggested method, he shall identify the
required pursuant to any one or more proportion of costs allocable to each
of the following sections of the Act: such plant, or to the removal, alter-
Section 306, section 307, section 311, ation, storage, disposal, or prevention
section 318, or section 405; or in order of pollutants, contaminants, wastes, or
to be consistent with a plan under sec- heat.
tion 208. [36 FR 22382, Nov. 25, 1971, as amended at 43
(c) In determining whether use of a FR 1341, Jan. 9, 1978]
facility furthers the general policies of
the United States and the States in the § 20.9 Cost recovery.
prevention and abatement of air pollu- Where it appears that, by reason of
tion, the Regional Administrator shall estimated profits to be derived through
consider whether such facility is con- the recovery of wastes, through sepa-
sistent with and meets the following rate charges for use of the facility in
requirements, insofar as they are appli- question, or otherwise in the operation
cable to the air which will be affected of such facility, all or a portion of its
by the facility; costs may be recovered over the period
(1) Plans for the implementation, referred to in paragraph (a)(6) of 26
maintenance, and enforcement of am- CFR 1.169–2, the Regional Adminis-
bient air quality standards adopted or trator shall so signify in the notice of
promulgated pursuant to section 110 of certification. Determinations as to the
the Act; meaning of the term estimated profits
(2) Recommendations issued pursuant and as to the percentage of the cost of
to sections 103(e) and 115 of the Act a certified facility which will be recov-
which are applicable to facilities of the ered over such period shall be made by
same type and located in the area to the Secretary of the Treasury, or his
which the recommendations are di- delegate: Provided, That in no event
rected; shall estimated profits be deemed to
(3) Local government requirements arise from the use or reuse by the ap-
for control of air pollution, including plicant of recovered waste.
emission standards;
(4) Standards promulgated by the Ad- § 20.10 Revocation.
ministrator pursuant to the Act. Certification hereunder may be re-
(d) A facility that removes elements voked by the Regional Administrator
or compounds from fuels that would be on 30 days written notice to the appli-
released as pollutants when such fuels cant, served by certified mail, when-
are burned is eligible for certification ever the Regional Administrator shall
if the facility is— determine that the facility in question
(1) Used in connection with a plant or is no longer being operated consistent
other property in operation before Jan- with the § 20.8 (b) and (c) criteria in ef-
uary 1, 1976 (whether located and used fect at the time the facility was placed
at a particular plant or as a centralized in service. Within such 30-day period,
facility for one or more plants), and the applicant may submit to the Re-
(2) Is otherwise eligible for certifi- gional Administrator such evidence,
cation. data or other written materials as the
233
Pt. 20, App. A 40 CFR Ch. I (7–1–21 Edition)
applicant may deem appropriate to (d) Certified by both State and Federal au-
show why the certification hereunder thorities, as provided in section 169(d)(1) (A)
should not be revoked. Notification of and (B) of the Internal Revenue Code.
If the facility is a building, the statute re-
a revocation under this section shall be
quires that it be exclusively devoted to pol-
given to the Secretary of the Treasury lution control. Most questions as to whether
or his delegate. See 26 CFR 1.169–4(b)(1). a facility is a building and, if so, whether it
is exclusively devoted to pollution control are
APPENDIX A TO PART 20—GUIDELINES resolved by § 1.169–2(b)(2) of the Treasury De-
FOR CERTIFICATION partment regulations.
Since a treatment facility is eligible only
1. General. if it furthers the general policies of the
2. Air Pollution Control Facilities. United States under the Clean Air Act and
a. Pollution control or treatment facilities the Clean Water Act, a facility will be cer-
normally eligible for certification. tified only if its purpose is to improve the
b. Air pollution control facility bound- quality of the air or water outside the plant.
aries. Facilities to protect the health or safety of
c. Examples of eligibility limits. employees inside the plant are not eligible.
d. Replacement of manufacturing process Facilities installed before January 1, 1976,
by another nonpolluting process. in plants placed in operation after December
3. Water Pollution Control Facilities. 31, 1968, are ineligible for certification under
a. Pollution control or treatment facilities the statute. 26 U.S.C. 169.
normally eligible for certification. 2. Air pollution control facilities.
b. Examples of eligibility limits. a. Pollution control or treatment facilities nor-
4. Multiple-purpose facilities. mally eligible for certification. The following
5. Facilities serving both old and new plants. devices are illustrative of facilities for re-
moval, alteration, disposal, storage or pre-
6. State certification.
venting the creation or emission of air pollu-
7. Dispersal of pollutants.
tion:
8. Profit-making facilities. (1) Inertial separators (cyclones, etc.).
9. Multiple applications. (2) Wet collection devices (scrubbers).
1. General. Section 2112 of the Tax Reform (3) Electrostatic precipitators.
Act of 1976 (Pub. L. 94–455, October 4, 1976) (4) Cloth filter collectors (baghouses).
amended section 169 of the Internal Revenue (5) Director fired afterburners.
Code of 1954, ‘‘Amortization of Pollution (6) Catalytic afterburners.
Control Facilities.’’ The amendment made (7) Gas absorption equipment.
permanent the rapid amortization provisions (8) Vapor condensers.
of section 704 of the Tax Reform Act of 1969 (9) Vapor recovery systems.
(Pub. L. 91–172, December 30, 1969) and rede- (10) Floating roofs for storage tanks.
fined eligibility limits to allow certification (11) Fuel cleaning equipment.
of facilities which prevent the creation or (12) Combinations of the above.
emission of pollutants. (b) Air Pollution control facility boundaries.
The law defines a certified pollution control Most facilities are systems consisting of sev-
facility as a new identifiable treatment facility eral parts. A facility need not start at the
which is: point where the gaseous effluent leaves the
(a) Used in connection with a plant or last unit of the processing equipment, nor
other property in operation before January will it always extend to the point where the
1, 1976, to abate or control air or water pollu- effluent is emitted to the atmosphere or ex-
tion by removing, altering, disposing of, isting stack, breeching, ductwork or vent. It
storing, or preventing the creation or emis- includes all the auxiliary equipment used to
sion of pollutants, contaminants, wastes, or operate the control system, such as fans,
heat; blowers, ductwork, valves, dampers and elec-
(b) Constructed, reconstructed, erected or trical equipment. It also includes all equip-
(if purchased) first placed in service by the ment used to handle, store, transport or dis-
taxpayer after December 31, 1975; pose of the collected pollutants.
(c) Not to significantly increase the output (c) Examples of eligibility limits. The amorti-
or capacity, extend the useful life, alter the zation deduction is limited to new identifi-
nature of the manufacturing or production able treatment facilities which remove,
process or facility or reduce the total oper- alter, destroy, dispose of, store, or prevent
ating costs of the operating unit of the plant the creation or emission of pollutants, con-
or other property most directly associated taminants or wastes. It is not available for
with the pollution control facility (as sug- all expenditures for air pollution control and
gested by the legislative history, EPA regu- is limited to devices which are installed for
lations define the term significant as any in- the purpose of pollution control and which
crease, reduction or extension greater than actually remove, alter, destroy, dispose of,
5%); and store or prevent the creation or emission of
234
Environmental Protection Agency Pt. 20, App. A
pollutants by removing potential pollutants does not qualify for certification where it
at any stage of the production process. uses a process known to be cleaner than an
(1) Boiler modifications or replacements. alternative, but which does not actually re-
Modifications of boilers to accommodate move, alter, destroy, dispose of, store or pre-
cleaner fuels are not eligible for rapid amor- vent the creation or emission of pollutants
tization: e.g., removal of stokers from a coal- by removing potential pollutants at any
fired boiler and the addition of gas or oil stage in the production process. For exam-
burners. The purpose of the burners is to ple, a minimally polluting electric induction
produce heat, and they are not identifiable furnace to melt cast iron which replaces, or
as treatment facilities nor do they prevent is installed instead of, a heavily polluting
the creation or emission of pollutants by re- iron cupola furnace would be ineligible for
moving potential pollutants. A new gas or this reason and because it is not an identifi-
oil-fired boiler that replaces a coal-fired boil- able treatment facility. However, if the re-
er would also be ineligible for certification. placement equipment has an air pollution
(2) Fuel processing. Eligible air pollution control device added to it, the control device
control facilities include preprocessing would be eligible even though the process
equipment which removes potential air pol- equipment would not. For example, where a
lutants from fuels before they are burned. A primary copper smelting reverberatory fur-
desulfurization facility would thus be eligi- nace is replaced by a flash smelting furnace,
ble provided it is used in connection with the followed by the installation of a contact sul-
plant where the desulfurized coal will be furic acid plant, the acid plant would qualify
burned or is used as a centralized facility for since it is a control device not necessary to
one or more plants. However, fluidized bed the production process. The flash smelting
facilities would generally not be eligible for furnace would not qualify because its pur-
rapid amortization. Such facilities would al- pose is to produce copper matte.
most certainly increase output or capacity, 3. Water Pollution Control Facilities.
reduce total operating costs, or extend the a. Pollution control or treatment facilities nor-
useful life of the plant or other property by mally eligible for certification. The following
more than 5%, since the boiler itself would types of equipment are illustrative of facili-
be the operating unit of the plant most ties to remove, alter, destroy, store or pre-
closely associated with the pollution control vent the creation of water pollution:
facility. Where the Regional Office and the (1) Pretreatment facilities which neu-
taxpayer disagree as to the applicability of tralize or stabilize industrial or sanitary
the 5% rule, the Regional office should none- wastes, or both, from a point immediately
theless certify the facility if it is otherwise preceding the point of such treatment to the
eligible and leave the ultimate determina- point of disposal to, and acceptance by, a
tion to the Treasury Department. The cer- publicly-owned treatment works. The nec-
tification should alert Treasury to the possi- essary pumping and transmitting facilities
bility that the facility is ineligible for rapid are also eligible.
amortization. (2) Treatment facilities which neutralize or
(3) Incinerators. The addition of an after- stabilize industrial or sanitary wastes, or
burner, secondary combustion chamber or both, to comply with Federal, State or local
particulate collector would be eligible as effluent or water quality standards, from a
would any device added to effect more effi- point immediately preceding the point of
cient combustion. such treatment to the point of disposal, in-
(4) Collection devices used to collect products cluding necessary pumping and transmitting
or process material. In some manufacturing facilities, including those for recycle or seg-
operations, devices are used to collect prod- regation of wastewater.
uct or process material, as in the case of the (3) Ancillary devices and facilities such as
manufacture of carbon black. The baghouse lagoons, ponds and structures for storage, re-
would be eligible for certification, but the cycle, segregation or treatment, or any com-
certification should notify the Treasury De- bination of these, of wastewaters or wastes
partment of the profitable waste recovery in- from a plant or other property.
volved. (See paragraph 8 below.) (4) Devices, equipment or facilities con-
(5) Intermittent control systems. Measuring structed or installed for the primary purpose
devices which inform the taxpayer that am- of recovering a by-product of the operation
bient air quality standards are being exceed- (saleable or otherwise) previously lost either
ed are not eligible for certification since to the atmosphere or to the waste effluent.
they do not physically remove, alter, de- Examples are:
stroy, dispose of, store or prevent the cre- (A) A facility to concentrate and recover
ation or emission of pollutants, but merely vaporous by-products from a process stream
act as a signal to curtail operations. Of for reuse as raw feedstock or for resale, un-
course, measuring devices used in connection less the estimated profits from resale exceed
with an eligible pollution control facility the cost of the facility (see paragraph 8
would be eligible. below).

d. Replacement of manufacturing process by (B) A facility to concentrate or remove
another, nonpolluting process. An installation gunk or similar tars or polymerized tar-like
235
materials from the process waste effluent cost of the control facility would be eligible
previously discharged in the plant effluents. for rapid amortization.
Removal may occur at any stage of the pro- If a taxpayer presents a seemingly reason-
duction process. able method of allocation different from the
(C) A device used to extract or remove in- foregoing, Regional Office personnel should
soluble constitutents from a solid or liquid consult with the Office of Air Quality Plan-
by use of a selective solvent; an open or ning and Standards or the Office of Water
closed tank or vessel in which such extrac- Planning and Standards, and with the Office
tion or removal occurs; a diffusion battery of of General Counsel.
tanks or vessels for countercurrent decanta- 6. State certification. To qualify for rapid
tion, extraction, or leaching, etc. amortization under section 169, a facility
(D) A skimmer or similar device for remov- must first be certified by the State as having
ing grease, oils and fat-like materials from been installed ‘‘in conformity with the State
the process or effluent stream. program or requirements for abatement or
(b) Examples of eligibility limits. (1) In-plant control of water or atmospheric pollution or
process changes which may result in the re- contamination.’’ Significantly, the statute
duction or elimination of pollution but does not say that the State must require
which do not themselves remove, alter, de- that a facility be installed. If use of a facil-
stroy, dispose of, store or prevent the cre- ity will not actually contravene a State re-
ation of pollutants by removing potential quirement, the State may certify. However,
pollutants at some point in the process since State certification is a prerequisite to
stream are not eligible for certification. EPA certification, EPA may not certify if
(2) A device, piece of equipment or facility the State has denied certification for what-
is not eligible if it is associated with or in- ever reason.
cluded in a stream for subsurface injection of It should be noted that certification of a
untreated or inadequately treated industrial facility does not constitute the personal war-
or sanitary waste. ranty of the certifying official that the con-
4. Multiple-purpose facilities. A facility can ditions of the statute have been met. EPA
qualify for rapid amortization if it serves a certification is binding on the Government
function other than the abatement of pollu- only to the extent the submitted facts are
tion (unless it is a building). Otherwise, the accurate and complete.
effect might be to discourage installation of 7. Dispersal of pollutants. Section 169 applies
sensible pollution abatement facilities in to facilities which remove, alter, destroy,
favor of less efficient single-function facili- dispose of, store or prevent the creation or
ties. emission of pollutants—including heat. Fa-
The regulations require applicants to state cilities which merely disperse pollutants
what percentage of the cost of a facility is (such as tall stacks) do not qualify. However,
properly allocable to its abatement function there is no way to dispose of heat other than
and to justify the allocation. The Regional by transferring B.t.u.’s to the environment.
Office will review these allocations, and the A cooling tower is therefore eligible for cer-
certification will inform the Treasury De- tification provided it is used in connection
partment if the allocation appears to be in- with a pre-1976 plant. A cooling pond or an
correct. Although not generally necessary or addition to an outfall structure which re-
desireable, site inspections may be appro- sults in a decrease in the amount by which
priate in cases involving large sums of the temperature of the receiving water is
money or unusual types of equipment. raised and which meets applicable State
5. Facilities serving both old and new plants. standards is likewise eligible.
The statute provides that pollution control 8. Profit-making facilities. The statute de-
facilities must be used in connection with a nies rapid amortization where the cost of
plant or other property in operation before pollution control facilities will be recovered
January 1, 1976. When a facility is used in from profits derived through the recovery or
connection with both pre-1976 and newer wastes or otherwise.
property, it may qualify for rapid amortiza- If a facility recovers marketable wastes,
tion to the extent it is used in connection estimated profits on which are not sufficient
with pre-1976 property. to recover the entire cost of the facility, the
Again, the applicant will submit a theory amortization basis of the facility will be re-
of allocation for review by the Regional Of- duced in accordance with Treasury Depart-
fice. The usual method of allocation is to ment regulations. The responsibility of the
compare the effluent capacity of the pre-1976 Regional Offices is merely to identify for the
plant to the treatment capacity of the con- Treasury Department those cases in which
trol facility. For example, if the old plant estimated profits will arise. The Treasury
has a capacity of 80 units of effluent (but an Department will determine the amount of
average output of 60 units), the new plant such profits and the extent to which they
has a capacity of 40 units (but an average can be expected to result in cost recovery,
output of 20 units), and the control facility but the EPA certification should inform the
has a capacity of 150 units, then 80⁄150 of the Treasury whether cost recovery is possible.
236
The phrase or otherwise also includes situa- 21.4 Review of application.
tions where the taxpayer is in the business of 21.5 Issuance of statements.
renting the facility for a fee or charging for 21.6 Exclusions.
the treatment of waste. In such cases, the fa- 21.7 [Reserved]
cility may theoretically qualify for EPA cer- 21.8 Resubmission of application.
tification. The decision as to the extent of 21.9 Appeals.
its profitability is for the Treasury Depart- 21.10 Utilization of the statement.
ment. Situations may also arise where use of 21.11 Public participation.
a facility is furnished at no additional 21.12 State issued statements.
charge to a number of users, or to the public, 21.13 Effect of certification upon authority
as part of a package of other services. In to enforce applicable standards.
such cases, no profits will be deemed to arise AUTHORITY: 15 U.S.C. 636, as amended by
from operation of the facility unless the Pub. L. 92–500.
other services included in the package are
merely ancillary to use of the facility. Of SOURCE: 42 FR 8083, Feb. 8, 1977, unless oth-
course, the cost recovery provision does not erwise noted.
apply where a taxpayer merely recovers the
cost of a facility through general revenues; § 21.1 Scope.
otherwise no profitable firm would ever be This part establishes procedures for
eligible for rapid amortization.
It should be noted that § 20.9 of the EPA
the issuance by EPA of the statements,
regulation is not meant to affect general referred to in section 7(g) of the Small
principles of Federal income tax law. An in- Business Act and section 8 of the Fed-
dividual other than the title holder of a piece eral Water Pollution Control Act
of property may be entitled to take deprecia- Amendments of 1972, to the effect that
tion deductions on it if the arrangements by additions to or alterations in the
which such individual has use of the prop- equipment, facilities (including the
erty may, for all practical purposes, be
construction of pretreatment facilities
viewed as a purchase. In any such case, the
facility could qualify for full rapid amortiza- and interceptor sewers), or methods of
tion, notwithstanding the fact that the title operations of small business concerns
holder charges a separate fee for the use of are necessary and adequate to comply
the facility, so long as the taxpayer—in such with requirements established under
a case, the user—does not charge a separate the Federal Water Pollution Control
fee for use of the facility. Act, 33 U.S.C. 1151, et seq.
9. Multiple applications. Under EPA regula-
tions, a multiple application may be sub- § 21.2 Definitions.
mitted by a taxpayer who applies for certifi-
cation of substantially identical pollution (a) Small business concern means a
abatement facilities used in connection with concern defined by section 2[3] of the
substantially identical properties. It is not Small Business Act, 15 U.S.C. 632, 13
contemplated that the multiple application CFR part 121, and regulations of the
option will be used with respect to facilities Small Business Administration pro-
in different States, since each such facility
mulgated thereunder.
would require a separate application for cer-
tification to the State involved. EPA regula- (b) For purposes of paragraph 7(g)(2)
tions also permit an applicant to incorporate of the Small Business Act, necessary
by reference in an application material con- and adequate refers to additions, alter-
tained in an application previously filed. The ations, or methods of operation in the
purpose of this provision is to avoid the bur- absence of which a small business con-
den of furnishing detailed information cern could not comply with one or
(which may in some cases include portions of more applicable standards. This can be
catalogs or process flow diagrams) which the
certifying official has previously received. determined with reference to design
Accordingly, material filed with a Regional specifications provided by manufactur-
Office of EPA may be incorporated by refers, suppliers, or consulting engineers;
erence only in an application subsequently including, without limitations, addi-
filed with the same Regional Office. tions, alterations, or methods of oper-
[47 FR 38319, Aug. 31, 1982] ation the design specifications of which
will provide a measure of treatment or
PART 21—SMALL BUSINESS abatement of pollution in excess of
that required by the applicable stand-
ard.
Sec.
21.1 Scope. (c) Applicable Standard means any re-
21.2 Definitions. quirement, not subject to an exception
21.3 Submission of applications. under § 21.6, relating to the quality of
237
§ 21.2 40 CFR Ch. I (7–1–21 Edition)
water containing or potentially con- (i) Statement means a written ap-

taining pollutants, if such requirement proval by EPA, or if appropriate, a
is imposed by: State, of the application.
(1) The Act; (j) Facility means any building, struc-
(2) EPA regulations promulgated ture, installation or vessel, or portion
thereunder or permits issued by EPA thereof.
or a State thereunder; (k) Construction means the erection,
(3) Regulations by any other Federal building, acquisition, alteration, re-
Agency promulgated thereunder; modeling, modification, improvement,
(4) Any State standard or require- or extension of any facility; Provided,
ment as applicable under section 510 of That it does not mean preparation or
the Act; undertaking of: Plans to determine fea-
(5) Any requirements necessary to sibility; engineering, architectural,
comply with an areawide management legal, fiscal, or economic investiga-
plan approved pursuant to section tions or studies; surveys, designs,
208(b) of the Act; plans, writings, drawings, specifica-
(6) Any requirements necessary to tions or procedures.
comply with a facilities plan developed
under section 201 of the Act (see 35 Comment: This provision would not later
CFR, subpart E); preclude SBA financial assistance being uti-
(7) Any State regulations or laws lized for any planning or design effort con-
ducted previous to construction.
controlling the disposal of aqueous pol-
lutants that may affect groundwater. (l) The term additions and alterations
(d) Regional Administrator means the means the act of undertaking construc-
Regional Administrator of EPA for the tion of any facility.
region including the State in which the (m) The term methods of operation
facility or method of operation is lo- means the installation, emplacement,
cated, or his designee. or introduction of materials, including
(e) Act means the Federal Water Pol- those involved in construction, to
lution Control Act, 33 U.S.C. 1151, et achieve a process or procedure to con-
seq. trol: Surface water pollution from non-
(f) Pollutant means dredged spoil, point sources—that is, agricultural,
solid waste, incinerator residue, sew- forest practices, mining, construction;
age, garbage, sewage sludge, muni- ground or surface water pollution from
tions, chemical wastes, biological ma- well, subsurface, or surface disposal op-
terials, radioactive materials, heat, erations; activities resulting in salt
wrecked or discarded equipment, rock, water intrusion; or changes in the
sand, cellar dirt and industrial, munic- movement, flow, or circulation of navi-
ipal, and agricultural waste discharged gable or ground waters.
into water. For the purposes of this
(n) The term vessel means every de-
section, the term also means sewage
scription of watercraft or other artifi-
from vessels within the meaning of sec-
cial contrivance used, or capable of
tion 312 of the Act.
being used, as a means of transpor-
(g) Permit means any permit issued
tation on the navigable waters of the
by either EPA or a State under the au-
United States other than a vessel
thority of section 402 of the Act; or by
owned or operated by the United States
the Corps of Engineers under section
or a State or a political subdivision
404 of the Act.
thereof, or a foreign nation; and is used
(h) State means a State, the District
for commercial purposes by a small
of Columbia, the Commonwealth of
Puerto Rico, the Virgin Islands, Guam, business concern.
American Samoa, and the Trust Terri- (o) EPA means the Environmental
tory of the Pacific Islands. Protection Agency.
(p) SBA means the Small Business
Comment: As the SBA does not extend its Administration.
programs to the Canal Zone, the listing of
the Canal Zone as a State for the purposes of (q) Areawide agency means an
meeting a requirement imposed by section areawide management agency des-

311 or 312 of the Act is not effective in this ignated under section 208(c)(1) of the
regulation. Act.
238
(r) Lateral sewer means a sewer which made to the EPA Regional Office for
connects the collector sewer to the in- the region covering the State in which
terceptor sewer. the additions, alterations, or methods
(s) Interceptor sewer means a sewer of operation covered by the application
whose primary purpose is to transport are located. A listing of EPA Regional
wastewaters from collector sewers to a Offices, with their mailing addresses,
treatment facility. and setting forth the States within
§ 21.3 Submission of applications. each region is as follows:
(a) Applications for the statement de-
scribed in § 21.5 of this part shall be
Region Address State
I .............. Regional Administrator, Region I, EPA, 5 Post Office Connecticut, Maine, Massachusetts, New Hamp-
Square—Suite 100, Boston, MA 02109–3912. shire, Rhode Island, and Vermont.
II ............. Regional Administrator, region II, EPA, 26 Federal Plaza, New Jersey, New York, Virgin Islands, and Puerto
room 908, New York, NY 10007. Rico.
III ............ Regional Administrator, region III, EPA, Curtis Bldg., 6th and Delaware, District of Columbia, Pennsylvania, Mary-
Walnut Sts., Philadelphia, PA 19106. land, Virginia, and West Virginia.
IV ........... Regional Administrator, region IV, EPA, 345 Courtland St. Alabama, Florida, Georgia, Kentucky, Mississippi,
NE., Atlanta, GA 30308. North Carolina, South Carolina, and Tennessee.
V ............ Regional Administrator, region V, EPA, 77 West Jackson Illinois, Indiana, Michigan, Minnesota, Ohio, and
Boulevard, Chicago, IL 60604. Wisconsin.
VI ........... Regional Administrator, EPA Region 6, 1201 Elm Street, Arkansas, Louisiana, New Mexico, Oklahoma, and
Suite 500, Dallas, Texas 75270–2102. Texas.
VII .......... Regional Administrator, EPA Region VII, 11201 Renner Bou- Iowa, Kansas, Missouri, and Nebraska.
levard, Lenexa, Kansas 66219.
VIII ......... Regional Administrator, region VIII, EPA, 1860 Lincoln St., Colorado, Montana, North Dakota, South Dakota,
Suite 900, Denver, CO 80203. Utah, and Wyoming.
IX ........... Regional Administrator, Region IX, EPA, 75 Hawthorne St., Arizona, California, Hawaii, Nevada, the territories of
San Francisco, CA 94105. American Samoa and Guam; the Commonwealth
of the Northern Mariana Islands; the territories of
Baker Island, Howland Island, Jarvis Island, John-
ston Atoll, Kingman Reef, Midway Atoll, Palmyra
Atoll, and Wake Islands; and certain U.S. Govern-
ment activities in the freely associated states of
the Republic of the Marshall Islands, the Fed-
erated States of Micronesia, and the Republic of
Palau.
X ............ Regional Administrator, region X, EPA, 1200 6th Ave., Se- Alaska, Idaho, Oregon, and Washington.
attle, WA 98101.
(b) An application described in para- (2) Signature of the owner, partner,

graph (1) of § 21.3(c) may be submitted or principal executive officer request-
directly to the appropriate State, ing the statement.
where a State has assumed responsi- (3) The Standard Industrial Classi-
bility for issuing the statement. Infor- fication number for the business for
mation on whether EPA has retained which an application is being sub-
responsibility for certification or mitted. Such SIC number shall be ob-
whether it has been assumed by the tained from the Standard Industrial
State may be obtained from either the Classification Manual, 1972 edition. If
appropriate Regional Administrator or the applicant does not know the SIC
the State Water Pollution Control Au- for the business, a brief description of
thority in which the facility is located. the type of business activity being con-
(c) An application need be in no par- ducted should be provided.
ticular form, but it must be in writing (4) A description of the process or ac-
and must include the following: tivity generating the pollution to be
(1) Name of applicant (including busi- abated by the additions, alterations, or
ness name, if different) and mailing ad- methods of operation covered by the
dress. Address of the affected facility application, accompanied by a sche-
or operation, if different, should also be matic diagram of the major equipment

included. and process, where practicable.
239
§ 21.3 40 CFR Ch. I (7–1–21 Edition)
(5) A specific description of the addi- (v) If the requirement is a result of a

tions, alterations, or methods of oper- permit issued by the Corps of Engi-
ation covered by the application. neers related to permits for dredged or
Where appropriate, such description fill material as provided by section 404
will include a summary of the facility of the Act, a copy of the permit as
construction to be undertaken; a list- issued shall be included.
ing of the major equipment to be pur- (vi) If the requirement results from a
chased or utilized in the operation of standard of performance for control of
the facility; the purchase of any land sewage from vessels as promulgated by
or easements necessary to the oper- the Coast Guard under section 312(b) of
ation of the facility; and any other the Act, the vessel registration number
items that the applicant deems perti- or documentation number shall be in-
nent. Any information that the appli- cluded.
cant considers to be a trade secret (vii) If the requirement results from
shall be identified as such. a plan to control or prevent the dis-
(6) A declaration of the requirement, charge or spill of pollutants as identi-
or requirements, for compliance with fied in section 311 of the Act, the title
which the alterations, additions, or and date of that plan shall be included.
methods of operation are claimed to be (viii) If the requirement is the result
necessary and adequate. of an order by a State or an areawide
(i) If the requirement results from a management agency controlling the
permit issued by EPA or a State under disposal of aqueous pollutants so as to
section 402 of the Act, the permit num- protect groundwater, a copy of the
ber shall be included. order as issued shall be included.
(ii) If the requirement results from a (7) Additionally, if the applicant has
permit issued by EPA or a State for a received from a State Water Pollution
publicly-owned treatment works, the Control Agency a permit issued by the
municipal permit number shall be in- State within the preceding two years,
cluded along with a written declaration and if such permit was not issued under
from the authorized agent for the pub- the authorities of section 402 of the
licly owned treatment works that re- Act, and where the permit directly re-
ceived the permit detailing the specific lates to abatement of the discharge for
pretreatment requirements being which a statement is sought, a copy of
placed upon the applicant. that permit shall also be included.
(iii) If the requirement initiates from Comment: Some States under State permit
a plan to include the applicant’s efflu- programs, separate and distinct from the
ent in an existing municipal sewer sys- NPDES permit program under the Act, con-
tem through the construction of lat- duct an engineering review of the facilities
eral or interceptor sewers, a written or equipment that would be used to control
declaration from the authorized agent pollution. The results of such a review would
for the publicly owned treatment be materially helpful in determining the ne-
works shall be included noting that the cessity and adequacy of any alterations or
additions.
sewer construction is consistent with
the integrity of the system; will not re- (8) Any written information from a
sult in the capacity of the publicly manufacturer, supplier, or consulting
owned treatment works being exceed- engineer, or similar independent
ed; and where applicable, is consistent source, concerning the design capabili-
with a facilities plan developed under ties of the additions or alterations cov-
section 201 of the Act (see 35 CFR part ered by the application, including any
917). warranty limitations or certifications
(iv) If the requirement results from a obtained from or provided by such
State order, regulation, or other en- sources which would bear upon these
forceable authority controlling pollu- design or performance capabilities. The
tion from a vessel as provided by sec- Regional Administrator may waive the
tion 312(f)(3) of the Act, a written dec- requirement for this paragraph if it ap-
laration from the authorized agent of pears that there is no independent
the State specifying the control meas- source for the information described
ures being required of the applicant herein; as, for example, when the appli-
shall be included. cant has designed and constructed the
240
additions or alterations with in-house methods of operation that are not re-
capability. quired by an applicable standard, or
(9) An estimated schedule for the that are extraneous to the achievement
construction or implementation of the of an applicable standard.
alterations, additions, or methods of (b) The assessment of adequacy will
operation. be conducted to ensure that the pro-
(10) An estimated cost of the alter- posed additions, alterations, or meth-
ations, additions, or methods of oper- ods of operation are sufficient to meet
ation, and where practicable, the indi- one or more applicable standards
vidual costs of major elements of the whether alone or in conjunction with
construction to be undertaken. other plans. The assessment will not
(11) Information on previously re- generally examine whether other alter-
ceived loan assistance under this sec- natives exist or would be more meri-
tion for the facility or method of oper- torious from a cost-effective, effi-
ation, including a description and dates ciency, or technological standpoint.
of the activity funded. (c) An application which proposes ad-
(d) A separate application must be ditions, alterations, or methods of op-
submitted for every addition, alter- eration whose design, in anticipation of
ation, or method of operation that is at a future requirement, will achieve a
a separate geographical location from level of performance above the require-
the initial application. ments imposed by a presently applica-
ble standard shall be reviewed and ap-
Comment: As an example, a chain has four
proved by EPA or a State without prej-
dry cleaning establishments scattered
through a community. A separate applica- udice. The amount of financial assist-
tion would have to be filed for each. ance for such an application will be de-
termined by SBA.
(e) No statement shall be approved (d) The Regional Administrator shall
for any application that has not in- retain one copy of the application and
cluded the information or declaration a summary of the action taken on it.
requirements imposed by paragraph Upon completion of his review, the Re-
(c)(6) of § 21.3. gional Administrator shall return the
(f) All applications are to be sub- original application along with any
mitted in duplicate. other supporting documents or infor-
(g) All applications are subject to the mation provided to the applicant along
provisions of 18 U.S.C. 1001 regarding with a copy to the appropriate SBA
prosecution for the making of false district office for processing.
statements or the concealing of mate-
rial facts. § 21.5 Issuance of statements.
(h) Instructional guidelines to assist (a) Upon application by a small busi-
in the submission of applications for ness concern pursuant to § 21.3 the Re-
EPA certification are available from gional Administrator will, if he finds
EPA or a certifying State. that the additions, alterations, or
[42 FR 8083, Feb. 8, 1977, as amended at 62 FR methods of operation covered by the
1833, Jan. 14, 1997; 75 FR 69349, Nov. 12, 2010; application are adequate and necessary
76 FR 49671, Aug. 11, 2011; 78 FR 37975, June to comply with an applicable standard,
25, 2013; 84 FR 44226, Aug. 23, 2019] issue a written statement to the appli-
cant to that effect, within 45 working
§ 21.4 Review of application. days following receipt of the applica-
(a) The Regional Administrator or tion, or within 45 working days fol-
his designee will conduct a review of lowing receipt of all information re-
the application. This review will con- quired to be submitted pursuant to
sist of a general assessment of the ade- § 21.3(c), whichever is later. Such a
quacy of the proposed alterations, addi- written statement shall be classified as
tions, or methods of operation. The re- a full approval. If an application is de-
view will corroborate that the proposed ficient in any respect, with regard to
alterations, additions, or methods of the specifications for submission listed
operation are required by an applicable in § 21.3(c), the Regional Administrator

standard. The review will identify any shall promptly, but in no event later
proposed alterations, additions, or than 30 working days following receipt
241
§ 21.6 40 CFR Ch. I (7–1–21 Edition)
of the application, notify the applicant any other Federal or State law or regu-
of such deficiency. lation with respect to the protection of
(b)(1) If an application contains pro- the environment.
posed alterations, additions, or meth- (e) An applicant need not dem-
ods of operation that are adequate and onstrate that its facility or method of
necessary to comply with an applicable operation will meet all applicable re-
standard but also contains proposed al- quirements established under the Act.
terations, additions, or methods of op- The applicant need only demonstrate
eration that are not necessary to com- that the additions, alterations, or
ply with an applicable standard, the methods of operation will assist in en-
Regional Administrator shall condi- suring compliance with one or more of
tionally approve the application within the applicable standards for which fi-
the time limit specified in paragraph nancial assistance is being requested.
(a) of this section, and shall also iden-
tify in the approval those alterations, Comment: As an example, a small business
additions, or methods of operation that has two discharge pipes—one for process
water, the other for cooling water. The appli-
he determines are not necessary. cation for loan assistance is to control pollu-
(2) Conditional approvals as con- tion from the process water discharge. How-
tained in a statement will satisfy the ever, EPA or a State may review the appli-
requirements for approval by EPA for cant’s situation and identify for SBA that
those alterations, additions, or meth- the applicant is subject to other require-
ods of operation determined to be nec- ments for which the applicant has not
essary and adequate. Such conditional sought assistance.
approvals may be submitted to SBA in (f) An application should not include
satisfaction of the requirements of sec- major alternative designs significantly
tion 7(g)(2)(B) of the Small Business differing in scope, concept, or capa-
Act. bility. It is expected that the applicant
(3) Conditional approvals will not at the time of submission will have se-
satisfy the requirements for approval lected the most appropriate or suitable
by EPA for those alterations, addi- design for the addition, alteration, or
tions, or methods of operation included method of operation.
in the application that are determined
(g) EPA will not provide assistance in
not to be necessary. Unnecessary alter-
the form of engineering, design, plan-
ations, additions, or methods of oper-
ning or other technical services to any
ation are those which are extraneous
applicant in the preparation of his ap-
to the achievement of an applicable
plication.
standard.
(4) Conditional approvals may be ap- (h) An applicant may be issued a cer-
pealed to the Deputy Administrator by tification for additions, alterations, or
an applicant in accordance with the methods of operation constructed or
procedures identified in § 21.8. undertaken before loan assistance was
(c) If the Regional Administrator de- applied for by the applicant. Any such
termines that the additions, alter- applications would be reviewed by SBA
ations, or methods of operation covered for eligibility under SBA criteria, in-
by an application are not necessary cluding refinancing and loan exposure.
and adequate to comply with an appli-
§ 21.6 Exclusions.
cable standard, he shall disapprove the
application and shall so advise the ap- (a) Statements shall not be issued for
plicant of such determination within applications in the following areas:
the time limit specified in paragraph (1) Local requirements. Applications
(a) of this section, and shall state in for statements for additions, alter-
writing the reasons for his determina- ations, or methods of operation that
tion. result from requirements imposed by
(d) Any application shall be dis- municipalities, counties or other forms
approved if the Regional Administrator of local or regional authorities and
determines that the proposed addition, governments, except for areawide man-
alteration, or method of operation agement agencies designated and ap-

would result in the violation of any proved under section 208 of the Act,
other requirement of this Act, or of shall not be approved; except for those
242
requirements resulting from the appli- (5) Privately owned treatment facility
cation of pretreatment requirements service or user costs. Applications for
under section 307(b) of the Act; or those statements involving financial assist-
resulting from an approved project for ance in meeting user cost or fee sched-
facilities plans, and developed under ules related to participating in a pri-
section 201 of the Act. (See 35 CFR, vately owned treatment facility not
subpart E); or under a delegation of au- under the ownership or control of the
thority under the Act. applicant shall not be approved.
(2) Cost recovery and user charges. Ap- (6) Operation and maintenance charges.
plications for statements involving a Applications for statements containing
request for financial assistance in a request for financial assistance in
meeting revenue and service charges meeting the operations and mainte-
imposed upon a small business by a nance costs of operating the appli-
municipality conforming to regula- cant’s additions, alterations, or meth-
tions governing a user charge or cap- ods of operation shall not be approved
ital cost system under section 204(b)(2) for any elements relating to such areas
of the Act (see 35 CFR 925–11 and 925–12) of cost.
shall not be approved. (7) Evidence of financial responsibility.
(3) New facility sewer construction. Ap- Applications for statements containing
plications for statements involving a request for financial assistance in
projects that involve the construction meeting any requirements relating to
of a lateral, collection, or interceptor evidence of financial responsibility as
sewer, at a facility that was not in ex- provided in section 311(p) of the Act
istence on October 18, 1972, shall not be shall not be approved.
approved. Applications for additions,
alterations, or methods of operation § 21.7 [Reserved]
for new facilities that do not involve COMMENT: Applications for a statement re-
sewer construction are not affected by sulting from a requirement to control pollu-
this preclusion. Further, if an appli- tion from non-point sources as identified in
cant is compelled to move as a result of section 304(e)(2)(A–F) of the Act and de-
a relocation requirement but operated scribed in § 21.2(m) will not presently be
issued a statement under § 21.5 unless the re-
at the facility prior to October 18, 1972,
quirement is established through a permit
the cost of construction for a lateral, under section 402. There is no requirement
collection, or interceptor sewer can be under the current Act that the Federal Gov-
approved for the new, relocated site. ernment control pollution from such sources,
For the purpose of this exclusion lat- and the nature and scope of State or
eral, collection, or interceptor sewer is areawide management agency proposals or
determined as any sewer transporting programs to control such sources cannot be
waste from a facility or site to any determined at this time. As State and
areawide plans for control of nonpoint
publicly owned sewer.
sources being prepared under section 208 of
(4) Other non-water related pollution the Act, will not be completed for several
abatement additions, alterations, or years, this section is being reserved pending
methods of operation which are not in- a future determination on the eligibility of
tegral to meeting the requirements of applications relating to non-profit sources to
the Act, although they may be achiev- receive a statement under this part.
ing the requirements of another Fed-
eral or State law or regulation. § 21.8 Resubmission of application.
Comment: An example would be where
(a) A small business concern whose
stack emission controls were required on application is disapproved may submit
equipment that operated the water pollution an amended or corrected application to
control facility. This emission control equip- the Regional Administrator at any
ment as an integral part of the water pollu- time. The applicant shall provide the
tion control systems would be approvable. date of any previous application.
However, emission control equipment for a (b) [Reserved]
general purpose incinerator that only inci-
dentally burned sewage sludge would not be § 21.9 Appeals.
approvable. The general purpose incinerator
might also receive loan assistance but under (a) An applicant aggrieved by a deter-
separate procedures than those set out for mination of a Regional Administrator
water pollution control. under § 21.5 may appeal in writing to
243
§ 21.10 40 CFR Ch. I (7–1–21 Edition)
the Deputy Administrator of the Envi- bility of the proposed addition, alter-
ronmental Protection Agency, within ation, or method of operation.
30 days of the date of the determina- (d) An agency, Regional Adminis-
tion from which an appeal is taken; trator, or State issuing a statement
Provided, That the Deputy Adminis- under § 21.5 shall retain a complete
trator may, on good cause shown, ac- copy of the application for a period of
cept an appeal at a later time. five years after the date of issuance of
(b) The applicant in requesting such the statement. The application shall be
an appeal shall submit to the Deputy made available upon request for inspec-
Administrator a copy of the complete
tion or use at any time by any agency
application as reviewed by the Re-
of the Federal Government.
gional Administrator.
(c) The applicant should also provide (e) No application for a statement or
information as to why it believes the for financial assistance under this sec-
determination made by the Regional tion or statement issued under this
Administrator to be in error. section shall constitute or be construed
(d) The Deputy Administrator shall as suspending, modifying, revising, ab-
act upon such appeal within 60 days of rogating or otherwise changing the re-
receipt of any complete application for quirements imposed on the applicant
a review of the determination. by the terms, conditions, limitations
(e) Where a State has been delegated or schedules of compliance contained
certification authority, the procedure in an applicable standard, permit, or
for appeals shall be established in the other provision established or author-
State submission required in § 21.12. ized under the Act or any State or
local statute, ordinance or code.
§ 21.10 Utilization of the statement.
(f) No statement as issued and re-
(a) Statements issued by the Re- viewed shall be construed as a waiver
gional Administrator will be mailed to to the applicants fulfilling the require-
the small business applicant and to the ments of any State or local law, stat-
district office of the Small Business ute, ordinance, or code (including
Administration serving the geographic building, health, or zoning codes).
area where the business is located. It is
(g) An amended application need not
the responsibility of the applicant to
be submitted if the facility, property,
also forward the statement to SBA as
or operation for which the statement is
part of the application for a loan.
(b) Any statement or determination issued is sold, leased, rented, or trans-
issued under § 21.5 shall not be altered, ferred by the applicant to another
modified, changed, or destroyed by any party prior to approval by SBA of the
applicant in the course of providing financial assistance: Provided, That
such statement to SBA. To do so can there is or will be no substantive
result in the revocation of any ap- change in the scope, concept, design,
proval contained in the statement and capability, or conduct of the facility or
subject the applicant to the penalties operation.
provided in 18 U.S.C. 1001. Comment: However, eligibility for finan-
(c) If an application for which a cial assistance would be reexamined by SBA
statement is issued under § 21.5 is sub- with regard to any such sale, lease, rental or
stantively changed in scope, concept, transfer.
design, or capability prior to the ap-
proval by SBA of the financial assist- (h) The Regional Administrator may
ance requested, the statement as issued include in any statement a date of ex-
shall be revoked. The applicant must piration, after which date the approval
resubmit a revised application under by the Regional Administrator con-
§ 21.3 and a new review must be contained in the statement shall no longer
ducted. Failure to meet the require- apply. The date of expiration shall not
ments of this paragraph could subject become effective if the applicant has
the applicant to the penalties specified submitted the statement to the SBA,
in 18 U.S.C. 1001 and 18 U.S.C. 286. A prior to the date of expiration, as part
substantive change is one which mate- of the application for financial assist-
rially affects the performance or capa- ance.
244
§ 21.11 Public participation. (2) The State program shall con-

stitute an equivalent effort to that re-
(a) Applications shall not generally
quired of EPA under this section.
be subject to public notice, public com-
(3) The State organization respon-
ment, or public hearings. Applications
sible for conducting the program
during the period of review as stated in
should be the State water pollution
§ 21.5, or during the period of appeal as
control agency, as defined in section
provided in § 21.8, shall be available for
502 of the Act.
public inspection. Approved applica-
(4) The State submission shall pro-
tions as provided in § 21.10(d) shall be
pose a procedure for adjudicating appli-
available for public inspection at all
cant appeals as provided under § 21.9.
times during the five year period.
(5) The State submission shall iden-
(b) The Regional Administrator, if he tify any existing or potential conflicts
believes that the addition, alteration, of interest on the part of any personnel
or method of operation may adversely who will or may review or approve ap-
and significantly affect an interest of plications.
the public, shall provide for a public (i) A conflict of interest shall exist
notice and/or public hearing on the ap- where the reviewing official is the
plication. The public notice and/or pub- spouse of or dependent (as defined in
lic hearing shall be conducted in ac- the Tax Code, 26 U.S.C. 152) of an
cordance with the procedures specified owner, partner, or principal officer of
for a permit under 40 CFR 125.32 and the small business, or where he has or
125.34(b). is receiving from the small business
(c) Where the applicant is able to concern applicant 10 percent of gross
demonstrate to the satisfaction of the personal income for a calendar year,
Regional Administrator that disclosure except that it shall mean 50 percent
of certain information or parts thereof gross personal income for a calendar
as provided in § 21.3(c)(5) would result year if the recipient is over 60 years of
in the divulging of methods or proc- age and is receiving such portion pur-
esses entitled to protection as trade se- suant to retirement, pension, or simi-
crets, the Regional Administrator shall lar arrangements.
treat the information or the particular (ii) If the State is unable to provide
part as confidential in accordance with alternative parties to review or ap-
the purposes of section 1905 of Title 18 prove any application subject to con-
of the United States Code and not re- flict of interest, the Regional Adminis-
lease it to any unauthorized person. trator shall review and approve the ap-
Provided, however, That if access to plication.
such information is subsequently re- (b) The Regional Administrator,
quested by any person, there will be within 60 days after such application,
compliance with the procedures speci- shall approve any State program that
fied in 40 CFR part 2. Such information conforms to the requirements of this
may be disclosed to other officers, em- section. Any such approval shall be
ployees, or authorized representatives after sufficient notice has been pro-
of the United States concerned with vided to the Regional Director of SBA.
carrying out the Act or when relevant (c) If the Regional Administrator dis-
in any proceeding under the Act. approves the application, he shall no-
tify the State, in writing, of any defi-
§ 21.12 State issued statements.
ciency in its application. A State may
(a) Any State after the effective date resubmit an amended application at
of these regulations may submit to the any later time.
Regional Administrator for his ap- (d) Upon approval of a State submis-
proval an application to conduct a pro- sion, EPA will suspend all review of ap-
gram for issuing statements under this plications and issuance of statements
section. for small businesses in that State,
(1) A State submission shall specify pending transferral. Provided, however,
the organizational, legal, financial, and That in the event of a State conflict of
administrative resources and proce- interest as identified in § 21.12(a)(4) of

dures that it believes will enable it to this section, EPA shall review the ap-
conduct the program. plication and issue the statement.
245
§ 21.13 40 CFR Ch. I (7–1–21 Edition)
(e) Any applications shall, if received will be constructed within the time
by an EPA Regional Office, be for- specified by an applicable standard or
warded promptly to the appropriate (b) will be constructed and installed in
State for action pursuant to section accordance with the plans and speci-
7(g)(2) of the Small Business Act and fications submitted in the application,
these regulations. will be operated and maintained prop-
(f)(1) EPA will generally not review erly, or will be applied to process
or approve individual statements wastes which are the same as described
issued by a State. However, SBA, upon in the application. The certification in
receipt and review of a State approved no way constitutes a waiver by EPA or
statement may request the Regional a State of its authority to take appro-
Administrator of EPA to review the priate enforcement action against the
statement. The Regional Adminis- owner or operator of such facilities for
trator, upon such request can further violations of an applicable standard.
approve or disapprove the State issued
statement, in accordance with the re-
quirements of § 21.5. PART 22—CONSOLIDATED RULES
(2) The Regional Administrator will OF PRACTICE GOVERNING THE
periodically review State program per- ADMINISTRATIVE ASSESSMENT OF
formance. In the event of State pro- CIVIL PENALTIES AND THE REV-
gram deficiencies the Regional Admin- OCATION/TERMINATION OR SUS-
istrator will notify the State of such PENSION OF PERMITS
deficiencies.
(3) During that period that any
Subpart A—General
State’s program is classified as defi-
cient, statements issued by a State Sec.
shall also be sent to the Regional Ad- 22.1 Scope of this part.
ministrator for review. The Regional 22.2 Use of number and gender.
Administrator shall notify the State, 22.3 Definitions.
the applicant, and the SBA of any de- 22.4 Powers and duties of the Environ-
termination subsequently made, in ac- mental Appeals Board, Regional Judicial
cordance with § 21.5, on any such state- Officer and Presiding Officer; disquali-
ment. fication, withdrawal, and reassignment.
(i) If within 60 days after notice of 22.5 Filing, service by the parties, and form
such deficiencies has been provided, of all filed documents; business confiden-
tiality claims.
the State has not taken corrective ef-
22.6 Filing and service of rulings, orders and
forts, and if the deficiencies signifi- decisions.
cantly affect the conduct of the pro- 22.7 Computation and extension of time.
gram, the Regional Administrator, 22.8 Ex parte discussion of proceeding.
after sufficient notice has been pro- 22.9 Examination of documents filed.
vided to the Regional Director of SBA,
shall withdraw the approval of the Subpart B—Parties and Appearances
State program.
(ii) Any State whose program is with- 22.10 Appearances.
drawn and whose deficiencies have been 22.11 Intervention and non-party briefs.
corrected may later reapply as pro- 22.12 Consolidation and severance.
vided in § 21.12(a).
(g) Funds appropriated under section Subpart C—Prehearing Procedures
106 of the Act may be utilized by a 22.13 Commencement of a proceeding.
State agency authorized to receive 22.14 Complaint.
such funds in conducting this program. 22.15 Answer to the complaint.
22.16 Motions.
§ 21.13 Effect of certification upon au-
22.17 Default.
thority to enforce applicable stand-
ards. 22.18 Quick resolution; settlement; alter-
native dispute resolution.
The certification by EPA or a State 22.19 Prehearing information exchange; pre-
for SBA Loan purposes in no way con- hearing conference; other discovery.
stitutes a determination by EPA or the 22.20 Accelerated decision; decision to dis-
State that the facilities certified (a) miss.
246
Subpart D—Hearing Procedures issued to owners or operators of public

water systems under part B of the Safe
22.21 Assignment of Presiding Officer; Drinking Water Act.
scheduling the hearing. 22.43 Supplemental rules governing the ad-
22.22 Evidence. ministrative assessment of civil pen-
22.23 Objections and offers of proof. alties against a federal agency under the
22.24 Burden of presentation; burden of per- Safe Drinking Water Act.
suasion; preponderance of the evidence 22.44 Supplemental rules of practice gov-
standard. erning the termination of permits under
22.25 Filing the transcript. section 402(a) of the Clean Water Act or
22.26 Proposed findings, conclusions, and under section 3008(a)(3) of the Resource
order. Conservation and Recovery Act.
22.45 Supplemental rules governing public
Subpart E—Initial Decision, Motion To Re- notice and comment in proceedings
open a Hearing, and Motion To Set under sections 309(g) and 311(b)(6)(B)(ii)
Aside a Default Order of the Clean Water Act and section
1423(c) of the Safe Drinking Water Act.
22.27 Initial decision.
22.46–22.49 [Reserved]
22.28 Motion to reopen a hearing or to set
aside a default order.
Subpart I—Administrative Proceedings Not
Subpart F—Appeals and Administrative Governed by Section 554 of the Ad-
Review ministrative Procedure Act
22.29 Appeal from or review of interlocutory 22.50 Scope of this subpart.
orders or rulings. 22.51 Presiding Officer.
22.30 Appeal from or review of initial deci- 22.52 Information exchange and discovery.
sion.
AUTHORITY: 7 U.S.C. 1361; 15 U.S.C. 2615; 33
U.S.C. 1319, 1342, 1361, 1415 and 1418; 42 U.S.C.
Subpart G—Final Order 300g–3(g), 6912, 6925, 6928, 6991e and 6992d; 42
22.31 Final order. U.S.C. 7413(d), 7524(c), 7545(d), 7547, 7601 and
22.32 Motion to reconsider a final order. 7607(a), 9609, and 11045.
SOURCE: 64 FR 40176, July 23, 1999, unless
Subpart H—Supplemental Rules otherwise noted.
22.33 [Reserved]
22.34 Supplemental rules governing the ad- Subpart A—General
ministrative assessment of civil pen-
alties under the Clean Air Act. § 22.1 Scope of this part.
22.35 Supplemental rules governing the ad-
ministrative assessment of civil pen- (a) These Consolidated Rules of Prac-
alties under the Federal Insecticide, Fun- tice govern all administrative adju-
gicide, and Rodenticide Act. dicatory proceedings for:
22.36 [Reserved] (1) The assessment of any adminis-
22.37 Supplemental rules governing admin- trative civil penalty under section 14(a)
istrative proceedings under the Solid
Waste Disposal Act.
of the Federal Insecticide, Fungicide,
22.38 Supplemental rules of practice gov- and Rodenticide Act as amended (7
erning the administrative assessment of U.S.C. 136l(a));
civil penalties under the Clean Water (2) The assessment of any adminis-
Act. trative civil penalty under sections
22.39 Supplemental rules governing the ad- 113(d), 205(c), 211(d) and 213(d) of the
ministrative assessment of civil pen- Clean Air Act, as amended (42 U.S.C.
alties under section 109 of the Com-
prehensive Environmental Response,
7413(d), 7524(c), 7545(d) and 7547(d)), and
Compensation, and Liability Act of 1980, a determination of nonconforming en-
as amended. gines, vehicles or equipment under sec-
22.40 [Reserved] tions 207(c) and 213(d) of the Clean Air
22.41 Supplemental rules governing the ad- Act, as amended (42 U.S.C. 7541(c) and
ministrative assessment of civil pen- 7547(d));
alties under Title II of the Toxic Sub- (3) The assessment of any adminis-
stance Control Act, enacted as section 2
trative civil penalty or for the revoca-
of the Asbestos Hazard Emergency Re-
sponse Act (AHERA). tion or suspension of any permit under
22.42 Supplemental rules governing the ad- section 105(a) and (f) of the Marine Pro-
ministrative assessment of civil pen- tection, Research, and Sanctuaries Act
alties for violations of compliance orders as amended (33 U.S.C. 1415(a) and (f));
247
§ 22.2 40 CFR Ch. I (7–1–21 Edition)
(4) The issuance of a compliance part. Where inconsistencies exist be-

order or the issuance of a corrective ac- tween subparts A through G of this
tion order, the termination of a permit part and subpart H or I of this part,
pursuant to section 3008(a)(3), the sus- subparts H or I of this part shall apply.
pension or revocation of authority to (c) Questions arising at any stage of
operate pursuant to section 3005(e), or the proceeding which are not addressed
the assessment of any civil penalty in these Consolidated Rules of Practice
under sections 3008, 9006, and 11005 of shall be resolved at the discretion of
the Solid Waste Disposal Act, as the Administrator, Environmental Ap-
amended (42 U.S.C. 6925(d), 6925(e), 6928, peals Board, Regional Administrator,
6991e, and 6992d)), except as provided in or Presiding Officer, as provided for in
part 24 of this chapter; these Consolidated Rules of Practice.
(5) The assessment of any adminis- [64 FR 40176, July 23, 1999, as amended at 65
trative civil penalty under sections FR 30904, May 15, 2000; 79 FR 65900, Nov. 6,
16(a) and 207 of the Toxic Substances 2014; 81 FR 73970, Oct. 25, 2016]
Control Act (15 U.S.C. 2615(a) and 2647);
(6) The assessment of any Class II § 22.2 Use of number and gender.
penalty under sections 309(g) and As used in these Consolidated Rules
311(b)(6), or termination of any permit of Practice, words in the singular also
issued pursuant to section 402(a) of the include the plural and words in the
Clean Water Act, as amended (33 U.S.C. masculine gender also include the
1319(g), 1321(b)(6), and 1342(a)); feminine, and vice versa, as the case
(7) The assessment of any adminis- may require.
trative civil penalty under section 109
of the Comprehensive Environmental § 22.3 Definitions.
Response, Compensation, and Liability (a) The following definitions apply to
Act of 1980, as amended (42 U.S.C. 9609); these Consolidated Rules of Practice:
(8) The assessment of any adminis- Act means the particular statute au-
trative civil penalty under section 325 thorizing the proceeding at issue.
of the Emergency Planning and Com- Administrative Law Judge means an
munity Right-To-Know Act of 1986 Administrative Law Judge appointed
(‘‘EPCRA’’) (42 U.S.C. 11045); under 5 U.S.C. 3105.
(9) The assessment of any adminis- Administrator means the Adminis-
trative civil penalty under sections trator of the U.S. Environmental Pro-
1414(g)(3)(B), 1423(c), and 1447(b) of the tection Agency or his delegate.
Safe Drinking Water Act as amended Agency means the United States En-
(42 U.S.C. 300g–3(g)(3)(B), 300h–2(c), and vironmental Protection Agency.
300j–6(b)), or the issuance of any order Business confidentiality claim means a
requiring both compliance and the as- confidentiality claim as defined in 40
sessment of an administrative civil CFR 2.201(h).
penalty under section 1423(c); Clerk of the Board means an indi-
(10) The assessment of any adminis- vidual duly authorized to serve as
trative civil penalty or the issuance of Clerk of the Environmental Appeals
any order requiring compliance under Board.
Section 5 of the Mercury-Containing Commenter means any person (other
and Rechargeable Battery Management than a party) or representative of such
Act (42 U.S.C. 14304). person who timely:
(11) The assessment of any adminis- (1) Submits in writing to the Re-
trative civil penalty under section gional Hearing Clerk that he is pro-
1908(b) of the Act To Prevent Pollution viding or intends to provide comments
From Ships (‘‘APPS’’), as amended (33 on the proposed assessment of a pen-
U.S.C. 1908(b)). alty pursuant to sections 309(g)(4) and
(b) The supplemental rules set forth 311(b)(6)(C) of the Clean Water Act or
in subparts H and I of this part estab- section 1423(c) of the Safe Drinking
lish special procedures for proceedings Water Act, whichever applies, and in-
identified in paragraph (a) of this sec- tends to participate in the proceeding;
tion where the Act allows or requires and

procedures different from the proce- (2) Provides the Regional Hearing
dures in subparts A through G of this Clerk with a return address.
248
Complainant means any person au- of persons whether incorporated or not;

thorized to issue a complaint in accord- and any officer, employee, agent, de-
ance with §§ 22.13 and 22.14 on behalf of partment, agency or instrumentality of
the Agency to persons alleged to be in the Federal Government, of any State
violation of the Act. The complainant or local unit of government, or of any
shall not be a member of the Environ- foreign government.
mental Appeals Board, the Regional Presiding Officer means an individual
Judicial Officer or any other person who presides in an administrative adju-
who will participate or advise in the dication until an initial decision be-
adjudication. comes final or is appealed. The Pre-
Consolidated Rules of Practice means siding Officer shall be an Administra-
the regulations in this part. tive Law Judge, except where §§ 22.4(b),
Environmental Appeals Board means 22.16(c) or 22.51 allow a Regional Judi-
the Board within the Agency described cial Officer to serve as Presiding Offi-
in 40 CFR 1.25. cer.
Final order means: Proceeding means the entirety of a
(1) An order issued by the Environ- single administrative adjudication,
mental Appeals Board or the Adminis- from the filing of the complaint
trator after an appeal of an initial deci- through the issuance of a final order,
sion, accelerated decision, decision to including any action on a motion to re-
dismiss, or default order, disposing of consider under § 22.32.
the matter in controversy between the Regional Administrator means, for a
parties; case initiated in an EPA Regional Of-
(2) An initial decision which becomes fice, the Regional Administrator for
a final order under § 22.27(c); or that Region or any officer or employee
(3) A final order issued in accordance thereof to whom his authority is duly
with § 22.18. delegated.
Hearing means an evidentiary hear- Regional Hearing Clerk means an indi-
ing on the record, open to the public vidual duly authorized to serve as hear-
(to the extent consistent with ing clerk for a given region, who shall
§ 22.22(a)(2)), conducted as part of a pro- be neutral in every proceeding. Cor-
ceeding under these Consolidated Rules respondence with the Regional Hearing
of Practice. Clerk shall be addressed to the Re-
Hearing Clerk means the Hearing gional Hearing Clerk at the address
Clerk, Mail Code 1900, U.S. Environ- specified in the complaint. For a case
mental Protection Agency, 1200 Penn- initiated at EPA Headquarters, the
sylvania Ave., NW., Washington, DC term Regional Hearing Clerk means
20460. the Hearing Clerk.
Initial decision means the decision Regional Judicial Officer means a per-
issued by the Presiding Officer pursu- son designated by the Regional Admin-
ant to §§ 22.17(c), 22.20(b) or 22.27 resolv- istrator under § 22.4(b).
ing all outstanding issues in the pro- Respondent means any person against
ceeding. whom the complaint states a claim for
Party means any person that partici- relief.
pates in a proceeding as complainant, (b) Terms defined in the Act and not
respondent, or intervenor. defined in these Consolidated Rules of
Permit action means the revocation, Practice are used consistent with the
suspension or termination of all or part meanings given in the Act.
of a permit issued under section 102 of
[64 FR 40176, July 23, 1999, as amended at 65
the Marine Protection, Research, and FR 30904, May 15, 2000; 79 FR 65901, Nov. 6,
Sanctuaries Act (33 U.S.C. 1412) or ter- 2014]
mination under section 402(a) of the
Clean Water Act (33 U.S.C. 1342(a)) or § 22.4 Powers and duties of the Envi-
section 3005(d) of the Solid Waste Dis- ronmental Appeals Board, Regional
posal Act (42 U.S.C. 6925(d)). Judicial Officer and Presiding Offi-
Person includes any individual, part- cer; disqualification, withdrawal,
nership, association, corporation, and and reassignment.

any trustee, assignee, receiver or legal (a) Environmental Appeals Board. (1)
successor thereof; any organized group The Environmental Appeals Board
249
§ 22.4 40 CFR Ch. I (7–1–21 Edition)
rules on appeals from the initial deci- Rules of Practice to which subpart I of
sions, rulings and orders of a Presiding this part does not apply. The Regional
Officer in proceedings under these Con- Administrator may also delegate to
solidated Rules of Practice, and ap- one or more Regional Judicial Officers
proves settlement of proceedings under the authority to approve settlement of
these Consolidated Rules of Practice proceedings pursuant to § 22.18(b)(3).
commenced at EPA Headquarters. The These delegations will not prevent a
Environmental Appeals Board may Regional Judicial Officer from refer-
refer any case or motion to the Admin- ring any motion or case to the Re-
istrator when the Environmental Ap- gional Administrator. A Regional Judi-
peals Board, in its discretion, deems it cial Officer shall be an attorney who is
appropriate to do so. When an appeal or a permanent or temporary employee of
motion is referred to the Adminis- the Agency or another Federal agency
trator by the Environmental Appeals and who may perform other duties
Board, all parties shall be so notified
within the Agency. A Regional Judicial
and references to the Environmental
Officer shall not have performed pros-
Appeals Board in these Consolidated
ecutorial or investigative functions in
Rules of Practice shall be interpreted
as referring to the Administrator. If a connection with any case in which he
case or motion is referred to the Ad- serves as a Regional Judicial Officer. A
ministrator by the Environmental Ap- Regional Judicial Officer shall not
peals Board, the Administrator may knowingly preside over a case involv-
consult with any EPA employee con- ing any party concerning whom the Re-
cerning the matter, provided such con- gional Judicial Officer performed any
sultation does not violate § 22.8. Mo- functions of prosecution or investiga-
tions directed to the Administrator tion within the 2 years preceding the
shall not be considered except for mo- commencement of the case. A Regional
tions for disqualification pursuant to Judicial Officer shall not prosecute en-
paragraph (d) of this section, or mo- forcement cases and shall not be super-
tions filed in matters that the Environ- vised by any person who supervises the
mental Appeals Board has referred to prosecution of enforcement cases, but
the Administrator. may be supervised by the Regional
(2) In exercising its duties and re- Counsel.
sponsibilities under these Consolidated (c) Presiding Officer. The Presiding Of-
Rules of Practice, the Environmental ficer shall conduct a fair and impartial
Appeals Board may do all acts and take proceeding, assure that the facts are
all measures as are necessary for the fully elicited, adjudicate all issues, and
efficient, fair and impartial adjudica- avoid delay. The Presiding Officer may:
tion of issues arising in a proceeding, (1) Conduct administrative hearings
including imposing procedural sanc- under these Consolidated Rules of
tions against a party who without ade- Practice;
quate justification fails or refuses to (2) Rule upon motions, requests, and
comply with these Consolidated Rules offers of proof, and issue all necessary
of Practice or with an order of the En- orders;
vironmental Appeals Board. Such sanc- (3) Administer oaths and affirmations
tions may include drawing adverse in-
and take affidavits;
ferences against a party, striking a
(4) Examine witnesses and receive
party’s pleadings or other submissions
from the record, and denying any or all documentary or other evidence;
relief sought by the party in the pro- (5) Order a party, or an officer or
ceeding. agent thereof, to produce testimony,
(b) Regional Judicial Officer. Each Re- documents, or other non-privileged evi-
gional Administrator shall delegate to dence, and failing the production there-
one or more Regional Judicial Officers of without good cause being shown,
authority to act as Presiding Officer in draw adverse inferences against that
proceedings under subpart I of this party;
part, and to act as Presiding Officer (6) Admit or exclude evidence;

until the respondent files an answer in (7) Hear and decide questions of facts,
proceedings under these Consolidated law, or discretion;
250
(8) Require parties to attend con- ministrator shall assign a replacement

ferences for the settlement or sim- for a Regional Administrator who
plification of the issues, or the expedi- withdraws or is disqualified. Should
tion of the proceedings; the Administrator withdraw or be dis-
(9) Issue subpoenas authorized by the qualified, the Regional Administrator
Act; and from the Region where the case origi-
(10) Do all other acts and take all nated shall replace the Administrator.
measures necessary for the mainte- If that Regional Administrator would
nance of order and for the efficient, fair be disqualified, the Administrator shall
and impartial adjudication of issues assign a Regional Administrator from
arising in proceedings governed by another Region to replace the Adminis-
these Consolidated Rules of Practice. trator. The Regional Administrator
(d) Disqualification, withdrawal and re- shall assign a new Regional Judicial
assignment. (1) The Administrator, the Officer if the original Regional Judicial
Regional Administrator, the members Officer withdraws or is disqualified.
of the Environmental Appeals Board, The Chief Administrative Law Judge
the Regional Judicial Officer, or the shall assign a new Administrative Law
Administrative Law Judge may not Judge if the original Administrative
perform functions provided for in these Law Judge withdraws or is disqualified.
Consolidated Rules of Practice regard- (3) The Chief Administrative Law
ing any matter in which they have a fi- Judge, at any stage in the proceeding,
nancial interest or have any relation- may reassign the case to an Adminis-
ship with a party or with the subject trative Law Judge other than the one
matter which would make it inappro- originally assigned in the event of the
priate for them to act. Any party may unavailability of the Administrative
at any time by motion to the Adminis- Law Judge or where reassignment will
trator, Regional Administrator, a result in efficiency in the scheduling of
member of the Environmental Appeals hearings and would not prejudice the
Board, the Regional Judicial Officer or parties.
the Administrative Law Judge request [64 FR 40176, July 23, 1999, as amended at 82
that he or she disqualify himself or FR 2234, Jan. 9, 2017]
herself from the proceeding. If such a
motion to disqualify the Regional Ad- § 22.5 Filing, service by the parties,
ministrator, Regional Judicial Officer and form of all filed documents;
or Administrative Law Judge is denied, business confidentiality claims.
a party may appeal that ruling to the (a) Filing of documents. (1) The origi-
Environmental Appeals Board. If a mo- nal and one copy of each document in-
tion to disqualify a member of the En- tended to be part of the record shall be
vironmental Appeals Board is denied, a filed with the Headquarters or Re-
party may appeal that ruling to the gional Hearing Clerk, as appropriate,
Administrator. There shall be no inter- when the proceeding is before the Pre-
locutory appeal of the ruling on a mo- siding Officer, or filed with the Clerk of
tion for disqualification. The Adminis- the Board when the proceeding is be-
trator, the Regional Administrator, a fore the Environmental Appeals Board.
member of the Environmental Appeals A document is filed when it is received
Board, the Regional Judicial Officer, or by the appropriate Clerk. When a docu-
the Administrative Law Judge may at ment is required to be filed with the
any time withdraw from any pro- Environmental Appeals Board, the doc-
ceeding in which he deems himself dis- ument shall be sent to the Clerk of the
qualified or unable to act for any rea- Board by U.S. Mail, delivered by hand
son. or courier (including delivery by U.S.
(2) If the Administrator, the Regional Express Mail or by a commercial deliv-
Administrator, the Regional Judicial ery service), or transmitted by the En-
Officer, or the Administrative Law vironmental Appeal Board’s electronic
Judge is disqualified or withdraws from filing system, according to the proce-
the proceeding, a qualified individual dures specified in 40 CFR 124.19 (i)(2)(i),
who has none of the infirmities listed (ii), and (iii). The Presiding Officer or
in paragraph (d)(1) of this section shall the Environmental Appeals Board may
be assigned as a replacement. The Ad- by order authorize or require filing by
251
§ 22.5 40 CFR Ch. I (7–1–21 Edition)
facsimile or an electronic filing sys- (C) Where respondent is a State or

tem, subject to any appropriate condi- local unit of government, agency, de-
tions and limitations. partment, corporation or other instru-
(2) When the Presiding Officer cor- mentality, complainant shall serve the
responds directly with the parties, the chief executive officer thereof, or as
original of the correspondence shall be otherwise permitted by law. Where re-
filed with the Regional Hearing Clerk. spondent is a State or local officer,
Parties who correspond directly with complainant shall serve such officer.
the Presiding Officer shall file a copy (iii) Proof of service of the complaint
of the correspondence with the Re- shall be made by affidavit of the person
gional Hearing Clerk. making personal service, or by prop-
(3) A certificate of service shall ac- erly executed receipt. Such proof of
company each document filed or served service shall be filed with the Regional
in the proceeding. Hearing Clerk immediately upon com-
(b) Service of documents. Unless the pletion of service.
proceeding is before the Environmental (2) Service of filed documents other than
Appeals Board, a copy of each docu- the complaint, rulings, orders, and deci-
ment filed in the proceeding shall be sions. All documents filed by a party
served on the Presiding Officer and on other than the complaint, rulings, or-
each party. In a proceeding before the ders, and decisions shall be served by
Environmental Appeals Board, a copy the filing party on all other parties.
of each document filed in the pro- Service may be made personally, by
ceeding shall be served on each party. U.S. mail (including certified mail, re-
(1) Service of complaint. (i) Complain- turn receipt requested, Overnight Ex-
ant shall serve on respondent, or a rep- press and Priority Mail), by any reli-
resentative authorized to receive serv- able commercial delivery service, or by
ice on respondent’s behalf, a copy of facsimile or other electronic means, in-
the signed original of the complaint, cluding but not necessarily limited to
together with a copy of these Consoli- email, if service by such electronic
dated Rules of Practice. Service shall means is consented to in writing. A
be made personally, by certified mail party who consents to service by fac-
with return receipt requested, or by simile or email must file an acknowl-
any reliable commercial delivery serv- edgement of its consent (identifying
ice that provides written verification the type of electronic means agreed to
of delivery. and the electronic address to be used)
(ii)(A) Where respondent is a domes- with the appropriate Clerk. In addi-
tic or foreign corporation, a partner- tion, the Presiding Officer or the Envi-
ship, or an unincorporated association ronmental Appeals Board may by order
which is subject to suit under a com- authorize or require service by fac-
mon name, complainant shall serve an simile, email, or other electronic
officer, partner, a managing or general means, subject to any appropriate con-
agent, or any other person authorized ditions and limitations.
by appointment or by Federal or State (c) Form of documents. (1) Except as
law to receive service of process. provided in this section, or by order of
(B) Where respondent is an agency of the Presiding Officer or of the Environ-
the United States complainant shall mental Appeals Board there are no spe-
serve that agency as provided by that cific requirements as to the form of
agency’s regulations, or in the absence documents.
of controlling regulation, as otherwise (2) The first page of every filed docu-
permitted by law. Complainant should ment shall contain a caption identi-
also provide a copy of the complaint to fying the respondent and the docket
the senior executive official having re- number. All legal briefs and legal
sponsibility for the overall operations memoranda greater than 20 pages in
of the geographical unit where the al- length (excluding attachments) shall
leged violations arose. If the agency is contain a table of contents and a table
a corporation, the complaint shall be of authorities with page references.

served as prescribed in paragraph (3) The original of any filed docu-
(b)(1)(ii)(A) of this section. ment (other than exhibits) shall be
252
signed by the party filing or by its at- serted’’. The specific portion(s) alleged
torney or other representative. The to be confidential shall be clearly iden-
signature constitutes a representation tified within the document.
by the signer that he has read the doc- (ii) A second version of the document
ument, that to the best of his knowl- shall contain all information except
edge, information and belief, the state- the specific information claimed con-
ments made therein are true, and that fidential, which shall be redacted and
it is not interposed for delay. replaced with notes indicating the na-
(4) The first document filed by any ture of the information redacted. The
person shall contain the name, mailing cover page shall state that information
address, telephone number, and email claimed confidential has been deleted
address of an individual authorized to and that a complete copy of the docu-
receive service relating to the pro- ment containing the information
ceeding on behalf of the person. Parties claimed confidential has been filed
shall promptly file any changes in this with the Regional Hearing Clerk.
information with the Headquarters or (3) Both versions of the document
Regional Hearing Clerk or the Clerk of shall be served on the Presiding Officer
the Board, as appropriate, and serve and the complainant. Both versions of
copies on the Presiding Officer and all the document shall be served on any
parties to the proceeding. If a party party, non-party participant, or rep-
fails to furnish such information and resentative thereof, authorized to re-
any changes thereto, service to the ceive the information claimed con-
party’s last known address shall satisfy fidential by the person making the
the requirements of paragraph (b)(2) of claim of confidentiality. Only the re-
this section and § 22.6. dacted version shall be served on per-
(5) The Environmental Appeals Board sons not authorized to receive the con-
or the Presiding Officer may exclude fidential information.
from the record any document which
(4) Only the second, redacted version
does not comply with this section.
shall be treated as public information.
Written notice of such exclusion, stat-
An EPA officer or employee may dis-
ing the reasons therefor, shall be
close information claimed confidential
promptly given to the person submit-
in accordance with paragraph (d)(1) of
ting the document. Such person may
this section only as authorized under 40
amend and resubmit any excluded doc-
CFR part 2.
ument upon motion granted by the En-
vironmental Appeals Board or the Pre- [64 FR 40176, July 23, 1999, as amended at 69
siding Officer, as appropriate. FR 77639, Dec. 28, 2004; 79 FR 65901, Nov. 6,
(d) Confidentiality of business informa- 2014; 82 FR 2234, Jan. 9, 2017]
tion. (1) A person who wishes to assert
a business confidentiality claim with § 22.6 Filing and service of rulings, or-
regard to any information contained in ders and decisions.
any document to be filed in a pro- All rulings, orders, decisions, and
ceeding under these Consolidated Rules other documents issued by the Re-
of Practice shall assert such a claim in gional Administrator or Presiding Offi-
accordance with 40 CFR part 2 at the cer shall be filed with the Headquarters
time that the document is filed. A doc- or Regional Hearing Clerk, as appro-
ument filed without a claim of business priate, in any manner allowed for the
confidentiality shall be available to service of such documents. All rulings,
the public for inspection and copying. orders, decisions, and other documents
(2) Two versions of any document issued by the Environmental Appeals
which contains information claimed Board shall be filed with the Clerk of
confidential shall be filed with the Re- the Board. The Clerk of the Board, the
gional Hearing Clerk: Headquarters Hearing Clerk, or the Re-
(i) One version of the document shall gional Hearing Clerk, as appropriate,
contain the information claimed con- must serve copies of such rulings, or-
fidential. The cover page shall include ders, decisions and other documents on
the information required under para- all parties. Service may be made by
graph (c)(2) of this section and the U.S. mail (including by certified mail
words ‘‘Business Confidentiality As- or return receipt requested, Overnight
253
§ 22.7 40 CFR Ch. I (7–1–21 Edition)
Express and Priority Mail), EPA’s in- or other electronic means, including
ternal mail, any reliable commercial but not necessarily limited to email.
delivery service, or electronic means
[64 FR 40176, July 23, 1999, as amended at 82
(including but not necessarily limited FR 2234, Jan. 9, 2017]
to facsimile and email).
[82 FR 2234, Jan. 9, 2017] § 22.8 Ex parte discussion of pro-
ceeding.
§ 22.7 Computation and extension of At no time after the issuance of the
time. complaint shall the Administrator, the
(a) Computation. In computing any members of the Environmental Appeals
period of time prescribed or allowed in Board, the Regional Administrator, the
these Consolidated Rules of Practice, Presiding Officer or any other person
except as otherwise provided, the day who is likely to advise these officials
of the event from which the designated on any decision in the proceeding, dis-
period begins to run shall not be in- cuss ex parte the merits of the pro-
cluded. Saturdays, Sundays, and Fed- ceeding with any interested person out-
eral holidays shall be included. When a side the Agency, with any Agency staff
stated time expires on a Saturday, member who performs a prosecutorial
Sunday or Federal holiday, the stated or investigative function in such pro-
time period shall be extended to in- ceeding or a factually related pro-
clude the next business day. ceeding, or with any representative of
(b) Extensions of time. The Environ- such person. Any ex parte memorandum
mental Appeals Board or the Presiding or other communication addressed to
Officer may grant an extension of time the Administrator, the Regional Ad-
for filing any document: upon timely ministrator, the Environmental Ap-
motion of a party to the proceeding, peals Board, or the Presiding Officer
for good cause shown, and after consid- during the pendency of the proceeding
eration of prejudice to other parties; or and relating to the merits thereof, by
upon its own initiative. Any motion for or on behalf of any party shall be re-
an extension of time shall be filed suf- garded as argument made in the pro-
ficiently in advance of the due date so ceeding and shall be served upon all
as to allow other parties reasonable op- other parties. The other parties shall
portunity to respond and to allow the be given an opportunity to reply to
Presiding Officer or Environmental Ap- such memorandum or communication.
peals Board reasonable opportunity to The requirements of this section shall
issue an order. not apply to any person who has for-
(c) Completion of service. Service of mally recused himself from all adju-
the complaint is complete when the re- dicatory functions in a proceeding, or
turn receipt is signed. Service of all who issues final orders only pursuant
other documents is complete upon to § 22.18(b)(3).
mailing, when placed in the custody of
a reliable commercial delivery service, § 22.9 Examination of documents filed.
or for facsimile or other electronic (a) Subject to the provisions of law
means, including but not necessarily restricting the public disclosure of con-
limited to email, upon transmission. fidential information, any person may,
Where a document is served by U.S. during Agency business hours inspect
mail, EPA internal mail, or commer- and copy any document filed in any
cial delivery service, including over- proceeding. Such documents shall be
night or same-day delivery, 3 days made available by the Regional Hear-
shall be added to the time allowed by ing Clerk, the Hearing Clerk, or the
these Consolidated Rules of Practice Clerk of the Board, as appropriate.
for the filing of a responsive document. (b) The cost of duplicating documents
The time allowed for the serving of a shall be borne by the person seeking
responsive document is not expanded copies of such documents. The Agency

by 3 days when the served document is may waive this cost in its discretion.
served by personal delivery, facsimile,
254
Subpart B—Parties and days after service of the non-party

Appearances brief.
§ 22.10 Appearances. § 22.12 Consolidation and severance.

Any party may appear in person or (a) Consolidation. The Presiding Offi-
by counsel or other representative. A cer or the Environmental Appeals
partner may appear on behalf of a part- Board may consolidate any or all mat-
nership and an officer may appear on ters at issue in two or more pro-
behalf of a corporation. Persons who ceedings subject to these Consolidated
appear as counsel or other representa- Rules of Practice where: there exist
tive must conform to the standards of common parties or common questions
conduct and ethics required of practi- of fact or law; consolidation would ex-
tioners before the courts of the United pedite and simplify consideration of
States. the issues; and consolidation would not
adversely affect the rights of parties
§ 22.11 Intervention and non-party engaged in otherwise separate pro-
briefs.
ceedings. Proceedings subject to sub-
(a) Intervention. Any person desiring part I of this part may be consolidated
to become a party to a proceeding may only upon the approval of all parties.
move for leave to intervene. A motion Where a proceeding subject to the pro-
for leave to intervene that is filed after visions of subpart I of this part is con-
the exchange of information pursuant solidated with a proceeding to which
to § 22.19(a) shall not be granted unless subpart I of this part does not apply,
the movant shows good cause for its the procedures of subpart I of this part
failure to file before such exchange of shall not apply to the consolidated pro-
information. All requirements of these ceeding.
Consolidated Rules of Practice shall
(b) Severance. The Presiding Officer
apply to a motion for leave to inter-
or the Environmental Appeals Board
vene as if the movant were a party.
may, for good cause, order any pro-
The Presiding Officer shall grant leave
to intervene in all or part of the proceedings severed with respect to any or
ceeding if: the movant claims an inter- all parties or issues.
est relating to the cause of action; a
final order may as a practical matter Subpart C—Prehearing
impair the movant’s ability to protect Procedures
that interest; and the movant’s inter-
est is not adequately represented by § 22.13 Commencement of a proceeding.
existing parties. The intervenor shall (a) Any proceeding subject to these
be bound by any agreements, arrange- Consolidated Rules of Practice is com-
ments and other matters previously menced by filing with the Regional
made in the proceeding unless other- Hearing Clerk a complaint conforming
wise ordered by the Presiding Officer or to § 22.14.
the Environmental Appeals Board for
(b) Notwithstanding paragraph (a) of
good cause.
this section, where the parties agree to
(b) Non-party briefs. Any person who
settlement of one or more causes of ac-
is not a party to a proceeding may
tion before the filing of a complaint, a
move for leave to file a non-party brief.
The motion shall identify the interest proceeding may be simultaneously
of the applicant and shall explain the commenced and concluded by the
relevance of the brief to the pro- issuance of a consent agreement and
ceeding. All requirements of these Con- final order pursuant to § 22.18(b)(2) and
solidated Rules of Practice shall apply (3).
to the motion as if the movant were a
§ 22.14 Complaint.
party. If the motion is granted, the
Presiding Officer or Environmental Ap- (a) Content of complaint. Each com-
peals Board shall issue an order setting plaint shall include:
the time for filing such brief. Any (1) A statement reciting the sec-
party to the proceeding may file a re- tion(s) of the Act authorizing the
sponse to a non-party brief within 15 issuance of the complaint;
255
§ 22.15 40 CFR Ch. I (7–1–21 Edition)
(2) Specific reference to each provi- the filing of an answer, the complain-
sion of the Act, implementing regula- ant may withdraw the complaint, or
tions, permit or order which respond- any part thereof, without prejudice
ent is alleged to have violated; only upon motion granted by the Pre-
(3) A concise statement of the factual siding Officer.
basis for each violation alleged;
(4) A description of all relief sought, § 22.15 Answer to the complaint.
including one or more of the following:
(a) General. Where respondent: Con-
(i) The amount of the civil penalty
tests any material fact upon which the
which is proposed to be assessed, and a
complaint is based; contends that the
brief explanation of the proposed pen-
alty; proposed penalty, compliance or cor-
(ii) Where a specific penalty demand rective action order, or Permit Action,
is not made, the number of violations as the case may be, is inappropriate; or
(where applicable, days of violation) contends that it is entitled to judg-
for which a penalty is sought, a brief ment as a matter of law, it shall file an
explanation of the severity of each vio- original and one copy of a written an-
lation alleged and a recitation of the swer to the complaint with the Re-
statutory penalty authority applicable gional Hearing Clerk and shall serve
for each violation alleged in the com- copies of the answer on all other par-
plaint; ties. Any such answer to the complaint
(iii) A request for a Permit Action must be filed with the Regional Hear-
and a statement of its proposed terms ing Clerk within 30 days after service
and conditions; or of the complaint.
(iv) A request for a compliance or (b) Contents of the answer. The answer
corrective action order and a state- shall clearly and directly admit, deny
ment of the terms and conditions or explain each of the factual allega-
thereof; tions contained in the complaint with
(5) Notice of respondent’s right to re- regard to which respondent has any
quest a hearing on any material fact
knowledge. Where respondent has no
alleged in the complaint, or on the ap-
knowledge of a particular factual alle-
propriateness of any proposed penalty,
gation and so states, the allegation is
compliance or corrective action order,
or Permit Action; deemed denied. The answer shall also
(6) Notice if subpart I of this part ap- state: The circumstances or arguments
plies to the proceeding; which are alleged to constitute the
(7) The address of the Regional Hear- grounds of any defense; the facts which
ing Clerk; and respondent disputes; the basis for op-
(8) Instructions for paying penalties, posing any proposed relief; and whether
if applicable. a hearing is requested.
(b) Rules of practice. A copy of these (c) Request for a hearing. A hearing
Consolidated Rules of Practice shall upon the issues raised by the complaint
accompany each complaint served. and answer may be held if requested by
(c) Amendment of the complaint. The respondent in its answer. If the re-
complainant may amend the complaint spondent does not request a hearing,
once as a matter of right at any time the Presiding Officer may hold a hear-
before the answer is filed. Otherwise ing if issues appropriate for adjudica-
the complainant may amend the com- tion are raised in the answer.
plaint only upon motion granted by the (d) Failure to admit, deny, or explain.
Presiding Officer. Respondent shall Failure of respondent to admit, deny,
have 20 additional days from the date or explain any material factual allega-
of service of the amended complaint to
tion contained in the complaint con-
file its answer.
stitutes an admission of the allegation.
(d) Withdrawal of the complaint. The
complainant may withdraw the com- (e) Amendment of the answer. The re-
plaint, or any part thereof, without spondent may amend the answer to the
prejudice one time before the answer complaint upon motion granted by the
has been filed. After one withdrawal Presiding Officer.
before the filing of an answer, or after
256
§ 22.16 Motions. Board may permit oral argument on

motions in its discretion.
(a) General. Motions shall be served
as provided by § 22.5(b)(2). Upon the fil- [64 FR 40176, July 23, 1999, as amended at 82
ing of a motion, other parties may file FR 2234, Jan. 9, 2017]
responses to the motion and the mov-
ant may file a reply to the response. § 22.17 Default.
Any additional responsive documents (a) Default. A party may be found to
shall be permitted only by order of the be in default: after motion, upon fail-
Presiding Officer or Environmental Ap- ure to file a timely answer to the com-
peals Board, as appropriate. All mo- plaint; upon failure to comply with the
tions, except those made orally on the information exchange requirements of
record during a hearing, shall: § 22.19(a) or an order of the Presiding
(1) Be in writing; Officer; or upon failure to appear at a
(2) State the grounds therefor, with conference or hearing. Default by re-
spondent constitutes, for purposes of
particularity;
the pending proceeding only, an admis-
(3) Set forth the relief sought; and sion of all facts alleged in the com-
(4) Be accompanied by any affidavit, plaint and a waiver of respondent’s
certificate, other evidence or legal right to contest such factual allega-
memorandum relied upon. tions. Default by complainant con-
(b) Response to motions. A party’s re- stitutes a waiver of complainant’s
sponse to any written motion must be right to proceed on the merits of the
filed within 15 days after service of action, and shall result in the dismissal
such motion. The movant’s reply to of the complaint with prejudice.
any written response must be filed (b) Motion for default. A motion for
within 10 days after service of such re- default may seek resolution of all or
sponse and shall be limited to issues part of the proceeding. Where the mo-
raised in the response. The Presiding tion requests the assessment of a pen-
Officer or the Environmental Appeals alty or the imposition of other relief
Board may set a shorter or longer time against a defaulting party, the movant
for response or reply, or make other or- must specify the penalty or other relief
ders concerning the disposition of mo- sought and state the legal and factual
tions. The response or reply shall be grounds for the relief requested.
accompanied by any affidavit, certifi- (c) Default order. When the Presiding
cate, other evidence, or legal memo- Officer finds that default has occurred,
randum relied upon. Any party who he shall issue a default order against
fails to respond within the designated the defaulting party as to any or all
period waives any objection to the parts of the proceeding unless the
granting of the motion. record shows good cause why a default
order should not be issued. If the order
(c) Decision. The Regional Judicial
resolves all outstanding issues and
Officer (or in a proceeding commenced
claims in the proceeding, it shall con-
at EPA Headquarters, an Administra-
stitute the initial decision under these
tive Law Judge) shall rule on all mo- Consolidated Rules of Practice. The re-
tions filed or made before an answer to lief proposed in the complaint or the
the complaint is filed. Except as promotion for default shall be ordered un-
vided in §§ 22.29(c) and 22.51, an Admin- less the requested relief is clearly in-
istrative Law Judge shall rule on all consistent with the record of the pro-
motions filed or made after an answer ceeding or the Act. For good cause
is filed and before an initial decision shown, the Presiding Officer may set
becomes final or has been appealed. aside a default order.
The Environmental Appeals Board (d) Payment of penalty; effective date of
shall rule as provided in § 22.29(c) and compliance or corrective action orders,
on all motions filed or made after an and Permit Actions. Any penalty as-
appeal of the initial decision is filed, sessed in the default order shall be-
except as provided pursuant to § 22.28. come due and payable by respondent

(d) Oral argument. The Presiding Offi- without further proceedings 30 days
cer or the Environmental Appeals after the default order becomes final
257
§ 22.18 40 CFR Ch. I (7–1–21 Edition)
under § 22.27(c). Any default order re- Board, shall issue a final order. Pay-
quiring compliance or corrective ac- ment by respondent shall constitute a
tion shall be effective and enforceable waiver of respondent’s rights to con-
without further proceedings on the test the allegations and to appeal the
date the default order becomes final final order.
under § 22.27(c). Any Permit Action or- (b) Settlement. (1) The Agency encour-
dered in the default order shall become ages settlement of a proceeding at any
effective without further proceedings time if the settlement is consistent
on the date that the default order be- with the provisions and objectives of
comes final under § 22.27(c). the Act and applicable regulations. The
parties may engage in settlement dis-
§ 22.18 Quick resolution; settlement;
alternative dispute resolution. cussions whether or not the respondent
requests a hearing. Settlement discus-
(a) Quick resolution. (1) A respondent sions shall not affect the respondent’s
may resolve the proceeding at any time obligation to file a timely answer
by paying the specific penalty proposed under § 22.15.
in the complaint or in complainant’s
(2) Consent agreement. Any and all
prehearing exchange in full as specified
terms and conditions of a settlement
by complainant and by filing with the
shall be recorded in a written consent
Regional Hearing Clerk a copy of the
agreement signed by all parties or
check or other instrument of payment.
their representatives. The consent
If the complaint contains a specific
agreement shall state that, for the pur-
proposed penalty and respondent pays
pose of the proceeding, respondent: Ad-
that proposed penalty in full within 30
mits the jurisdictional allegations of
days after receiving the complaint,
the complaint; admits the facts stipu-
then no answer need be filed. This
paragraph (a) shall not apply to any lated in the consent agreement or nei-
complaint which seeks a compliance or ther admits nor denies specific factual
corrective action order or Permit Ac- allegations contained in the complaint;
tion. In a proceeding subject to the consents to the assessment of any stat-
public comment provisions of § 22.45, ed civil penalty, to the issuance of any
this quick resolution is not available specified compliance or corrective ac-
until 10 days after the close of the com- tion order, to any conditions specified
ment period. in the consent agreement, and to any
(2) Any respondent who wishes to re- stated Permit Action; and waives any
solve a proceeding by paying the pro- right to contest the allegations and its
posed penalty instead of filing an an- right to appeal the proposed final order
swer, but who needs additional time to accompanying the consent agreement.
pay the penalty, may file a written Where complainant elects to com-
statement with the Regional Hearing mence a proceeding pursuant to
Clerk within 30 days after receiving the § 22.13(b), the consent agreement shall
complaint stating that the respondent also contain the elements described at
agrees to pay the proposed penalty in § 22.14(a)(1)-(3) and (8). The parties shall
accordance with paragraph (a)(1) of forward the executed consent agree-
this section. The written statement ment and a proposed final order to the
need not contain any response to, or Regional Judicial Officer or Regional
admission of, the allegations in the Administrator, or, in a proceeding
complaint. Within 60 days after receiv- commenced at EPA Headquarters, the
ing the complaint, the respondent shall Environmental Appeals Board.
pay the full amount of the proposed (3) Conclusion of proceeding. No settle-
penalty. Failure to make such payment ment or consent agreement shall dis-
within 60 days of receipt of the com- pose of any proceeding under these
plaint may subject the respondent to Consolidated Rules of Practice without
default pursuant to § 22.17. a final order from the Regional Judi-
(3) Upon receipt of payment in full, cial Officer or Regional Administrator,
the Regional Judicial Officer or Re- or, in a proceeding commenced at EPA
gional Administrator, or, in a pro- Headquarters, the Environmental Ap-

ceeding commenced at EPA Head- peals Board, ratifying the parties’ con-
quarters, the Environmental Appeals sent agreement.
258
(c) Scope of resolution or settlement. tion exchange shall not be admitted

Full payment of the penalty proposed into evidence, and any witness whose
in a complaint pursuant to paragraph name and testimony summary has not
(a) of this section or settlement pursu- been included in prehearing informa-
ant to paragraph (b) of this section tion exchange shall not be allowed to
shall not in any case affect the right of testify. Parties are not required to ex-
the Agency or the United States to change information relating to settle-
pursue appropriate injunctive or other ment which would be excluded in the
equitable relief or criminal sanctions federal courts under Rule 408 of the
for any violations of law. Full payment Federal Rules of Evidence. Documents
of the penalty proposed in a complaint and exhibits shall be marked for identi-
pursuant to paragraph (a) of this sec- fication as ordered by the Presiding Of-
tion or settlement pursuant to para- ficer.
graph (b) of this section shall only re- (2) Each party’s prehearing informa-
solve respondent’s liability for Federal tion exchange shall contain:
civil penalties for the violations and (i) The names of any expert or other
facts alleged in the complaint. witnesses it intends to call at the hear-
(d) Alternative means of dispute resolu- ing, together with a brief narrative
tion. (1) The parties may engage in any summary of their expected testimony,
process within the scope of the Alter- or a statement that no witnesses will
native Dispute Resolution Act be called; and (ii) Copies of all docu-
(‘‘ADRA’’), 5 U.S.C. 581 et seq., which ments and exhibits which it intends to
may facilitate voluntary settlement ef- introduce into evidence at the hearing.
forts. Such process shall be subject to (3) If the proceeding is for the assess-
the confidentiality provisions of the ment of a penalty and complainant has
ADRA. already specified a proposed penalty,
(2) Dispute resolution under this complainant shall explain in its pre-
paragraph (d) does not divest the Pre- hearing information exchange how the
siding Officer of jurisdiction and does proposed penalty was calculated in ac-
not automatically stay the proceeding. cordance with any criteria set forth in
All provisions of these Consolidated the Act, and the respondent shall ex-
Rules of Practice remain in effect not- plain in its prehearing information ex-
withstanding any dispute resolution change why the proposed penalty
proceeding. should be reduced or eliminated.
(3) The parties may choose any per- (4) If the proceeding is for the assess-
son to act as a neutral, or may move ment of a penalty and complainant has
for the appointment of a neutral. If the not specified a proposed penalty, each
Presiding Officer grants a motion for party shall include in its prehearing in-
the appointment of a neutral, the Pre- formation exchange all factual infor-
siding Officer shall forward the motion mation it considers relevant to the as-
to the Chief Administrative Law sessment of a penalty. Within 15 days
Judge, except in proceedings under sub- after respondent files its prehearing in-
part I of this part, in which the Pre- formation exchange, complainant shall
siding Officer shall forward the motion file a document specifying a proposed
to the Regional Administrator. The penalty and explaining how the pro-
Chief Administrative Law Judge or Re- posed penalty was calculated in accord-
gional Administrator, as appropriate, ance with any criteria set forth in the
shall designate a qualified neutral. Act.
(b) Prehearing conference. The Pre-
§ 22.19 Prehearing information ex- siding Officer, at any time before the
change; prehearing conference; hearing begins, may direct the parties
other discovery. and their counsel or other representa-
(a) Prehearing information exchange. tives to participate in a conference to
(1) In accordance with an order issued consider:
by the Presiding Officer, each party (1) Settlement of the case;
shall file a prehearing information ex- (2) Simplification of issues and stipu-
change. Except as provided in § 22.22(a), lation of facts not in dispute;

a document or exhibit that has not (3) The necessity or desirability of
been included in prehearing informa- amendments to pleadings;
259
§ 22.19 40 CFR Ch. I (7–1–21 Edition)
(4) The exchange of exhibits, docu- (2) Settlement positions and informa-
ments, prepared testimony, and admis- tion regarding their development (such
sions or stipulations of fact which will as penalty calculations for purposes of
avoid unnecessary proof; settlement based upon Agency settle-
(5) The limitation of the number of ment policies) shall not be discover-
expert or other witnesses; able.
(6) The time and place for the hear- (3) The Presiding Officer may order
ing; and depositions upon oral questions only in
(7) Any other matters which may ex- accordance with paragraph (e)(1) of this
pedite the disposition of the pro- section and upon an additional finding
ceeding. that:
(c) Record of the prehearing conference. (i) The information sought cannot
No transcript of a prehearing con- reasonably be obtained by alternative
ference relating to settlement shall be methods of discovery; or
made. With respect to other prehearing (ii) There is a substantial reason to
conferences, no transcript of any pre- believe that relevant and probative evi-
hearing conferences shall be made un- dence may otherwise not be preserved
less ordered by the Presiding Officer. for presentation by a witness at the
The Presiding Officer shall ensure that hearing.
the record of the proceeding includes (4) The Presiding Officer may require
any stipulations, agreements, rulings the attendance of witnesses or the pro-
or orders made during the conference. duction of documentary evidence by
(d) Location of prehearing conference. subpoena, if authorized under the Act.
The prehearing conference shall be The Presiding Officer may issue a sub-
held in the county where the respond- poena for discovery purposes only in
ent resides or conducts the business accordance with paragraph (e)(1) of this
which the hearing concerns, in the city section and upon an additional showing
in which the relevant Environmental of the grounds and necessity therefor.
Protection Agency Regional Office is Subpoenas shall be served in accord-
located, or in Washington, DC, unless ance with § 22.5(b)(1). Witnesses sum-
the Presiding Officer determines that moned before the Presiding Officer
there is good cause to hold it at an- shall be paid the same fees and mileage
other location or by telephone. that are paid witnesses in the courts of
(e) Other discovery. (1) After the infor- the United States. Any fees shall be
mation exchange provided for in para- paid by the party at whose request the
graph (a) of this section, a party may witness appears. Where a witness ap-
move for additional discovery. The mo- pears pursuant to a request initiated
tion shall specify the method of dis- by the Presiding Officer, fees shall be
covery sought, provide the proposed paid by the Agency.
discovery instruments, and describe in (5) Nothing in this paragraph (e) shall
detail the nature of the information limit a party’s right to request admis-
and/or documents sought (and, where sions or stipulations, a respondent’s
relevant, the proposed time and place right to request Agency records under
where discovery would be conducted). the Federal Freedom of Information
The Presiding Officer may order such Act, 5 U.S.C. 552, or EPA’s authority
other discovery only if it: under any applicable law to conduct in-
(i) Will neither unreasonably delay spections, issue information request
the proceeding nor unreasonably bur- letters or administrative subpoenas, or
den the non-moving party; otherwise obtain information.
(ii) Seeks information that is most (f) Supplementing prior exchanges. A
reasonably obtained from the non-mov- party who has made an information ex-
ing party, and which the non-moving change under paragraph (a) of this sec-
party has refused to provide volun- tion, or who has exchanged informa-
tarily; and tion in response to a request for infor-
(iii) Seeks information that has sig- mation or a discovery order pursuant
nificant probative value on a disputed to paragraph (e) of this section, shall

issue of material fact relevant to li- promptly supplement or correct the ex-
ability or the relief sought. change when the party learns that the
260
information exchanged or response pro- Subpart D—Hearing Procedures

vided is incomplete, inaccurate or out-
dated, and the additional or corrective § 22.21 Assignment of Presiding Offi-
information has not otherwise been cer; scheduling the hearing.
disclosed to the other party pursuant (a) Assignment of Presiding Officer.
to this section. When an answer is filed, the Regional
(g) Failure to exchange information. Hearing Clerk shall forward a copy of
Where a party fails to provide informa- the complaint, the answer, and any
tion within its control as required pur- other documents filed in the pro-
suant to this section, the Presiding Of- ceeding to the Chief Administrative
ficer may, in his discretion: Law Judge who shall serve as Presiding
(1) Infer that the information would Officer or assign another Administra-
be adverse to the party failing to pro- tive Law Judge as Presiding Officer.
vide it; The Presiding Officer shall then obtain
(2) Exclude the information from evi- the case file from the Chief Adminis-
dence; or trative Law Judge and notify the par-
(3) Issue a default order under ties of his assignment.
§ 22.17(c). (b) Notice of hearing. The Presiding
Officer shall hold a hearing if the pro-
§ 22.20 Accelerated decision; decision ceeding presents genuine issues of ma-
to dismiss. terial fact. The Presiding Officer shall
(a) General. The Presiding Officer serve upon the parties a notice of hear-
may at any time render an accelerated ing setting forth a time and place for
decision in favor of a party as to any or the hearing not later than 30 days prior
all parts of the proceeding, without to the date set for the hearing. The
further hearing or upon such limited Presiding Officer may require the at-
additional evidence, such as affidavits, tendance of witnesses or the produc-
as he may require, if no genuine issue tion of documentary evidence by sub-
of material fact exists and a party is poena, if authorized under the Act,
entitled to judgment as a matter of upon a showing of the grounds and ne-
law. The Presiding Officer, upon mo- cessity therefor, and the materiality
tion of the respondent, may at any and relevancy of the evidence to be ad-
time dismiss a proceeding without fur- duced.
ther hearing or upon such limited addi- (c) Postponement of hearing. No re-
tional evidence as he requires, on the quest for postponement of a hearing
basis of failure to establish a prima shall be granted except upon motion
facie case or other grounds which show and for good cause shown.
no right to relief on the part of the (d) Location of the hearing. The loca-
complainant. tion of the hearing shall be determined
(b) Effect. (1) If an accelerated deci- in accordance with the method for de-
sion or a decision to dismiss is issued termining the location of a prehearing
as to all issues and claims in the pro- conference under § 22.19(d).
ceeding, the decision constitutes an
initial decision of the Presiding Offi- § 22.22 Evidence.
cer, and shall be filed with the Re- (a) General. (1) The Presiding Officer
gional Hearing Clerk. shall admit all evidence which is not
(2) If an accelerated decision or a de- irrelevant, immaterial, unduly repeti-
cision to dismiss is rendered on less tious, unreliable, or of little probative
than all issues or claims in the pro- value, except that evidence relating to
ceeding, the Presiding Officer shall de- settlement which would be excluded in
termine what material facts exist with- the federal courts under Rule 408 of the
out substantial controversy and what Federal Rules of Evidence (28 U.S.C.) is
material facts remain controverted. not admissible. If, however, a party
The partial accelerated decision or the fails to provide any document, exhibit,
order dismissing certain counts shall witness name or summary of expected
specify the facts which appear substan- testimony required to be exchanged
tially uncontroverted, and the issues under § 22.19 (a), (e) or (f) to all parties
and claims upon which the hearing will at least 15 days before the hearing
proceed. date, the Presiding Officer shall not
261
§ 22.23 40 CFR Ch. I (7–1–21 Edition)
admit the document, exhibit or testi- testimony and shall be subject to ap-
mony into evidence, unless the non-ex- propriate oral cross-examination.
changing party had good cause for fail- (d) Admission of affidavits where the
ing to exchange the required informa- witness is unavailable. The Presiding Of-
tion and provided the required informa- ficer may admit into evidence affida-
tion to all other parties as soon as it vits of witnesses who are unavailable.
had control of the information, or had The term ‘‘unavailable’’ shall have the
good cause for not doing so. meaning accorded to it by Rule 804(a)
(2) In the presentation, admission, of the Federal Rules of Evidence.
disposition, and use of oral and written (e) Exhibits. Where practicable, an
evidence, EPA officers, employees and original and one copy of each exhibit
authorized representatives shall pre- shall be filed with the Presiding Officer
serve the confidentiality of informa- for the record and a copy shall be fur-
tion claimed confidential, whether or nished to each party. A true copy of
not the claim is made by a party to the any exhibit may be substituted for the
proceeding, unless disclosure is author- original.
ized pursuant to 40 CFR part 2. A busi-
(f) Official notice. Official notice may
ness confidentiality claim shall not
be taken of any matter which can be
prevent information from being intro-
judicially noticed in the Federal courts
duced into evidence, but shall instead
and of other facts within the special-
require that the information be treated
in accordance with 40 CFR part 2, sub- ized knowledge and experience of the
part B. The Presiding Officer or the En- Agency. Opposing parties shall be given
vironmental Appeals Board may con- adequate opportunity to show that
sider such evidence in a proceeding such facts are erroneously noticed.
closed to the public, and which may be
§ 22.23 Objections and offers of proof.
before some, but not all, parties, as
necessary. Such proceeding shall be (a) Objection. Any objection con-
closed only to the extent necessary to cerning the conduct of the hearing may
comply with 40 CFR part 2, subpart B, be stated orally or in writing during
for information claimed confidential. the hearing. The party raising the ob-
Any affected person may move for an jection must supply a short statement
order protecting the information of its grounds. The ruling by the Pre-
claimed confidential. siding Officer on any objection and the
(b) Examination of witnesses. Wit- reasons given for it shall be part of the
nesses shall be examined orally, under record. An exception to each objection
oath or affirmation, except as other- overruled shall be automatic and is not
wise provided in paragraphs (c) and (d) waived by further participation in the
of this section or by the Presiding Offi- hearing.
cer. Parties shall have the right to (b) Offers of proof. Whenever the Pre-
cross-examine a witness who appears at siding Officer denies a motion for ad-
the hearing provided that such cross- mission into evidence, the party offer-
examination is not unduly repetitious. ing the information may make an offer
(c) Written testimony. The Presiding of proof, which shall be included in the
Officer may admit and insert into the record. The offer of proof for excluded
record as evidence, in lieu of oral testi- oral testimony shall consist of a brief
mony, written testimony prepared by a
statement describing the nature of the
witness. The admissibility of any part
information excluded. The offer of
of the testimony shall be subject to the
proof for excluded documents or exhib-
same rules as if the testimony were
its shall consist of the documents or
produced under oral examination. Be-
fore any such testimony is read or ad- exhibits excluded. Where the Environ-
mitted into evidence, the party who mental Appeals Board decides that the
has called the witness shall deliver a ruling of the Presiding Officer in ex-
copy of the testimony to the Presiding cluding the information from evidence
Officer, the reporter, and opposing was both erroneous and prejudicial, the
counsel. The witness presenting the hearing may be reopened to permit the
testimony shall swear to or affirm the taking of such evidence.
262
§ 22.24 Burden of presentation; burden filing these documents and any reply
of persuasion; preponderance of the briefs, but shall not require them be-
evidence standard. fore the last date for filing motions
(a) The complainant has the burdens under § 22.25 to conform the transcript
of presentation and persuasion that the to the actual testimony. All submis-
violation occurred as set forth in the sions shall be in writing, shall be
complaint and that the relief sought is served upon all parties, and shall con-
appropriate. Following complainant’s tain adequate references to the record
establishment of a prima facie case, re- and authorities relied on.
spondent shall have the burden of pre-
senting any defense to the allegations Subpart E—Initial Decision, Motion
set forth in the complaint and any re-
sponse or evidence with respect to the
To Reopen a Hearing, and
appropriate relief. The respondent has Motion To Set Aside a Default
the burdens of presentation and persua- Order
sion for any affirmative defenses.
(b) Each matter of controversy shall § 22.27 Initial Decision.
be decided by the Presiding Officer (a) Filing and contents. After the pe-
upon a preponderance of the evidence. riod for filing briefs under § 22.26 has
expired, the Presiding Officer shall
§ 22.25 Filing the transcript.
issue an initial decision. The initial de-
The hearing shall be transcribed ver- cision shall contain findings of fact,
batim. Promptly following the taking conclusions regarding all material
of the last evidence, the reporter shall issues of law or discretion, as well as
transmit to the Regional Hearing Clerk reasons therefor, and, if appropriate, a
the original and as many copies of the recommended civil penalty assessment,
transcript of testimony as are called compliance order, corrective action
for in the reporter’s contract with the order, or Permit Action. Upon receipt
Agency, and also shall transmit to the of an initial decision, the Regional
Presiding Officer a copy of the tran- Hearing Clerk shall forward copies of
script. A certificate of service shall ac- the initial decision to the Environ-
company each copy of the transcript. mental Appeals Board and the Assist-
The Regional Hearing Clerk shall no-
ant Administrator for the Office of En-
tify all parties of the availability of
forcement and Compliance Assurance.
the transcript and shall furnish the
parties with a copy of the transcript (b) Amount of civil penalty. If the Pre-
upon payment of the cost of reproduc- siding Officer determines that a viola-
tion, unless a party can show that the tion has occurred and the complaint
cost is unduly burdensome. Any person seeks a civil penalty, the Presiding Of-
not a party to the proceeding may re- ficer shall determine the amount of the
ceive a copy of the transcript upon recommended civil penalty based on
payment of the reproduction fee, ex- the evidence in the record and in ac-
cept for those parts of the transcript cordance with any penalty criteria set
ordered to be kept confidential by the forth in the Act. The Presiding Officer
Presiding Officer. Any party may file a shall consider any civil penalty guide-
motion to conform the transcript to lines issued under the Act. The Pre-
the actual testimony within 30 days siding Officer shall explain in detail in
after receipt of the transcript, or 45 the initial decision how the penalty to
days after the parties are notified of be assessed corresponds to any penalty
the availability of the transcript, criteria set forth in the Act. If the Pre-
whichever is sooner. siding Officer decides to assess a pen-
alty different in amount from the pen-
§ 22.26 Proposed findings, conclusions, alty proposed by complainant, the Pre-
and order. siding Officer shall set forth in the ini-
After the hearing, any party may file tial decision the specific reasons for
proposed findings of fact, conclusions the increase or decrease. If the re-
of law, and a proposed order, together spondent has defaulted, the Presiding
with briefs in support thereof. The Pre- Officer shall not assess a penalty great-
siding Officer shall set a schedule for er than that proposed by complainant
263
§ 22.28 40 CFR Ch. I (7–1–21 Edition)
in the complaint, the prehearing infor- may file with the Headquarters or Re-
mation exchange or the motion for de- gional Hearing Clerk, as appropriate,
fault, whichever is less. and serve on all other parties a re-
(c) Effect of initial decision. The initial sponse. A reopened hearing shall be
decision of the Presiding Officer shall governed by the applicable sections of
become a final order 45 days after its these Consolidated Rules of Practice.
service upon the parties and without The timely filing of a motion to reopen
further proceedings unless: a hearing shall automatically toll the
(1) A party moves to reopen the hear- running of the time periods for an ini-
ing; tial decision becoming final under
(2) A party appeals the initial deci- § 22.27(c), for appeal under § 22.30, and
sion to the Environmental Appeals for the Environmental Appeals Board
Board; to elect to review the initial decision
(3) A party moves to set aside a de- on its own initiative pursuant to
fault order that constitutes an initial § 22.30(b). These time periods begin
decision; or again in full when the Presiding Officer
(4) The Environmental Appeals Board
serves an order denying the motion to
elects to review the initial decision on
reopen the hearing or an amended deci-
its own initiative.
sion. The Presiding Officer may sum-
(d) Exhaustion of administrative rem-
marily deny subsequent motions to re-
edies. Where a respondent fails to ap-
open a hearing filed by the same party
peal an initial decision to the Environ-
mental Appeals Board pursuant to if the Presiding Officer determines that
§ 22.30 and that initial decision becomes the motion was filed to delay the final-
a final order pursuant to paragraph (c) ity of the decision.
of this section, respondent waives its (b) Motion to set aside default order—
rights to judicial review. An initial de- (1) Filing and content. A motion to set
cision that is appealed to the Environ- aside a default order must be filed no
mental Appeals Board shall not be final later than 20 days after service of the
or operative pending the Environ- initial decision and shall state the spe-
mental Appeals Board’s issuance of a cific grounds upon which relief is
final order. sought. The motion shall be made to
the Presiding Officer and filed with the
§ 22.28 Motion to reopen a hearing or Headquarters or Regional Hearing
to set aside a default order. Clerk, as appropriate. A copy of the
(a) Motion to reopen a hearing—(1) Fil- motion shall be filed with the Clerk of
ing and content. A motion to reopen a the Board in the manner prescribed by
hearing to take further evidence must § 22.5(a)(1).
be filed no later than 20 days after (2) Effect of motion to set aside default.
service of the initial decision and shall The timely filing of a motion to set
state the specific grounds upon which aside a default order automatically
relief is sought. Where the movant tolls the running of the time periods
seeks to introduce new evidence, the for an initial decision becoming final
motion shall: State briefly the nature under § 22.27(c), for appeal under
and purpose of the evidence to be ad- § 22.30(a), and for the Environmental
duced; show that such evidence is not Appeals Board to elect to review the
cumulative; and show good cause why initial decision on its own initiative
such evidence was not adduced at the pursuant to § 22.30(b). These time peri-
hearing. The motion shall be made to ods begin again in full when the Pre-
the Presiding Officer and filed with the siding Officer serves an order denying
Headquarters or Regional Hearing the motion to set aside or an amended
Clerk, as appropriate. A copy of the decision. The Presiding Officer may
motion shall be filed with the Clerk of summarily deny subsequent motions to
the Board in the manner prescribed by set aside a default order filed by the
§ 22.5(a)(1). same party if the Presiding Officer de-
(2) Disposition of motion to reopen a termines that the motion was filed to
hearing. Within 15 days following the

delay the finality of the decision.
service of a motion to reopen a hear-
ing, any other party to the proceeding [82 FR 2235, Jan. 9, 2017]
264
Subpart F—Appeals and and who may appeal. Within 30 days

Administrative Review after the initial decision is served, any
party may file an appeal from any ad-
§ 22.29 Appeal from or review of inter- verse order or ruling of the Presiding
locutory orders or rulings. Officer.
(a) Request for interlocutory appeal. (ii) Filing requirements. Appellant
Appeals from orders or rulings other must file a notice of appeal and an ac-
than an initial decision shall be al- companying appellate brief with the
lowed only at the discretion of the En- Environmental Appeals Board as set
vironmental Appeals Board. A party forth in § 22.5(a). One copy of any docu-
seeking interlocutory appeal of such ment filed with the Clerk of the Board
orders or rulings to the Environmental shall also be served on the Head-
Appeals Board shall file a motion with- quarters or Regional Hearing Clerk, as
in 10 days of service of the order or rul- appropriate. Appellant also shall serve
ing, requesting that the Presiding Offi- a copy of the notice of appeal upon the
cer forward the order or ruling to the Presiding Officer. Appellant shall si-
Environmental Appeals Board for re- multaneously serve one copy of the no-
view, and stating briefly the grounds tice and brief upon all other parties
for the appeal. and non-party participants.
(b) Availability of interlocutory appeal. (iii) Content. The notice of appeal
The Presiding Officer may recommend shall summarize the order or ruling, or
any order or ruling for review by the part thereof, appealed from. The appel-
Environmental Appeals Board when: lant’s brief shall contain tables of con-
(1) The order or ruling involves an tents and authorities (with appropriate
important question of law or policy page references), a statement of the
concerning which there is substantial issues presented for review, a state-
grounds for difference of opinion; and ment of the nature of the case and the
(2) Either an immediate appeal from facts relevant to the issues presented
the order or ruling will materially ad-
for review (with specific citation or
vance the ultimate termination of the
other appropriate reference to the
proceeding, or review after the final
record (e.g., by including the document
order is issued will be inadequate or in-
name and page number)), argument on
effective.
the issues presented, a short conclusion
(c) Interlocutory review. If the Pre-
stating the precise relief sought, alter-
siding Officer has recommended review
native findings of fact, and alternative
and the Environmental Appeals Board
determines that interlocutory review is conclusions regarding issues of law or
inappropriate, or takes no action with- discretion. If any appellant includes at-
in 30 days of the Presiding Officer’s rec- tachments to its notice of appeal or ap-
ommendation, the appeal is dismissed. pellate brief, the notice of appeal or ap-
When the Presiding Officer declines to pellate brief shall contain a table that
recommend review of an order or rul- provides the title of each appended doc-
ing, it may be reviewed by the Environ- ument and assigns a label identifying
mental Appeals Board only upon appeal where it may be found in the record.
from the initial decision, except when (iv) Multiple appeals. If a timely no-
the Environmental Appeals Board de- tice of appeal is filed by a party, any
termines, upon motion of a party and other party may file a notice of appeal
in exceptional circumstances, that to and accompanying appellate brief on
delay review would be contrary to the any issue within 20 days after the date
public interest. Such motion shall be on which the first notice of appeal was
filed within 10 days of service of an served or within the time to appeal in
order of the Presiding Officer refusing paragraph (a)(1)(i) of this section,
to recommend such order or ruling for whichever period ends later.
interlocutory review. (2) Response brief. Within 20 days of
service of notices of appeal and briefs
§ 22.30 Appeal from or review of initial under paragraph (a)(1) of this section,
decision. any other party or non-party partici-

(a) Notice of appeal and appeal brief— pant may file with the Environmental
(1) Filing an appeal—(i) Filing deadline Appeals Board an original and one copy
265
§ 22.30 40 CFR Ch. I (7–1–21 Edition)
of a response brief responding to argu- filers may comply with a 15-page limit.
ments raised by the appellant, together Headings, footnotes, and quotations
with specific citation or other appro- count toward the word or page-length
priate reference to the record, initial limitation. The Environmental Appeals
decision, and opposing brief (e.g., by in- Board may exclude any motion that
cluding the document name and page does not meet word limitations. Where
number). Appellee shall simulta- a party can demonstrate a compelling
neously serve one copy of the response and documented need to exceed such
brief upon each party, non-party par- limitations, such party must seek ad-
ticipant, and the Regional Hearing vance leave of the Environmental Ap-
Clerk. Response briefs shall be limited peals Board. Such requests are discour-
to the scope of the appeal brief. If any aged and will be granted only in un-
responding party or non-party partici- usual circumstances.
pant includes attachments to its re- (b) Review initiated by the Environ-
sponse brief, the response brief shall mental Appeals Board. Whenever the En-
contain a table that provides the title vironmental Appeals Board determines
of each appended document and assigns to review an initial decision on its own
a label identifying where it may be initiative, it shall issue an order noti-
found in the record. Further briefs may fying the parties and the Presiding Of-
be filed only with leave of the Environ- ficer of its intent to review that deci-
mental Appeals Board. sion. The Clerk of the Board shall serve
(3) Length—(i) Briefs. Unless other- the order upon the Regional Hearing
wise ordered by the Environmental Ap- Clerk, the Presiding Officer, and the
peals Board, appellate and response parties within 45 days after the initial
briefs may not exceed 14,000 words, and decision was served upon the parties.
all other briefs may not exceed 7000 In that order or in a later order, the
words. Filers may rely on the word- Environmental Appeals Board shall
processing system used to determine identify any issues to be briefed by the
the word count. As an alternative to parties and establish a time schedule
this word limitation, filers may com- for filing and service of briefs.
ply with a 30-page limit for appellate (c) Scope of appeal or review. The par-
and response briefs, or a 15-page limit ties’ rights of appeal shall be limited to
for replies. Headings, footnotes, and those issues raised during the course of
quotations count toward the word limi- the proceeding and by the initial deci-
tation. The table of contents, table of sion, and to issues concerning subject
authorities, table of attachments (if matter jurisdiction. If the Environ-
any), statement requesting oral argu- mental Appeals Board determines that
ment (if any), statement of compliance issues raised, but not appealed by the
with the word limitation, and any at- parties, should be argued, it shall give
tachments do not count toward the the parties written notice of such de-
word or page-length limitation. The termination to allow preparation of
Environmental Appeals Board may ex- adequate argument. The Environ-
clude any appeal, response, or other mental Appeals Board may remand the
brief that does not meet word or page- case to the Presiding Officer for further
length limitations. Where a party can proceedings.
demonstrate a compelling and docu- (d) Argument before the Environmental
mented need to exceed such limita- Appeals Board. The Environmental Ap-
tions, such party must seek advance peals Board may, at its discretion in
leave of the Environmental Appeals response to a request or on its own ini-
Board to file a longer brief. Such re- tiative, order oral argument on any or
quests are discouraged and will be all issues in a proceeding. To request
granted only in unusual circumstances. oral argument, a party must include in
(ii) Motions. Unless otherwise ordered its substantive brief a statement ex-
by the Environmental Appeals Board, plaining why oral argument is nec-
motions and any responses or replies essary. The Environmental Appeals
may not exceed 7000 words. Filers may Board may, by order, establish addi-
rely on the word-processing system tional procedures governing any oral

used to determine the word count. As argument before the Environmental
an alternative to this word limitation, Appeals Board.
266
(e) Motions on appeal—(1) General. All a proceeding. The final order shall not
motions made during the course of an in any case affect the right of the
appeal shall conform to § 22.16 unless Agency or the United States to pursue
otherwise provided. In advance of filing appropriate injunctive or other equi-
a motion, parties must attempt to as- table relief or criminal sanctions for
certain whether the other party(ies) any violations of law. The final order
concur(s) or object(s) to the motion shall resolve only those causes of ac-
and must indicate in the motion the tion alleged in the complaint, or for
attempt made and the response ob- proceedings commenced pursuant to
tained. § 22.13(b), alleged in the consent agree-
(2) Disposition of a motion for a proce- ment. The final order does not waive,
dural order. The Environmental Ap- extinguish or otherwise affect respond-
peals Board may act on a motion for a ent’s obligation to comply with all ap-
procedural order at any time without plicable provisions of the Act and regu-
awaiting a response. lations promulgated thereunder.
(3) Timing on motions for extension of (b) Effective date. A final order is ef-
time. Parties must file motions for ex- fective upon filing. Where an initial de-
tensions of time sufficiently in advance cision becomes a final order pursuant
of the due date to allow other parties to § 22.27(c), the final order is effective
to have a reasonable opportunity to re- 45 days after the initial decision is
spond to the request for more time and served on the parties.
to provide the Environmental Appeals (c) Payment of a civil penalty. The re-
Board with a reasonable opportunity to spondent shall pay the full amount of
issue an order. any civil penalty assessed in the final
(f) Decision. The Environmental Ap- order within 30 days after the effective
peals Board shall adopt, modify, or set date of the final order unless otherwise
aside the findings of fact and conclu- ordered. Payment shall be made by
sions of law or discretion contained in sending a cashier’s check or certified
the decision or order being reviewed, check to the payee specified in the
and shall set forth in the final order complaint, unless otherwise instructed
the reasons for its actions. The Envi- by the complainant. The check shall
ronmental Appeals Board may assess a note the case title and docket number.
penalty that is higher or lower than Respondent shall serve copies of the
the amount recommended to be as- check or other instrument of payment
sessed in the decision or order being re- on the Regional Hearing Clerk and on
viewed or from the amount sought in complainant. Collection of interest on
the complaint, except that if the order overdue payments shall be in accord-
being reviewed is a default order, the ance with the Debt Collection Act, 31
Environmental Appeals Board may not U.S.C. 3717.
increase the amount of the penalty (d) Other relief. Any final order re-
above that proposed in the complaint quiring compliance or corrective ac-
or in the motion for default, whichever tion, or a Permit Action, shall become
is less. The Environmental Appeals effective and enforceable without fur-
Board may adopt, modify or set aside ther proceedings on the effective date
any recommended compliance or cor- of the final order unless otherwise or-
rective action order or Permit Action. dered.
The Environmental Appeals Board may (e) Final orders to Federal agencies on
remand the case to the Presiding Offi- appeal. (1) A final order of the Environ-
cer for further action. mental Appeals Board issued pursuant
[64 FR 40176, July 23, 1999, as amended at 68 to § 22.30 to a department, agency, or
FR 2204, Jan. 16, 2003; 69 FR 77639, Dec. 28, instrumentality of the United States
2004; 79 FR 65901, Nov. 6, 2014; 80 FR 13252, shall become effective 30 days after its
Mar. 13, 2015; 82 FR 2235, Jan. 9, 2017] service upon the parties unless the
head of the affected department, agen-
Subpart G—Final Order cy, or instrumentality requests a con-
ference with the Administrator in writ-
§ 22.31 Final order. ing and serves a copy of the request on

(a) Effect of final order. A final order the parties of record within 30 days of
constitutes the final Agency action in service of the final order. If a timely
267
§ 22.32 40 CFR Ch. I (7–1–21 Edition)
request is made, a decision by the Ad- civil penalty or a final determination

ministrator shall become the final of nonconforming engines, vehicles or
order. equipment, the person to whom the
(2) A motion for reconsideration pur- order or determination is to be issued
suant to § 22.32 shall not toll the 30-day shall be given written notice of the
period described in paragraph (e)(1) of proposed issuance of the order or deter-
this section unless specifically so or- mination. Service of a complaint or a
dered by the Environmental Appeals consent agreement and final order pur-
Board. suant to § 22.13 satisfies these notice re-
quirements.
§ 22.32 Motion to reconsider a final
order. [81 FR 73971, Oct. 25, 2016]
Motions to reconsider a final order § 22.35 Supplemental rules governing

issued pursuant to § 22.30 shall be filed the administrative assessment of
within 10 days after service of the final civil penalties under the Federal In-
order. Motions must set forth the mat- secticide, Fungicide, and
ters claimed to have been erroneously Rodenticide Act.
decided and the nature of the alleged (a) Scope. This section shall apply, in
errors. Motions for reconsideration conjunction with §§ 22.1 through 22.32,
under this provision shall be directed in administrative proceedings to assess
to, and decided by, the Environmental a civil penalty conducted under section
Appeals Board. Motions for reconsider- 14(a) of the Federal Insecticide, Fun-
ation directed to the Administrator, gicide, and Rodenticide Act as amend-
rather than to the Environmental Ap- ed (7 U.S.C. 136l(a)). Where inconsist-
peals Board, will not be considered, ex- encies exist between this section and
cept in cases that the Environmental §§ 22.1 through 22.32, this section shall
Appeals Board has referred to the Ad- apply.
ministrator pursuant to § 22.4(a) and in (b) Venue. The prehearing conference
which the Administrator has issued the and the hearing shall be held in the
final order. A motion for reconsider- county, parish, or incorporated city of
ation shall not stay the effective date the residence of the person charged,
of the final order unless so ordered by unless otherwise agreed in writing by
the Environmental Appeals Board. all parties. For a person whose resi-
dence is outside the United States and
Subpart H—Supplemental Rules outside any territory or possession of
the United States, the prehearing con-
§ 22.33 [Reserved] ference and the hearing shall be held at
the EPA office listed at 40 CFR 1.7 that
§ 22.34 Supplemental rules governing is closest to either the person’s pri-
the administrative assessment of mary place of business within the
civil penalties under the Clean Air
Act. United States, or the primary place of
business of the person’s U.S. agent, un-
(a) Scope. This section shall apply, in less otherwise agreed by all parties.
conjunction with §§ 22.1 through 22.32,
in administrative proceedings to assess § 22.36 [Reserved]
a civil penalty conducted under sec-
tions 113(d), 205(c), 211(d), and 213(d) of § 22.37 Supplemental rules governing
the Clean Air Act, as amended (42 administrative proceedings under
U.S.C. 7413(d), 7524(c), 7545(d), and the Solid Waste Disposal Act.
7547(d)), and a determination of non- (a) Scope. This section shall apply, in
conforming engines, vehicles or equip- conjunction with §§ 22.1 through 22.32,
ment under sections 207(c) and 213(d) of in administrative proceedings under
the Clean Air Act, as amended (42 sections 3005(d) and (e), 3008, 9003 and
U.S.C. 7541(c) and 7547(d)). Where incon- 9006 of the Solid Waste Disposal Act (42
sistencies exist between this section U.S.C. 6925(d) and (e), 6928, 6991b and
and §§ 22.1 through 22.32, this section 6991e) (‘‘SWDA’’). Where inconsist-
shall apply. encies exist between this section and

(b) Issuance of notice. Prior to the §§ 22.1 through 22.32, this section shall
issuance of a final order assessing a apply.
268
(b) Corrective action and compliance or- section 109 of the Comprehensive Envi-
ders. A complaint may contain a com- ronmental Response, Compensation,
pliance order issued under section and Liability Act of 1980, as amended
3008(a) or section 9006(a), or a correc- (42 U.S.C. 9609). Where inconsistencies
tive action order issued under section exist between this section and §§ 22.1
3008(h) or section 9003(h)(4) of the through 22.32, this section shall apply.
SWDA. Any such order shall automati- (b) Judicial review. Any person who re-
cally become a final order unless, no quested a hearing with respect to a
later than 30 days after the order is Class II civil penalty under section
served, the respondent requests a hear-
109(b) of CERCLA, 42 U.S.C. 9609(b), and
ing pursuant to § 22.15.
who is the recipient of a final order as-
§ 22.38 Supplemental rules of practice sessing a civil penalty may file a peti-
governing the administrative as- tion for judicial review of such order
sessment of civil penalties under with the United States Court of Ap-
the Clean Water Act. peals for the District of Columbia or
(a) Scope. This section shall apply, in for any other circuit in which such per-
conjunction with §§ 22.1 through 22.32 son resides or transacts business. Any
and § 22.45, in administrative pro- person who requested a hearing with
ceedings for the assessment of any civil respect to a Class I civil penalty under
penalty under section 309(g) or section section 109(a)(4) of CERCLA, 42 U.S.C.
311(b)(6) of the Clean Water Act 9609(a)(4), and who is the recipient of a
(‘‘CWA’’)(33 U.S.C. 1319(g) and final order assessing the civil penalty
1321(b)(6)). Where inconsistencies exist may file a petition for judicial review
between this section and §§ 22.1 through of such order with the appropriate dis-
22.32, this section shall apply. trict court of the United States. All pe-
(b) Consultation with States. For pro- titions must be filed within 30 days of
ceedings pursuant to section 309(g), the the date the order making the assess-
complainant shall provide the State ment was served on the parties.
agency with the most direct authority (c) Payment of civil penalty assessed.
over the matters at issue in the case an Payment of civil penalties assessed in
opportunity to consult with the com- the final order shall be made by for-
plainant. Complainant shall notify the
warding a cashier’s check, payable to
State agency within 30 days following
the ‘‘EPA, Hazardous Substances
proof of service of the complaint on the
Superfund,’’ in the amount assessed,
respondent or, in the case of a pro-
and noting the case title and docket
ceeding proposed to be commenced pur-
number, to the appropriate regional
suant to § 22.13(b), no less than 40 days
before the issuance of an order assess- Superfund Lockbox Depository.
ing a civil penalty. § 22.40 [Reserved]
(c) Administrative procedure and judi-
cial review. Action of the Administrator § 22.41 Supplemental rules governing
for which review could have been ob- the administrative assessment of
tained under section 509(b)(1) of the civil penalties under Title II of the
CWA, 33 U.S.C. 1369(b)(1), shall not be Toxic Substance Control Act, en-
subject to review in an administrative acted as section 2 of the Asbestos
proceeding for the assessment of a civil Hazard Emergency Response Act
penalty under section 309(g) or section (AHERA).
311(b)(6). (a) Scope. This section shall apply, in
§ 22.39 Supplemental rules governing
the administrative assessment of in administrative proceedings to assess
civil penalties under section 109 of a civil penalty conducted under section
the Comprehensive Environmental 207 of the Toxic Substances Control
Response, Compensation, and Li- Act (‘‘TSCA’’) (15 U.S.C. 2647). Where
ability Act of 1980, as amended. inconsistencies exist between this sec-
(a) Scope. This section shall apply, in tion and §§ 22.1 through 22.32, this sec-
conjunction with §§ 22.10 through 22.32, tion shall apply.

in administrative proceedings for the (b) Collection of civil penalty. Any civil
assessment of any civil penalty under penalty collected under TSCA section
269
§ 22.42 40 CFR Ch. I (7–1–21 Edition)
207 shall be used by the local edu- (c) Public notice of final penalty order.
cational agency for purposes of com- Upon the issuance of a final penalty
plying with Title II of TSCA. Any por- order under this section, the Adminis-
tion of a civil penalty remaining trator shall provide public notice of the
unspent after a local educational agen- order by publication, and by providing
cy achieves compliance shall be depos- notice to any person who requests such
ited into the Asbestos Trust Fund es- notice. The notice shall include:
tablished under section 5 of AHERA. (1) The docket number of the order;
(2) The address and phone number of
§ 22.42 Supplemental rules governing the Regional Hearing Clerk from whom
the administrative assessment of a copy of the order may be obtained;
civil penalties for violations of com- (3) The location of the facility where
pliance orders issued to owners or
operators of public water systems violations were found;
under part B of the Safe Drinking (4) A description of the violations;
Water Act. (5) The penalty that was assessed;
and
(a) Scope. This section shall apply, in
(6) A notice that any interested per-
son may, within 30 days of the date the
in administrative proceedings to assess
order becomes final, obtain judicial re-
a civil penalty under section
view of the penalty order pursuant to
1414(g)(3)(B) of the Safe Drinking Water
section 1447(b) of the Safe Drinking
Act, 42 U.S.C. 300g-3(g)(3)(B). Where in-
Water Act, and instruction that per-
consistencies exist between this sec- sons seeking judicial review shall pro-
tion and §§ 22.1 through 22.32, this sec- vide copies of any appeal to the persons
tion shall apply. described in 40 CFR 135.11(a).
(b) Choice of forum. A complaint
which specifies that subpart I of this § 22.44 Supplemental rules of practice
part applies shall also state that re- governing the termination of per-
spondent has a right to elect a hearing mits under section 402(a) of the
on the record in accordance with 5 Clean Water Act or under section
U.S.C. 554, and that respondent waives 3008(a)(3) of the Resource Con-
servation and Recovery Act.
this right unless it requests in its an-
swer a hearing on the record in accord- (a) Scope of this subpart. The supple-
ance with 5 U.S.C. 554. Upon such re- mental rules of practice in this subpart
quest, the Regional Hearing Clerk shall shall also apply in conjunction with
recaption the documents in the record the Consolidated Rules of Practice in
as necessary, and notify the parties of this part and with the administrative
the changes. proceedings for the termination of per-
mits under section 402(a) of the Clean
§ 22.43 Supplemental rules governing Water Act or under section 3008(a)(3) of
the administrative assessment of the Resource Conservation and Recov-
civil penalties against a federal ery Act. Notwithstanding the Consoli-
agency under the Safe Drinking dated Rules of Practice, these supple-
Water Act. mental rules shall govern with respect
(a) Scope. This section shall apply, in to the termination of such permits.
conjunction with §§ 22.1 through 22.32, (b) In any proceeding to terminate a
in administrative proceedings to assess permit for cause under § 122.64 or § 270.43
a civil penalty against a federal agency of this chapter during the term of the
under section 1447(b) of the Safe Drink- permit:
ing Water Act, 42 U.S.C. 300j-6(b). (1) The complaint shall, in addition
Where inconsistencies exist between to the requirements of § 22.14(b), con-
this section and §§ 22.1 through 22.32, tain any additional information speci-
this section shall apply. fied in § 124.8 of this chapter;
(b) Effective date of final penalty order. (2) The Director (as defined in § 124.2
Any penalty order issued pursuant to of this chapter) shall provide public no-
this section and section 1447(b) of the tice of the complaint in accordance
Safe Drinking Water Act shall become with § 124.10 of this chapter, and allow
effective 30 days after it has been for public comment in accordance with
served on the parties. § 124.11 of this chapter; and
270
(3) The Presiding Officer shall admit (iv) A description of the violation al-
into evidence the contents of the Ad- leged and the relief sought; and
ministrative Record described in § 124.9 (v) A notice that persons shall sub-
of this chapter, and any public commit comments to the Regional Hearing
ments received. Clerk, and the deadline for such sub-
missions.
[65 FR 30904, May 15, 2000]
(c) Comment by a person who is not a
§ 22.45 Supplemental rules governing party. The following provisions apply in
public notice and comment in pro- regard to comment by a person not a
ceedings under sections 309(g) and party to a proceeding:
311(b)(6)(B)(ii) of the Clean Water (1) Participation in proceeding. (i) Any
Act and section 1423(c) of the Safe person wishing to participate in the
Drinking Water Act. proceedings must notify the Regional
(a) Scope. This section shall apply, in Hearing Clerk in writing within the
conjunction with §§ 22.1 through 22.32, public notice period under paragraph
in administrative proceedings for the (b)(1) of this section. The person must
assessment of any civil penalty under provide his name, complete mailing ad-
sections 309(g) and 311(b)(6)(B)(ii) of the dress, and state that he wishes to par-
Clean Water Act (33 U.S.C. 1319(g) and ticipate in the proceeding.
1321(b)(6)(B)(ii)), and under section (ii) The Presiding Officer shall pro-
1423(c) of the Safe Drinking Water Act vide notice of any hearing on the mer-
(42 U.S.C. 300h-2(c)). Where inconsist- its to any person who has met the re-
encies exist between this section and quirements of paragraph (c)(1)(i) of this
§§ 22.1 through 22.32, this section shall section at least 20 days prior to the
apply. scheduled hearing.
(b) Public notice—(1) General. Com- (iii) A commenter may present writ-
plainant shall notify the public before ten comments for the record at any
assessing a civil penalty. Such notice time prior to the close of the record.
shall be provided within 30 days fol- (iv) A commenter wishing to present
lowing proof of service of the com- evidence at a hearing on the merits
plaint on the respondent or, in the case shall notify, in writing, the Presiding
of a proceeding proposed to be com- Officer and the parties of its intent at
menced pursuant to § 22.13(b), no less least 10 days prior to the scheduled
than 40 days before the issuance of an hearing. This notice must include a
order assessing a civil penalty. The no- copy of any document to be introduced,
tice period begins upon first publica- a description of the evidence to be pre-
tion of notice. sented, and the identity of any witness
(2) Type and content of public notice. (and qualifications if an expert), and
The complainant shall provide public the subject matter of the testimony.
notice of the complaint (or the pro- (v) In any hearing on the merits, a
posed consent agreement if § 22.13(b) is commenter may present evidence, in-
applicable) by a method reasonably cluding direct testimony subject to
calculated to provide notice, and shall cross examination by the parties.
also provide notice directly to any per- (vi) The Presiding Officer shall have
son who requests such notice. The no- the discretion to establish the extent
tice shall include: of commenter participation in any
(i) The docket number of the pro- other scheduled activity.
ceeding; (2) Limitations. A commenter may not
(ii) The name and address of the com- cross-examine any witness in any hear-
plainant and respondent, and the per- ing and shall not be subject to or par-
son from whom information on the pro- ticipate in any discovery or prehearing
ceeding may be obtained, and the ad- exchange.
dress of the Regional Hearing Clerk to (3) Quick resolution and settlement. No
whom appropriate comments shall be proceeding subject to the public notice
directed; and comment provisions of paragraphs
(iii) The location of the site or facil- (b) and (c) of this section may be re-
ity from which the violations are al- solved or settled under § 22.18, or com-
leged, and any applicable permit num- menced under § 22.13(b), until 10 days
ber; after the close of the comment period
271
§ 22.45 40 CFR Ch. I (7–1–21 Edition)
provided in paragraph (c)(1) of this sec- to the issuance of the proposed final
tion. order;
(4) Petition to set aside a consent agree- (B) Whether complainant adequately
ment and proposed final order. (i) Com- considered and responded to the peti-
plainant shall provide to each com- tion; and
menter, by certified mail, return re- (C) Whether a resolution of the pro-
ceipt requested, but not to the Re- ceeding by the parties is appropriate
gional Hearing Clerk or Presiding Offi- without a hearing.
cer, a copy of any consent agreement
(vi) Upon a finding by the Petition
between the parties and the proposed
Officer that a hearing is appropriate,
final order.
(ii) Within 30 days of receipt of the the Presiding Officer shall order that
consent agreement and proposed final the consent agreement and proposed
order a commenter may petition the final order be set aside and shall estab-
Regional Administrator (or, for cases lish a schedule for a hearing.
commenced at EPA Headquarters, the (vii) Upon a finding by the Petition
Environmental Appeals Board), to set Officer that a resolution of the pro-
aside the consent agreement and proceeding without a hearing is appro-
posed final order on the basis that ma- priate, the Petition Officer shall issue
terial evidence was not considered. an order denying the petition and stat-
Copies of the petition shall be served ing reasons for the denial. The Petition
on the parties, but shall not be sent to Officer shall:
the Regional Hearing Clerk or the Pre- (A) File the order with the Regional
siding Officer. Hearing Clerk;
(iii) Within 15 days of receipt of a pe- (B) Serve copies of the order on the
tition, the complainant may, with no- parties and the commenter; and
tice to the Regional Administrator or (C) Provide public notice of the
Environmental Appeals Board and to
order.
the commenter, withdraw the consent
agreement and proposed final order to (viii) Upon a finding by the Petition
consider the matters raised in the peti- Officer that a resolution of the pro-
tion. If the complainant does not give ceeding without a hearing is appro-
notice of withdrawal within 15 days of priate, the Regional Administrator
receipt of the petition, the Regional may issue the proposed final order,
Administrator or Environmental Ap- which shall become final 30 days after
peals Board shall assign a Petition Of- both the order denying the petition and
ficer to consider and rule on the peti- a properly signed consent agreement
tion. The Petition Officer shall be an- are filed with the Regional Hearing
other Presiding Officer, not otherwise Clerk, unless further petition for re-
involved in the case. Notice of this as- view is filed by a notice of appeal in
signment shall be sent to the parties, the appropriate United States District
and to the Presiding Officer. Court, with coincident notice by cer-
(iv) Within 30 days of assignment of tified mail to the Administrator and
the Petition Officer, the complainant the Attorney General. Written notice
shall present to the Petition Officer a of appeal also shall be filed with the
copy of the complaint and a written re- Regional Hearing Clerk, and sent to
sponse to the petition. A copy of the the Presiding Officer and the parties.
response shall be provided to the par- (ix) If judicial review of the final
ties and to the commenter, but not to order is denied, the final order shall be-
the Regional Hearing Clerk or Pre-
come effective 30 days after such denial
siding Officer.
has been filed with the Regional Hear-
(v) The Petition Officer shall review
the petition, and complainant’s re- ing Clerk.
sponse, and shall file with the Regional
Hearing Clerk, with copies to the par-
ties, the commenter, and the Presiding
Officer, written findings as to:

(A) The extent to which the petition
states an issue relevant and material
272
§§ 22.46–22.49 [Reserved] and information concerning respond-

ent’s ability to pay a penalty.
Subpart I—Administrative Pro-
ceedings Not Governed by PART 23—JUDICIAL REVIEW UNDER
Section 554 of the Administra- EPA-ADMINISTERED STATUTES
tive Procedure Act
Sec.
§ 22.50 Scope of this subpart. 23.1 Definitions.
(a) Scope. This subpart applies to all 23.2 Timing of Administrator’s action under
adjudicatory proceedings for: Clean Water Act.
(1) The assessment of a penalty under 23.3 Timing of Administrator’s action under
Clean Air Act.
sections 309(g)(2)(A) and 311(b)(6)(B)(i)
23.4 Timing of Administrator’s action under
of the Clean Water Act (33 U.S.C.
Resource Conservation and Recovery
1319(g)(2)(A) and 1321(b)(6)(B)(i)). Act.
(2) The assessment of a penalty under 23.5 Timing of Administrator’s action under
sections 1414(g)(3)(B) and 1423(c) of the Toxic Substances Control Act.
Safe Drinking Water Act (42 U.S.C. 23.6 Timing of Administrator’s action under
300g–3(g)(3)(B) and 300h–2(c)), except Federal Insecticide, Fungicide and
where a respondent in a proceeding Rodenticide Act.
under section 1414(g)(3)(B) requests in 23.7 Timing of Administrator’s action under
its answer a hearing on the record in Safe Drinking Water Act.
accordance with section 554 of the Ad- 23.8 Timing of Administrator’s action under
ministrative Procedure Act, 5 U.S.C. Uranium Mill Tailings Radiation Control
554. Act of 1978.
(b) Relationship to other provisions. 23.9 Timing of Administrator’s action under
Sections 22.1 through 22.45 apply to the Atomic Energy Act.
proceedings under this subpart, except 23.10 Timing of Administrator’s action
for the following provisions which do under the Federal Food, Drug, and Cos-
not apply: §§ 22.11, 22.16(c), 22.21(a), and metic Act.
22.29. Where inconsistencies exist be- 23.11 Holidays.
tween this subpart and subparts A 23.12 Filing notice of judicial review.
through G of this part, this subpart AUTHORITY: Clean Water Act, 33 U.S.C.
shall apply. Where inconsistencies 1361(a), 1369(b); Clean Air Act, 42 U.S.C.
exist between this subpart and subpart 7601(a)(1), 7607(b); Resource, Conservation
H of this part, subpart H shall apply. and Recovery Act, 42 U.S.C. 6912(a), 6976;
Toxic Substances Control Act, 15 U.S.C. 2618;
§ 22.51 Presiding Officer. Federal Insecticide, Fungicide, and
Rodenticide Act, 7 U.S.C. 136n(b), 136w(a);
The Presiding Officer shall be a Re- Safe Drinking Water Act, 42 U.S.C. 300j–
gional Judicial Officer. The Presiding 7(a)(2), 300j–9(a); Atomic Energy Act, 42
Officer shall conduct the hearing, and U.S.C. 2201, 2239; Federal Food, Drug, and
rule on all motions until an initial de- Cosmetic Act, 21 U.S.C. 371(a), 346a, 28 U.S.C.
cision has become final or has been ap- 2112(a), 2343, 2344.
pealed.
SOURCE: 50 FR 7270, Feb. 21, 1985, unless
§ 22.52 Information exchange and dis- otherwise noted.
covery.
Respondent’s information exchange
pursuant to § 22.19(a) shall include in- As used in this part, the term:
formation on any economic benefit re- (a) Federal Register document means a
sulting from any activity or failure to document intended for publication in
act which is alleged in the administra- the FEDERAL REGISTER and bearing in
tive complaint to be a violation of ap- its heading an identification code in-
plicable law, including its gross reve- cluding the letters FRL.
nues, delayed or avoided costs. Dis- (b) Admininstrator means the Admin-
covery under § 22.19(e) shall not be au- istrator or any official exercising au-
thorized, except for discovery of infor- thority delegated by the Adminis-

mation concerning respondent’s eco- trator.
nomic benefit from alleged violations
273
§ 23.2 40 CFR Ch. I (7–1–21 Edition)
(c) General Counsel means the General REGISTER document, two weeks after
Counsel of EPA or any official exer- the date when the document is pub-
cising authority delegated by the Gen- lished in the FEDERAL REGISTER, or (b)
eral Counsel. for any other document, two weeks
[50 FR 7270, Feb. 21, 1985, as amended at 53
after it is signed.
FR 29322, Aug. 3, 1988]
§ 23.5 Timing of Administrator’s action
§ 23.2 Timing of Administrator’s action under Toxic Substances Control
under Clean Water Act. Act.
Unless the Administrator otherwise Unless the Administrator otherwise
explicity provides in a particular pro- explicitly provides in promulgating a
particular rule or issuing a particular
mulgation or approval action, the time
order, the time and date of the Admin-
and date of the Administrator’s action
istrator’s promulgation or issuance for
in promulgation (for purposes of sec-
purposes of section 19(a)(1) shall be at
tions 509(b)(1) (A), (C), and (E)), approv-
1:00 p.m. eastern time (standard or day-
ing (for purposes of section
light, as appropriate) on the date that
509(b)(1)(E)), making a determination
is (a) for a FEDERAL REGISTER docu-
(for purposes of section 509(b)(1) (B) and
ment, two weeks after the date when
(D), and issuing or denying (for pur-
the document is published in the FED-
poses of section 509(b)(1)(F)) shall be at
ERAL REGISTER, or (b) for any other
1:00 p.m. eastern time (standard or day- document, two weeks after it is signed.
light, as appropriate) on (a) for a FED-
ERAL REGISTER document, the date § 23.6 Timing of Administrator’s action
that is two weeks after the date when under Federal Insecticide, Fun-
the document is published in the FED- gicide and Rodenticide Act.
ERAL REGISTER, or (b) for any other Unless the Administrator otherwise
document, two weeks after it is signed. explicitly provides in a particular
order, the time and date of entry of an
§ 23.3 Timing of Administrator’s action
under Clean Air Act. order issued by the Administrator fol-
lowing a public hearing for purposes of
Unless the Administrator otherwise section 16(b) shall be at 1:00 p.m. east-
explicitly provides in a particular pro- ern time (standard or daylight, as ap-
mulgation, approval, or action, the propriate) on the date that is two
time and date of such promulgation, weeks after it is signed.
approval or action for purposes of the
second sentence of section 307(b)(1) § 23.7 Timing of Administrator’s action
shall be at 1:00 p.m. eastern time under Safe Drinking Water Act.
(standard or daylight, as appropriate) Unless the Administrator otherwise
on (a) for a FEDERAL REGISTER docu- explicitly provides in a particular pro-
ment, the date when the document is mulgation action or determination, the
published in the FEDERAL REGISTER, or time and date of the Administrator’s
(b) for any other document, two weeks promulgation, issuance, or determina-
after it is signed. tion for purposes of section 1448(a)(2)
shall be at 1:00 p.m. eastern time
§ 23.4 Timing of Administrator’s action (standard or daylight, as appropriate)
under Resource Conservation and on the date that is (a) for a FEDERAL
Recovery Act.
REGISTER document, two weeks after
Unless the Administrator otherwise the date when the document is pub-
explicitly provides in taking a par- lished in the FEDERAL REGISTER or (b)
ticular action, for purposes of section for any other document, two weeks
7006(b), the time and date of the Ad- after it is signed.
ministrator’s action in issuing, deny-
ing, modifying, or revoking any permit § 23.8 Timing of Administrator’s action
under section 3005, or in granting, de- under Uranium Mill Tailings Radi-
nying, or withdrawing authorization or ation Control Act of 1978.
interim authorization under section Unless the Administrator otherwise
3006, shall be at 1:00 p.m. eastern time explicitly provides in a particular rule,
(standard or daylight, as appropriate) the time and date of the Administra-
on the date that is (a) for a FEDERAL tor’s promulgation for purposes of 42
274
U.S.C. 2022(c)(2) shall be at 1:00 p.m. Court. The petition should be addressed
eastern time (standard or daylight, as to: Correspondence Control Unit, Office
appropriate) on the date that is two of General Counsel (2311), U.S. Environ-
weeks after the date when notice of mental Protection Agency, 1200 Penn-
promulgation is published in the FED- sylvania Ave., NW., Washington, DC
ERAL REGISTER. 20460.
(b) If the General Counsel receives
§ 23.9 Timing of Administrator’s action two or more petitions filed in two or
under the Atomic Energy Act. more United States Courts of Appeals
Unless the Administrator otherwise for review of any Agency action within
explicitly provides in a particular ten days of the effective date of that
order, the time and date of the entry of action for purposes of judicial review
an order for purposes of 28 U.S.C. 2344 (as specified under §§ 23.2 through 23.10
shall be at 1:00 p.m. eastern time of this part), the General Counsel will
(standard or daylight, as appropriate) notify the United States Judicial Panel
on the date that is two weeks after the of Multidistrict Litigation of any peti-
date when notice thereof is published tions that were received within the ten
in the FEDERAL REGISTER. day period, in accordance with the ap-
plicable rules of the Panel.
§ 23.10 Timing of Administrator’s ac- (c) For purposes of determining
tion under the Federal Food, Drug,
and Cosmetic Act. whether a petition for review has been
received within the ten day period
Unless the Administrator otherwise under paragraph (b) of this section, the
explicitly provides in a particular petition shall be considered received on
order, the time and date of the the date of service, if served person-
issuance of a regulation under section ally. If service is accomplished by mail,
21 U.S.C. 346a(e)(1)(C), or any order the date of receipt shall be considered
under 21 U.S.C. 346a(f)(1)(C) or 21 U.S.C. to be the date noted on the return re-
346a(g)(2)(C), or any regulation that is ceipt card.
the subject of such an order, shall, for
purposes of 28 U.S.C. 2112, be at 1 p.m. [53 FR 29322, Aug. 3, 1988]
eastern time (standard or daylight, as
appropriate) on the date that is for a PART 24—RULES GOVERNING
FEDERAL REGISTER document, 2 weeks ISSUANCE OF AND ADMINISTRA-
after the date when the document is TIVE HEARINGS ON INTERIM STA-
published in the FEDERAL REGISTER, or
for any other document, 2 weeks after
TUS CORRECTIVE ACTION OR-
it is signed. DERS
[70 FR 33359, June 8, 2005] Subpart A—General
§ 23.11 Holidays. Sec.
24.01 Scope of these rules.
If the date determined under §§ 23.2 to 24.02 Issuance of initial orders; definition of
23.10 falls on a Federal holiday, then final orders and orders on consent.
the time and date of the Administra- 24.03 Maintenance of docket and official
tor’s action shall be at 1:00 p.m. east- record.
ern time on the next day that is not a 24.04 Filing and service of orders, decisions,
Federal holiday. and documents.
24.05 Response to the initial order; request
§ 23.12 Filing notice of judicial review. for hearing.
24.06 Designation of Presiding Officer.
(a) For the purposes of 28 U.S.C. 24.07 Informal settlement conference.
2112(a), a copy of any petition filed in 24.08 Selection of appropriate hearing pro-
any United States Court of Appeals cedures.
challenging a final action of the Ad-
ministrator shall be sent by certified Subpart B—Hearings on Orders Requiring
mail, return receipt requested, or by Investigations or Studies
personal delivery to the General Coun- 24.09 Qualifications of Presiding Officer; ex
sel. The petition copy shall be time- parte discussion of the proceeding.
stamped by the Clerk of the Court 24.10 Scheduling the hearing; pre-hearing
when the original is filed with the submissions by respondent.
275
§ 24.01 40 CFR Ch. I (7–1–21 Edition)
24.11 Hearing; oral presentations and writ- (d) Questions arising at any stage of
ten submissions by the parties. the proceeding which are not addressed
24.12 Summary of hearing; Presiding Offi- in these rules shall be resolved at the
cer’s recommendation.
discretion of the Regional Adminis-
Subpart C—Hearings on Orders Requiring trator or Presiding Officer, as appro-
Corrective Measures priate.
[53 FR 12263, Apr. 13, 1988, as amended at 56
24.13 Qualifications of Presiding Officer; ex FR 49380, Sept. 27, 1991]
parte discussion of the proceeding.
24.14 Scheduling the hearing; pre-hearing § 24.02 Issuance of initial orders; defi-
submissions by the parties. nition of final orders and orders on
24.15 Hearing; oral presentations and writ- consent.
ten submissions by the parties.
24.16 Transcript or recording of hearing. (a) An administrative action under
24.17 Presiding Officer’s recommendation. section 3008(h) or 9003(h) of the Act
shall be commenced by issuance of an
Subpart D—Post-Hearing Procedures administrative order. When the order is
24.18 Final decision.
issued unilaterally, the order shall be
24.19 Final order. referred to as an initial administrative
24.20 Final agency action. order and may be referenced as a pro-
ceeding under section 3008(h) or 9003(h)
AUTHORITY: 42 U.S.C. sections 6912, 6928,
of the Act. When the order has become
6991b.
effective, either after issuance of a
SOURCE: 53 FR 12263, Apr. 13, 1988, unless final order following a final decision by
otherwise noted. the Regional Administrator, or after
thirty days from issuance if no hearing
Subpart A—General is requested, the order shall be referred
to as a final administrative order.
§ 24.01 Scope of these rules. Where the order is agreed to by the
(a) These rules establish procedures parties, the order shall be denominated
governing issuance of administrative as a final administrative order on con-
orders for corrective action pursuant sent.
to sections 3008(h) and 9003(h) of the (b) The initial administrative order
Solid Waste Disposal Act, as amended shall be executed by an authorized offi-
by the Resource Conservation and Re- cial of EPA (petitioner), other than the
covery Act (the Act), and conduct of Regional Administrator or the Assist-
administrative hearings on such or- ant Administrator for the Office of
ders, except as specified in paragraphs Land and Emergency Management. For
(b) and (c) of this section. orders issued by EPA Headquarters,
(b) The hearing procedures appearing rather than by a Regional office, all
at 40 CFR part 22 govern administra- references in these procedures to the
tive hearings on any order issued pur- Regional Administrator shall be under-
suant to section 3008(h) of the Act stood to be to the Assistant Adminis-
which: trator for Land and Emergency Man-
(1) Is contained within an adminis- agement or his delegatee.
trative order that includes claims (c) The initial administrative order
under section 3008(a) of the Act; or shall contain:
(2) Includes a suspension or revoca- (1) A reference to the legal authority
tion of authorization to operate under pursuant to which the order is issued,
section 3005(e) of the Act; or (2) A concise statement of the factual
(3) Seeks penalties under section basis upon which the order is issued,
3008(h)(2) of the Act for non-compliance and
with a section 3008(h) order. (3) Notification of respondent’s right
(c) The hearing procedures appearing to request a hearing with respect to
at 40 CFR part 22 govern administra- any issue of material fact or the appro-
tive hearings on any order issued pur- priateness of the proposed corrective
suant to section 9003(h) of the Act that action.
is contained within an administrative [53 FR 12263, Apr. 13, 1988, as amended at 56

order that includes claims under sec- FR 49380, Sept. 27, 1991; 80 FR 77577, Dec. 15,
tion 9006 of the Act. 2015]
276
§ 24.03 Maintenance of docket and offi- service cannot be effectuated or cer-

cial record. tified mail is returned refused or un-
(a) A Clerk shall be designated by the signed, by regular mail, on the re-
Regional Administrator to receive all spondent or his representative. The
initial orders, final orders, decisions, Clerk shall serve other documents from
responses, memoranda, and documents the Presiding Officer by regular mail.
regarding the order and to maintain (c) Service of documents filed by the
the official record and docket. parties. Service of all documents, filed
(b) On or before the date the initial by the parties, shall be made by the
order is served on respondent the EPA parties or their representatives on
office issuing the order shall deliver to other parties or their representatives
the Clerk (a copy of) the administra- and may be regular mail, with the
tive record supporting the findings of original filed with the Clerk. The origi-
fact, determinations of law, and relief nal of any pleading, letter, or other
sought in the initial administrative document (other than exhibits) shall be
order. This record shall include all rel- signed by the party filing or by his
evant documents and oral information counsel or other representative. The
(which has been reduced to writing), signature constitutes a representation
which the Agency considered in the by the signer that he has read the
process of developing and issuing the pleading, letter, or other document,
order, exclusive of privileged internal that to the best of his knowledge, in-
communications. The administrative formation, and belief, the statements
record delivered to the Clerk must made therein are true, and that it is
have an index and be available for re- not interposed for delay.
view in the appropriate Agency Re- (d) Service in general. Service of or-
gional or Headquarters office during ders, decisions, rulings, or documents
normal business hours after the order by either the Clerk or the parties shall,
is issued. in the case of a domestic or foreign cor-
poration, a partnership, or other unin-
§ 24.04 Filing and service of orders, de- corporated association, which is sub-
cisions, and documents. ject to suit under a common name, be
(a) Filing of orders, decisions, and doc- made, as prescribed in § 24.04 (b) and (c),
uments. The original and one copy of upon an officer, partner, managing or
the initial administrative order, the general agent, or any person author-
recommended decision of the Presiding ized by appointment or by Federal or
Officer, the final decision and the final State law to receive service of process.
administrative order, and one copy of (e) Effective date of service. Service of
the administrative record and an index the initial administrative order and
thereto must be filed with the Clerk final administrative order is complete
designated for 3008(h) or 9003(h) orders. upon receipt by respondent (or the re-
In addition, all memoranda and docu- spondent’s agent, attorney, representa-
ments submitted in the proceeding tive or other person employed by re-
shall be filed with the clerk. spondent and receiving such service),
(b) Service of orders, decisions, and rul- personally or by certified mail, or upon
ings. The Clerk (or in the case of the mailing by regular mail, if personal
initial administrative order, any other service or service by certified mail can-
designated EPA employee) shall ar- not be accomplished, in accordance
range for the effectuation of service of with § 24.04(b). Service of all other
the initial administrative order, the pleadings and documents is complete
recommended decision of the Presiding upon mailing, except as provided in
Officer, the final decision, and final ad- §§ 24.10(b) and 24.14(e).
ministrative order. Service of a copy of [53 FR 12263, Apr. 13, 1988, as amended at 56
the initial administrative order to- FR 49380, Sept. 27, 1991]
gether with a copy of these procedures,
the recommended decision of the Pre- § 24.05 Response to the initial order;
siding Officer, the final decision, or a request for hearing.
final administrative order, shall be (a) The initial administrative order

made personally or by certified mail, becomes a final administrative order
return receipt requested or, if personal thirty (30) days after service of the
277
§ 24.06 40 CFR Ch. I (7–1–21 Edition)
order, unless the respondent files with ployed for any requested hearing if the
the Clerk within thirty (30) days after initial order directs the respondent—
service of the order, a response to the (1) To undertake only a RCRA Facil-
initial order and requests a hearing. ity Investigation and/or Corrective
(b) The response to the initial order Measures Study, which may include
and request for a hearing must be in monitoring, surveys, testing, informa-
writing and mailed to, or personally tion gathering, analyses, and/or studies
served on, the Clerk of the Regional of- (including studies designed to develop
fice which issued the order. recommendations for appropriate cor-
(c) The response to the initial order rective measures), or
shall specify each factual or legal de- (2) To undertake such investigations
termination, or relief provision in the and/or studies and interim corrective
initial order the respondent disputes measures, and if such interim correc-
and shall briefly indicate the basis tive measures are neither costly nor
upon which it disputes such determina- technically complex and are necessary
to protect human health and the envi-
tion or provision.
ronment prior to development of a per-
(d) Respondent may include with its manent remedy, or
response to the initial order and re- (3) To undertake investigations/stud-
quest for a hearing a statement indi- ies with respect to a release from an
cating whether it believes the subpart underground storage tank.
B or subpart C hearing procedures (b) The hearing procedures set forth
should be employed for the requested in subpart C of this part shall be em-
hearing and the reason(s) therefore. ployed if the respondent seeks a hear-
ing on an order directing that—
§ 24.06 Designation of Presiding Offi-
cer. (1) Corrective measures or such cor-
rective measures together with inves-
Upon receipt of a request for a hear- tigations/studies be undertaken, or
ing, the Regional Administrator shall (2) Corrective action or such correc-
designate a Presiding Officer to con- tive action together with investiga-
duct the hearing and preside over the tions/studies be undertaken with re-
proceedings. spect to any release from an under-
ground storage tank.
§ 24.07 Informal settlement conference. (c) The procedures contained in sub-
The respondent may request an infor- parts A and D of this part shall be fol-
mal settlement conference at any time lowed regardless of whether the initial
by contacting the appropriate EPA em- order directs the respondent to under-
ployee, as specified in the initial ad- take an investigation pursuant to the
ministrative order. A request for an in- procedures in subpart B of this part, or
formal conference will not affect the requires the respondent to implement
respondent’s obligations to timely re- corrective measures pursuant to the
quest a hearing. Whether or not the re- procedures in subpart C of this part.
spondent requests a hearing, the par- [56 FR 49380, Sept. 27, 1991]
ties may confer informally concerning
any aspect of the order. The respondent Subpart B—Hearings on Orders
and respondent’s representatives shall Requiring Investigations or Studies
generally be allowed the opportunity
at an informal conference to discuss § 24.09 Qualifications of Presiding Offi-
with the appropriate Agency technical cer; ex parte discussion of the pro-
and legal personnel all aspects of the ceeding.
order, and in particular the basis for The Presiding Officer shall be either
the determination that a release has the Regional Judicial Officer (as de-
occurred and the appropriateness of the scribed in 40 CFR 22.04(b)) or another
ordered corrective action. attorney employed by the Agency, who
has had no prior connection with the
§ 24.08 Selection of appropriate hear- case, including the performance of any
ing procedures. investigative or prosecuting functions.

(a) The hearing procedures set forth At no time after issuance of the initial
in subpart B of this part shall be em- administrative order and prior to
278
issuance of the final order shall the Re- tend the date by which the request for
gional Administrator, Presiding Offi- hearing is due under § 24.05(a).
cer, or any person who will advise (d) Location of hearing. The hearing
these officials in the decision on the shall be held in the city in which the
case, discuss ex parte the merits of the relevant EPA Regional Office is lo-
proceeding with any interested person cated, unless the Presiding Officer de-
outside the Agency, with any Agency termines that there is good cause to
staff member who performs a prosecu- hold it in another location.
torial or investigative function in such
proceeding or a factually related pro- § 24.11 Hearing; oral presentations and
ceeding, or with any representative of written submissions by the parties.
such person. If, after issuance of the The Presiding Officer shall conduct
initial order and prior to issuance of the hearing in a fair and impartial
the final order, the Regional Adminis-
way, taking action as needed to avoid
trator, Presiding Officer, or any person
unnecessary delay, exclude redundant
who will advise these officials in the
material and maintain order during the
decision on the case receives from or
proceedings. Representatives of EPA
on behalf of any party in an ex parte
shall introduce the administrative
communication information which is
relevant to the decision on the case record and be prepared to summarize
and to which other parties have not the basis for the order. The respondent
had an opportunity to respond, a sum- shall have a reasonable opportunity to
mary of such information shall be address relevant issues and present its
served on all other parties, who shall views through legal counsel or tech-
have an opportunity to reply to same nical advisors. The Presiding Officer
within ten (10) days of service of the may also allow technical and legal dis-
summary. cussions and interchanges between the
parties, including responses to ques-
§ 24.10 Scheduling the hearing; pre- tions to the extent deemed appropriate.
hearing submissions by respondent. It is not the Agency’s intent to provide
(a) Date and time for hearing. The Pre- EPA or respondent an opportunity to
siding Officer shall establish the date, engage in direct examination or cross-
time, location, and agenda for the reexamination of witnesses. The Pre-
quested public hearing and transmit siding Officer may address questions to
this information to the parties. Subject the respondent’s or EPA’s representa-
to § 24.10(c), the hearing shall be sched- tive(s) during the hearing. Each party
uled and held within thirty (30) days of shall insure that a representative(s) is
the Agency’s receipt of the request for (are) present at the hearing, who is
a public hearing. (are) capable of responding to questions
(b) Pre-hearing submissions by respond- and articulating that party’s position
ent. At any time up to five (5) business on the law and facts at issue. Where re-
days before the hearing respondent spondent can demonstrate that
may, but is not required to, submit for through no fault of its own certain doc-
inclusion in the administrative record uments supportive of its position could
information and argument supporting not have been submitted before hearing
respondent’s positions on the facts, law in accordance with the requirements of
and relief, as each relates to the order § 24.10(b), it may submit such docu-
in question. A copy of any information ments at the hearing. Otherwise no
or argument submitted by respondent new documentary support may be sub-
shall be served such that the Clerk and mitted at hearing. The Presiding Offi-
petitioner receive same at least five (5) cer may upon request grant petitioner
business days before hearing. leave to respond to submissions made
(c) Postponment of hearing. The Pre- by respondent pursuant to this section
siding Officer may grant an extension or § 24.10(b). The Presiding Officer shall
of time for the conduct of the hearing have the discretion to order either
upon written request of either party, party to submit additional information
for good cause shown, and after consid- (including but not limited to
eration of any prejudice to other par- posthearing briefs on undeveloped fac-
ties. The Presiding Officer may not ex- tual, technical, or legal matters) in
279
§ 24.12 40 CFR Ch. I (7–1–21 Edition)
whatever form he deems appropriate Subpart C—Hearings on Orders

either at or after the hearing. Requiring Corrective Measures
§ 24.12 Summary of hearing; Presiding § 24.13 Qualifications of Presiding Offi-
Officer’s recommendation. cer; ex parte discussion of the pro-
(a) As soon as practicable after the ceeding.
conclusion of the hearing a written (a) Qualifications of Presiding Officer.
summary of the proceeding shall be The Presiding Officer shall be either
prepared. This summary shall, at a the Regional Judicial Officer (as de-
minimum, identify: scribed in 40 CFR 22.04(b)) of another
(1) The dates of and known attendees attorney employed by the Agency, who
at the hearing; and has had no prior connection with the
(2) The bases upon which the respond- case, including the performance of any
ent contested the terms of the order. investigative or prosecuting functions.
The summary must be signed by the (b) Ex parte discussion of the pro-
ceeding. At no time after issuance of
Presiding Officer.
the initial administrative order and
(b) The Presiding Officer will evalu-
prior to issuance of the final order
ate the entire administrative record shall the Regional Administrator, Pre-
and, on the basis of that review and the siding Officer, or any person who will
representations of EPA and respondent advise these officials in the decision on
at the hearing, shall prepare and file a the case, discuss ex parte the merits of
recommended decision with the Re- the proceeding with any interested per-
gional Administrator. The rec- son outside the Agency, with any Agen-
ommended decision must address all cy staff member who performs a pros-
material issues of fact or law properly ecutorial or investigative function in
raised by respondent, and must rec- such proceeding or a factually related
ommend that the order be modified, proceeding, or with any representative
withdrawn or issued without modifica- of such person. If, after issuance of the
tion. The recommended decision must initial order and prior to issuance of
provide an explanation with citation to the final order, the Regional Adminis-
material contained in the record for trator, Presiding Officer, or any person
any decision to modify a term of the who will advise these officials in the
order, to issue the order without decision on the case receives from or
change, or to withdraw the order. The on behalf of any party in an ex parte
recommended decision shall be based communication information which is
on the administrative record. If the relevant to the decision on the case
Presiding Officer finds that any con- and to which other parties have not
tested relief provision in the order is had an opportunity to respond, a sum-
not supported by a preponderance of mary of such information shall be
the evidence in the record, the Pre- served on all other parties, who shall
have an opportunity to reply to same
siding Officer shall recommend that
within ten (10) days of service of the
the order be modified and issued on
summary.
terms that are supported by the record
or withdrawn. § 24.14 Scheduling the hearing; pre-
(c) At any time within twenty-one hearing submissions by the parties.
(21) days of service of the recommended (a) The Presiding Officer shall estab-
decision on the parties, the parties lish an expeditious schedule for:
may file comments on the rec- (1) The submission by respondent of a
ommended decision with the Clerk. memorandum, with appropriate affida-
The Clerk shall promptly transmit any vits and exhibits, stating and sup-
such comments received to the Re- porting respondent’s position on the
gional Administrator for his consider- facts, law and relief, specifying the
ation in reaching a final decision. bases upon and manner in which such
determinations or relief provisions, if

erroneous, require modification or
withdrawal of the order:
280
(2) Submission of a response by EPA; written questions the Presiding Officer

and should consider whether such responses
(3) A public hearing. are required for full disclosure and ade-
Subject to § 24.14(b), a hearing shall be quate resolution of the facts. No ques-
scheduled within 45 days of the order tions shall be allowed regarding privi-
setting the schedule. The Presiding Of- leged internal communications. The
ficer shall establish the date, time, lo- Presiding Officer shall grant, deny, or
cation and agenda for the hearing and modify such requests expeditiously. If
shall transmit this information to the a request is granted the Presiding Offi-
parties along with the schedule for the cer may revise questions and may limit
hearing. the number and scope of questions.
(b) Postponement of the hearing. The Questions may be deleted or revised in
Presiding Officer, as appropriate, may the discretion of the Presiding Officer
grant an extension of time for the fil- for reasons, which may include the fact
ing of any document, other than a re- that he finds the questions to be irrele-
quest for a hearing under § 24.05(a), or vant, redundant, unnecessary, or an
may grant an extension of time for the undue burden on the Agency. The Pre-
conduct of the hearing, upon written siding Officer shall transmit the ques-
request of either party, for good cause tions as submitted or as modified to
shown and after consideration of any EPA. EPA shall respond to the ques-
prejudice to other parties. tions within fourteen (14) calendar days
(c) Respondent’s pre-hearing submis- of service of the questions by the Pre-
sion. In accordance with the schedule siding Officer, unless an extension is
set by the Presiding Officer, the re- granted.
spondent shall file a memorandum
(e) Submission of additional informa-
stating and supporting respondent’s po-
tion. The Presiding Officer shall have
sition on the facts, law and relief. The
the discretion to order either party to
memorandum must identify each fac-
submit additional information (includ-
tual allegation and all issues regarding
ing but not limited to post-hearing
the appropriateness of the terms of the
briefs on undeveloped factual, tech-
relief in the initial order that respond-
nical, or legal matters) in whatever
ent contests and for which respondent
requests a hearing. The memorandum form he deems appropriate either be-
must clearly state respondent’s posi- fore, at, or after the hearing. The Pre-
tion with respect to each such issue. siding Officer may issue subpoenas for
Respondent must also include any pro- the attendance and testimony of per-
posals for modification of the order. sons and the production of relevant pa-
The memorandum shall also present pers, books and documents. Since these
any arguments on the legal conclusions hearing procedures provide elsewhere
contained in the order. that the parties are not to engage in
(d) Written questions to EPA. The re- direct or cross-examination of wit-
spondent may file a request with the nesses, the subpoena power is to serve
Presiding Officer for permission to sub- only as an adjunct to the Presiding Of-
mit written questions to the EPA Re- ficer’s authority to ask questions and
gional Office issuing the order con- otherwise take steps to clarify factual
cerning issues of material fact in the matters which are in dispute. Upon re-
order. quest of the respondent the Presiding
(1) Requests shall be accompanied by Officer may, in his discretion, allow
the proposed questions. In most in- submittal by the respondent of addi-
stances, no more than twenty-five (25) tional information in support of its
questions, including subquestions and claim, if it is received by the Clerk and
subparts, may be posed. The request petitioner at least five (5) business
and questions must be submitted to the days before the hearing.
Presiding Officer at least twenty-one (f) Location of hearing. The hearing
(21) days before the hearing. shall be held in the city in which the
(2) The Presiding Officer may direct relevant EPA Regional Office is lo-
EPA to respond to such questions as he cated, unless the Presiding Officer de-
designates. In deciding whether or not termines that there is good cause to
to direct the Agency to respond to hold it in another location.
281
§ 24.15 40 CFR Ch. I (7–1–21 Edition)
§ 24.15 Hearing; oral presentations and (b) The transcript or recording of the
written submissions by the parties. hearing and all written submittals filed
(a) The Presiding Officer shall con- with the Clerk by the parties subse-
duct the hearing in a fair and impartial quent to initial issuance of the order
manner, take action to avoid unneces- including post-hearing submissions
sary delay in the disposition of the pro- will become part of the administrative
ceedings, and maintain order. The Pre- record for the proceeding, for consider-
siding Officer shall permit oral state- ation by the Presiding Officer and Re-
ments on behalf of the respondent and gional Administrator.
EPA. The Presiding Officer may ad-
§ 24.17 Presiding Officer’s rec-
dress questions to the respondent’s or ommendation.
the EPA’s representative(s) during the
hearing. Each party shall ensure that a (a) The Presiding Officer will, as soon
representative(s) is (are) present at the as practicable after the conclusion of
hearing, who is (are) capable of re- the hearing, evaluate the entire admin-
sponding to questions and articulating istrative record and, on the basis of the
that party’s position on the law and administrative record, prepare and file
facts at issue. Apart from questions by a recommended decision with the Re-
the Presiding Officer, no direct exam- gional Administrator. The rec-
ination or cross-examination shall be ommended decision must address all
allowed. material issues of fact or law properly
(b) Upon commencement of the hear- raised by respondent, and must rec-
ing, a representative of EPA shall in- ommend that the order be modified,
troduce the order and record sup- withdrawn or issued without modifica-
porting issuance of the order, and sum- tion. The recommended decision must
marize the basis for the order. The re- provide an explanation, with citation
spondent may respond to the adminis- to material contained in the record for
trative record and offer any facts, any decision to modify a term of the
statements, explanations or documents order, to issue the order without
which bear on any issue for which the change or to withdraw the order. The
hearing has been requested. Any such recommended decision shall be based
presentation by respondent may in- on the administrative record. If the
clude new documents only to the ex- Presiding Officer finds that any con-
tent that respondent can demonstrate tested relief provision in the order is
that, through no fault of its own, such not supported by a preponderance of
documents could not have been sub- the evidence in the record, the Pre-
mitted before hearing in accordance siding Officer shall recommend that
with the requirements of § 24.14 (c) and the order be modified and issued on
(e). The Agency may then present mat- terms that are supported by the record,
ters solely in rebuttal to matters pre- or withdrawn.
viously presented by the respondent. (b) At any time within twenty-one
The Presiding Officer may allow the re- (21) days of service of the recommended
spondent to respond to any such rebut- decision on the parties, the parties
tal submitted. The Presiding Officer may file comments on the rec-
may exclude repetitive or irrelevant ommended decision with the Clerk.
matter. The Presiding Officer may The Clerk shall promptly transmit any
upon request grant petitioner leave to such comments received to the Re-
respond to submissions made by regional Administrator for his consider-
spondent pursuant to this paragraph or ation in reaching a final decision.
§ 24.14(e).
Subpart D—Post-Hearing
§ 24.16 Transcript or recording of Procedures
hearing.
(a) The hearing shall be either tran- § 24.18 Final decision.
scribed stenographically or tape re- As soon as practicable after receipt
corded. Upon written request, such of the recommended decision, the Re-
transcript or tape recording shall be gional Administrator will either sign

made available for inspection or copy- or modify such recommended decision,
ing. and issue it as a final decision. If the
282
Regional Administrator modifies the 25.12 Assuring compliance with public par-
recommended decision, he shall insure ticipation requirements.
that the final decision indicates the 25.13 Coordination and non-duplication.
legal and factual basis for the decision 25.14 Termination of reporting require-
as modified. The Regional Administra- ments.
tor’s decision shall be based on the ad- AUTHORITY: Sec. 101(e), Clean Water Act, as
ministrative record. amended (33 U.S.C. 1251(e)); sec. 7004(b), Re-
source Conservation and Recovery Act (42
§ 24.19 Final order. U.S.C. 6974(b)); sec. 1450(a)(1), Safe Drinking
Water Act, as amended (42 U.S.C. 300j–9).
If the Regional Administrator does
not adopt portions of the initial order, SOURCE: 44 FR 10292, Feb. 16, 1979, unless
or finds that modification of the order otherwise noted.
is necessary, the signatory official on
the initial administrative order shall § 25.1 Introduction.
modify the order in accordance with This part sets forth minimum re-
the terms of the final decision and file quirements and suggested program ele-
and serve a copy of the final adminis- ments for public participation in ac-
trative order. If the Regional Adminis- tivities under the Clean Water Act
trator finds the initial order appro- (Pub. L. 95–217), the Resource Con-
priate as originally issued, the final de- servation and Recovery Act (Pub. L.
cision shall declare the initial adminis- 94–580), and the Safe Drinking Water
trative order to be a final order, effec- Act (Pub. L. 93–523). The applicability
tive upon service of the final decision. of the requirements of this part is as
If the Regional Administrator declares follows:
that the initial order must be with- (a) Basic requirements and suggested
drawn, the signatory official on the ini- program elements for public informa-
tial administrative order will file and tion, public notification, and public
serve a withdrawal of the initial ad- consultation are set forth in § 25.4.
ministrative order. This may be done These requirements are intended to
without prejudice. foster public awareness and open proc-
esses of government decisionmaking.
§ 24.20 Final agency action.
They are applicable to all covered ac-
The final decision and the final ad- tivities and programs described in
ministrative order are final agency ac- § 25.2(a).
tions that are effective on filing and (b) Requirements and suggested pro-
service. These actions are not appeal- gram elements which govern the struc-
able to the Administrator. ture of particular public participation
mechanisms (for example, advisory
PART 25—PUBLIC PARTICIPATION groups and responsiveness summaries)
IN PROGRAMS UNDER THE RE- are set forth in §§ 25.5, 25.6, 25.7, and
SOURCE CONSERVATION AND 25.8. This part does not mandate the
RECOVERY ACT, THE SAFE use of these public participation mech-
DRINKING WATER ACT, AND THE anisms. It does, however, set require-
CLEAN WATER ACT ments which those responsible for im-
plementing the mechanisms must fol-
Sec.
low if the mechanisms are required
25.1 Introduction. elsewhere in this chapter.
25.2 Scope. (c) Requirements which apply to Fed-
25.3 Policy and objectives. eral financial assistance programs
25.4 Information, notification, and con- (grants and cooperative agreements)
sultation responsibilities. under the three acts are set forth in
25.5 Public hearings. §§ 25.10 and 25.12(a).
25.6 Public meetings.
(d) Requirements for public involve-
25.7 Advisory groups.
25.8 Responsiveness summaries. ment which apply to specific activities
25.9 Permit enforcement. are set forth in § 25.9 (Permit enforce-
25.10 Rulemaking. ment), § 25.10 (Rulemaking), and § 25.12

25.11 Work elements in financial assistance (Assuring compliance with require-
agreements. ments).
283
§ 25.2 40 CFR Ch. I (7–1–21 Edition)
§ 25.2 Scope. are activities under parts 33 (Subagree-

(a) The activities under the three ments), 39 (Loan Guarantees for Con-
Acts which are covered by this part struction of Treatment Works), 40 (Re-
are: search and Development Grants), 45
(1) EPA rulemaking, except non-pol- (Training Grants and Manpower Fore-
icy rulemaking (for example publica- casting) and 46 (Fellowships) of this
tion of funding allotments under statu- chapter.
tory formulas); and State rulemaking (c) Some programs covered by these
under the Clean Water Act and Re- regulations contain further provisions
source Conservation and Recovery Act; concerning public participation. These
(2) EPA issuance and modification of are found elsewhere in this chapter in
permits, and enforcement of permits as provisions which apply to the program
delineated by § 25.9; of interest. Regulations which govern
(3) Development by EPA of major in- the use and release of public informa-
formational materials, such as citizen tion are set forth in part 2 of this chap-
guides or handbooks, which are ex- ter.
pected to be used over several years (d) Specific provisions of court orders
and which are intended to be widely
which conflict with requirements of
distributed to the public;
this part, such as court-established
(4) Development by EPA of strategy
and policy guidance memoranda when timetables, shall take precedence over
a Deputy Assistant Administrator de- the provisions in this part.
termines it to be appropriate; (e) Where the State undertakes func-
(5) Development and implementation tions in the construction grants pro-
of plans, programs, standards, con- gram, the State shall be responsible for
struction, and other activities sup- meeting these requirements for public
ported with EPA financial assistance participation, and any applicable pub-
(grants and cooperative agreements) to lic participation requirements found
State, interstate, regional and local elsewhere in this chapter, to the same
agencies (herein after referred to as extent as EPA.
‘‘State, interstate, and substate agen- (f) Where the State undertakes func-
cies’’); tions in those programs specifically
(6) The process by which EPA makes cited in § 25.2(a)(7), the State shall be
a determination regarding approval of responsible for meeting the require-
State administration of the Construc- ments for public participation included
tion Grants program in lieu of Federal in the applicable regulations governing
administration; and the administration those State programs. The require-
of the Construction Grants Program by ments for public participation in State
the State after EPA approval; Hazardous Waste Programs, Dredge
(7) The process by which EPA makes
and Fill Permit programs, Under-
a determination regarding approval of
ground Injection Control programs and
State administration of the following
NPDES permit programs are found in
programs in lieu of Federal administra-
part 123 of this chapter. These regula-
tion: The State Hazardous Waste Pro-
gram; the NPDES Permit Program; the tions embody the substantive require-
Dredge and Fill Permit Program; and ments of this part.
the Underground Injection Control (g) These regulations apply to the ac-
Program; tivities of all agencies receiving EPA
(8) Other activities which the Assist- financial assistance which is awarded
ant Administrator for Water and Waste after [the effective date of final regula-
Management, the Assistant Adminis- tions], and to all other covered activi-
trator for Enforcement, or any EPA ties of EPA, State, interstate, and sub-
Regional Administrator deems appro- state agencies which occur after that
priate in view of the Agency’s responsi- date. These regulations will apply to
bility to involve the public in signifi- ongoing grants or other covered activi-
cant decisions. ties upon any significant change in the
(b) Activities which are not covered activity (for example, upon a signifi-
by this part, except as otherwise pro- cant proposed increase in project scope
vided under (a)(8) or (c) of this section, of a construction grant). Parts 105
284
(Public Participation in Water Pollu- ess, responsible officials should make

tion Control) and 249 (Public Participa- special efforts to encourage and assist
tion in Solid Waste Management) will participation by citizens representing
no longer appear in the Code of Federal themselves and by others whose re-
Regulations; however, they will remain sources and access to decision-making
applicable, in uncodified form, to may be relatively limited.
grants awarded prior to the effective (c) The following are the objectives
date of this part and to all other ongo- of EPA, State, interstate, and substate
ing activities. agencies in carrying out activities cov-
ered by this part:
§ 25.3 Policy and objectives. (1) To assure that the public has the
(a) EPA, State, interstate, and sub- opportunity to understand official pro-
state agencies carrying out activities grams and proposed actions, and that
described in § 25.2(a) shall provide for, the government fully considers the
encourage, and assist the participation public’s concerns;
of the public. The term, ‘‘the public’’ in (2) To assure that the government
the broadest sense means the people as does not make any significant decision
a whole, the general populace. There on any activity covered by this part
are a number of identifiable ‘‘segments without consulting interested and af-
of the public’’ which may have a par- fected segments of the public;
ticular interest in a given program or (3) To assure that government action
decision. Interested and affected seg- is as responsive as possible to public
ments of the public may be affected di- concerns;
rectly by a decision, either beneficially (4) To encourage public involvement
or adversely; they may be affected in- in implementing environmental laws;
directly; or they may have some other (5) To keep the public informed about
concern about the decision. In addition significant issues and proposed project
to private citizens, the public may in- or program changes as they arise;
clude, among others, representatives of (6) To foster a spirit of openness and
consumer, environmental, and minor- mutual trust among EPA, States, sub-
ity associations; trade, industrial, agri- state agencies and the public; and
cultural, and labor organizations; pub- (7) To use all feasible means to create
lic health, scientific, and professional opportunities for public participation,
societies; civic associations; public of- and to stimulate and support participa-
ficials; and governmental and edu- tion.
cational associations.
(b) Public participation is that part § 25.4 Information, notification, and
of the decision-making process through consultation responsibilities.
which responsible officials become (a) General. EPA, State, interstate,
aware of public attitudes by providing and substate agencies shall conduct a
ample opportunity for interested and continuing program for public informa-
affected parties to communicate their tion and participation in the develop-
views. Public participation includes ment and implementation of activities
providing access to the decision-mak- covered by this part. This program
ing process, seeking input from and shall meet the following requirements:
conducting dialogue with the public, (b) Information and assistance require-
assimilating public viewpoints and ments. (1) Providing information to the
preferences, and demonstrating that public is a necessary prerequisite to
those viewpoints and preferences have meaningful, active public involvement.
been considered by the decision-mak- Agencies shall design informational ac-
ing official. Disagreement on signifi- tivities to encourage and facilitate the
cant issues is to be expected among public’s participation in all significant
government agencies and the diverse decisions covered by § 25.2(a), particu-
groups interested in and affected by larly where alternative courses of ac-
public policy decisions. Public agencies tion are proposed.
should encourage full presentation of (2) Each agency shall provide the
issues at an early stage so that they public with continuing policy, pro-
can be resolved and timely decisions gram, and technical information and
can be made. In the course of this proc- assistance beginning at the earliest
285
§ 25.4 40 CFR Ch. I (7–1–21 Edition)
practicable time. Informational mate- poses, activities or members, be af-

rials shall highlight significant issues fected by or have an interest in any
that will be the subject of decision- covered activity. Generally, this list
making. Whenever possible, consistent will be most useful where subdivided by
with applicable statutory require- area of interest or geographic area.
ments, the social, economic, and envi- Whenever possible, the list should in-
ronmental consequences of proposed clude representatives of the several
decisions shall be clearly stated in such categories of interests listed under
material. Each agency shall identify § 25.3(a). Those on the list, or relevant
segments of the public likely to be af- portions if the list is subdivided, shall
fected by agency decisions and should receive timely and periodic notifica-
consider targeting informational mate- tion of the availability of materials
rials toward them (in addition to the under § 25.4(b)(2).
materials directed toward the general (c) Public notification. Each agency
public). Lengthy documents and com- shall notify interested and affected
plex technical materials that relate to parties, including appropriate portions
significant decisions should be summa- of the list required by paragraph (b)(5)
rized for public and media uses. Fact of this section, and the media in ad-
sheets, news releases, newsletters, and vance of times at which major deci-
other similar publications may be used sions not covered by notice require-
to provide notice that materials are ments for public meetings or public
available and to facilitate public un- hearings are being considered. Gen-
derstanding of more complex docu- erally, notices should include the time-
ments, but shall not be a substitute for table in which a decision will be
public access to the full documents. reached, the issues under consider-
(3) Each agency shall provide one or ation, any alternative courses of action
more central collections of reports, or tentative determinations which the
studies, plans, and other documents re- agency has made, a brief listing of the
lating to controversial issues or signifi- applicable laws or regulations, the lo-
cant decisions in a convenient location cation where relevant documents may
or locations, for example, in public li- be reviewed or obtained, identification
braries. Examples of such documents of any associated public participation
are catalogs of documents available opportunities such as workshops or
from the agency, grant applications, meetings, the name of an individual to
fact sheets on permits and permit ap- contact for additional information, and
plications, permits, effluent discharge any other appropriate information. All
information, and compliance schedule advance notifications under this para-
reports. Copying facilities at reason- graph must be provided far enough in
able cost should be available at the de- advance of agency action to permit
positories. time for public response; generally this
(4) Whenever possible, agencies shall should not be less than 30 days.
provide copies of documents of interest (d) Public consultation. For the pur-
to the public free of charge. Charges for poses of this part, ‘‘public consulta-
copies should not exceed prevailing tion’’ means an exchange of views be-
commercial copying costs. EPA re- tween governmental agencies and in-
quirements governing charges for interested or affected persons and organi-
formation and documents provided to zations in order to meet the objectives
the public in response to requests made set forth in § 25.3. Requirements for
under the Freedom of Information Act three common forms of public con-
are set forth in part 2 of this chapter. sultation (public hearings, public meet-
Consistent with the objectives of ings, and advisory groups) are set forth
§ 25.3(b), agencies may reserve their in §§ 25.5, 25.6, and 25.7. Other less for-
supply of free copies for private citi- mal consultation mechanisms may in-
zens and others whose resources are clude but are not limited to review
limited. groups, ad hoc committees, task forces,
(5) Each agency shall develop and workshops, seminars and informal per-
maintain a list of persons and organi- sonal communications with individuals

zations who have expressed an interest and groups. Public consultation must
in or may, by the nature of their pur- be preceded by timely distribution of
286
information and must occur suffi- date of the hearing. However, where
ciently in advance of decision-making EPA determines that there are no sub-
to allow the agency to assimilate pub- stantial documents which must be re-
lic views into agency action. EPA, viewed for effective hearing participa-
State, interstate, and substate agen- tion and that there are no complex or
cies shall provide for early and con- controversial matters to be addressed
tinuing public consultation in any sig- by the hearing, the notice requirement
nificant action covered by this part. may be reduced to no less than 30 days.
Merely conferring with the public after EPA may further reduce or waive the
an agency decision does not meet this hearing notice requirement in emer-
requirement. In addition to holding gency situations where EPA deter-
hearings and meetings as specifically mines that there is an imminent dan-
required in this chapter, a hearing or ger to public health. To the extent not
meeting shall be held if EPA, the duplicative, the agency holding the
State, interstate, or substate agency hearing shall also provide informal no-
determines that there is significant tice to all interested persons or organi-
public interest or that a hearing or zations that request it. The notice
meeting would be useful. shall identify the matters to be dis-
(e) Public information concerning legal cussed at the hearing and shall include
proceedings. EPA, State, interstate, and or be accompanied by a discussion of
substate agencies shall provide full and the agency’s tentative determination
open information on legal proceedings on major issues (if any), information
to the extent not inconsistent with on the availability of a bibliography of
court requirements, and where such relevant materials (if deemed appro-
disclosure would not prejudice the con- priate), and procedures for obtaining
duct of the litigation. EPA actions further information. Reports, docu-
with regard to affording opportunities ments and data relevant to the discus-
for public comment before the Depart- sion at the public hearing shall be
ment of Justice consents to a proposed available to the public at least 30 days
judgment in an action to enjoin dis- before the hearing. Earlier availability
charges of pollutants into the environ- of materials relevant to the hearing
ment shall be consistent with the will further assist public participation
Statement of Policy issued by the De- and is encouraged where possible.
partment of Justice (see title 28, CFR, (c) Locations and time. Hearings must
chapter 1, § 50.7). be held at times and places which, to
the maximum extent feasible, facili-
§ 25.5 Public hearings. tate attendance by the public. Accessi-
(a) Applicability. Any non-adjudica- bility of public transportation, and use
tory public hearing, whether manda- of evening and weekend hearings,
tory or discretionary, under the three should be considered. In the case of ac-
Acts shall meet the following min- tions with Statewide interest, holding
imum requirements. These require- more than one hearing should be con-
ments are subordinate to any more sidered.
stringent requirements found else- (d) Scheduling presentations. The agen-
where in this chapter or otherwise im- cy holding the hearing shall schedule
posed by EPA, State, interstate, or witnesses in advance, when necessary,
substate agencies. Procedures devel- to ensure maximum participation and
oped for adjudicatory hearings required allotment of adequate time for all
by this chapter shall be consistent with speakers. However, the agency shall re-
the public participation objectives of serve some time for unscheduled testi-
this part, to the extent practicable. mony and may consider reserving
(b) Notice. A notice of each hearing blocks of time for major categories of
shall be well publicized, and shall also witnesses.
be mailed to the appropriate portions (e) Conduct of hearing. The agency
of the list of interested and affected holding the hearing shall inform the
parties required by § 25.4(b)(5). Except audience of the issues involved in the
as otherwise specifically provided else- decision to be made, the considerations

where in this chapter, these actions the agency will take into account, the
must occur at least 45 days prior to the agency’s tentative determinations (if
287
§ 25.6 40 CFR Ch. I (7–1–21 Edition)
any), and the information which is par- where in this chapter will require an
ticularly solicited from the public. The advisory group to be appointed by the
agency should consider allowing a financially assisted agency. Such advi-
question and answer period. Procedures sory groups will not be the sole mecha-
shall not unduly inhibit free expression nism for public participation, but will
of views (for example, by onerous writ- complement other mechanisms. They
ten statement requirements or quali- are intended to assist elected or ap-
fication of witnesses beyond minimum pointed officials with final decision-
identification). making responsibility by making rec-
(f) Record. The agency holding the ommendations to such officials on im-
hearing shall prepare a transcript, re- portant issues. In addition, advisory
cording or other complete record of groups should foster a constructive
public hearing proceedings and make it interchange among the various inter-
available at no more than cost to any- ests present on the group and enhance
one who requests it. A copy of the the prospect of community acceptance
record shall be available for public re- of agency action.
view. (c) Membership. (1) The agency receiv-
ing financial assistance shall assure
§ 25.6 Public meetings. that the advisory group reflects a bal-
Public meetings are any assemblies ance of interests in the affected area.
or gathering, (such as conferences, in- In order to meet this requirement, the
formational sessions, seminars, work- assisted agency shall take positive ac-
shops, or other activities) which the re- tion, in accordance with paragraph
sponsible agency intends to be open to (c)(3) of this section, to establish an ad-
anyone wishing to attend. Public meet- visory group which consists of substan-
ings are less formal than public hear- tially equivalent proportions of the fol-
ings. They do not require formal pres- lowing four groups:
entations, scheduling of presentations (i) Private citizens. No person may be
and a record of proceedings. The re- included in this portion of the advisory
quirements of § 25.5 (b) and (c) are ap- group who is likely to incur a financial
plicable to public meetings, except gain or loss greater than that of an av-
that the agency holding the meeting erage homeowner, taxpayer or con-
may reduce the notice to not less than sumer as a result of any action likely
30 days if there is good reason that to be taken by the assisted agency.
longer notice cannot be provided. (ii) Representatives of public interest
groups. A ‘‘public interest group’’ is an
§ 25.7 Advisory groups. organization which reflects a general
(a) Applicability. The requirements of civic, social, recreational, environ-
this section on advisory groups shall be mental or public health perspective in
met whenever provisions of this chap- the area and which does not directly
ter require use of an advisory group by reflect the economic interests of its
State, interstate, or substate agencies membership.
involved in activities supported by (iii) Public officials.
EPA financial assistance under any of (iv) Citizens or representatives of or-
the three Acts. ganizations with substantial economic
(b) Role. Primary responsibility for interests in the plan or project.
decision-making in environmental pro- (2) Generally, where the activity has
grams is vested by law in the elected a particular geographic focus, the advi-
and appointed officials who serve on sory group shall be made up of persons
public bodies and agencies at various who are residents of that geographic
levels of government. However, all seg- area.
ments of the public must have the op- (3) In order to meet the advisory
portunity to participate in environ- group membership requirements of
mental quality planning. Accordingly, paragraph (c)(1) of this section, the as-
where EPA identifies a need for contin- sisted agency shall:
ued attention of an informed core (i) Identify public interest groups,
group of citizens in relation to activi- economic interests, and public officials

ties conducted with EPA financial as- who are interested in or affected by the
sistance, program regulations else- assisted activity.
288
(ii) Make active efforts to inform sponsibilities will be met under con-
citizens in the affected area, and the tract, the agency shall require a simi-
persons or groups identified under lar designation, and budget specifica-
paragraph (c)(3)(i) of this section, of tion, of its contractor. In the latter
this opportunity for participation on event, the assisted agency does not
the advisory group. This may include have to designate a separate staff con-
such actions as placing notices or an- tact on its own staff, if the Regional
nouncements in the newspapers or Administrator determines that the
other media, mailing written notices to contractor’s designation will result in
interested parties, contacting organiza- adequate coordination. The staff con-
tions or individuals directly, request- tact shall be located in the project
ing organizations to notify their mem- area.
bers through meetings, newsletters, or (2) The assisted agency has such re-
other means. sponsibilities as providing the advisory
(iii) Where the membership composi- group with information, identifying
tion set forth in paragraph (c)(1) of this issues for the advisory group’s consid-
section is not met after the above ac- eration, consulting with the advisory
tions, the assisted agency shall iden- group throughout the project, request-
tify the causative problems and make ing the advisory group’s recommenda-
additional efforts to overcome such tions prior to major decisions, trans-
problems. For example, the agency mitting advisory group recommenda-
should make personal contact with tions to decision-making officials, and
prospective participants to invite their making written responses to any for-
participation. mal recommendation by the advisory
(iv) Where problems in meeting the group. The agency shall make any such
membership composition arise, the written responses available to the pub-
agency should request advice and as- lic. To the maximum extent feasible,
sistance from EPA. the assisted agency shall involve the
(d) The assisted agency shall record advisory group in the development of
the names and mailing addresses of the public participation program.
each member of the advisory group, (3) The assisted agency shall identify
with the attributes of each in relation professional and clerical staff time
to the membership requirements set which the advisory group may depend
forth in paragraph (c)(1) of this section, upon for assistance, and provide the ad-
provide a copy to EPA, and make the visory group with an operating budget
list available to the public. In the which may be used for technical assist-
event that the membership require- ance and other purposes agreed upon
ments set forth in paragraph (c)(1) of between the advisory group and the
this section are not met, the assisted agency.
agency shall append to the list a de- (4) The assisted agency shall estab-
scription of its efforts to comply with lish a system to make costs of reason-
those requirements and an explanation able out-of-pocket expenses of advisory
of the problems which prevented com- group participation available to group
pliance. EPA shall review the agency’s members. Time away from work need
efforts to comply and approve the advi- not be reimbursed; however, assisted
sory group composition or, if the agen- agencies are encouraged to schedule
cy’s efforts were inadequate, require meetings at times and places which
additional actions to achieve the re- will not require members to leave their
quired membership composition. jobs to attend.
(e) Responsibilities of the assisted agen- (f) Advisory group responsibilities and
cy. (1) The assisted agency shall des- duties. The advisory group may select
ignate a staff contact who will be re- its own chairperson, adopt its own
sponsible for day-to-day coordination rules of order, and schedule and con-
among the advisory group, the agency, duct its own meetings. Advisory group
and any agency contractors or consult- meetings shall be announced well in
ants. The financial assistance agree- advance and shall be open to the pub-
ment shall include a budget item for lic. At all meetings, the advisory group
this staff contact. Where substantial shall provide opportunity for public
portions of the assisted agency’s re- comment. Any minutes of advisory
289
§ 25.8 40 CFR Ch. I (7–1–21 Edition)
group meetings and recommendations § 25.8 Responsiveness summaries.

to the assisted agency shall be avail- Each agency which conducts any ac-
able to the public. The advisory group tivities required under this part shall
should monitor the progress of the prepare a Responsiveness Summary at
project and become familiar with specific decision points as specified in
issues relevant to project development. program regulations or in the approved
In the event the assisted agency and public participation work plan. Re-
the advisory group agree that the advi- sponsiveness Summaries are also re-
sory group will assume public partici- quired for rulemaking activities under
pation responsibilities, the group § 25.10. Each Responsiveness Summary
should undertake those responsibilities shall identify the public participation
promptly. The advisory group should activity conducted; describe the mat-
make written recommendations di- ters on which the public was consulted;
rectly to the assisted agency and to re- summarize the public’s views, signifi-
sponsible decision-making officials on cant comments, criticisms and sugges-
major decisions (including approval of tions; and set forth the agency’s spe-
the public participation program) and cific responses in terms of modifica-
respond to any requests from the agen- tions of the proposed action or an ex-
cy or decision-making officials for rec- planation for rejection of proposals
made by the public. Responsiveness
ommendations. The advisory group
Summaries prepared by agencies re-
should remain aware of community at-
ceiving EPA financial assistance shall
titudes and responses to issues as they also include evaluations by the agency
arise. As part of this effort, the advi- of the effectiveness of the public par-
sory group may, within the limitations ticipation program. Assisted agencies
of available resources, conduct public shall request such evaluations from
participation activities in conjunction any advisory group and provide an op-
with the assisted agency; solicit out- portunity for other participating mem-
side advice; and establish, in conjunc- bers of the public to contribute to the
tion with the assisted agency, sub- evaluation. (In the case of programs
committees, ad hoc groups, or task with multiple responsiveness summary
forces to investigate and develop rec- requirements, these analyses need only
ommendations on particular issues as be prepared and submitted with the
they arise. The advisory group should final summary required.) Responsive-
undertake its responsibilities fully and ness summaries shall be forwarded to
promptly in accordance with the poli- the appropriate decision-making offi-
cies and requirements of this part. cial and shall be made available to the
Nothing shall preclude the right of the public. Responsiveness Summaries
advisory group from requesting EPA to shall be used as part of evaluations re-
perform an evaluation of the assisted quired under this part or elsewhere in
agency’s compliance with the require- this chapter.
ments of this part. § 25.9 Permit enforcement.
(g) Training and assistance. EPA will
Each agency administering a permit
promptly provide appropriate written
program shall develop internal proce-
guidance and project information to
dures for receiving evidence submitted
the newly formed advisory group and by citizens about permit violations and
may provide advice and assistance to ensuring that it is properly considered.
the group throughout the life of the Public effort in reporting violations
project. EPA will develop and, in con- shall be encouraged, and the agency
junction with the State or assisted shall make available information on
agency, carry out a program to provide reporting procedures. The agency shall
a training session for the advisory investigate alleged violations prompt-
group, and appropriate assisted agency ly.
representatives, promptly after the ad-
visory group is formed. The assisted § 25.10 Rulemaking.
agency shall provide additional needed (a) EPA shall invite and consider
information or assistance to the advi- written comments on proposed and in-
sory group. terim regulations from any interested
290
or affected persons and organizations. major decisions, including consultation

All such comments shall be part of the points where responsiveness summaries
public record, and a copy of each com- will be prepared;
ment shall be available for public in- (3) An identification of consultation
spection. EPA will maintain a docket and information mechanisms to be
of comments received and any Agency used;
responses. Notices of proposed and in- (4) The segments of the public tar-
terim rulemaking, as well as final rules geted for involvement.
and regulations, shall be distributed in (c) All reasonable costs of public par-
accordance with § 25.4(c) to interested ticipation incurred by assisted agencies
or affected persons promptly after pub- which are identified in an approved
lication. Each notice shall include in- public participation work plan or ele-
formation as to the availability of the ment, or which are otherwise approved
full texts of rules and regulations by EPA, shall be eligible for financial
(where these are not set forth in the assistance.
notice itself) and places where copying (d) The work plan or element may be
facilities are available at reasonable revised as necessary throughout the
cost to the public. Under Executive project period with approval of the Re-
Order 12044 (March 23, 1978), further gional Administrator.
EPA guidance will be issued concerning
public participation in EPA rule- § 25.12 Assuring compliance with pub-
making. A Responsiveness Summary lic participation requirements.
shall be published as part of the pre- (a) Financial assistance programs—(1)
amble to interim and final regulations. Applications. EPA shall review the pub-
In addition to providing opportunity lic participation work plan (or, if no
for written comments on proposed and work plan is required by this chapter
interim regulations, EPA may choose for the particular financial assistance
to hold a public hearing. agreement, the public participation
(b) State rulemaking specified in element) included in the application to
§ 25.2(a)(1) shall be in accord with the determine consistency with all policies
requirements of paragraph (a) of this and requirements of this part. No fi-
section or with the State’s administra- nancial assistance shall be awarded un-
tive procedures act, if one exists. How- less EPA is satisfied that the public
ever, in the event of conflict between a participation policies and requirements
provision of paragraph (a) of this sec- of this part and, any applicable public
tion and a provision of a State’s admin- participation requirements found else-
istrative procedures act, the State’s where in this chapter, will be met.
law shall apply. (2) Compliance—(i) Evaluation. EPA
shall evaluate compliance with public
§ 25.11 Work elements in financial as- participation requirements using the
sistance agreements. work plan, responsiveness summary,
(a) This section is applicable to ac- and other available information. EPA
tivities under § 25.2(a)(5) except as oth- will judge the adequacy of the public
erwise provided in parts 30 or 35. participation effort in relation to the
(b) Each applicant for EPA financial objectives and requirements of § 25.3
assistance shall set forth in the appli- and § 25.4 and other applicable require-
cation a public participation work plan ments. In conducting this evaluation,
or work element which reflects how EPA may request additional informa-
public participation will be provided tion from the assisted agency, includ-
for, encouraged, and assisted in according records of hearings and meetings,
ance with this part. This work plan or and may invite public comment on the
element shall cover the project period. agency’s performance. The evaluation
At a minimum, the work plan or ele- will be undertaken as part of any mid-
ment shall include: project review required in various pro-
(1) Staff contacts and budget re- grams under this chapter; where no
sources to be devoted to public partici- such review is required the review shall
pation by category; be conducted at an approximate mid-

(2) A proposed schedule for public point in continuing EPA oversight ac-
participation activities to impact tivity. EPA may, however, undertake
291
§ 25.13 40 CFR Ch. I (7–1–21 Edition)
such evaluation at any point in the ance are promptly investigated and
project period, and will do so whenever that corrective action is taken where
it believes that an assisted agency may necessary.
have failed to meet public participa-
tion requirements. § 25.13 Coordination and non-duplica-
(ii) Remedial actions. Whenever EPA tion.
determines that an assisted agency has The public participation activities
not fully met public participation re- and materials that are required under
quirements, EPA shall take actions this part should be coordinated or com-
which it deems appropriate to mitigate bined with those of closely related pro-
the adverse effects of the failure and grams or activities wherever this will
assure that the failure is not repeated. enhance the economy, the effective-
For ongoing projects, that action shall ness, or the timeliness of the effort; en-
include, at a minimum, imposing more hance the clarity of the issue; and not
stringent requirements on the assisted be detrimental to participation by the
agency for the next budget period or widest possible public. Hearings and
other period of the project (including meetings on the same matter may be
such actions as more specific output held jointly by more than one agency
requirements and milestone schedules where this does not conflict with the
for output achievement; interim EPA policy of this paragraph. Special ef-
review of public participation activi- forts shall be made to coordinate pub-
ties and materials prepared by the lic participation procedures under this
agency, and phased release of funds part and applicable regulations else-
based on compliance with milestone where in this chapter with environ-
schedules.) EPA may terminate or sus- mental assessment and analysis proce-
pend part or all financial assistance for dures under 40 CFR part 6. EPA encour-
non-compliance with public participa- ages interstate agencies in particular
tion requirements, and may take any to develop combined proceedings for
further actions that it determines to be the States concerned.
appropriate in accordance with parts 30
and 35 of this chapter (see, in par- § 25.14 Termination of reporting re-
ticular, §§ 30.340, Noncompliance and quirements.
30.615–3, Withholding of Payments, and All reporting requirements specifi-
subpart H of part 30, Modification, Sus- cally established by this part will ter-
pension, and Termination). minate on (5 years from date of publi-
(b) State programs approved in lieu of cation) unless EPA acts to extend the
Federal programs. State compliance requirements beyond that date.
with applicable public participation re-
quirements in programs specified in PART 26—PROTECTION OF HUMAN
§ 25.2(a) (6) and (7) and administered by
approved States shall be monitored by SUBJECTS
EPA during the annual review of the
State’s program, and during any finan- Subpart A—Basic EPA Policy for Protection
cial or program audit or review of of Subjects in Human Research Con-
these programs. EPA may withdraw an ducted or Supported by EPA
approved program from a State for fail- Sec.
ure to comply with applicable public 26.101 To what does this policy apply?
participation requirements. 26.102 Definitions for purposes of this pol-
(c) Other covered programs. Assuring icy.
compliance with these public participa- 26.103 Assuring compliance with this pol-
tion requirements for programs not icy—research conducted or supported by
covered by paragraphs (a) and (b) of any Federal department or agency.
26.104 Exempt research.
this section is the responsibility of the
26.105 [Reserved]
Administrator of EPA. Citizens with 26.106 [Reserved]
information concerning alleged failures 26.107 IRB membership.
to comply with the public participation 26.108 IRB functions and operations.
requirements should notify the Admin- 26.109 IRB review of research.

istrator. The Administrator will assure 26.110 Expedited review procedures for cer-
that instances of alleged non-compli- tain kinds of research involving no more
292
than minimal risk, and for minor 26.403 IRB duties.
changes in approved research. 26.404 Observational research not involving
26.111 Criteria for IRB approval of research. greater than minimal risk.
26.112 Review by institution. 26.405 Observational research involving
26.113 Suspension or termination of IRB ap- greater than minimal risk but presenting
proval of research. the prospect of direct benefit to the indi-
26.114 Cooperative research. vidual subjects.
26.115 IRB records. 26.406 Requirements for permission by par-
26.116 General requirements for informed ents or guardians and for assent by chil-
consent. dren.
26.117 Documentation of informed consent.
26.118 Applications and proposals lacking Subparts E–J [Reserved]
definite plans for involvement of human
subjects. Subpart K—Basic Ethical Requirements for
26.119 Research undertaken without the in- Third-Party Human Research for Pes-
tention of involving human subjects. ticides Involving Intentional Exposure
26.120 Evaluation and disposition of applica- of Non-Pregnant, Non-Nursing Adults
tions and proposals for research to be
conducted or supported by a Federal de- 26.1101 To what does this subpart apply?
partment or agency. 26.1102 Definitions.
26.121 [Reserved] 26.1103–26.1106 [Reserved]
26.122 Use of Federal funds. 26.1107 IRB membership.
26.123 Early termination of research sup- 26.1108 IRB functions and operations.
port: Evaluation of applications and pro- 26.1109 IRB review of research.
posals. 26.1110 Expedited review procedures for cer-
26.124 Conditions. tain kinds of research involving no more
than minimal risk, and for minor
Subpart B—Prohibition of Research Con- changes in approved research.
ducted or Supported by EPA Involving 26.1111 Criteria for IRB approval of re-
Intentional Exposure of Human Sub- search.
26.1112 Review by institution.
jects who are Children or Pregnant or 26.1113 Suspension or termination of IRB
Nursing Women approval of research.
26.201 To what does this subpart apply? 26.1114 Cooperative research.
26.202 Definitions. 26.1115 IRB records.
26.203 Prohibition of research conducted or 26.1116 General requirements for informed
supported by EPA involving intentional consent.
26.1117 Documentation of informed consent.
exposure of any human subject who is a
26.1118–26.1122 [Reserved]
pregnant woman (and therefore her
26.1123 Early termination of research.
fetus), a nursing woman, or child.
26.1124 [Reserved]
26.1125 Prior submission of proposed human
Subpart C—Observational Research: Addi- research for EPA review.
tional Protections for Pregnant Women
and Fetuses Involved as Subjects in Subpart L—Prohibition of Third-Party Re-
Observational Research Conducted or search Involving Intentional Exposure
Supported by EPA to a Pesticide of Human Subjects Who
26.301 To what does this subpart apply? Are Children or Pregnant or Nursing
26.302 Definitions. Women
26.303 Duties of IRBs in connection with ob- 26.1201 To what does this subpart apply?
servational research involving pregnant 26.1202 Definitions.
women and fetuses. 26.1203 Prohibition of research involving in-
26.304 Additional protections for pregnant tentional exposure of any human subject
women and fetuses involved in observa- who is a pregnant woman (and therefore
tional research. her fetus), a nursing woman, or a child.
26.305 Protections applicable, after delivery,
to the placenta, the dead fetus, or fetal Subpart M—Requirements for Submission
material.
of Information on the Ethical Conduct
Subpart D—Observational Research: Addi- of Completed Human Research
tional Protections for Children Involved 26.1301 To what does this subpart apply?
as Subjects in Observational Research 26.1302 Definitions.
Conducted or Supported by EPA 26.1303 Submission of information per-

taining to ethical conduct of completed
26.401 To what does this subpart apply? human research.
26.402 Definitions.
Subpart N [Reserved]
293
§ 26.101 40 CFR Ch. I (7–1–21 Edition)
Subpart O—Administrative Actions for § 26.101 To what does this policy

Noncompliance apply?
26.1501 To what does this subpart apply? (a) Except as detailed in § 26.104, this
26.1502 Lesser administrative actions. policy applies to all research involving
26.1503 Disqualification of an IRB or an in- human subjects conducted, supported,
stitution. or otherwise subject to regulation by
26.1504 Public disclosure of information re- any Federal department or agency that
garding revocation. takes appropriate administrative ac-
26.1505 Reinstatement of an IRB or an insti-
tion to make the policy applicable to
tution.
26.1506 Debarment. such research. This includes research
26.1507 Actions alternative or additional to conducted by Federal civilian employ-
disqualification. ees or military personnel, except that
each department or agency head may
Subpart P—Review of Proposed and adopt such procedural modifications as
Completed Human Research may be appropriate from an adminis-
trative standpoint. It also includes re-
26.1601 To what does this subpart apply?
26.1602 Definitions. search conducted, supported, or other-
26.1603 EPA review of proposed human re- wise subject to regulation by the Fed-
search. eral Government outside the United
26.1604 EPA review of completed human re- States. Institutions that are engaged
search. in research described in this paragraph
26.1605 Operation of the Human Studies Re- and institutional review boards (IRBs)
view Board. reviewing research that is subject to
26.1606 Human Studies Review Board review this policy must comply with this pol-
of proposed human research.
26.1607 Human Studies Review Board review
icy.
of completed human research. (b) [Reserved]
(c) Department or agency heads re-
Subpart Q—Standards for assessing wheth- tain final judgment as to whether a
er to rely on the results of human re- particular activity is covered by this
search in EPA actions policy and this judgment shall be exer-
cised consistent with the ethical prin-
26.1701 To what does this subpart apply?
26.1702 Definitions.
ciples of the Belmont Report.62
26.1703 Prohibitions applying to all research (d) Department or agency heads may
subject to this subpart. require that specific research activities
26.1704 Prohibition of reliance on unethical or classes of research activities con-
human research with non-pregnant, non- ducted, supported, or otherwise subject
nursing adults. to regulation by the Federal depart-
26.1705 Prohibition of reliance on unethical ment or agency but not otherwise cov-
human research with non-pregnant, non- ered by this policy comply with some
nursing adults initiated after April 7,
2006.
or all of the requirements of this pol-
26.1706 Criteria and procedure for decisions icy.
to protect public health by relying on (e) Compliance with this policy re-
otherwise unacceptable research. quires compliance with pertinent fed-
AUTHORITY: 5 U.S.C. 301; 7 U.S.C. 136a(a) eral laws or regulations that provide
and 136w(a)(1); 21 U.S.C. 346a(e)(1)(C); sec. 201, additional protections for human sub-
Pub. L. 109–54, 119 Stat. 531; and 42 U.S.C. jects.
300v–1(b). (f) This policy does not affect any
SOURCE: 56 FR 28012, 28022, June 18, 1991, state or local laws or regulations (in-
unless otherwise noted. cluding tribal law passed by the official
governing body of an American Indian
Subpart A—Basic EPA Policy for or Alaska Native tribe) that may oth-
erwise be applicable and that provide
Protection of Subjects in
Human Research Conducted 62 The National Commission for the Protec-
or Supported by EPA tion of Human Subjects of Biomedical and
Behavioral Research.– Belmont Report.

SOURCE: 82 FR 7273, Jan. 19, 2017, unless Washington, DC: U.S. Department of Health
otherwise noted. and Human Services. 1979.
294
additional protections for human sub- with the principles of the Belmont Re-
jects. port.
(g) This policy does not affect any (j) Federal guidance on the require-
foreign laws or regulations that may ments of this policy shall be issued
otherwise be applicable and that pro- only after consultation, for the purpose
vide additional protections to human of harmonization (to the extent appro-
subjects of research. priate), with other Federal depart-
(h) When research covered by this
ments and agencies that have adopted
policy takes place in foreign countries,
this policy, unless such consultation is
procedures normally followed in the
foreign countries to protect human not feasible.
subjects may differ from those set (k) [Reserved]
forth in this policy. In these cir- (l) Compliance dates and transition
cumstances, if a department or agency provisions:
head determines that the procedures (1) For purposes of this section, the
prescribed by the institution afford pre-2018 Requirements means this sub-
protections that are at least equivalent part as published in the 2016 edition of
to those provided in this policy, the de- the Code of Federal Regulations.
partment or agency head may approve (2) For purposes of this section, the
the substitution of the foreign proce- 2018 Requirements means the Federal
dures in lieu of the procedural require- Policy for the Protection of Human
ments provided in this policy. Except Subjects requirements contained in
when otherwise required by statute, this subpart. The compliance date for
Executive Order, or the department or § 26.114(b) (cooperative research) of the
agency head, notices of these actions 2018 Requirements is January 20, 2020.
as they occur will be published in the
(3) Research initially approved by an
FEDERAL REGISTER or will be otherwise
IRB, for which such review was waived
published as provided in department or
agency procedures. pursuant to § 26.101(i), or for which a
(i) Unless otherwise required by law, determination was made that the re-
department or agency heads may waive search was exempt before July 19, 2018,
the applicability of some or all of the shall comply with the pre-2018 Require-
provisions of this policy to specific re- ments, except that an institution en-
search activities or classes of research gaged in such research on or after July
activities otherwise covered by this 19, 2018 may instead comply with the
policy, provided the alternative proce- 2018 Requirements if the institution de-
dures to be followed are consistent termines that such ongoing research
with the principles of the Belmont Re- will comply with the 2018 Require-
port.63 Except when otherwise required ments and an IRB documents such de-
by statute or Executive Order, the determination.
partment or agency head shall forward (4) Research initially approved by an
advance notices of these actions to the IRB, for which such review was waived
Office for Human Research Protec- pursuant to § 26.101(i), or for which a
tions, Department of Health and determination was made that the re-
Human Services (HHS), or any suc- search was exempt on or after July 19,
cessor office, or to the equivalent office 2018, shall comply with the 2018 Re-
within the appropriate Federal depart- quirements.
ment or agency, and shall also publish
(m) Severability: Any provision of
them in the FEDERAL REGISTER or in
such other manner as provided in de- this part held to be invalid or unen-
partment or agency procedures. The forceable by its terms, or as applied to
waiver notice must include a state- any person or circumstance, shall be
ment that identifies the conditions construed so as to continue to give
under which the waiver will be applied maximum effect to the provision per-
and a justification as to why the waiv- mitted by law, unless such holding
er is appropriate for the research, in- shall be one of utter invalidity or unen-
cluding how the decision is consistent forceability, in which event the provi-
sion shall be severable from this part
63 Id. and shall not affect the remainder
295
§ 26.102 40 CFR Ch. I (7–1–21 Edition)
thereof or the application of the provi- (2) Intervention includes both physical
sion to other persons not similarly sit- procedures by which information or
uated or to other dissimilar cir- biospecimens are gathered (e.g.,
cumstances. venipuncture) and manipulations of the
[82 FR 7273, Jan. 19, 2017, as amended at 83 subject or the subject’s environment
FR 2893, Jan. 22, 2018] that are performed for research pur-
poses.
§ 26.102 Definitions for purposes of (3) Interaction includes communica-
this policy. tion or interpersonal contact between
(a) Certification means the official no- investigator and subject.
tification by the institution to the sup- (4) Private information includes infor-
porting Federal department or agency mation about behavior that occurs in a
component, in accordance with the re- context in which an individual can rea-
quirements of this policy, that a re- sonably expect that no observation or
search project or activity involving recording is taking place, and informa-
human subjects has been reviewed and tion that has been provided for specific
approved by an IRB in accordance with purposes by an individual and that the
an approved assurance. individual can reasonably expect will
(b) Clinical trial means a research not be made public (e.g., a medical
study in which one or more human sub- record).
jects are prospectively assigned to one (5) Identifiable private information is
or more interventions (which may in- private information for which the iden-
clude placebo or other control) to tity of the subject is or may readily be
evaluate the effects of the interven-
ascertained by the investigator or asso-
tions on biomedical or behavioral
ciated with the information.
health-related outcomes.
(6) An identifiable biospecimen is a bio-
(c) Department or agency head means
the head of any Federal department or specimen for which the identity of the
agency, for example, the Secretary of subject is or may readily be
HHS, and any other officer or employee ascertained by the investigator or asso-
of any Federal department or agency ciated with the biospecimen.
to whom the authority provided by (7) Federal departments or agencies
these regulations to the department or implementing this policy shall:
agency head has been delegated. (i) Upon consultation with appro-
(d) Federal department or agency refers priate experts (including experts in
to a federal department or agency (the data matching and re-identification),
department or agency itself rather reexamine the meaning of ‘‘identifiable
than its bureaus, offices or divisions) private information,’’ as defined in
that takes appropriate administrative paragraph (e)(5) of this section, and
action to make this policy applicable ‘‘identifiable biospecimen,’’ as defined
to the research involving human sub- in paragraph (e)(6) of this section. This
jects it conducts, supports, or other- reexamination shall take place within
wise regulates (e.g., the U.S. Depart- 1 year and regularly thereafter (at
ment of Health and Human Services, least every 4 years). This process will
the U.S. Department of Defense, or the be conducted by collaboration among
Central Intelligence Agency). the Federal departments and agencies
(e)(1) Human subject means a living implementing this policy. If appro-
individual about whom an investigator priate and permitted by law, such Fed-
(whether professional or student) con- eral departments and agencies may
ducting research:
alter the interpretation of these terms,
(i) Obtains information or biospeci- including through the use of guidance.
mens through intervention or inter-
(ii) Upon consultation with appro-
action with the individual, and uses,
studies, or analyzes the information or priate experts, assess whether there are
biospecimens; or (ii) Obtains, uses, analytic technologies or techniques
studies, analyzes, or generates identifi- that should be considered by investiga-

able private information or identifiable tors to generate ‘‘identifiable private
biospecimens. information,’’ as defined in paragraph
296
(e)(5) of this section, or an ‘‘identifi- subdivision of a state or territory, an

able biospecimen,’’ as defined in para- Indian tribe, or a foreign government,
graph (e)(6) of this section. This assess- or a person or entity acting under a
ment shall take place within 1 year and grant of authority from or contract
regularly thereafter (at least every 4 with such public agency, including the
years). This process will be conducted employees or agents of such public
by collaboration among the Federal de- agency or its contractors or persons or
partments and agencies implementing entities to whom it has granted au-
this policy. Any such technologies or thority, that is responsible for public
techniques will be included on a list of health matters as part of its official
technologies or techniques that mandate.
produce identifiable private informa- (l) Research means a systematic in-
tion or identifiable biospecimens. This vestigation, including research devel-
list will be published in the FEDERAL opment, testing, and evaluation, de-
REGISTER after notice and an oppor- signed to develop or contribute to gen-
tunity for public comment. The Sec- eralizable knowledge. Activities that
retary, HHS, shall maintain the list on meet this definition constitute re-
a publicly accessible Web site. search for purposes of this policy,
(f) Institution means any public or whether or not they are conducted or
private entity, or department or agen- supported under a program that is con-
cy (including federal, state, and other sidered research for other purposes.
agencies). For example, some demonstration and
(g) IRB means an institutional review service programs may include research
board established in accord with and activities. For purposes of this part,
for the purposes expressed in this pol- the following activities are deemed not
icy. to be research:
(h) IRB approval means the deter- (1) Scholarly and journalistic activi-
mination of the IRB that the research ties (e.g., oral history, journalism, bi-
has been reviewed and may be con- ography, literary criticism, legal re-
ducted at an institution within the search, and historical scholarship), in-
constraints set forth by the IRB and by cluding the collection and use of infor-
other institutional and federal require- mation, that focus directly on the spe-
ments. cific individuals about whom the infor-
(i) Legally authorized representative mation is collected.
means an individual or judicial or (2) Public health surveillance activi-
other body authorized under applicable ties, including the collection and test-
law to consent on behalf of a prospec- ing of information or biospecimens,
tive subject to the subject’s participa- conducted, supported, requested, or-
tion in the procedure(s) involved in the dered, required, or authorized by a pub-
research. If there is no applicable law lic health authority. Such activities
addressing this issue, legally authorized are limited to those necessary to allow
representative means an individual rec- a public health authority to identify,
ognized by institutional policy as ac- monitor, assess, or investigate poten-
ceptable for providing consent in the tial public health signals, onsets of dis-
nonresearch context on behalf of the ease outbreaks, or conditions of public
prospective subject to the subject’s health importance (including trends,
participation in the procedure(s) in- signals, risk factors, patterns in dis-
volved in the research. eases, or increases in injuries from
(j) Minimal risk means that the prob- using consumer products). Such activi-
ability and magnitude of harm or dis- ties include those associated with pro-
comfort anticipated in the research are viding timely situational awareness
not greater in and of themselves than and priority setting during the course
those ordinarily encountered in daily of an event or crisis that threatens
life or during the performance of rou- public health (including natural or
tine physical or psychological exami- man-made disasters).
nations or tests. (3) Collection and analysis of infor-
(k) Public health authority means an mation, biospecimens, or records by or

agency or authority of the United for a criminal justice agency for activi-
States, a state, a territory, a political ties authorized by law or court order
297
§ 26.103 40 CFR Ch. I (7–1–21 Edition)
solely for criminal justice or criminal in such form and manner as the depart-
investigative purposes. ment or agency head prescribes.
(4) Authorized operational activities (c) The department or agency head
(as determined by each agency) in sup- may limit the period during which any
port of intelligence, homeland secu- assurance shall remain effective or
rity, defense, or other national secu- otherwise condition or restrict the as-
rity missions. surance.
(m) Written, or in writing, for purposes (d) Certification is required when the
of this part, refers to writing on a tan- research is supported by a Federal de-
gible medium (e.g., paper) or in an elec- partment or agency and not otherwise
tronic format. waived under § 26.101(i) or exempted
under § 26.104. For such research, insti-
§ 26.103 Assuring compliance with this tutions shall certify that each proposed
policy—research conducted or sup- research study covered by the assur-
ported by any Federal department ance and this section has been reviewed
or agency. and approved by the IRB. Such certifi-
(a) Each institution engaged in re- cation must be submitted as prescribed
search that is covered by this policy, by the Federal department or agency
with the exception of research eligible component supporting the research.
for exemption under § 26.104, and that is Under no condition shall research cov-
conducted or supported by a Federal ered by this section be initiated prior
department or agency, shall provide to receipt of the certification that the
written assurance satisfactory to the research has been reviewed and ap-
department or agency head that it will proved by the IRB.
comply with the requirements of this (e) For nonexempt research involving
policy. In lieu of requiring submission human subjects covered by this policy
of an assurance, individual department (or exempt research for which limited
or agency heads shall accept the exist- IRB review takes place pursuant to
ence of a current assurance, appro- § 26.104(d)(2)(iii), (d)(3)(i)(C), or (d)(7) or
priate for the research in question, on (8)) that takes place at an institution
file with the Office for Human Re- in which IRB oversight is conducted by
search Protections, HHS, or any suc- an IRB that is not operated by the in-
cessor office, and approved for Federal- stitution, the institution and the orga-
wide use by that office. When the exist- nization operating the IRB shall docu-
ence of an HHS-approved assurance is ment the institution’s reliance on the
accepted in lieu of requiring submis- IRB for oversight of the research and
sion of an assurance, reports (except the responsibilities that each entity
certification) required by this policy to will undertake to ensure compliance
be made to department and agency with the requirements of this policy
heads shall also be made to the Office (e.g., in a written agreement between
for Human Research Protections, HHS, the institution and the IRB, by imple-
mentation of an institution-wide policy
or any successor office. Federal depart-
directive providing the allocation of re-
ments and agencies will conduct or
sponsibilities between the institution
support research covered by this policy
and an IRB that is not affiliated with
only if the institution has provided an
the institution, or as set forth in a re-
assurance that it will comply with the
search protocol).
requirements of this policy, as provided
in this section, and only if the institu- (Approved by the Office of Management and
tion has certified to the department or Budget under Control Number 0990–0260)
agency head that the research has been
reviewed and approved by an IRB (if § 26.104 Exempt research.
such certification is required by (a) Unless otherwise required by law
§ 26.103(d)). or by department or agency heads, re-
(b) The assurance shall be executed search activities in which the only in-
by an individual authorized to act for volvement of human subjects will be in
the institution and to assume on behalf one or more of the categories in para-
of the institution the obligations im- graph (d) of this section are exempt
posed by this policy and shall be filed from the requirements of this policy,
298
except that such activities must com- ditory recording) if at least one of the
ply with the requirements of this sec- following criteria is met:
tion and as specified in each category. (i) The information obtained is re-
(b) Use of the exemption categories corded by the investigator in such a
for research subject to the require- manner that the identity of the human
ments of subparts B, C, and D: Applica- subjects cannot readily be ascertained,
tion of the exemption categories to re- directly or through identifiers linked
search subject to the requirements of to the subjects;
45 CFR part 46, subparts B, C, and D, is (ii) Any disclosure of the human sub-
as follows: jects’ responses outside the research
(1) Subpart B. Each of the exemptions would not reasonably place the sub-
at this section may be applied to re- jects at risk of criminal or civil liabil-
search subject to subpart B if the con- ity or be damaging to the subjects’ fi-
ditions of the exemption are met. nancial standing, employability, edu-
(2) Subpart C. The exemptions at this cational advancement, or reputation;
section do not apply to research sub- or
ject to subpart C, except for research (iii) The information obtained is re-
aimed at involving a broader subject corded by the investigator in such a
population that only incidentally in- manner that the identity of the human
cludes prisoners. subjects can readily be ascertained, di-
(3) Subpart D. The exemptions at rectly or through identifiers linked to
paragraphs (d)(1), (4), (5), (6), (7), and (8) the subjects, and an IRB conducts a
of this section may be applied to re- limited IRB review to make the deter-
search subject to subpart D if the con- mination required by § 26.111(a)(7).
ditions of the exemption are met. Para- (3)(i) Research involving benign be-
graphs (d)(2)(i) and (ii) of this section havioral interventions in conjunction
only may apply to research subject to with the collection of information from
subpart D involving educational tests an adult subject through verbal or
or the observation of public behavior written responses (including data
when the investigator(s) do not partici- entry) or audiovisual recording if the
pate in the activities being observed. subject prospectively agrees to the
Paragraph (d)(2)(iii) of this section intervention and information collec-
may not be applied to research subject tion and at least one of the following
to subpart D. criteria is met:
(c) [Reserved] (A) The information obtained is re-
(d) Except as described in paragraph corded by the investigator in such a
(a) of this section, the following cat- manner that the identity of the human
egories of human subjects research are subjects cannot readily be ascertained,
exempt from this policy: directly or through identifiers linked
(1) Research, conducted in estab- to the subjects;
lished or commonly accepted edu- (B) Any disclosure of the human sub-
cational settings, that specifically in- jects’ responses outside the research
volves normal educational practices would not reasonably place the sub-
that are not likely to adversely impact jects at risk of criminal or civil liabil-
students’ opportunity to learn required ity or be damaging to the subjects’ fi-
educational content or the assessment nancial standing, employability, edu-
of educators who provide instruction. cational advancement, or reputation;
This includes most research on regular or
and special education instructional (C) The information obtained is re-
strategies, and research on the effec- corded by the investigator in such a
tiveness of or the comparison among manner that the identity of the human
instructional techniques, curricula, or subjects can readily be ascertained, di-
classroom management methods. rectly or through identifiers linked to
(2) Research that only includes inter- the subjects, and an IRB conducts a
actions involving educational tests limited IRB review to make the deter-
(cognitive, diagnostic, aptitude, mination required by § 26.111(a)(7).
achievement), survey procedures, (ii) For the purpose of this provision,

interview procedures, or observation of benign behavioral interventions are
public behavior (including visual or au- brief in duration, harmless, painless,
299
§ 26.104 40 CFR Ch. I (7–1–21 Edition)
not physically invasive, not likely to research generates identifiable private

have a significant adverse lasting im- information that is or will be main-
pact on the subjects, and the investi- tained on information technology that
gator has no reason to think the sub- is subject to and in compliance with
jects will find the interventions offen- section 208(b) of the E-Government Act
sive or embarrassing. Provided all such of 2002, 44 U.S.C. 3501 note, if all of the
criteria are met, examples of such be- identifiable private information col-
nign behavioral interventions would in- lected, used, or generated as part of the
clude having the subjects play an on- activity will be maintained in systems
line game, having them solve puzzles of records subject to the Privacy Act of
under various noise conditions, or hav- 1974, 5 U.S.C. 552a, and, if applicable,
ing them decide how to allocate a the information used in the research
nominal amount of received cash be- was collected subject to the Paperwork
tween themselves and someone else. Reduction Act of 1995, 44 U.S.C. 3501 et
(iii) If the research involves deceiv- seq.
ing the subjects regarding the nature (5) Research and demonstration
or purposes of the research, this ex- projects that are conducted or sup-
emption is not applicable unless the ported by a Federal department or
subject authorizes the deception agency, or otherwise subject to the ap-
through a prospective agreement to proval of department or agency heads
participate in research in cir- (or the approval of the heads of bureaus
cumstances in which the subject is in- or other subordinate agencies that
formed that he or she will be unaware
have been delegated authority to con-
of or misled regarding the nature or
duct the research and demonstration
purposes of the research.
projects), and that are designed to
(4) Secondary research for which con-
study, evaluate, improve, or otherwise
sent is not required: Secondary re-
examine public benefit or service pro-
search uses of identifiable private in-
grams, including procedures for obtain-
formation or identifiable biospecimens,
ing benefits or services under those
if at least one of the following criteria
programs, possible changes in or alter-
is met:
natives to those programs or proce-
(i) The identifiable private informa-
tion or identifiable biospecimens are dures, or possible changes in methods
publicly available; or levels of payment for benefits or
(ii) Information, which may include services under those programs. Such
information about biospecimens, is re- projects include, but are not limited to,
corded by the investigator in such a internal studies by Federal employees,
manner that the identity of the human and studies under contracts or con-
subjects cannot readily be ascertained sulting arrangements, cooperative
directly or through identifiers linked agreements, or grants. Exempt projects
to the subjects, the investigator does also include waivers of otherwise man-
not contact the subjects, and the inves- datory requirements using authorities
tigator will not re-identify subjects; such as sections 1115 and 1115A of the
(iii) The research involves only infor- Social Security Act, as amended.
mation collection and analysis involv- (i) Each Federal department or agen-
ing the investigator’s use of identifi- cy conducting or supporting the re-
able health information when that use search and demonstration projects
is regulated under 45 CFR parts 160 and must establish, on a publicly accessible
164, subparts A and E, for the purposes Federal Web site or in such other man-
of ‘‘health care operations’’ or ‘‘re- ner as the department or agency head
search’’ as those terms are defined at may determine, a list of the research
45 CFR 164.501 or for ‘‘public health ac- and demonstration projects that the
tivities and purposes’’ as described Federal department or agency conducts
under 45 CFR 164.512(b); or or supports under this provision. The
(iv) The research is conducted by, or research or demonstration project
on behalf of, a Federal department or must be published on this list prior to
agency using government-generated or commencing the research involving

government-collected information ob- human subjects.
tained for nonresearch activities, if the (ii) [Reserved]
300
(6) Taste and food quality evaluation §§ 26.105–26.106 [Reserved]

and consumer acceptance studies:
(i) If wholesome foods without addi- § 26.107 IRB membership.
tives are consumed, or (a) Each IRB shall have at least five
(ii) If a food is consumed that con- members, with varying backgrounds to
tains a food ingredient at or below the promote complete and adequate review
level and for a use found to be safe, or of research activities commonly con-
agricultural chemical or environ- ducted by the institution. The IRB
mental contaminant at or below the shall be sufficiently qualified through
level found to be safe, by the Food and the experience and expertise of its
Drug Administration or approved by members (professional competence),
and the diversity of its members, in-
the Environmental Protection Agency
cluding race, gender, and cultural
or the Food Safety and Inspection
backgrounds and sensitivity to such
Service of the U.S. Department of Agri- issues as community attitudes, to pro-
culture. mote respect for its advice and counsel
(7) Storage or maintenance for sec- in safeguarding the rights and welfare
ondary research for which broad con- of human subjects. The IRB shall be
sent is required: Storage or mainte- able to ascertain the acceptability of
nance of identifiable private informa- proposed research in terms of institu-
tion or identifiable biospecimens for tional commitments (including policies
potential secondary research use if an and resources) and regulations, appli-
IRB conducts a limited IRB review and cable law, and standards of professional
makes the determinations required by conduct and practice. The IRB shall
§ 26.111(a)(8). therefore include persons knowledge-
(8) Secondary research for which able in these areas. If an IRB regularly
broad consent is required: Research in- reviews research that involves a cat-
volving the use of identifiable private egory of subjects that is vulnerable to
information or identifiable biospeci- coercion or undue influence, such as
mens for secondary research use, if the children, prisoners, individuals with
following criteria are met: impaired decision-making capacity, or
economically or educationally dis-
(i) Broad consent for the storage,
advantaged persons, consideration
maintenance, and secondary research
shall be given to the inclusion of one or
use of the identifiable private informa- more individuals who are knowledge-
tion or identifiable biospecimens was able about and experienced in working
obtained in accordance with with these categories of subjects.
§ 26.116(a)(1) through (4), (a)(6), and (d); (b) Each IRB shall include at least
(ii) Documentation of informed con- one member whose primary concerns
sent or waiver of documentation of are in scientific areas and at least one
consent was obtained in accordance member whose primary concerns are in
with § 26.117; nonscientific areas.
(iii) An IRB conducts a limited IRB (c) Each IRB shall include at least
review and makes the determination one member who is not otherwise affili-
required by § 26.111(a)(7) and makes the ated with the institution and who is
determination that the research to be not part of the immediate family of a
conducted is within the scope of the person who is affiliated with the insti-
broad consent referenced in paragraph tution.
(d)(8)(i) of this section; and (iv) The in- (d) No IRB may have a member par-
vestigator does not include returning ticipate in the IRB’s initial or con-
individual research results to subjects tinuing review of any project in which
the member has a conflicting interest,
as part of the study plan. This provi-
except to provide information re-
sion does not prevent an investigator
quested by the IRB.
from abiding by any legal requirements (e) An IRB may, in its discretion, in-
to return individual research results. vite individuals with competence in
(Approved by the Office of Management and special areas to assist in the review of
Budget under Control Number 0990–0260) issues that require expertise beyond or
in addition to that available on the
301
§ 26.108 40 CFR Ch. I (7–1–21 Edition)
IRB. These individuals may not vote ments or determinations of the IRB;
with the IRB. and
(ii) Any suspension or termination of
§ 26.108 IRB functions and operations. IRB approval.
(a) In order to fulfill the require- (b) Except when an expedited review
ments of this policy each IRB shall: procedure is used (as described in
§ 26.110), an IRB must review proposed
(1) Have access to meeting space and
research at convened meetings at
sufficient staff to support the IRB’s re-
which a majority of the members of the
view and recordkeeping duties;
IRB are present, including at least one
(2) Prepare and maintain a current member whose primary concerns are in
list of the IRB members identified by nonscientific areas. In order for the re-
name; earned degrees; representative search to be approved, it shall receive
capacity; indications of experience the approval of a majority of those
such as board certifications or licenses members present at the meeting.
sufficient to describe each member’s
chief anticipated contributions to IRB (Approved by the Office of Management and
deliberations; and any employment or Budget under Control Number 0990–0260)
other relationship between each mem- § 26.109 IRB review of research.
ber and the institution, for example,
full-time employee, part-time em- (a) An IRB shall review and have au-
ployee, member of governing panel or thority to approve, require modifica-
board, stockholder, paid or unpaid con- tions in (to secure approval), or dis-
sultant; approve all research activities covered
(3) Establish and follow written pro- by this policy, including exempt re-
cedures for: search activities under § 26.104 for
which limited IRB review is a condi-
(i) Conducting its initial and con-
tion of exemption (under
tinuing review of research and for re-
§ 26.104(d)(2)(iii), (d)(3)(i)(C), and (d)(7),
porting its findings and actions to the and (8)).
investigator and the institution; (b) An IRB shall require that infor-
(ii) Determining which projects re- mation given to subjects (or legally au-
quire review more often than annually thorized representatives, when appro-
and which projects need verification priate) as part of informed consent is
from sources other than the investiga- in accordance with § 26.116. The IRB
tors that no material changes have oc- may require that information, in addi-
curred since previous IRB review; and tion to that specifically mentioned in
(iii) Ensuring prompt reporting to § 26.116, be given to the subjects when
the IRB of proposed changes in a re- in the IRB’s judgment the information
search activity, and for ensuring that would meaningfully add to the protec-
investigators will conduct the research tion of the rights and welfare of sub-
activity in accordance with the terms jects.
of the IRB approval until any proposed (c) An IRB shall require documenta-
changes have been reviewed and ap- tion of informed consent or may waive
proved by the IRB, except when nec- documentation in accordance with
essary to eliminate apparent imme- § 26.117.
diate hazards to the subject. (d) An IRB shall notify investigators
(4) Establish and follow written pro- and the institution in writing of its de-
cedures for ensuring prompt reporting cision to approve or disapprove the pro-
to the IRB; appropriate institutional posed research activity, or of modifica-
officials; the department or agency tions required to secure IRB approval
head; and the Office for Human Re- of the research activity. If the IRB de-
search Protections, HHS, or any suc- cides to disapprove a research activity,
cessor office, or the equivalent office it shall include in its written notifica-
within the appropriate Federal depart- tion a statement of the reasons for its
ment or agency of decision and give the investigator an
(i) Any unanticipated problems in- opportunity to respond in person or in
volving risks to subjects or others or writing.

any serious or continuing noncompli- (e) An IRB shall conduct continuing
ance with this policy or the require- review of research requiring review by
302
the convened IRB at intervals appro- (ii) Minor changes in previously ap-
priate to the degree of risk, not less proved research during the period for
than once per year, except as described which approval is authorized; or
in § 26.109(f). (iii) Research for which limited IRB
(f)(1) Unless an IRB determines oth- review is a condition of exemption
erwise, continuing review of research is under § 26.104(d)(2)(iii), (d)(3)(i)(C), and
not required in the following cir- (d)(7) and (8).
cumstances: (2) Under an expedited review proce-
(i) Research eligible for expedited re- dure, the review may be carried out by
view in accordance with § 26.110; the IRB chairperson or by one or more
(ii) Research reviewed by the IRB in experienced reviewers designated by
accordance with the limited IRB re- the chairperson from among members
view described in § 26.104(d)(2)(iii), of the IRB. In reviewing the research,
(d)(3)(i)(C), or (d)(7) or (8); the reviewers may exercise all of the
(iii) Research that has progressed to authorities of the IRB except that the
the point that it involves only one or reviewers may not disapprove the re-
both of the following, which are part of search. A research activity may be dis-
the IRB-approved study: approved only after review in accord-
(A) Data analysis, including analysis ance with the nonexpedited procedure
of identifiable private information or set forth in § 26.108(b).
identifiable biospecimens, or (c) Each IRB that uses an expedited
(B) Accessing follow-up clinical data review procedure shall adopt a method
from procedures that subjects would for keeping all members advised of re-
undergo as part of clinical care. search proposals that have been ap-
(2) [Reserved] proved under the procedure.
(g) An IRB shall have authority to (d) The department or agency head
observe or have a third party observe may restrict, suspend, terminate, or
the consent process and the research. choose not to authorize an institu-
tion’s or IRB’s use of the expedited re-
Budget under Control Number 0990–0260) view procedure.
§ 26.110 Expedited review procedures § 26.111 Criteria for IRB approval of

for certain kinds of research involv- research.
ing no more than minimal risk, and (a) In order to approve research cov-
for minor changes in approved re- ered by this policy the IRB shall deter-
search. mine that all of the following require-
(a) The Secretary of HHS has estab- ments are satisfied:
lished, and published as a Notice in the (1) Risks to subjects are minimized:
FEDERAL REGISTER, a list of categories (i) By using procedures that are con-
of research that may be reviewed by sistent with sound research design and
the IRB through an expedited review that do not unnecessarily expose sub-
procedure. The Secretary will evaluate jects to risk, and
the list at least every 8 years and (ii) Whenever appropriate, by using
amend it, as appropriate, after con- procedures already being performed on
sultation with other federal depart- the subjects for diagnostic or treat-
ments and agencies and after publica- ment purposes.
tion in the FEDERAL REGISTER for pub- (2) Risks to subjects are reasonable
lic comment. A copy of the list is in relation to anticipated benefits, if
available from the Office for Human any, to subjects, and the importance of
Research Protections, HHS, or any suc- the knowledge that may reasonably be
cessor office. expected to result. In evaluating risks
(b)(1) An IRB may use the expedited and benefits, the IRB should consider
review procedure to review the fol- only those risks and benefits that may
lowing: result from the research (as distin-
(i) Some or all of the research ap- guished from risks and benefits of
pearing on the list described in para- therapies subjects would receive even if
graph (a) of this section, unless the re- not participating in the research). The
viewer determines that the study in- IRB should not consider possible long-
volves more than minimal risk; range effects of applying knowledge
303
§ 26.112 40 CFR Ch. I (7–1–21 Edition)
gained in the research (e.g., the pos- tion is appropriate, in accordance with
sible effects of the research on public § 26.117; and
policy) as among those research risks (iii) If there is a change made for re-
that fall within the purview of its research purposes in the way the identifi-
sponsibility. able private information or identifiable
(3) Selection of subjects is equitable. biospecimens are stored or maintained,
In making this assessment the IRB there are adequate provisions to pro-
should take into account the purposes tect the privacy of subjects and to
of the research and the setting in maintain the confidentiality of data.
which the research will be conducted. (b) When some or all of the subjects
The IRB should be particularly cog- are likely to be vulnerable to coercion
nizant of the special problems of re- or undue influence, such as children,
search that involves a category of sub- prisoners, individuals with impaired
jects who are vulnerable to coercion or decision-making capacity, or economi-
undue influence, such as children, pris- cally or educationally disadvantaged
oners, individuals with impaired deci- persons, additional safeguards have
sion-making capacity, or economically been included in the study to protect
or educationally disadvantaged per- the rights and welfare of these sub-
sons. jects.
(4) Informed consent will be sought
§ 26.112 Review by Institution
from each prospective subject or the
subject’s legally authorized representa- Research covered by this policy that
tive, in accordance with, and to the ex- has been approved by an IRB may be
tent required by, § 26.116. subject to further appropriate review
(5) Informed consent will be appro- and approval or disapproval by officials
priately documented or appropriately of the institution. However, those offi-
waived in accordance with § 26.117. cials may not approve the research if it
(6) When appropriate, the research has not been approved by an IRB.
plan makes adequate provision for
§ 26.113 Suspension or Termination of
monitoring the data collected to en- IRB Approval of Research.
sure the safety of subjects.
(7) When appropriate, there are ade- An IRB shall have authority to sus-
quate provisions to protect the privacy pend or terminate approval of research
of subjects and to maintain the con- that is not being conducted in accord-
fidentiality of data. ance with the IRB’s requirements or
(i) The Secretary of HHS will, after that has been associated with unex-
consultation with the Office of Man- pected serious harm to subjects. Any
agement and Budget’s privacy office suspension or termination of approval
and other Federal departments and shall include a statement of the rea-
agencies that have adopted this policy, sons for the IRB’s action and shall be
issue guidance to assist IRBs in assess- reported promptly to the investigator,
ing what provisions are adequate to appropriate institutional officials, and
protect the privacy of subjects and to the department or agency head.
maintain the confidentiality of data. (Approved by the Office of Management and
(ii) [Reserved] Budget under Control Number 0990–0260)
(8) For purposes of conducting the
limited IRB review required by § 26.114 Cooperative Research.
§ 26.104(d)(7)), the IRB need not make (a) Cooperative research projects are
the determinations at paragraphs (a)(1) those projects covered by this policy
through (7) of this section, and shall that involve more than one institution.
make the following determinations: In the conduct of cooperative research
(i) Broad consent for storage, mainte- projects, each institution is responsible
nance, and secondary research use of for safeguarding the rights and welfare
identifiable private information or of human subjects and for complying
identifiable biospecimens is obtained in with this policy.
accordance with the requirements of (b)(1) Any institution located in the
§ 26.116(a)(1)–(4), (a)(6), and (d); United States that is engaged in coop-

(ii) Broad consent is appropriately erative research must rely upon ap-
documented or waiver of documenta- proval by a single IRB for that portion
304
of the research that is conducted in the (5) A list of IRB members in the same
United States. The reviewing IRB will detail as described in § 26.108(a)(2).
be identified by the Federal depart- (6) Written procedures for the IRB in
ment or agency supporting or con- the same detail as described in
ducting the research or proposed by the § 26.108(a)(3) and (4).
lead institution subject to the accept- (7) Statements of significant new
ance of the Federal department or findings provided to subjects, as re-
agency supporting the research. quired by § 26.116(c)(5).
(2) The following research is not sub- (8) The rationale for an expedited re-
ject to this provision: viewer’s determination under
(i) Cooperative research for which § 26.110(b)(1)(i) that research appearing
more than single IRB review is re-
on the expedited review list described
quired by law (including tribal law
in § 26.110(a) is more than minimal risk.
passed by the official governing body of
an American Indian or Alaska Native (9) Documentation specifying the re-
tribe); or sponsibilities that an institution and
(ii) Research for which any Federal an organization operating an IRB each
department or agency supporting or will undertake to ensure compliance
conducting the research determines with the requirements of this policy, as
and documents that the use of a single described in § 26.103(e).
IRB is not appropriate for the par- (b) The records required by this pol-
ticular context. icy shall be retained for at least 3
(c) For research not subject to para- years, and records relating to research
graph (b) of this section, an institution that is conducted shall be retained for
participating in a cooperative project at least 3 years after completion of the
may enter into a joint review arrange- research. The institution or IRB may
ment, rely on the review of another maintain the records in printed form,
IRB, or make similar arrangements for or electronically. All records shall be
avoiding duplication of effort. accessible for inspection and copying
by authorized representatives of the
§ 26.115 IRB Records. Federal department or agency at rea-
(a) An institution, or when appro- sonable times and in a reasonable man-
priate an IRB, shall prepare and main- ner.
tain adequate documentation of IRB
activities, including the following: Budget under Control Number 0990–0260)
(1) Copies of all research proposals re-
viewed, scientific evaluations, if any, § 26.116 General Requirements for In-
that accompany the proposals, ap- formed Consent.
proved sample consent forms, progress
reports submitted by investigators, and (a) General. General requirements for
reports of injuries to subjects. informed consent, whether written or
(2) Minutes of IRB meetings, which oral, are set forth in this paragraph
shall be in sufficient detail to show at- and apply to consent obtained in ac-
tendance at the meetings; actions cordance with the requirements set
taken by the IRB; the vote on these ac- forth in paragraphs (b) through (d) of
tions including the number of members this section. Broad consent may be ob-
voting for, against, and abstaining; the tained in lieu of informed consent ob-
basis for requiring changes in or dis- tained in accordance with paragraphs
approving research; and a written sum- (b) and (c) of this section only with re-
mary of the discussion of controverted spect to the storage, maintenance, and
issues and their resolution. secondary research uses of identifiable
(3) Records of continuing review ac- private information and identifiable
tivities, including the rationale for biospecimens. Waiver or alteration of
conducting continuing review of re- consent in research involving public
search that otherwise would not re- benefit and service programs conducted
quire continuing review as described in by or subject to the approval of state
§ 26.109(f)(1). or local officials is described in para-

(4) Copies of all correspondence be- graph (e) of this section. General waiv-
tween the IRB and the investigators. er or alteration of informed consent is
305
§ 26.116 40 CFR Ch. I (7–1–21 Edition)
described in paragraph (f) of this sec- waive or appear to waive any of the
tion. Except as provided elsewhere in subject’s legal rights, or releases or ap-
this policy: pears to release the investigator, the
(1) Before involving a human subject sponsor, the institution, or its agents
in research covered by this policy, an from liability for negligence.
investigator shall obtain the legally ef- (b) Basic elements of informed consent.
fective informed consent of the subject Except as provided in paragraph (d),
or the subject’s legally authorized rep- (e), or (f) of this section, in seeking in-
resentative. formed consent the following informa-
(2) An investigator shall seek in- tion shall be provided to each subject
formed consent only under cir- or the legally authorized representa-
cumstances that provide the prospective:
tive subject or the legally authorized (1) A statement that the study in-
representative sufficient opportunity volves research, an explanation of the
to discuss and consider whether or not purposes of the research and the ex-
to participate and that minimize the pected duration of the subject’s partici-
possibility of coercion or undue influ- pation, a description of the procedures
ence. to be followed, and identification of
(3) The information that is given to any procedures that are experimental;
the subject or the legally authorized (2) A description of any reasonably
representative shall be in language un- foreseeable risks or discomforts to the
derstandable to the subject or the le- subject;
gally authorized representative. (3) A description of any benefits to
(4) The prospective subject or the le- the subject or to others that may rea-
gally authorized representative must sonably be expected from the research;
be provided with the information that (4) A disclosure of appropriate alter-
a reasonable person would want to native procedures or courses of treat-
have in order to make an informed de- ment, if any, that might be advan-
cision about whether to participate, tageous to the subject;
and an opportunity to discuss that in- (5) A statement describing the ex-
formation. tent, if any, to which confidentiality of
(5) Except for broad consent obtained records identifying the subject will be
in accordance with paragraph (d) of maintained;
this section: (6) For research involving more than
(i) Informed consent must begin with minimal risk, an explanation as to
a concise and focused presentation of whether any compensation and an ex-
the key information that is most likely planation as to whether any medical
to assist a prospective subject or le- treatments are available if injury oc-
gally authorized representative in un- curs and, if so, what they consist of, or
derstanding the reasons why one might where further information may be ob-
or might not want to participate in the tained;
research. This part of the informed (7) An explanation of whom to con-
consent must be organized and pre- tact for answers to pertinent questions
sented in a way that facilitates com- about the research and research sub-
prehension. jects’ rights, and whom to contact in
(ii) Informed consent as a whole must the event of a research-related injury
present information in sufficient detail to the subject;
relating to the research, and must be (8) A statement that participation is
organized and presented in a way that voluntary, refusal to participate will
does not merely provide lists of iso- involve no penalty or loss of benefits to
lated facts, but rather facilitates the which the subject is otherwise entitled,
prospective subject’s or legally author- and the subject may discontinue par-
ized representative’s understanding of ticipation at any time without penalty
the reasons why one might or might or loss of benefits to which the subject
not want to participate. is otherwise entitled; and
(6) No informed consent may include (9) One of the following statements
any exculpatory language through about any research that involves the
which the subject or the legally au- collection of identifiable private infor-
thorized representative is made to mation or identifiable biospecimens:
306
(i) A statement that identifiers cluding individual research results,

might be removed from the identifiable will be disclosed to subjects, and if so,
private information or identifiable bio- under what conditions; and
specimens and that, after such re- (9) For research involving biospeci-
moval, the information or biospecimens, whether the research will (if
mens could be used for future research known) or might include whole genome
studies or distributed to another inves- sequencing (i.e., sequencing of a human
tigator for future research studies germline or somatic specimen with the
without additional informed consent intent to generate the genome or
from the subject or the legally author- exome sequence of that specimen).
ized representative, if this might be a (d) Elements of broad consent for the
possibility; or storage, maintenance, and secondary re-
(ii) A statement that the subject’s in- search use of identifiable private informa-
formation or biospecimens collected as tion or identifiable biospecimens. Broad
part of the research, even if identifiers consent for the storage, maintenance,
are removed, will not be used or dis- and secondary research use of identifi-
tributed for future research studies. able private information or identifiable
(c) Additional elements of informed con- biospecimens (collected for either re-
sent. Except as provided in paragraph search studies other than the proposed
(d), (e), or (f) of this section, one or research or nonresearch purposes) is
more of the following elements of in- permitted as an alternative to the in-
formation, when appropriate, shall also formed consent requirements in para-
be provided to each subject or the le- graphs (b) and (c) of this section. If the
gally authorized representative: subject or the legally authorized rep-
(1) A statement that the particular resentative is asked to provide broad
treatment or procedure may involve consent, the following shall be provided
risks to the subject (or to the embryo to each subject or the subject’s legally
or fetus, if the subject is or may be- authorized representative:
come pregnant) that are currently un- (1) The information required in para-
foreseeable; graphs (b)(2), (b)(3), (b)(5), and (b)(8)
(2) Anticipated circumstances under and, when appropriate, (c)(7) and (9) of
which the subject’s participation may this section;
be terminated by the investigator (2) A general description of the types
without regard to the subject’s or the of research that may be conducted with
legally authorized representative’s the identifiable private information or
consent; identifiable biospecimens. This descrip-
(3) Any additional costs to the sub- tion must include sufficient informa-
ject that may result from participation tion such that a reasonable person
in the research; would expect that the broad consent
(4) The consequences of a subject’s would permit the types of research con-
decision to withdraw from the research ducted;
and procedures for orderly termination (3) A description of the identifiable
of participation by the subject; private information or identifiable bio-
(5) A statement that significant new specimens that might be used in re-
findings developed during the course of search, whether sharing of identifiable
the research that may relate to the private information or identifiable bio-
subject’s willingness to continue par- specimens might occur, and the types
ticipation will be provided to the sub- of institutions or researchers that
ject; might conduct research with the iden-
(6) The approximate number of sub- tifiable private information or identifi-
jects involved in the study; able biospecimens;
(7) A statement that the subject’s (4) A description of the period of time
biospecimens (even if identifiers are re- that the identifiable private informa-
moved) may be used for commercial tion or identifiable biospecimens may
profit and whether the subject will or be stored and maintained (which period
will not share in this commercial prof- of time could be indefinite), and a de-
it; scription of the period of time that the

(8) A statement regarding whether identifiable private information or
clinically relevant research results, in- identifiable biospecimens may be used
307
§ 26.116 40 CFR Ch. I (7–1–21 Edition)
for research purposes (which period of sent procedure is used, an IRB may not
time could be indefinite); omit or alter any of the elements re-
(5) Unless the subject or legally au- quired under paragraph (d) of this sec-
thorized representative will be pro- tion.
vided details about specific research (3) Requirements for waiver and alter-
studies, a statement that they will not ation. In order for an IRB to waive or
be informed of the details of any spe- alter consent as described in this sub-
cific research studies that might be section, the IRB must find and docu-
conducted using the subject’s identifi- ment that:
able private information or identifiable (i) The research or demonstration
biospecimens, including the purposes of project is to be conducted by or subject
the research, and that they might have to the approval of state or local gov-
chosen not to consent to some of those ernment officials and is designed to
specific research studies; study, evaluate, or otherwise examine:
(6) Unless it is known that clinically (A) Public benefit or service pro-
relevant research results, including in- grams;
dividual research results, will be dis- (B) Procedures for obtaining benefits
closed to the subject in all cir- or services under those programs;
cumstances, a statement that such re- (C) Possible changes in or alter-
sults may not be disclosed to the sub- natives to those programs or proce-
ject; and dures; or
(7) An explanation of whom to con- (D) Possible changes in methods or
tact for answers to questions about the levels of payment for benefits or serv-
subject’s rights and about storage and ices under those programs; and
use of the subject’s identifiable private (ii) The research could not prac-
information or identifiable biospeci- ticably be carried out without the
mens, and whom to contact in the waiver or alteration.
event of a research-related harm. (f) General waiver or alteration of con-
(e) Waiver or alteration of consent in sent—(1) Waiver. An IRB may waive the
research involving public benefit and serv- requirement to obtain informed con-
ice programs conducted by or subject to sent for research under paragraphs (a)
the approval of state or local officials—(1) through (c) of this section, provided
Waiver. An IRB may waive the require- the IRB satisfies the requirements of
ment to obtain informed consent for paragraph (f)(3) of this section. If an in-
research under paragraphs (a) through dividual was asked to provide broad
(c) of this section, provided the IRB consent for the storage, maintenance,
satisfies the requirements of paragraph and secondary research use of identifi-
(e)(3) of this section. If an individual able private information or identifiable
was asked to provide broad consent for biospecimens in accordance with the
the storage, maintenance, and sec- requirements at paragraph (d) of this
ondary research use of identifiable pri- section, and refused to consent, an IRB
vate information or identifiable bio- cannot waive consent for the storage,
specimens in accordance with the re- maintenance, or secondary research
quirements at paragraph (d) of this sec- use of the identifiable private informa-
tion, and refused to consent, an IRB tion or identifiable biospecimens.
cannot waive consent for the storage, (2) Alteration. An IRB may approve a
maintenance, or secondary research consent procedure that omits some, or
use of the identifiable private informa- alters some or all, of the elements of
tion or identifiable biospecimens. informed consent set forth in para-
(2) Alteration. An IRB may approve a graphs (b) and (c) of this section pro-
consent procedure that omits some, or vided the IRB satisfies the require-
alters some or all, of the elements of ments of paragraph (f)(3) of this sec-
informed consent set forth in para- tion. An IRB may not omit or alter any
graphs (b) and (c) of this section proof the requirements described in para-
vided the IRB satisfies the require- graph (a) of this section. If a broad con-
ments of paragraph (e)(3) of this sec- sent procedure is used, an IRB may not
tion. An IRB may not omit or alter any omit or alter any of the elements re-
of the requirements described in para- quired under paragraph (d) of this sec-
graph (a) of this section. If a broad con- tion.
308
(3) Requirements for waiver and alter- available on a Federal Web site (e.g.
ation. In order for an IRB to waive or confidential commercial information),
alter consent as described in this sub- such Federal department or agency
section, the IRB must find and docu- may permit or require redactions to
ment that: the information posted.
(i) The research involves no more (3) The informed consent form must
than minimal risk to the subjects; be posted on the Federal Web site after
(ii) The research could not prac- the clinical trial is closed to recruit-
ticably be carried out without the re- ment, and no later than 60 days after
quested waiver or alteration; the last study visit by any subject, as
(iii) If the research involves using required by the protocol.
identifiable private information or (i) Preemption. The informed consent
identifiable biospecimens, the research requirements in this policy are not in-
could not practicably be carried out tended to preempt any applicable Fed-
without using such information or bio- eral, state, or local laws (including
specimens in an identifiable format; tribal laws passed by the official gov-
(iv) The waiver or alteration will not erning body of an American Indian or
adversely affect the rights and welfare Alaska Native tribe) that require addi-
of the subjects; and tional information to be disclosed in
(v) Whenever appropriate, the sub- order for informed consent to be le-
jects or legally authorized representa- gally effective.
tives will be provided with additional (j) Emergency medical care. Nothing in
pertinent information after participa- this policy is intended to limit the au-
tion. thority of a physician to provide emer-
(g) Screening, recruiting, or determining gency medical care, to the extent the
eligibility. An IRB may approve a re- physician is permitted to do so under
search proposal in which an investi- applicable Federal, state, or local law
gator will obtain information or bio- (including tribal law passed by the offi-
specimens for the purpose of screening, cial governing body of an American In-
recruiting, or determining the eligi- dian or Alaska Native tribe).
bility of prospective subjects without (Approved by the Office of Management and
the informed consent of the prospective Budget under Control Number 0990–0260)
subject or the subject’s legally author-
ized representative, if either of the fol- § 26.117 Documentation of informed
lowing conditions are met: consent.
(1) The investigator will obtain infor- (a) Except as provided in paragraph
mation through oral or written com- (c) of this section, informed consent
munication with the prospective sub- shall be documented by the use of a
ject or legally authorized representa- written informed consent form ap-
tive, or proved by the IRB and signed (includ-
(2) The investigator will obtain iden- ing in an electronic format) by the sub-
tifiable private information or identifi- ject or the subject’s legally authorized
able biospecimens by accessing records representative. A written copy shall be
or stored identifiable biospecimens. given to the person signing the in-
(h) Posting of clinical trial consent formed consent form.
form. (1) For each clinical trial con- (b) Except as provided in paragraph
ducted or supported by a Federal de- (c) of this section, the informed con-
partment or agency, one IRB-approved sent form may be either of the fol-
informed consent form used to enroll lowing:
subjects must be posted by the awardee (1) A written informed consent form
or the Federal department or agency that meets the requirements of § 26.116.
component conducting the trial on a The investigator shall give either the
publicly available Federal Web site subject or the subject’s legally author-
that will be established as a repository ized representative adequate oppor-
for such informed consent forms. tunity to read the informed consent
(2) If the Federal department or agen- form before it is signed; alternatively,
cy supporting or conducting the clin- this form may be read to the subject or
ical trial determines that certain infor- the subject’s legally authorized rep-
mation should not be made publicly resentative.
309
§ 26.118 40 CFR Ch. I (7–1–21 Edition)
(2) A short form written informed subjects or legally authorized rep-

consent form stating that the elements resentatives with a written statement
of informed consent required by § 26.116 regarding the research.
have been presented orally to the sub-
ject or the subject’s legally authorized (Approved by the Office of Management and
Budget under Control Number 0990–0260)
representative, and that the key infor-
mation required by § 26.116(a)(5)(i) was § 26.118 Applications and proposals
presented first to the subject, before lacking definite plans for involve-
other information, if any, was pro- ment of human subjects.
vided. The IRB shall approve a written
summary of what is to be said to the Certain types of applications for
subject or the legally authorized rep- grants, cooperative agreements, or con-
resentative. When this method is used, tracts are submitted to Federal depart-
there shall be a witness to the oral ments or agencies with the knowledge
presentation. Only the short form itself that subjects may be involved within
is to be signed by the subject or the the period of support, but definite
subject’s legally authorized representa- plans would not normally be set forth
tive. However, the witness shall sign in the application or proposal. These
both the short form and a copy of the include activities such as institutional
summary, and the person actually ob- type grants when selection of specific
taining consent shall sign a copy of the projects is the institution’s responsi-
summary. A copy of the summary shall bility; research training grants in
be given to the subject or the subject’s which the activities involving subjects
legally authorized representative, in remain to be selected; and projects in
addition to a copy of the short form. which human subjects’ involvement
(c)(1) An IRB may waive the require- will depend upon completion of instru-
ment for the investigator to obtain a ments, prior animal studies, or purifi-
signed informed consent form for some
cation of compounds. Except for re-
or all subjects if it finds any of the fol-
search waived under § 26.101(i) or ex-
lowing:
empted under § 26.104, no human sub-
(i) That the only record linking the
subject and the research would be the jects may be involved in any project
informed consent form and the prin- supported by these awards until the
cipal risk would be potential harm re- project has been reviewed and approved
sulting from a breach of confiden- by the IRB, as provided in this policy,
tiality. Each subject (or legally author- and certification submitted, by the in-
ized representative) will be asked stitution, to the Federal department or
whether the subject wants documenta- agency component supporting the re-
tion linking the subject with the research.
search, and the subject’s wishes will
govern; § 26.119 Research undertaken without
(ii) That the research presents no the intention of involving human
more than minimal risk of harm to subjects.
subjects and involves no procedures for Except for research waived under
which written consent is normally re- § 26.101(i) or exempted under § 26.104, in
quired outside of the research context; the event research is undertaken with-
or out the intention of involving human
(iii) If the subjects or legally author- subjects, but it is later proposed to in-
ized representatives are members of a volve human subjects in the research,
distinct cultural group or community the research shall first be reviewed and
in which signing forms is not the norm, approved by an IRB, as provided in this
that the research presents no more policy, a certification submitted by the
than minimal risk of harm to subjects
institution to the Federal department
and provided there is an appropriate al-
or agency component supporting the
ternative mechanism for documenting
research, and final approval given to
that informed consent was obtained.
(2) In cases in which the documenta- the proposed change by the Federal de-
tion requirement is waived, the IRB partment or agency component.
may require the investigator to provide
310
§ 26.120 Evaluation and disposition of would direct or has/have directed the

applications and proposals for re- scientific and technical aspects of an
search to be conducted or sup- activity has/have, in the judgment of
ported by a Federal department or the department or agency head, mate-
agency. rially failed to discharge responsibility
(a) The department or agency head for the protection of the rights and
will evaluate all applications and pro- welfare of human subjects (whether or
posals involving human subjects sub- not the research was subject to federal
mitted to the Federal department or regulation).
agency through such officers and em-
ployees of the Federal department or § 26.124 Conditions.
agency and such experts and consult- With respect to any research project
ants as the department or agency head or any class of research projects the de-
determines to be appropriate. This partment or agency head of either the
evaluation will take into consideration conducting or the supporting Federal
the risks to the subjects, the adequacy department or agency may impose ad-
of protection against these risks, the ditional conditions prior to or at the
potential benefits of the research to time of approval when in the judgment
the subjects and others, and the impor- of the department or agency head addi-
tance of the knowledge gained or to be tional conditions are necessary for the
gained. protection of human subjects.
(b) On the basis of this evaluation,
the department or agency head may Subpart B—Prohibition of Research
approve or disapprove the application Conducted or Supported by
or proposal, or enter into negotiations
to develop an approvable one.
EPA Involving Intentional Ex-
posure of Human Subjects
§ 26.121 [Reserved] who are Children or Pregnant
or Nursing Women
§ 26.122 Use of Federal funds.
Federal funds administered by a Fed- SOURCE: 71 FR 6168, Feb. 6, 2006, unless oth-
eral department or agency may not be erwise noted.
expended for research involving human
subjects unless the requirements of § 26.201 To what does this subpart
this policy have been satisfied. apply?
(a) This subpart applies to all re-
§ 26.123 Early termination of research search involving intentional exposure
support: Evaluation of applications of any human subject who is a preg-
and proposals. nant woman (and her fetus) or a child
(a) The department or agency head conducted or supported by the Environ-
may require that Federal department mental Protection Agency (EPA). This
or agency support for any project be includes research conducted in EPA fa-
terminated or suspended in the manner cilities by any person and research con-
prescribed in applicable program re- ducted in any facility by EPA employ-
quirements, when the department or ees.
agency head finds an institution has (b) The requirements of this subpart
materially failed to comply with the are in addition to those imposed under
terms of this policy. the other subparts of this part.
(b) In making decisions about sup-
porting or approving applications or § 26.202 Definitions.
proposals covered by this policy the de- The definitions in § 26.102 shall be ap-
partment or agency head may take plicable to this subpart as well. In ad-
into account, in addition to all other dition, the definitions at 45 CFR
eligibility requirements and program 46.202(a) through (f) and at 45 CFR
criteria, factors such as whether the 46.202(h) are applicable to this subpart.
applicant has been subject to a termi- (a) Research involving intentional expo-
nation or suspension under paragraph sure of a human subject means a study

(a) of this section and whether the ap- of a substance in which the exposure to
plicant or the person or persons who the substance experienced by a human
311
§ 26.203 40 CFR Ch. I (7–1–21 Edition)
subject participating in the study § 26.302 Definitions.

would not have occurred but for the
The definitions in §§ 26.102 and 26.202
human subject’s participation in the
shall be applicable to this subpart as
study.
well. In addition, observational research
(b) A child is a person who has not at- means any human research that does
tained the age of 18 years. not meet the definition of research in-
volving intentional exposure of a human
§ 26.203 Prohibition of research con-
ducted or supported by EPA involv- subject in § 26.202(a).
ing intentional exposure of any
human subject who is a pregnant § 26.303 Duties of IRBs in connection
woman (and therefore her fetus), a with observational research involv-
nursing woman, or child. ing pregnant women and fetuses.
Notwithstanding any other provision The provisions of 45 CFR 46.203 are

applicable to this section.
of this part, under no circumstances
shall EPA conduct or support research § 26.304 Additional protections for
involving intentional exposure of any pregnant women and fetuses in-
human subject who is a pregnant volved in observational research.
woman (and therefore her fetus), a
The provisions of 45 CFR 46.204 are
nursing woman, or a child.
applicable to this section.
[71 FR 36175, June 23, 2006]
§ 26.305 Protections applicable, after
delivery, to the placenta, the dead
Subpart C—Observational Re- fetus, or fetal material.
search: Additional Protections
The provisions of 45 CFR 46.206 are
for Pregnant Women and applicable to this section.
Fetuses Involved as Subjects
in Observational Research Subpart D—Observational Re-
Conducted or Supported by search: Additional Protections
EPA for Children Involved as Sub-
jects in Observational Re-
SOURCE: 71 FR 6168, Feb. 6, 2006, unless oth-
erwise noted.
search Conducted or Sup-
ported by EPA
§ 26.301 To what does this subpart
apply? SOURCE: 71 FR 6168, Feb. 6, 2006, unless oth-
(a) Except as provided in paragraph erwise noted.
(b) of this section, this subpart applies
§ 26.401 To what does this subpart
to all observational research involving apply?
human subjects who are pregnant
women (and therefore their fetuses) (a) This subpart applies to all obser-
conducted or supported by the Environ- vational research involving children as
mental Protection Agency (EPA). This subjects, conducted or supported by
includes research conducted in EPA fa- EPA. This includes research conducted
cilities by any person and research con- in EPA facilities by any person and re-
ducted in any facility by EPA employ- search conducted in any facility by
ees. EPA employees.
(b) The exemptions at § 26.104(d) are (b) Exemptions at § 26.104(d)(1) and
applicable to this subpart. (d)(3) through (8) are applicable to this
(c) The provisions of § 26.101(c) subpart. The exemption at § 26.104(d)(2)
regarding educational tests is also ap-
through (m) are applicable to this sub-
plicable to this subpart. However, the
part.
exemption at § 26.104(d)(2) for research
(d) The requirements of this subpart
involving survey or interview proce-
are in addition to those imposed under dures or observations of public behav-
the other subparts of this part. ior does not apply to research covered
[71 FR 6168, Feb. 6, 2006, as amended at 84 FR by this subpart, except for research in-
35318, July 23, 2019] volving observation of public behavior
312
when the investigator(s) do not partici- made for soliciting the assent of the
pate in the activities being observed. children and the permission of their
(c) The exceptions, additions, and parents or guardians, as set forth in
provisions for waiver as they appear in § 26.406.
§ 26.101(c) through (i) are applicable to
this subpart. § 26.405 Observational research involv-
ing greater than minimal risk but
[71 FR 6168, Feb. 6, 2006, as amended at 84 FR presenting the prospect of direct
35318, July 23, 2019] benefit to the individual subjects.
If the IRB finds that an intervention
or procedure presents more than mini-
The definitions in § 26.102 shall be ap- mal risk to children, EPA will not con-
plicable to this subpart as well. In ad- duct or fund observational research
dition, the following terms are defined: that includes such an intervention or
(a) For purposes of this subpart, Ad- procedure unless the IRB finds and doc-
ministrator means the Administrator of uments that:
the Environmental Protection Agency (a) The intervention or procedure
and any other officer or employee of holds out the prospect of direct benefit
the Environmental Protection Agency to the individual subject or is likely to
to whom authority has been delegated contribute to the subject’s well-being;
by the Administrator. (b) The risk is justified by the antici-
(b) Assent means a child’s affirmative pated benefit to the subjects;
agreement to participate in research. (c) The relation of the anticipated
Mere failure to object should not, ab- benefit to the risk is at least as favor-
sent affirmative agreement, be con- able to the subjects as that presented
strued as assent. by available alternative approaches;
(c) Permission means the agreement of and
parent(s) or guardian to the participa- (d) Adequate provisions are made for
tion of their child or ward in research. soliciting the assent of the children
(d) Parent means a child’s biological and permission of their parents or
or adoptive parent. guardians, as set forth in § 26.406.
(e) Guardian means an individual who
is authorized under applicable State, § 26.406 Requirements for permission
by parents or guardians and for as-
Tribal, or local law to consent on be- sent by children.
half of a child to general medical care.
(f) Observational research means any (a) In addition to the determinations
research with human subjects that required under other applicable sec-
does not meet the definition of re- tions of this subpart, the IRB shall de-
search involving intentional exposure termine that adequate provisions are
of a human subject in § 26.202(a). made for soliciting the assent of the
children, when in the judgment of the
[71 FR 6168, Feb. 6, 2006, as amended at 84 FR IRB the children are capable of pro-
35318, July 23, 2019] viding assent. In determining whether
children are capable of assenting, the
§ 26.403 IRB duties. IRB shall take into account the ages,
In addition to other responsibilities maturity, and psychological state of
assigned to IRBs under this part, each the children involved. This judgment
IRB shall review observational re- may be made for all children to be in-
search covered by this subpart and ap- volved in research under a particular
prove only research that satisfies the protocol, or for each child, as the IRB
conditions of all applicable sections of deems appropriate. If the IRB deter-
this subpart. mines that the capability of some or
all of the children is so limited that
§ 26.404 Observational research not in- they cannot reasonably be consulted or
volving greater than minimal risk. that the intervention or procedure in-
EPA will conduct or fund observa- volved in the observational research
tional research in which the IRB finds holds out a prospect of direct benefit
that no greater than minimal risk to that is important to the health or well-
children is presented, only if the IRB being of the children and is available
finds that adequate provisions are only in the context of the research, the
313
§ 26.1101 40 CFR Ch. I (7–1–21 Edition)
assent of the children is not a nec- Subpart K—Basic Ethical Require-

essary condition for proceeding with ments for Third-Party Human
the observational research. Even where Research for Pesticides In-
the IRB determines that the subjects
are capable of assenting, the IRB may
volving Intentional Exposure
still waive the assent requirement
of Non-Pregnant, Non-Nursing
under circumstances in which consent Adults
may be waived in accord with
§ 26.116(e). SOURCE: 84 FR 35318, July 23, 2019, unless
(b) In addition to the determinations otherwise noted.
required under other applicable sec- § 26.1101 To what does this subpart
tions of this subpart, the IRB shall de- apply?
termine, in accordance with and to the
extent that consent is required by (a) Except as provided in paragraph
§ 26.116, that adequate provisions are (c) of this section, this subpart applies
to all research initiated on or after
made for soliciting the permission of
September 23, 2019 involving inten-
each child’s parents or guardian. Where
tional exposure of a human subject to:
parental permission is to be obtained,
(1) Any substance if, at any time
the IRB may find that the permission
prior to initiating such research, any
of one parent is sufficient for research
person who conducted or supported
to be conducted under § 26.404 or § 26.405.
such research intended either to sub-
(c) In addition to the provisions for mit results of the research to EPA for
waiver contained in § 26.116, if the IRB consideration in connection with any
determines that a research protocol is action that may be performed by EPA
designed for conditions or for a subject under the Federal Insecticide, Fun-
population for which parental or guard- gicide, and Rodenticide Act (FIFRA) (7
ian permission is not a reasonable re- U.S.C. 136–136y) or section 408 of the
quirement to protect the subjects (for Federal Food, Drug, and Cosmetic Act
example, neglected or abused children), (FFDCA) (21 U.S.C. 346a), or to hold the
it may replace the consent require- results of the research for later inspec-
ments in subpart A of this part and tion by EPA under FIFRA or section
paragraph (b) of this section with pro- 408 of FFDCA; or
vided an appropriate, equivalent mech- (2) A pesticide if, at any time prior to
anism for protecting the children who initiating such research, any person
will participate as subjects in the re- who conducted or supported such re-
search is substituted, and provided fur- search intended either to submit re-
ther that the waiver is not inconsistent sults of the research to EPA for consid-
with Federal, State, or local law. The eration in connection with any action
choice of an appropriate, equivalent that may be performed by EPA under
mechanism would depend upon the na- any regulatory statute administered by
ture and purpose of the activities de- EPA other than those statutes des-
scribed in the protocol, the risk and ignated in paragraph (a)(1) of this sec-
anticipated benefit to the research sub- tion, or to hold the results of the re-
jects, and their age, maturity, status, search for later inspection by EPA
and condition. under any regulatory statute adminis-
(d) Permission by parents or guard- tered by EPA other than those statutes
ians shall be documented in accordance designated in paragraph (a)(1) of this
with and to the extent required by section.
§ 26.117. (b) For purposes of determining a
(e) When the IRB determines that as- person’s intent under paragraph (a) of
sent is required, it shall also determine this section, EPA may consider any
whether and how assent must be docu- available and relevant information.
mented. EPA must rebuttably presume the ex-
istence of intent if:
[71 FR 6168, Feb. 6, 2006, as amended at 84 FR (1) The person or the person’s agent
35318, July 23, 2019] has submitted or made available for in-
spection the results of such research to
Subparts E–J [Reserved] EPA; or
314
(2) The person is a member of a class § 26.1102 Definitions.

of people who, or whose products or ac- (a) Administrator means the Adminis-
tivities, are regulated by EPA and, at trator of the Environmental Protection
the time the research was initiated, Agency (EPA) and any other officer or
the results of such research would be employee of EPA to whom authority
relevant to EPA’s exercise of its regu- has been delegated.
latory authority with respect to that (b) Common Rule refers to the Federal
class of people, products, or activities. Policy for the Protection of Human
(c) Unless otherwise required by the Subjects as established in 1991 and
Administrator, research is exempt codified by EPA and 14 other Federal
from this subpart if it involves only departments and agencies (see the FED-
the collection or study of existing data, ERAL REGISTER issue of June 18, 1991 (56
documents, records, pathological speci- FR 28003)) and its subsequent revisions
mens, or diagnostic specimens from as adopted by EPA and other federal
previously conducted studies, and if departments and agencies (see the FED-
ERAL REGISTER issue of January 19, 2017
these sources are publicly available or
(82 FR 7149)). The Common Rule con-
if the information is recorded by the
tains a widely accepted set of stand-
investigator in such a manner that ards for conducting ethical research
subjects cannot be identified, directly with human subjects, together with a
or through identifiers linked to the set of procedures designed to ensure
subjects. that the standards are met. Once codi-
(d) The EPA Administrator retains fied or adopted by a Federal depart-
final judgment as to whether a par- ment or agency, the requirements of
ticular activity is covered by this sub- the Common Rule apply to research
part and this judgment shall be exer- conducted or sponsored by that Federal
cised consistent with the department or agency. EPA’s codifica-
ethical principles of the Belmont Re- tion of the Common Rule appears in 40
port. CFR part 26, subpart A.
(e) Compliance with this subpart re- (c) Federal department or agency refers
quires compliance with pertinent Fed- to a federal department or agency (the
eral laws or regulations that provide department or agency itself rather
than its bureaus, offices or divisions)
additional protections for human sub-
that takes appropriate administrative
jects.
action to make the Common Rule ap-
(f) This subpart does not affect any plicable to the research involving
state or local laws or regulations (in- human subjects it conducts, supports,
cluding tribal law passed by the official or otherwise regulates (e.g., the U.S.
governing body of an American Indian Department of Health and Human
or Alaska Native tribe) that may oth- Services, the U.S. Department of De-
erwise be applicable and that provide fense, or the Central Intelligence Agen-
additional protections for human sub- cy).
jects. (d)(1) Human subject means a living
(g) This subpart does not affect any individual about whom an investigator
foreign laws or regulations that may (whether professional or student) con-
otherwise be applicable and that pro- ducting research:
vide additional protections to human (i) Obtains information or biospeci-
subjects of research. mens through intervention or inter-
(h) Notwithstanding paragraph (a) of action with the individual, and uses,
this section, nothing in this section al- studies, or analyzes the information or
ters the previous obligation to comply biospecimens, or
(ii) Obtains, uses, studies, analyzes,
with EPA regulations in this subpart
or generates identifiable private infor-
that governed research involving inten-
mation or identifiable biospecimens.
tional exposure of human subjects ini- (2) Intervention includes both physical
tiated prior to September 23, 2019 and procedures by which information or
that were in effect and applicable to biospecimens are gathered (e.g.,

such research at the time it was initi- venipuncture) and manipulations of the
ated. subject or the subject’s environment
315
§ § 26.1103–26.1106 40 CFR Ch. I (7–1–21 Edition)
that are performed for research pur- inition in 7 U.S.C. 136(u) (Federal Insec-
poses. ticide, Fungicide, and Rodenticide Act,
(3) Interaction includes communica- section 2(u)).
tion or interpersonal contact between (k) Research means a systematic in-
investigator and subject. vestigation, including research, devel-
(4) Private information includes infor- opment, testing and evaluation, de-
mation about behavior that occurs in a signed to develop or contribute to gen-
context in which an individual can rea- eralizable knowledge. Activities that
sonably expect that no observation or meet this definition constitute re-
recording is taking place, and informa- search for purposes of this subpart,
tion which has been provided for spe- whether or not they are considered re-
cific purposes by an individual and search for other purposes. For example,
which the individual can reasonably some demonstration and service pro-
expect will not be made public (e.g., a grams may include research activities.
medical record). (l) Research involving intentional expo-
(5) Identifiable private information is sure of a human subject means a study of
private information for which the iden- a substance in which the exposure to
tity of the subject is or may readily be the substance experienced by a human
ascertained by the investigator or asso- subject participating in the study
ciated with the information. would not have occurred but for the
(6) An identifiable biospecimen is a bio- human subject’s participation in the
specimen for which the identity of the study.
subject is or may readily be
(m) Written, or in writing, for purposes
ascertained by the investigator or asso-
of this subpart refers to writing on a
ciated with the biospecimen.
tangible medium (e.g., paper) or in an
(e) Institution means any public or
electronic format.
private entity or agency (including fed-
eral, state, and other agencies). § § 26.1103–26.1106 [Reserved]
(f) IRB means an institutional review
board established in accord with and § 26.1107 IRB membership.
for the purposes expressed in this part.
(g) IRB approval means the deter- (a) Each IRB shall have at least five
mination of the IRB that the research members, with varying backgrounds to
has been reviewed and may be con- promote complete and adequate review
ducted at an institution within the of research activities that are pre-
constraints set forth by the IRB and by sented for its approval. The IRB shall
other institutional and federal require- be sufficiently qualified through the
ments. experience and expertise of its mem-
(h) Minimal risk means that the prob- bers (professional competence), and the
ability and magnitude of harm or dis- diversity of the members, including
comfort anticipated in the research are consideration of race, gender, and cul-
not greater in and of themselves than tural backgrounds and sensitivity to
those ordinarily encountered in daily such issues as community attitudes, to
life or during the performance of rou- promote respect for its advice and
tine physical or psychological exami- counsel in safeguarding the rights and
nations or tests. welfare of human subjects. The IRB
(i) Person means any person, as that shall be able to ascertain the accept-
term is defined in FIFRA section 2(s) (7 ability of proposed research in terms of
U.S.C. 136), except: institutional commitments (including
(1) A Federal agency that is subject policies and resources) and regulations,
to the provisions of the Federal Policy applicable law, and standards of profes-
for the Protection of Human Subjects sional conduct and practice. The IRB
of Research, and shall therefore include persons knowl-
(2) A person when performing human edgeable in these areas. If an IRB regu-
research supported by a federal agency larly reviews research that involves a
covered by paragraph (i)(1) of this sec- category of subjects vulnerable to coer-
tion. cion or undue influence, such as pris-

(j) Pesticide means any substance or oners, individuals with impaired deci-
mixture of substances meeting the def- sion-making capacity, or economically
316
or educationally disadvantaged per- (ii) Determining which projects re-

sons, consideration shall be given to quire review more often than annually
the inclusion of one or more individ- and which projects need verification
uals who are knowledgeable about and from sources other than the investi-
experienced in working with these cat- gator that no material changes have
egories of subjects. occurred since previous IRB review;
(b) Each IRB shall include at least (iii) Ensuring prompt reporting to
one member whose primary concerns the IRB of proposed changes in re-
are in scientific areas and at least one search activity, and for ensuring that
member whose primary concerns are in investigators will conduct the research
nonscientific areas. activity in accordance with the terms
(c) Each IRB shall include at least of the IRB approval until any proposed
one member who is not otherwise affili- changes have been reviewed and ap-
ated with the institution and who is proved by the IRB, except when nec-
not part of the immediate family of a essary to eliminate apparent imme-
person who is affiliated with the insti- diate hazards to the subject.
tution. (4) Establish and follow written pro-
(d) No IRB may have a member par- cedures for ensuring prompt reporting
ticipate in the IRB’s initial or con- to the IRB, appropriate institutional
tinuing review of any project in which officials, and the Environmental Pro-
the member has a conflicting interest, tection Agency of:
except to provide information re- (i) Any unanticipated problems in-
quested by the IRB. volving risks to human subjects or oth-
(e) An IRB may, in its discretion, in- ers or any instance of serious or con-
vite individuals with competence in tinuing noncompliance with this sub-
special areas to assist in the review of part or the requirements or determina-
issues that require expertise beyond or tions of the IRB; and
in addition to that available on the
(ii) Any suspension or termination of
IRB. These individuals may not vote
IRB approval.
with the IRB.
(b) Except when an expedited review
§ 26.1108 IRB functions and oper- procedure is used (see § 26.1110), an IRB
ations. must review proposed research at con-
vened meetings at which a majority of
(a) In order to fulfill the require-
the members of the IRB are present, in-
ments of this subpart each IRB shall:
cluding at least one member whose pri-
(1) Have access to meeting space and
mary concerns are in nonscientific
sufficient staff to support the IRB’s re-
areas. In order for the research to be
view and recordkeeping duties;
approved, it shall receive the approval
(2) Prepare and maintain a current
of a majority of those members present
list of the IRB members identified by
at the meeting.
name; earned degrees; representative
capacity; indications of experience § 26.1109 IRB review of research.
such as board certifications or licenses
sufficient to describe each member’s (a) An IRB shall review and have au-
chief anticipated contributions to IRB thority to approve, require modifica-
deliberations; and any employment or tions in (to secure approval), or dis-
other relationship between each mem- approve all research activities covered
ber and the institution, for example, by this subpart.
full-time employee, part-time em- (b) An IRB shall require that infor-
ployee, member of governing panel or mation given to subjects as part of in-
board, stockholder, paid or unpaid con- formed consent is in accordance with
sultant; § 26.1116. The IRB may require that in-
(3) Establish and follow written pro- formation, in addition to that specifi-
cedures for: cally mentioned in § 26.1116, be given to
(i) Conducting its initial and con- the subjects when, in the IRB’s judg-
tinuing review of research and for re- ment, the information would meaning-
porting its findings and actions to the fully add to the protection of the rights
investigator and the institution; and welfare of subjects.
317
§ 26.1110 40 CFR Ch. I (7–1–21 Edition)
(c) An IRB shall require documenta- Research Protections, HHS, or any suc-
tion of informed consent in accordance cessor office.
with § 26.1117. (b)(1) An IRB may use the expedited
(d) An IRB shall notify investigators review procedure to review the fol-
and the institution in writing of its de- lowing:
cision to approve or disapprove the pro- (i) Some or all of the research ap-
posed research activity, or of modifica- pearing on the list described in para-
tions required to secure IRB approval graph (a) of this section, unless the re-
of the research activity. If the IRB de- viewer finds that the study involves
cides to disapprove a research activity, more than minimal risk.
it shall include in its written notifica- (ii) Minor changes in previously ap-
tion a statement of the reasons for its proved research during the period for
decision and give the investigator an which approval is authorized.
opportunity to respond in person or in (2) Under an expedited review proce-
writing. dure, the review may be carried out by
(e) An IRB shall conduct continuing the IRB chairperson or by one or more
review of research requiring review by experienced reviewers designated by
the convened IRB at intervals appro- the chairperson from among members
priate to the degree of risk, not less of the IRB. In reviewing the research,
than once per year, except as described the reviewers may exercise all of the
in paragraph (f) of this section. authorities of the IRB except that the
(f)(1) Unless an IRB determines oth- reviewers may not disapprove the re-
erwise, continuing review of research is search. A research activity may be dis-
not required in the following cir- approved only after review in accord-
cumstances: ance with the non-expedited procedure
(i) Research eligible for expedited re- set forth in § 26.1108(b).
view in accordance with § 26.1110; (c) Each IRB that uses an expedited
(ii) Research that has progressed to review procedure shall adopt a method
the point that it involves only one or for keeping all members advised of re-
both of the following, which are part of search proposals that have been ap-
the IRB-approved study: proved under the procedure.
(A) Data analysis, including analysis (d) The Administrator may restrict,
of identifiable private information or suspend, terminate, or choose not to
identifiable biospecimens, or authorize an institution’s or IRB’s use
(B) Accessing follow-up clinical data
of the expedited review procedure for
from procedures that subjects would
research covered by this subpart.
undergo as part of clinical care.
(2) [Reserved] § 26.1111 Criteria for IRB approval of
(g) An IRB shall have authority to research.
observe or have a third party observe
(a) In order to approve research cov-
the consent process and the research.
ered by this subpart the IRB shall de-
§ 26.1110 Expedited review procedures termine that all of the following re-
for certain kinds of research involv- quirements are satisfied:
ing no more than minimal risk, and (1) Risks to subjects are minimized:
for minor changes in approved re- (i) By using procedures that are con-
search. sistent with sound research design and
(a) The Secretary of HHS, has estab- that do not unnecessarily expose sub-
lished, and published as a notice in the jects to risk, and
FEDERAL REGISTER, a list of categories (ii) Whenever appropriate, by using
of research that may be reviewed by procedures already being performed on
the IRB through an expedited review the subjects for diagnostic or treat-
procedure. The Secretary will evaluate ment purposes.
the list at least every 8 years and (2) Risks to subjects are reasonable
amend it, as appropriate after con- in relation to anticipated benefits, if
sultation with other federal depart- any, to subjects, and the importance of
ments and agencies and after publica- the knowledge that may reasonably be
tion in the FEDERAL REGISTER for pub- expected to result. In evaluating risks
lic comment. A copy of the list is and benefits, the IRB should consider
available from the Office for Human only those risks and benefits that may
318
result from the research (as distin- § 26.1113 Suspension or termination of

guished from risks and benefits of IRB approval of research.
therapies subjects would receive even if An IRB shall have authority to sus-
not participating in the research). The pend or terminate approval of research
IRB should not consider possible long- that is not being conducted in accord-
range effects of applying knowledge ance with the IRB’s requirements or
gained in the research (e.g., the pos- that has been associated with unex-
sible effects of the research on public pected serious harm to subjects. Any
policy) as among those research risks suspension or termination of approval
that fall within the purview of its re- shall include a statement of the rea-
sponsibility. sons for the IRB’s action and shall be
(3) Selection of subjects is equitable. reported promptly to the investigator,
In making this assessment the IRB appropriate institutional officials, and
should take into account the purposes the Administrator of EPA.
of the research and the setting in
which the research will be conducted. § 26.1114 Cooperative research.
The IRB should be particularly cog- In complying with this subpart, spon-
nizant of the special problems of re- sors, investigators, or institutions in-
search that involves a category of sub- volved in multi-institutional studies
jects who are vulnerable to coercion or may use joint review, reliance upon the
undue influence, such as prisoners, in- review of another qualified IRB, or
dividuals with impaired decision-mak- similar arrangements aimed at avoid-
ing capacity, or economically or educa- ance of duplication of effort.
tionally disadvantaged persons.
(4) Informed consent will be sought § 26.1115 IRB records.
from each prospective subject, in ac- (a) An institution, or when appro-
cordance with, and to the extent re- priate an IRB, shall prepare and main-
quired by § 26.1116. tain adequate documentation of IRB
(5) Informed consent will be appro- activities, including the following:
priately documented in accordance (1) Copies of all research proposals re-
with § 26.1117. viewed, scientific evaluations, if any,
(6) When appropriate, the research that accompany the proposals, ap-
plan makes adequate provision for proved sample consent documents,
monitoring the data collected to en- progress reports submitted by inves-
sure the safety of subjects. tigators, and reports of injuries to sub-
jects.
(7) When appropriate, there are ade-
(2) Minutes of IRB meetings, which
quate provisions to protect the privacy
shall be in sufficient detail to show at-
of subjects and to maintain the con-
tendance at the meetings; actions
fidentiality of data.
taken by the IRB; the vote on these ac-
(b) When some or all of the subjects tions including the number of members
are likely to be vulnerable to coercion voting for, against, and abstaining; the
or undue influence, such as prisoners, basis for requiring changes in or dis-
individuals with impaired decision- approving research; and a written sum-
making capacity, or economically or mary of the discussion of controverted
educationally disadvantaged persons, issues and their resolution.
additional safeguards have been in- (3) Records of continuing review ac-
cluded in the study to protect the tivities, including the rationale for
rights and welfare of these subjects. conducting continuing review of re-
search that otherwise would not re-
§ 26.1112 Review by institution.
quire continuing review as described in
Research covered by this subpart § 26.1109(f)(1).
that has been approved by an IRB may (4) Copies of all correspondence be-
be subject to further appropriate re- tween the IRB and the investigators.
view and approval or disapproval by of- (5) A list of IRB members in the same
ficials of the institution. However, detail as described in § 26.1108(a)(2).
those officials may not approve the re- (6) Written procedures for the IRB in
search if it has not been approved by the same detail as described in
an IRB. § 26.1108(a)(3) and (4).
319
§ 26.1116 40 CFR Ch. I (7–1–21 Edition)
(7) Statements of significant new (5)(i) Informed consent must begin

findings provided to subjects, as re- with a concise and focused presen-
quired by § 26.1116(c)(5). tation of the key information that is
(8) The rationale for an expedited re- most likely to assist a prospective sub-
viewer’s determination under ject in understanding the reasons why
§ 26.1110(b)(1)(i) that research appearing one might or might not want to par-
on the expedited review list described ticipate in the research. This part of
in § 26.1110(a) is more than minimal the informed consent must be orga-
risk. nized and presented in a way that fa-
(9) Documentation specifying the re- cilitates comprehension.
sponsibilities that an institution and (ii) Informed consent as a whole must
an organization operating an IRB each present information in sufficient detail
will undertake to ensure compliance relating to the research and must be
with the requirements of this subpart. organized and presented in a way that
(b) The records required by this sub- does not merely provide lists of iso-
part shall be retained for at least 3 lated facts, but rather facilitates the
years, and records relating to research prospective subject’s understanding of
which is conducted shall be retained the reasons why one might or might
for at least 3 years after completion of not want to participate.
the research. The institution or IRB (6) No informed consent may include
may maintain the records in printed any exculpatory language through
form or electronically. All records which the subject is made to waive or
shall be accessible for inspection and appear to waive any of the subject’s
copying by authorized representatives legal rights, or releases or appears to
of EPA at reasonable times and in a release the investigator, the sponsor,
reasonable manner. the institution, or its agents from li-
ability for negligence.
§ 26.1116 General requirements for in- (b) Basic elements of informed consent.
formed consent. In seeking informed consent the fol-
(a) General. General requirements for lowing information shall be provided to
informed consent, whether written or each subject:
oral, are set forth in this paragraph (1) A statement that the study in-
and apply to consent obtained in ac- volves research, an explanation of the
cordance with the requirements set purposes of the research and the ex-
forth in paragraphs (b) and (c) of this pected duration of the subject’s partici-
section. Except as provided elsewhere pation, a description of the procedures
in this subpart: to be followed, and identification of
(1) Before involving a human subject any procedures that are experimental;
in research covered by this subpart, an (2) A description of any reasonably
investigator shall obtain the legally ef- foreseeable risks or discomforts to the
fective informed consent of the subject. subject;
(2) An investigator shall seek in- (3) A description of any benefits to
formed consent only under cir- the subject or to others that may rea-
cumstances that provide the prospec- sonably be expected from the research;
tive subject sufficient opportunity to (4) A disclosure of appropriate alter-
discuss and consider whether or not to native procedures or courses of treat-
participate and that minimize the pos- ment, if any, that might be advan-
sibility of coercion or undue influence. tageous to the subject;
(3) The information that is given to (5) A statement describing the ex-
the subject shall be in language under- tent, if any, to which confidentiality of
standable to the subject. records identifying the subject will be
(4) The prospective subject must be maintained;
provided with the information that a (6) For research involving more than
reasonable person would want to have minimal risk, an explanation as to
in order to make an informed decision whether any compensation and an ex-
about whether to participate, and an planation as to whether any medical

opportunity to discuss that informa- treatments are available if injury oc-
tion. curs and, if so, what they consist of, or
320
where further information may be ob- (5) A statement that significant new
tained; findings developed during the course of
(7) An explanation of whom to con- the research that may relate to the
tact for answers to pertinent questions subject’s willingness to continue par-
about the research and research sub- ticipation will be provided to the sub-
jects’ rights, and whom to contact in ject;
the event of a research- related injury (6) The approximate number of sub-
to the subject; jects involved in the study;
(8) A statement that participation is (7) A statement that the subject’s
voluntary, refusal to participate will biospecimens (even if identifiers are re-
involve no penalty or loss of benefits to moved) may be used for commercial
which the subject is otherwise entitled,
profit and whether the subject will or
and the subject may discontinue par-
will not share in this commercial prof-
ticipation at any time without penalty
it;
or loss of benefits to which the subject
is otherwise entitled; and (8) A statement regarding whether
(9) One of the following statements clinically relevant research results, in-
about any research that involves the cluding individual research results,
collection of identifiable private infor- will be disclosed to subjects, and if so,
mation or identifiable biospecimens: under what conditions; and
(i) A statement that identifiers (9) For research involving biospeci-
might be removed from the identifiable mens, whether the research will (if
private information or identifiable bio- known) or might include whole genome
specimens and that, after such re- sequencing (i.e., sequencing of a human
moval, the information or biospeci- germline or somatic specimen with the
mens could be used for future research intent to generate the genome or
studies or distributed to another inves- exome sequence of that specimen).
tigator for future research studies (d) Elements of broad consent for the
without additional informed consent storage, maintenance, and secondary re-
from the subject, if this might be a pos- search use of identifiable private informa-
sibility; or tion or identifiable biospecimens. Broad
(ii) A statement that the subject’s in- consent for the storage, maintenance,
formation or biospecimens collected as and secondary research use of identifi-
part of the research, even if identifiers able private information or identifiable
are removed, will not be used or dis- biospecimens (collected for either re-
tributed for future research studies. search studies other than the proposed
(c) Additional elements of informed con- research or non-research purposes) is
sent. One or more of the following ele- permitted as an alternative to the in-
ments of information, when appro-
formed consent requirements in para-
priate, shall also be provided to each
graphs (b) and (c) of this section. Broad
subject:
consent is only permitted for the pur-
(1) A statement that the particular
poses mentioned and may not be sub-
treatment or procedure may involve
stituted for the elements of informed
risks to the subject (or to the embryo
consent in paragraphs (b) and (c) of
or fetus, if the subject may become
pregnant) that are currently unforesee- this section, as required for the inten-
able; tional exposure research subject to this
(2) Anticipated circumstances under subpart. If the subject is asked to pro-
which the subject’s participation may vide broad consent, in addition to pro-
be terminated by the investigator viding the informed consent required in
without regard to the subject’s con- paragraphs (b) and (c), the following
sent; shall be provided to each subject:
(3) Any additional costs to the sub- (1) The information required in para-
ject that may result from participation graphs (b)(2), (3), (5), and (8) and, when
in the research; appropriate, (c)(7) and (9) of this sec-
(4) The consequences of a subject’s tion;
decision to withdraw from the research (2) A general description of the types
and procedures for orderly termination of research that may be conducted with
of participation by the subject; the identifiable private information or
321
§ 26.1117 40 CFR Ch. I (7–1–21 Edition)
identifiable biospecimens. This descrip- subject, if either of the following con-

tion must include sufficient informa- ditions are met:
tion such that a reasonable person (1) The investigator will obtain infor-
would expect that the broad consent mation through oral or written com-
would permit the types of research con- munication with the prospective sub-
ducted; ject, or
(3) A description of the identifiable (2) The investigator will obtain iden-
private information or identifiable bio- tifiable private information or identifi-
specimens that might be used in re- able biospecimens by accessing records
search, whether sharing of identifiable or stored identifiable biospecimens.
private information or identifiable bio- (f) Preemption. The informed consent
specimens might occur, and the types requirements in this subpart are not
of institutions or researchers that intended to preempt any applicable
might conduct research with the iden- Federal, state, or local laws (including
tifiable private information or identifi- tribal laws passed by the official gov-
able biospecimens; erning body of an American Indian or
(4) A description of the period of time Alaska Native tribe) that require addi-
that the identifiable private informational information to be disclosed in
tion or identifiable biospecimens may order for informed consent to be le-
be stored and maintained (which period gally effective.
of time could be indefinite), and a de- (g) Emergency medical care. Nothing in
scription of the period of time that the this subpart is intended to limit the
identifiable private information or authority of a physician to provide
identifiable biospecimens may be used emergency medical care, to the extent
for research purposes (which period of the physician is permitted to do so
time could be indefinite); under applicable Federal, state, or
(5) Unless the subject will be provided local law (including tribal law passed
details about specific research studies, by the official governing body of an
a statement that they will not be in- American Indian or Alaska Native
formed of the details of any specific re- tribe).
search studies that might be conducted (h) Additional information for subjects
using the subject’s identifiable private when research involves a pesticide. If the
information or identifiable biospeci- research involves intentional exposure
mens, including the purposes of the re- of subjects to a pesticide, the subjects
search, and that they might have cho- of the research must be informed of the
sen not to consent to some of those identity of the pesticide and the nature
specific research studies; of its pesticidal function.
(6) Unless it is known that clinically
relevant research results, including in- § 26.1117 Documentation of informed
dividual research results, will be dis- consent.
closed to the subject in all cir- (a) Informed consent shall be docu-
cumstances, a statement that such re- mented by the use of a written consent
sults may not be disclosed to the sub- form approved by the IRB and signed
ject; and (including in an electronic format) by
(7) An explanation of whom to con- the subject. A written copy shall be
tact for answers to questions about the given to the subject.
subject’s rights and about storage and (b) The informed consent form may
use of the subject’s identifiable private be either of the following:
information or identifiable biospeci- (1) A written informed consent form
mens, and whom to contact in the that meets the requirements of
event of a research-related harm. § 26.1116. The investigator shall give the
(e) Screening, recruiting, or determining subject adequate opportunity to read
eligibility. An IRB may approve a re- the informed consent form before it is
search proposal in which an investi- signed; alternatively, this form may be
gator will obtain information or bio- read to the subject.
specimens for the purpose of screening, (2) A short form written informed
recruiting, or determining the eligi- consent form stating that the elements
bility of prospective subjects without of informed consent required by
the informed consent of the prospective § 26.1116 have been presented orally to
322
the subject, and that the key informa- as originally provided to the IRB, and
tion required by § 26.1116(a)(5)(i) was as approved by the IRB.
presented first to the subject, before (c) Information about how subjects
other information, if any, was pro- will be recruited, including any adver-
vided. The IRB shall approve a written tisements proposed to be used.
summary of what is to be said to the (d) A description of the cir-
subject. When this method is used, cumstances and methods proposed for
there shall be a witness to the oral presenting information to potential
presentation. Only the short form itself human subjects for the purpose of ob-
is to be signed by the subject. However, taining their informed consent.
the witness shall sign both the short (e) All correspondence between the
form and a copy of the summary, and IRB and the investigators or sponsors.
the person actually obtaining consent (f) Official notification to the sponsor
shall sign a copy of the summary. A or investigator, in accordance with the
copy of the summary must be given to requirements of this subpart, that re-
the subject, in addition to a copy of the search involving human subjects has
short form. been reviewed and approved by an IRB.
§ § 26.1118–26.1122 [Reserved]
Subpart L—Prohibition of Third-
§ 26.1123 Early termination of re- Party Research involving In-
search. tentional Exposure to a Pes-
The Administrator may require that ticide of Human Subjects who
any project covered by this subpart be are Children or Pregnant or
terminated or suspended when the Ad- Nursing Women
ministrator finds that an IRB, investi-
gator, sponsor, or institution has mate-
rially failed to comply with the terms SOURCE: 71 FR 6168, Feb. 6, 2006, unless oth-
of this subpart. erwise noted.
§ 26.1124 [Reserved] § 26.1201 To what does this subpart

apply?
§ 26.1125 Prior submission of proposed This subpart applies to any research
human research for EPA review. subject to subpart K of this part.
Any person or institution who in-
[78 FR 10544, Feb. 14, 2013]
tends to conduct or sponsor human re-
search covered by § 26.1101(a) shall, § 26.1202 Definitions.
after receiving approval from all appro-
priate IRBs, submit to EPA prior to The definitions in § 26.1102 shall be
initiating such research all informa- applicable to this subpart as well. In
tion relevant to the proposed research addition, the definitions at 45 CFR
specified by § 26.1115(a), and the fol- 46.202(a) through (f) and at 45 CFR
lowing additional information, to the 46.202(h) are applicable to this subpart.
extent not already included: In addition, a child is a person who has
(a) A discussion of: not attained the age of 18 years.
(1) The potential risks to human sub-
§ 26.1203 Prohibition of research in-
jects; volving intentional exposure of any
(2) The measures proposed to mini- human subject who is a pregnant
mize risks to the human subjects; woman (and therefore her fetus), a
(3) The nature and magnitude of all nursing woman, or a child.
expected benefits of such research, and
Notwithstanding any other provision
to whom they would accrue;
of this part, under no circumstances
(4) Alternative means of obtaining in-
shall a person conduct or support re-
formation comparable to what would
search covered by § 26.1201 that involves
be collected through the proposed re-
intentional exposure of any human
search; and
subject who is a pregnant woman (and
(5) The balance of risks and benefits
therefore her fetus), a nursing woman,

of the proposed research.
or a child.
(b) All information for subjects and
written informed consent agreements [71 FR 36175, June 23, 2006]
323
§ 26.1301 40 CFR Ch. I (7–1–21 Edition)
Subpart M—Requirements for Sub- describe the efforts made to obtain the
mission of Information on the information.
Ethical Conduct of Com-
pleted Human Research Subpart N [Reserved]
SOURCE: 71 FR 6168, Feb. 6, 2006, unless oth- Subpart O—Administrative Actions

erwise noted. for Noncompliance
§ 26.1301 To what does this subpart SOURCE: 71 FR 6168, Feb. 6, 2006, unless oth-
apply? erwise noted.
This subpart applies to any person
who submits to EPA on or after April § 26.1501 To what does this subpart
15, 2013 either of the following: apply?
(a) A report containing the results of This subpart applies to any human
any human research for consideration research subject to subparts A through
in connection with an action that may L of this part. References to State or
be performed by EPA under FIFRA (7 local laws in this subpart are intended
U.S.C. 136–136y) or section 408 of to include the laws of federally recog-
FFDCA (21 U.S.C. 346a). nized American Indian and Alaska Na-
(b) A report containing the results of tive Tribal Governments.
any human research on or with a pes-
ticide for consideration in connection § 26.1502 Lesser administrative ac-
with any action that may be performed tions.
by EPA under any regulatory statute (a) If apparent noncompliance with
administered by EPA. the applicable regulations in subparts
[78 FR 10544, Feb. 14, 2013]
A through L of this part concerning the
operation of an IRB is observed by an
§ 26.1302 Definitions. officer or employee of EPA or of any
State duly designated by the Adminis-
The definitions in § 26.1102 apply to
trator during an inspection, EPA may
this subpart as well.
send a letter describing the noncompli-
[84 FR 35324, July 23, 2019] ance to the IRB and to the parent in-
stitution. EPA will require that the
§ 26.1303 Submission of information IRB or the parent institution respond
pertaining to ethical conduct of to this letter within a reasonable time
completed human research.
period specified by EPA and describe
Any person who submits to EPA data the corrective actions that will be
derived from human research covered taken by the IRB, the institution, or
by this subpart shall provide at the both to achieve compliance with these
time of submission information con- regulations.
cerning the ethical conduct of such re- (b) On the basis of the IRB’s or the
search. To the extent available to the institution’s response, EPA may sched-
submitter and not previously provided ule a reinspection to confirm the ade-
to EPA, such information should in- quacy of corrective actions. In addi-
clude: tion, until the IRB or the parent insti-
(a) Copies of all of the records rel- tution takes appropriate corrective ac-
evant to the research specified by tion, EPA may:
§ 26.1115(a) to be prepared and main- (1) Withhold approval of new studies
tained by an IRB. subject to the requirements of this part
(b) Copies of all of the records rel- that are conducted at the institution
evant to the information identified in or reviewed by the IRB;
§ 26.1125(a) through (f). (2) Direct that no new subjects be
(c) Copies of sample records used to added to ongoing studies subject to
document informed consent as speci- this part;
fied by § 26.1117, but not identifying any (3) Terminate ongoing studies subject
subjects of the research. to this part when doing so would not
(d) If any of the information listed in endanger the subjects; or

paragraphs (a) through (c) of this sec- (4) When the apparent noncompliance
tion is not provided, the person shall creates a significant threat to the
324
rights and welfare of human subjects, agency may elect to publish a notice of
notify relevant State and Federal regu- its action in the FEDERAL REGISTER.
latory agencies and other parties with (d) EPA may refuse to consider in
a direct interest of the deficiencies in support of a regulatory decision the
the operation of the IRB. data from human research, covered by
(c) The parent institution is pre- subparts A through L of this part, that
sumed to be responsible for the oper- was reviewed by an IRB or conducted
ation of an IRB, and EPA will ordi- at an institution during the period of
narily direct any administrative action disqualification, unless the IRB or the
under this subpart against the institu- parent institution is reinstated as pro-
tion. However, depending on the evi- vided in § 26.1505, or unless such re-
dence of responsibility for deficiencies, search is deemed scientifically sound
determined during the investigation,
and crucial to the protection of public
EPA may restrict its administrative
health, under the procedure defined in
actions to the IRB or to a component
of the parent institution determined to § 26.1706.
be responsible for formal designation of § 26.1504 Public disclosure of informa-
the IRB. tion regarding revocation.
[71 FR 6168, Feb. 6, 2006, as amended at 78 FR A determination that EPA has dis-
10544, Feb. 14, 2013]
qualified an institution from studies
§ 26.1503 Disqualification of an IRB or subject to this part and the adminis-
an institution. trative record regarding that deter-
mination are disclosable to the public
(a) Whenever the IRB or the institu- under 40 CFR part 2.
tion has failed to take adequate steps
to correct the noncompliance stated in § 26.1505 Reinstatement of an IRB or
the letter sent by the Agency under an institution.
§ 26.1502(a) and the EPA Administrator
determines that this noncompliance An IRB or an institution may be re-
may justify the disqualification of the instated to conduct studies subject to
IRB or of the parent institution, the this part if the Administrator deter-
Administrator may institute appro- mines, upon an evaluation of a written
priate proceedings. submission from the IRB or institution
(b) The Administrator may disqualify that explains the corrective action
an IRB or the parent institution from that the institution or IRB has taken
studies subject to this part if the Ad- or plans to take, that the IRB or insti-
ministrator determines that: tution has provided adequate assurance
(1) The IRB has refused or repeatedly that it will operate in compliance with
failed to comply with any of the regu- the standards set forth in this part. No-
lations set forth in this part, and tification of reinstatement shall be
(2) The noncompliance adversely af- provided to all persons notified under
fects the rights or welfare of the § 26.1502(b)(4).
human subjects of research.
[71 FR 6168, Feb. 6, 2006, as amended at 78 FR
(c) If the Administrator determines 10544, Feb. 14, 2013]
that disqualification is appropriate,
the Administrator will issue an order § 26.1506 Debarment.
that explains the basis for the deter-
mination and that prescribes any ac- If EPA determines that an institu-
tions to be taken with regard to ongo- tion or investigator repeatedly has not
ing human research, covered by sub- complied with or has committed an
parts A through L of this part, con- egregious violation of the applicable
ducted under the review of the IRB. regulations in subparts A through L of
EPA will send notice of the disquali- this part, EPA may recommend that
fication to the IRB and the parent in- institution or investigator be declared
stitution. Other parties with a direct ineligible to participate in EPA-sup-
interest, such as sponsors and inves- ported research (debarment). Debar-

tigators, may also be sent a notice of ment will be initiated in accordance
the disqualification. In addition, the
325
§ 26.1507 40 CFR Ch. I (7–1–21 Edition)
with procedures specified at 2 CFR part (b) In reviewing proposals for new
1532. human research submitted under
[71 FR 6168, Feb. 6, 2006, as amended at 72 FR
§ 26.1125, the EPA Administrator must
2427, Jan. 19, 2007] consider and make determinations re-
garding the scientific validity and reli-
§ 26.1507 Actions alternative or addi- ability of the proposed research, in-
tional to disqualification. cluding:
Disqualification of an IRB or of an (1) Whether the research would be
institution is independent of, and nei- likely to produce data that address an
ther in lieu of nor a precondition to, important scientific or policy question
other statutorily authorized pro- that cannot be resolved on the basis of
ceedings or actions. EPA may, at any animal data or human observational
time, on its own initiative or through research.
the Department of Justice, institute (2) Whether the proposed research is
any appropriate judicial proceedings designed in accordance with current
(civil or criminal) and any other appro- scientific standards and practices to:
priate regulatory action, in addition to (i) Address the research question.
or in lieu of, and before, at the time of, (ii) Include representative study pop-
or after, disqualification. EPA may ulations for the endpoint in question.
also refer pertinent matters to another (iii) Have adequate statistical power
Federal, State, or local government to detect appropriate effects.
agency for any action that that agency (3) Whether the investigator proposes
determines to be appropriate. to conduct the research in accordance
with recognized good research prac-
[71 FR 6168, Feb. 6, 2006, as amended at 78 FR tices, including, when appropriate,
10544, Feb. 14, 2013] good clinical practice guidelines and
monitoring for the safety of subjects.
Subpart P—Review of Proposed (c) In reviewing proposals for new re-
and Completed Human Research search submitted under § 26.1125, the
EPA Administrator must consider and
SOURCE: 71 FR 6168, Feb. 6, 2006, unless oth- make determinations regarding ethical
erwise noted. aspects of the proposed research, in-
cluding:
§ 26.1601 To what does this subpart (1) Whether adequate information is
apply? available from prior animal studies or
This subpart applies to both of the from other sources to assess the poten-
following: tial risks to subjects in the proposed
(a) Reviews by EPA and by the research.
Human Studies Review Board of pro- (2) Whether the research proposal
posals to conduct new research subject adequately identifies anticipated risks
to § 26.1125. to human subjects and their likelihood
(b) Reviews by EPA on or after April of occurrence, minimizes identified
15, 2013 and, to the extent required by risks to human subjects, and identifies
§ 26.1604, by the Human Studies Review likely benefits of the research and
Board of reports of completed research their distribution.
subject to § 26.1701. (3) Whether the proposed research
presents an acceptable balance of risks
[78 FR 10544, Feb. 14, 2013]
and benefits. In making this deter-
§ 26.1602 Definitions. mination for research intended to re-
duce the interspecies uncertainty fac-
The definitions in § 26.1102 also apply tor in a pesticide risk assessment, the
to this subpart. EPA Administrator will also consider
[78 FR 10544, Feb. 14, 2013] the process laid out and the attendant
discussion for evaluating that type of
§ 26.1603 EPA review of proposed study as provided in Recommendation
human research. 4–1 of the 2004 Report from the Na-
(a) EPA must review all proposals for tional Research Council of the Na-
new human research submitted under tional Academy of Sciences (NAS), en-
§ 26.1125 in a timely manner. titled ‘‘Intentional Human Dosing
326
Studies for EPA Regulatory Purposes: subjects (whether or not the research
Scientific and Ethical Issues.’’ was subject to Federal regulation).
(4) Whether subject selection will be (f) When research covered by subpart
equitable. K takes place in foreign countries, pro-
(5) Whether subjects’ participation cedures normally followed in the for-
would follow free and fully informed eign countries to protect human sub-
consent. jects may differ from those set forth in
(6) Whether an appropriately con- subpart K. (An example is a foreign in-
stituted IRB or its foreign equivalent stitution which complies with guide-
has approved the proposed research. lines consistent with the World Med-
ical Assembly Declaration of Helsinki,
(7) If any person from a vulnerable
issued either by sovereign states or by
population may become a subject in
an organization whose function for the
the proposed research, whether there is
protection of human research subjects
a convincing justification for selection
is internationally recognized.) In these
of such a person, and whether measures
circumstances, if the Administrator de-
taken to protect such human subjects
termines that the procedures pre-
are adequate.
scribed by the institution afford pro-
(8) If any person with a condition tections that are at least equivalent to
that would put them at increased risk those provided in subpart K, the Ad-
for adverse effects may become a sub- ministrator may approve the substi-
ject in the proposed research, whether tution of the foreign procedures in lieu
there is a convincing justification for of the procedural requirements pro-
selection of such a person, and whether vided in subpart K.
measures taken to protect such human (g) Following initial evaluation of
subjects are adequate. the protocol by Agency staff, EPA
(9) Whether any proposed payments shall submit the protocol and all sup-
to subjects are consistent with the porting materials, together with the
principles of justice and respect for staff evaluation, to the Human Studies
persons, and whether they are so high Review Board.
as to constitute undue inducement or (h) EPA must provide the submitter
so low as to be attractive only to indi- of the proposal copies of the EPA and
viduals who are socioeconomically dis- Human Studies Review Board reviews.
advantaged.
[71 FR 6168, Feb. 6, 2006. Redesignated at 78
(10) Whether the sponsor or investi- FR 10544, Feb. 14, 2013 and amended at 78 FR
gator would provide needed medical 10544, Feb. 14, 2013]
care for injuries incurred in the pro-
posed research, without cost to the § 26.1604 EPA review of completed
human subjects. human research.
(d) With respect to any research or (a) When considering, under any reg-
any class of research subject to this ulatory statute it administers, data
subpart, the EPA Administrator may from completed research involving in-
recommend additional conditions tentional exposure of humans to a pes-
which, in the judgment of the EPA Ad- ticide, EPA must thoroughly review
ministrator, are necessary for the pro- the material submitted under § 26.1303,
tection of human subjects. if any, and other available, relevant in-
(e) In reviewing proposals covered by formation and document its conclu-
this subpart, the Administrator may sions regarding the scientific and eth-
take into account factors such as ical conduct of the research.
whether the applicant has been subject (b) EPA shall submit its review of
to a termination or suspension under data from human research covered by
§ 26.123(a) or § 26.1123 and whether the subpart Q, together with the available
applicant or the person or persons who supporting materials, to the Human
would direct or has/have directed the Studies Review Board if EPA decides to
scientific and technical aspects of an rely on the data and:
activity has/have, in the judgment of (1) The data are derived from re-
the Administrator, materially failed to search initiated after April 7, 2006, or

discharge responsibility for the protec- (2) The data are derived from re-
tion of the rights and welfare of human search initiated before April 7, 2006,
327
§ 26.1605 40 CFR Ch. I (7–1–21 Edition)
and the research was conducted for the § 26.1607 Human Studies Review
purpose of identifying or measuring a Board review of completed human
toxic effect. research.
(c) In its discretion, EPA may submit In commenting on reports of com-
data from research not covered by pleted research submitted to it by
paragraph (b) of this section to the EPA, the Human Studies Review Board
Human Studies Review Board for their must consider the scientific merits and
review. ethical aspects of the completed re-
(d) EPA shall notify the submitter of search, and must apply the appropriate
the research of the results of the EPA standards in subpart Q of this part.
and Human Studies Review Board re- [78 FR 10545, Feb. 14, 2013]
views.
[71 FR 6168, Feb. 6, 2006. Redesignated at 78 Subpart Q—Standards for Assess-
FR 10544, Feb. 14, 2013 and amended at 78 FR ing Whether To Rely on the
10545, Feb. 14, 2013] Results of Human Research in
EPA Actions
§ 26.1605 Operation of the Human
Studies Review Board.
SOURCE: 71 FR 6168, Feb. 6, 2006, unless oth-
EPA shall establish and operate a erwise noted.
Human Studies Review Board as fol-
lows: § 26.1701 To what does this subpart
(a) Membership. The Human Studies apply?
Review Board shall consist of members (a) For decisions under FIFRA (7
who are not employed by EPA, who U.S.C. 136–136y) or section 408 of
meet the ethics and other requirements FFDCA (21 U.S.C. 346a), this subpart
for special government employees, and applies to research involving inten-
who have expertise in fields appro- tional exposure of human subjects to
priate for the scientific and ethical re- any substance.
view of human research, including re- (b) For decisions under any regu-
search ethics, biostatistics, and human latory statute administered by EPA
toxicology. other than those statutes designated in
(b) Responsibilities. The Human Stud- paragraph (a) of this section, this sub-
ies Review Board shall comment on the part applies to research involving in-
tentional exposure of human subjects
scientific and ethical aspects of re-
to a pesticide.
search proposals and reports of com-
pleted research with human subjects [78 FR 10545, Feb. 14, 2013]
submitted by EPA for its review and,
on request, advise EPA on ways to § 26.1702 Definitions.
strengthen its programs for protection The definitions in § 26.1102 and
of human subjects of research. § 26.1202 also apply to this subpart.
[71 FR 6168, Feb. 6, 2006. Redesignated at 78 [78 FR 10545, Feb. 14, 2013]
FR 10544, Feb. 14, 2013]
§ 26.1703 Prohibitions applying to all
§ 26.1606 Human Studies Review research subject to this subpart.
Board review of proposed human (a) Prohibition of reliance on sci-
research. entifically invalid research. EPA must
In commenting on proposals for new not rely on data from research subject
research submitted to it by EPA, the to this subpart unless EPA determines
Human Studies Review Board must that the data are relevant to a sci-
consider the scientific merits and eth- entific or policy question important for
ical aspects of the proposed research, EPA decisionmaking, that the data
including all elements required in were derived in a manner that makes
§ 26.1603(b) and (c) and any additional them scientifically valid and reliable,
conditions recommended pursuant to and that it is appropriate to use the
data for the purpose proposed by EPA.

§ 26.1603(d).
In making such determinations, EPA
[78 FR 10545, Feb. 14, 2013] must consider:
328
(1) Whether the research was de- (c) The prohibition in this section is
signed and conducted in accordance in addition to the prohibitions in
with appropriate scientific standards § 26.1703.
and practices prevailing at the time
[78 FR 10545, Feb. 14, 2013]
the research was conducted.
(2) The extent to which the research § 26.1705 Prohibition of reliance on un-
subjects are representative of the popu- ethical human research with non-
lations for the endpoint or endpoints in pregnant, non-nursing adults initi-
question. ated after April 7, 2006.
(3) The statistical power of the data (a) This section applies to research
to support the scientific conclusion subject to this subpart, that:
EPA intends to draw from the data. (1) Was initiated after April 7, 2006.
(4) In a study that reports only a No (2) Was subject, at the time it was
Observed Effect Level (NOEL) or a No conducted, either to subparts A
Observed Adverse Effect Level through L of this part, or to the codi-
(NOAEL), whether a dose level in the fication of the Common Rule by an-
study gave rise to a biological effect, other Federal department or agency.
thereby demonstrating that the study (b) Except as provided in § 26.1706,
had adequate sensitivity to detect an EPA must not rely on data from any
effect of interest. research subject to this section unless
(b) Prohibition of reliance on re- EPA determines that the research was
search subject to this subpart involv- conducted in substantial compliance
ing intentional exposure of human sub- with either:
jects who are pregnant women (and (1) All applicable provisions of sub-
therefore their fetuses), nursing parts A through L of this part, or the
women, or children. Except as provided codification of the Common Rule by
in § 26.1706, EPA must not rely on data another Federal department or agency;
from any research subject to this sub- or
part involving intentional exposure of
(2) If the research was conducted out-
any human subject who is a pregnant
side the United States, with procedures
woman (and therefore her fetus), a
at least as protective of subjects as
nursing woman, or a child.
those in subparts A through L of this
[78 FR 10545, Feb. 14, 2013] part, or the codification of the Com-
mon Rule by another Federal depart-
§ 26.1704 Prohibition of reliance on un- ment or agency.
ethical human research with non- (c) Except as provided in § 26.1706,
pregnant, non-nursing adults.
EPA must not rely on data from any
(a) This section applies to research research subject to this section unless
subject to this subpart that is not sub- EPA determines that the research was
ject to § 26.1705. conducted in substantial compliance
(b) Except as provided in § 26.1706, with either:
EPA must not rely on data from any (1) A proposal that was found to be
research subject to this section if there acceptable under § 26.1603(c), and no
is clear and convincing evidence that: amendments to or deviations from that
(1) The conduct of the research was proposal placed participants at in-
fundamentally unethical (e.g., the re- creased risk of harm (based on knowl-
search was intended to seriously harm edge available at the time the study
participants or failed to obtain in- was conducted) or impaired their in-
formed consent); or formed consent. If EPA discovers that
(2) The conduct of the research was the submitter of the proposal materi-
deficient relative to the ethical stand- ally misrepresented or knowingly
ards prevailing at the time the re- omitted information that would have
search was conducted in a way that altered the outcome of EPA’s evalua-
placed participants at increased risk of tion of the proposal under § 26.1603(c),
harm (based on knowledge available at EPA must not rely on that data.
the time the study was conducted) or (2) A proposal that would have been
impaired their informed consent. found to be acceptable under
329
§ 26.1706 40 CFR Ch. I (7–1–21 Edition)
§ 26.1603(c), if it had been subject to re- 27.3 Basis for civil penalties and assess-
view under that section, and no amendments.
ments to or deviations from that pro- 27.4 Investigation.
27.5 Review by the reviewing official.
posal placed participants at increased 27.6 Prerequisites for issuing a complaint.
risk of harm (based on knowledge 27.7 Complaint.
available at the time the study was 27.8 Service of complaint.
conducted) or impaired their informed 27.9 Answer.
consent. 27.10 Default upon failure to file an answer.
(d) The prohibition in this section is 27.11 Referral of complaint and answer to
in addition to the prohibitions in the presiding officer.
27.12 Notice of hearing.
§ 26.1703. 27.13 Parties to the hearing.
[78 FR 10545, Feb. 14, 2013] 27.14 Separation of functions.
27.15 Ex parte contacts.
§ 26.1706 Criteria and procedure for 27.16 Disqualification of the reviewing offi-
decisions to protect public health cial or presiding officer.
by relying on otherwise unaccept- 27.17 Rights of parties.
able research. 27.18 Authority of the presiding officer.
27.19 Prehearing conferences.
This section establishes the exclusive 27.20 Disclosure of documents.
criteria and procedure by which EPA 27.21 Discovery.
may decide to rely on data from re- 27.22 Exchange of witness lists, statements,
search that is not acceptable under the and exhibits.
standards in §§ 26.1703 through 26.1705. 27.23 Subpoenas for attendance at hearing.
27.24 Protective order.
EPA may rely on such data only if all 27.25 Fees.
the conditions in paragraphs (a) 27.26 Form, filing and service of papers.
through (d) of this section are satisfied: 27.27 Computation of time.
(a) EPA has obtained the views of the 27.28 Motions.
Human Studies Review Board con- 27.29 Sanctions.
cerning the proposal to rely on the oth- 27.30 The hearing and burden of proof.
erwise unacceptable data, 27.31 Determining the amount of penalties
and assessments.
(b) EPA has provided an opportunity 27.32 Location of hearing.
for public comment on the proposal to 27.33 Witnesses.
rely on the otherwise unacceptable 27.34 Evidence.
data, 27.35 The record.
(c) EPA has determined that relying 27.36 Post-hearing briefs.
on the data is crucial to a decision that 27.37 Initial decision.
would impose a more stringent regu- 27.38 Reconsideration of initial decision.
27.39 Appeal to authority head.
latory restriction that would improve 27.40 Stay ordered by the Department of
protection of public health, such as a Justice.
limitation on the use of a pesticide, 27.41 Stay pending appeal.
than could be justified without relying 27.42 Judicial review.
on the data, and 27.43 Collection of civil penalties and as-
(d) EPA has published a full expla- sessments.
nation of its decision to rely on the 27.44 Right to administrative offset.
27.45 Deposit in Treasury of United States.
otherwise unacceptable data, including 27.46 Compromise or settlement.
a thorough discussion of the ethical de- 27.47 Limitations.
ficiencies of the underlying research 27.48 Delegated functions.
and the full rationale for finding that
AUTHORITY: 31 U.S.C. 3801–3812; Pub. L. 101–
the standard in paragraph (c) of this 410, 104 Stat. 890, 28 U.S.C. 2461 note; Pub. L.
section was met. 104–134, 110 Stat. 1321, 31 U.S.C. 3701 note.
[71 FR 6168, Feb. 6, 2006, as amended at 78 FR SOURCE: 53 FR 15182, Apr. 27, 1988, unless
10546, Feb. 14, 2013] otherwise noted.
PART 27—PROGRAM FRAUD CIVIL § 27.1 Basis and purpose.

REMEDIES (a) Basis. This part implements the
Program Fraud Civil Remedies Act of
Sec. 1986, Public Law No. 99–509, sections

27.1 Basis and purpose. 6101–6104, 100 Stat. 1874 (October 21,
27.2 Definitions. 1986), to be codified at 31 U.S.C. 3801–
330
3812. 31 U.S.C. 3809 of the statute re- (i) Provided any portion of the money
quires each authority head to promul- requested or demanded; or
gate regulations necessary to imple- (ii) Will reimburse such recipient or
ment the provisions of the statute. party for any portion of the money
(b) Purpose. This part (1) establishes paid on such request or demand; or
administrative procedures for imposing (c) Made to the Authority which has
civil penalties and assessments against the effect of decreasing an obligation
persons who make, submit, or present, to pay or account for property, serv-
or cause to be made, submitted, or pre- ices, or money.
sented, false, fictitious, or fraudulent Complaint means the administrative
claims or written statements to the complaint served by the reviewing offi-
Environmental Protection Agency, and cial on the defendant under § 27.7.
(2) specifies the hearing and appeal Defendant means any person alleged
rights of persons subject to allegations in a complaint under § 27.7 to be liable
of liability for such penalties and as- for a civil penalty or assessment under
sessments. § 27.3.
Environmental Appeals Board means
§ 27.2 Definitions. the Board within the Agency described
Administrative Law Judge means an in § 1.25 of this title.
administrative law judge in the Au- Government means the United States
thority appointed pursuant to 5 U.S.C. Government.
3105 or detailed to the Authority pursu- Hearing Clerk means the Office of the
ant to 5 U.S.C. 3344. Hearing Clerk (1900), United States En-
Administrator means the Adminis- vironmental Protection Agency, 1200
trator of the United States Environ- Pennsylvania Ave., NW., Washington,
mental Protection Agency. DC 20460.
Individual means a natural person.
Authority means the United States
Initial decision means the written de-
Environmental Protection Agency.
cision of the presiding officer required
Benefit means, in the context of
by § 27.10 or § 27.37, and includes a re-
‘‘statement,’’ anything of value, in-
vised initial decision issued following a
cluding but not limited to any advan-
remand or a motion for reconsider-
tage, preference, privilege, license, per-
ation.
mit, favorable decision, ruling, status,
Investigating official means the In-
or loan guarantee.
spector General of the United States
Claim means any request, demand, or Environmental Protection Agency or
submission— an officer or employee of the Office of
(a) Made to the Authority for prop- Inspector General designated by the In-
erty, services, or money (including spector General and serving in a posi-
money representing grants, loans, in- tion for which the rate of basic pay is
surance, or benefits); not less than the minimum rate of
(b) Made to a recipient of property, basic pay for grade GS–16 under the
services, or money from the Authority General Schedule.
or to a party to a contract with the Au- Knows or has reason to know means
thority— that a person, with respect to a claim
(1) For property or services if the or statement—
United States— (a) Has actual knowledge that the
(i) Provided such property or serv- claim or statement is false, fictitious,
ices; or fraudulent;
(ii) Provided any portion of the funds (b) Acts in deliberate ignorance of
for the purchase of such property or the truth or falsity of the claim or
services; or statement; or
(iii) Will reimburse such recipient or (c) Acts in reckless disregard of the
party for the purchase of such property truth or falsity of the claim or state-
or services; or ment.
(2) For the payment of money (in- Makes, wherever it appears, shall in-
cluding money representing grants, clude the terms presents, submits, and
loans, insurance, or benefits) if the causes to be made, presented, or sub-
United States— mitted. As the context requires, making
331
§ 27.3 40 CFR Ch. I (7–1–21 Edition)
or made shall likewise include the cor- such contract or for such grant, loan,
responding forms of such terms. or benefit.
Person means any individual, part- [53 FR 15182, Apr. 27, 1988, as amended at 57
nership, corporation, association, or FR 5326, Feb. 13, 1992]
private organization, and includes the
plural of those terms. § 27.3 Basis for civil penalties and as-
sessments.
Presiding officer means the adminis-
trative law judge designated by the (a) Claims. (1) Except as provided in
Chief administrative law judge to serve paragraph (c) of this section, any per-
as presiding officer. son who makes a claim that the person
Representative means an attorney who knows or has reason to know—
is a member in good standing of the bar (i) Is false, fictitious, or fraudulent;
of any State, Territory, or possession (ii) Includes or is supported by any
written statement which asserts a ma-
of the United States or of the District
terial fact which is false, fictitious, or
of Columbia or the Commonwealth of
fraudulent;
Puerto Rico, or other representative
(iii) Includes, or is supported by, any
who must conform to the standards of written statement that—
conduct and ethics required of practi- (A) Omits a material fact;
tioners before the courts of the United (B) Is false, fictitious, or fraudulent
States. as a result of such omission; and
Reviewing official means the General (C) Is a statement in which the per-
Counsel of the Authority or his des- son making such statement has a duty
ignee who is— to include such material fact; or
(a) Not subject to supervision by, or (iv) Is for payment for the provision
required to report to, the investigating of property or services which the per-
official; son has not provided as claimed, shall
(b) Not employed in the organiza- be subject, in addition to any other
tional unit of the Authority in which remedy that may be prescribed by law,
the investigating official is employed; to a civil penalty of not more than the
and operative effective statutory maximum
(c) Serving in a position for which amount, as provided in 40 CFR 19.4, 1 for
the rate of basic pay is not less than each such claim.
the minimum rate of basic pay for (2) Each voucher, invoice, claim
grade GS–16 under the General Sched- form, or other individual request or de-
ule. mand for property, services, or money
constitutes a separate claim.
Statement means any representation,
(3) A claim shall be considered made
certification, affirmation, document,
to the Authority, recipient, or party
record, or accounting or bookkeeping
when such claim is actually made to an
entry made—
agent, fiscal intermediary, or other en-
(a) With respect to a claim or to ob- tity, including any State or political
tain the approval or payment of a subdivision thereof, acting for or on be-
claim (including relating to eligibility half of the Authority, recipient, or
to make a claim); or party.
(b) With respect to (including relat- (4) Each claim for property, services,
ing to eligibility for)— or money is subject to a civil penalty
(1) A contract with, or a bid or pro- regardless of whether such property,
posal for a contract with; or services, or money is actually delivered
(2) A grant, loan, or benefit from, or paid.
the Authority, or any State, political (5) If the Government has made any
subdivision of a State, or other party, payment (including transferred prop-
if the United States Government pro- erty or provided services) on a claim, a
vides any portion of the money or prop-
1 As adjusted in accordance with the Fed-
erty under such contract or for such
eral Civil Penalties Inflation Adjustment
grant, loan, or benefit, or if the Gov- Act of 1990 (Pub. L. 101–410, 104 Stat. 890), as
ernment will reimburse such State, po- amended by the Debt Collection Improve-
litical subdivision, or party for any ment Act of 1996 (Pub. L. 104–134, 110 Stat.
portion of the money or property under 1321).
332
person subject to a civil penalty under ble for making a claim under this sec-
paragraph (a)(1) of this section, shall tion on which the Government has
also be subject to an assessment of not made payment (including transferred
more than twice the amount of such property or provided services), an as-
claim or that portion thereof that is sessment may be imposed against any
determined to be in violation of para- such person or jointly and severally
graph (a)(1) of this section. Such as- against any combination of such per-
sessment shall be in lieu of damages sons.
sustained by the Government because [53 FR 15182, Apr. 27, 1988, as amended at 61
of such claim. FR 69366, Dec. 31, 1996; 69 FR 7126, Feb. 13,
(b) Statements. (1) Except as provided 2004; 73 FR 75346, Dec. 11, 2008]
in paragraph (c) of this section, any
person who makes a written statement § 27.4 Investigation.
that— (a) If the investigating official con-
(i) The person knows or has reason to cludes that a subpoena pursuant to the
know— authority conferred by 31 U.S.C. 3804(a)
(A) Asserts a material fact which is is warranted—
false, factitious, or fraudulent; or (1) The subpoena so issued shall no-
(B) Is false, factitious, or fraudulent tify the person to whom it is addressed
because it omits a material fact that of the authority under which the sub-
the person making the statement has a poena is issued and shall identify the
duty to include in such statement; and records or documents sought;
(ii) Contains, or is accompanied by, (2) The investigating official may
an express certification or affirmation designate a person to act on his or her
of the truthfulness and accuracy of the behalf to receive the documents
contents of the statement, shall be sub- sought; and
ject, in addition to any other remedy (3) The person receiving such sub-
that may be prescribed by law, to a poena shall be required to tender to the
civil penalty of not more than the op- investigating official or the person des-
erative effective statutory maximum ignated to receive the documents a cer-
amount, as provided in 40 CFR 19.4, 2 for tification that the documents sought
each such statement. have been produced, or that such docu-
(2) Each written representation, cer- ments are not available and the rea-
tification, or affirmation constitutes a sons therefor, or that such documents,
separate statement.
suitably identified, have been withheld
(3) A statement shall be considered
based upon the assertion of an identi-
made to the Authority when such
fied privilege.
statement is actually made to an
(b) If the investigating official con-
agent, fiscal intermediary, or other en-
cludes that an action under the Pro-
tity, including any State or political
gram Fraud Civil Remedies Act may be
subdivision thereof, acting for or on be-
warranted, the investigating official
half of such Authority.
shall submit a report containing the
(c) No proof of specific intent to de-
findings and conclusions of such inves-
fraud is required to establish liability
tigation to the reviewing official.
under this section.
(c) Nothing in this section shall pre-
(d) In any case in which it is deter-
clude or limit an investigating offi-
mined that more than one person is lia-
cial’s discretion to defer or postpone a
ble for making a claim or statement
report or referral to the reviewing offi-
under this section, each such person
cial to avoid interference with a crimi-
may be held liable for a civil penalty
nal investigation or prosecution.
under this section.
(d) Nothing in this section modifies
(e) In any case in which it is deter-
any responsibility of an investigating
mined that more than one person is lia-
official to report violations of criminal
2 As adjusted in accordance with the Fed-
law to the Attorney General.
eral Civil Penalties Inflation Adjustment § 27.5 Review by the reviewing official.
Act of 1990 (Pub. L. 101–410, 104 Stat. 890), as
amended by the Debt Collection Improve- (a) If, based on the report of the in-
ment Act of 1996 (Pub. L. 104–134, 110 Stat. vestigating official under § 27.4(b), the
1321). reviewing official determines that
333
§ 27.6 40 CFR Ch. I (7–1–21 Edition)
there is adequate evidence to believe (c) Nothing in this section shall be

that a person is liable under § 27.3 of construed to limit the reviewing offi-
this part, the reviewing official shall cial’s authority to join in a single com-
transmit to the Attorney General a plaint against a person, claims that are
written notice of the reviewing offi- unrelated or were not submitted simul-
cial’s intention to issue a complaint taneously, regardless of the amount of
under § 27.7. money, or the value of property or
(b) Such notice shall include— services, demanded or requested.
(1) A statement of the reviewing offi-
cial’s reasons for issuing a complaint; § 27.7 Complaint.
(2) A statement specifying the evi- (a) On or after the date the Depart-
dence that supports the allegations of ment of Justice approves the issuance
liability; of a complaint in accordance with 31
(3) A description of the claims or U.S.C. 3803(b)(1), the reviewing official
statements upon which the allegations may serve a complaint on the defend-
of liability are based; ant, as provided in § 27.8.
(4) An estimate of the amount of (b) The complaint shall state—
money or the value of property, serv- (1) The allegations of liability
ices, or other benefits requested or de- against the defendant, including the
manded in violation of § 27.3 of this statuory basis for liability, an identi-
part; fication of the claims or statements
(5) A statement of any exculpatory or that are the basis for the alleged liabil-
mitigating circumstances that may re- ity, and the reasons why liability alleg-
late to the claims or statements known edly arises from such claims or state-
by the reviewing official or the inves- ments;
tigating official; and (2) The maximum amount of pen-
(6) A statement that there is a rea- alties and assessments for which the
sonable prospect of collecting an ap- defendant may be held liable;
propriate amount of penalties and as- (3) Instructions for filing an answer
sessments. to request a hearing, including a spe-
cific statement of the defendant’s right
§ 27.6 Prerequisites for issuing a com- to request a hearing by filing an an-
plaint. swer and to be represented by a rep-
(a) The reviewing official may issue a resentative; and
complaint under § 27.7 only if— (4) That failure to file an answer
(1) The Department of Justice ap- within 30 days of service of the com-
proves the issuance of a complaint in plaint will result in the imposition of
written statement described in 31 the maximum amount of penalties and
U.S.C. 3803(b)(1), and assessments without right to appeal as
(2) In the case of allegations of liabil- provided in § 27.10.
ity under § 27.3(a) with respect to a (c) At the same time the reviewing
claim, the reviewing official deter- official serves the complaint, he or she
mines that, with respect to such claim shall serve the defendant with a copy
or a group of related claims submitted of these regulations.
at the same time such claim is sub-
mitted (as defined in paragraph (b) of § 27.8 Service of complaint.
this section), the amount of money or (a) Service of a complaint must be
the value of property or services de- made by certified or registered mail or
manded or requested in violation of by delivery in any manner authorized
§ 27.3(a) does not exceed $150,000. by Rule 4(d) of the Federal Rules of
(b) For the purposes of this section, a Civil Procedure. Service is complete
related group of claims submitted at upon receipt.
the same time shall include only those (b) Proof of service, stating the name
claims arising from the same trans- and address of the person on whom the
action (e.g., grant, loan, application, or complaint was served, and the manner
contract) that are submitted simulta- and date of service, may be made by—
neously as part of a single request, de- (1) Affidavit of the individual serving
mand, or submission. the complaint by delivery;
334
(2) A United States Postal Service re- (b) Upon assignment of the complaint
turn receipt card acknowledging re- to a presiding officer, the presiding of-
ceipt; or ficer shall promptly serve on defendant
(3) Written acknowledgment of re- in the manner prescribed in § 27.8, a no-
ceipt by the defendant or his or her tice that an initial decision will be
representative. issued under this section.
(c) The presiding officer shall assume
§ 27.9 Answer. the facts alleged in the complaint to be
(a) The defendant may request a true, and, if such facts establish liabil-
hearing by filing an answer with the ity under § 27.3, the presiding officer
reviewing official within 30 days of shall issue an initial decision imposing
service of the complaint. An answer the maximum amount of penalties and
shall be deemed to be a request for assessments allowed under the statute.
hearing. (d) Except as otherwise provided in
(b) In the answer, the defendant— this section, by failing to file a timely
(1) Shall admit or deny each of the answer, the defendant waives any right
allegations of liability made in the to further review of the penalties and
complaint; assessments imposed under paragraph
(2) Shall state any defense on which (c) of this section, and the initial deci-
the defendant intends to rely; sion shall become final and binding
(3) May state any reasons why the de- upon the parties 30 days after it is
fendant contends that the penalties issued.
and assessments should be less than (e) If, before such an initial decision
the statutory maximum; and becomes final, the defendant files a
(4) Shall state the name, address, and motion seeking to reopen on the
telephone number of the person author- grounds that extraordinary cir-
ized by the defendant to act as defend- cumstances prevented the defendant
ant’s representative, if any. from filing an answer, the initial deci-
(c) If the defendant is unable to file sion shall be stayed pending the pre-
an answer meeting the requirements of siding officer’s decision on the motion.
paragraph (b) of this section within the (f) If, on such motion, the defendant
time provided, the defendant may, be- can demonstrate extraordinary cir-
fore the expiration of 30 days from cumstances excusing the failure to file
service of the complaint, file with the
a timely answer, the presiding officer
reviewing official a general answer de-
shall withdraw the initial decision in
nying liability and requesting a hear-
paragraph (c) of this section, if such a
ing, and a request for an extension of
decision has been issued, and shall
time within which to file an answer
grant the defendant an opportunity to
meeting requirements of paragraph (b)
of this section. The reviewing official answer the complaint.
shall file promptly with the hearing (g) A decision of the presiding officer
clerk the complaint, the general an- denying a defendant’s motion under
swer denying liability, and the request paragraph (e) of this section, is not
for an extension of time as provided in subject to reconsideration under § 27.38.
§ 27.11. Upon assignment to a presiding (h) The defendant may appeal to the
officer, the presiding officer may, for Environmental Appeals Board the deci-
good cause shown, grant the defendant sion denying a motion to reopen by fil-
up to 30 additional days within which ing a notice of appeal within 15 days
to file an answer meeting the require- after the presiding officer denies the
ments of paragraph (b) of this section. section. The timely filing of a notice of
appeal shall stay the initial decision
§ 27.10 Default upon failure to file an the Environmental Appeals Board de-
answer. cides the issue.
(a) If the defendant does not file an (i) If the defendant files a timely no-
answer within the time prescribed in tice of appeal, the presiding officer
§ 27.9(a), the reviewing official may file shall forward the record of the pro-
the complaint with the hearing clerk ceeding to the Environmental Appeals
as provided in § 27.11. Board.
335
§ 27.11 40 CFR Ch. I (7–1–21 Edition)
(j) The Environmental Appeals Board (3) The matters of fact and law to be
shall decide expeditiously whether ex- asserted;
traordinary circumstances excuse the (4) A description of the procedures for
defendant’s failure to file a timely an- the conduct of the hearing;
swer based solely on the record before (5) The name, address, and telephone
the presiding officer. number of the representative of the
(k) If the Environmental Appeals Government and of the defendant, if
Board decides that extraordinary cir- any; and
cumstances excused the defendant’s (6) Such other matters as the pre-
failure to file a timely answer, the En- siding officer deems appropriate.
vironmental Appeals Board shall re- (c) The presiding officer shall issue
mand the case to the presiding officer the notice of hearing at least twenty
with instructions to grant the defend- (20) days prior to the date set for the
ant an opportunity to answer. hearing.
(l) If the Environmental Appeals
§ 27.13 Parties to the hearing.
Board decides that the defendant’s fail-
ure to file a timely answer is not ex- (a) The parties to the hearing shall
cused, the Environmental Appeals be the defendant and the Authority.
Board shall reinstate the initial deci- (b) Pursuant to 31 U.S.C. 3730(c)(5), a
sion of the presiding officer, which private plaintiff under the False
shall become final and binding upon Claims Act may participate in these
the parties 30 days after the Environ- proceedings to the extent authorized
mental Appeals Board issues such deci- by the provisions of that Act.
sion.
§ 27.14 Separation of functions.
[53 FR 15182, Apr. 27, 1988, as amended at 57 (a) The investigating official, the re-
FR 5326, Feb. 13, 1992] viewing official, and any employee or
agent of the Authority who takes part
§ 27.11 Referral of complaint and an-
swer to the presiding officer. in investigating, preparing, or pre-
senting a particular case, may not, in
(a) Upon receipt of an answer, the re- such case or a factually related case—
viewing official shall file the complaint (1) Participate in the hearing as the
and answer with the hearing clerk. presiding officer;
(b) The hearing clerk shall forward (2) Participate or advise in the initial
the complaint and answer to the Chief decision or the review of the initial de-
administrative law judge who shall as- cision by the Environmental Appeals
sign himself or herself or another ad- Board, except as a witness or rep-
ministrative law judge as presiding of- resentative in public proceedings; or
ficer. The presiding officer shall then (3) Make the collection of penalties
obtain the complaint and answer from and assessments under 31 U.S.C. 3806.
the Chief administrative law judge and (b) Neither the presiding officer nor
notify the parties of his or her assign- the members of the Environmental Ap-
ment. peals Board shall be responsible to, or
subject to, the supervision or direction
§ 27.12 Notice of hearing. of the investigating official or the re-
(a) When the presiding officer obtains viewing official.
the complaint and answer, the pre- (c) Except as provided in paragraph
siding officer shall promptly serve a (a) of this section, the representative
notice of hearing upon the defendant in for the Government may be employed
the manner prescribed by § 27.8. At the anywhere in the authority, including
same time, the presiding officer shall in the offices of either the inves-
send a copy of such notice to the rep- tigating official or the reviewing offi-
resentative for the Government. cial.
(b) Such notice shall include— [53 FR 15182, Apr. 27, 1988, as amended at 57
(1) The date, time and place, and the FR 5326, Feb. 13, 1992]
nature of the hearing;
(2) The legal authority and jurisdic- § 27.15 Ex parte contacts.

tion under which the hearing is to be No party or person (except employees
held; of the presiding officer’s office) shall
336
communicate in any way with the pre- the matter only as part of its review of
siding officer on any matter at issue in the initial decision upon appeal, if any.
a case, unless on notice and oppor- [53 FR 15182, Apr. 27, 1988, as amended at 57
tunity for all parties to participate. FR 5326, Feb. 13, 1992]
This provision does not prohibit a per-
son or party from inquiring about the § 27.17 Rights of parties.
status of a case or asking routine ques- Except as otherwise limited by this
tion concerning administrative func- part, all parties may—
tions or procedures. (a) Be accompanied, represented, and
advised by a representative;
§ 27.16 Disqualification of the review- (b) Participate in any conference
ing official or presiding officer. held by the presiding officer;
(a) A reviewing official or presiding (c) Conduct discovery;
officer in a particular case may dis- (d) Agree to stipulations of fact or
qualify himself or herself at any time. law, which shall be made part of the
record;
(b) A party may file a motion for dis-
(e) Present evidence relevant to the
qualification of a reviewing official or
issues at the hearing;
presiding officer with the hearing (f) Present and cross-examine wit-
clerk. Such motion shall be accom- nesses;
panied by an affidavit alleging personal (g) Present oral arguments at the
bias or other reason for disqualifica- hearing as permitted by the presiding
tion. officer; and
(c) Such motion and affidavit shall be (h) Submit written briefs and pro-
filed within 15 days of the party’s disposed findings of fact and conclusions
covery of reasons requiring disquali- of law after the hearing.
fication, or such objections shall be
deemed waived. § 27.18 Authority of the presiding offi-
cer.
(d) Such affidavit shall state specific
facts that support the party’s belief (a) The presiding officer shall con-
that personal bias or other reason for duct a fair and impartial hearing, avoid
disqualification exists and the time delay, maintain order, and assure that
and circumstances of the party’s dis- a record of the proceeding is made.
(b) The presiding officer has the au-
covery of such facts. It shall be accom-
thority to—
panied by a certificate of the rep-
(1) Set and change the date, time,
resentative of record that it is made in and place of the hearing upon reason-
good faith. able notice to the parties;
(e) Upon the filing of such a motion (2) Continue or recess the hearing in
and affidavit, the presiding officer whole or in part for a reasonable period
shall proceed no further in the case of time;
until he or she resolves the matter of (3) Hold conferences to identify or
disqualification in accordance with simplify the issues, or to consider
paragraph (f) of this section. other matters that may aid in the ex-
(f)(1) If the presiding officer deter- peditious disposition of the proceeding;
mines that the reviewing official is dis- (4) Administer oaths and affirma-
qualified because the reviewing official tions;
could not have made an impartial de- (5) Issue subpoenas requiring the at-
termination pursuant to § 27.5(a), the tendance of witnesses and the produc-
presiding officer shall dismiss the com- tion of documents at depositions or at
plaint without prejudice. hearings;
(6) Rule on motions and other proce-
(2) If the presiding officer disqualifies
dural matters;
himself or herself, the case shall be re-
(7) Regulate the scope and timing of
assigned promptly to another presiding
discovery;
officer. (8) Regulate the course of the hearing
(3) If the presiding officer denies a and the conduct of representatives and
motion to disqualify, the Environ- parties;
mental Appeals Board may determine (9) Examine witnesses;
337
§ 27.19 40 CFR Ch. I (7–1–21 Edition)
(10) Receive, rule on, exclude, or upon by the parties or ordered by the
limit evidence; presiding officer at a prehearing con-
(11) Upon motion of a party, take of- ference.
ficial notice of facts;
(12) Upon motion of a party, decide § 27.20 Disclosure of documents.
cases, in whole or in part, by summary (a) Upon written request to the re-
judgment where there is no disputed viewing official, the defendant may re-
issue of material fact; view any relevant and material docu-
(13) Conduct any conference, arguments, transcripts, records, and other
ment, or hearing on motions in person materials that relate to the allegations
or by telephone; and set out in the complaint and upon
(14) Exercise such other authority as which the findings and conclusions of
is necessary to carry out the respon- the investigating official under § 27.4(b)
sibilities of the presiding officer under are based, unless such documents are
this part. subject to a privilege under Federal
(c) The presiding officer does not law. Upon payment of fees for duplica-
have the authority to find Federal tion, the defendant may obtain copies
statutes or regulations invalid. of such documents.
(b) Upon written request to the re-
§ 27.19 Prehearing conferences. viewing official, the defendant also
(a) The presiding officer may sched- may obtain a copy of all exculpatory
ule prehearing conferences as appro- information in the possession of the re-
priate. viewing official or investigating offi-
(b) Upon the motion of any party, the cial relating to the allegations in the
presiding officer shall schedule at least complaint, even if it is contained in a
one prehearing conference at a reason- document that would otherwise be
able time in advance of the hearing. privileged. If the document would oth-
(c) The presiding officer may use pre- erwise be privileged, only that portion
hearing conferences to discuss the fol- containing exculpatory information
lowing: must be disclosed.
(1) Simplification of the issues; (c) The notice sent to the Attorney
(2) The necessity or desirability of General from the reviewing official as
amendments to the pleadings, includ- described in § 27.5 is not discoverable
ing the need for a more definite state- under any circumstances.
ment; (d) The defendant may file a motion
(3) Stipulations and admissions of to compel disclosure of the documents
fact as to the contents and authen- subject to the provisions of this sec-
ticity of documents; tion. Such a motion may only be filed
(4) Whether the parties can agree to following the filing of an answer pursu-
submission of the case on a stipulated ant to § 27.9.
record;
(5) Whether a party chooses to waive § 27.21 Discovery.
appearance at an oral hearing and to (a) The following types of discovery
submit only documentary evidence are authorized:
(subject to the objection of other par- (1) Requests for production of docu-
ties) and written argument; ments for inspection and copying;
(6) Limitation of the number of wit- (2) Requests for admissions of the au-
nesses; thenticity of any relevant document or
(7) Scheduling dates for the exchange of the truth of any relevant fact;
of witness lists and of proposed exhib- (3) Written interrogatories; and
its; (4) Depositions.
(8) Discovery; (b) For the purpose of this section
(9) The time and place for the hear- and §§ 27.22 and 27.23, the term docu-
ing; and ments includes information, documents,
(10) Such other matters as may tend reports, answers, records, accounts, pa-
to expedite the fair and just disposition pers, and other data and documentary
of the proceedings. evidence. Nothing contained herein

(d) The presiding officer may issue an shall be interpreted to require the cre-
order containing all matters agreed ation of a document.
338
(c) Unless mutually agreed to by the dered by the presiding officer, the par-
parties, discovery is available only as ties shall exchange witness lists, copies
ordered by the presiding officer. The of prior statements of proposed wit-
presiding officer shall regulate the tim- nesses, and copies of proposed hearing
ing of discovery. exhibits, including copies of any writ-
(d) Motions for discovery. (1) A party ten statements that the party intends
seeking discovery may file a motion to offer in lieu of live testimony in ac-
which shall be accompanied by a copy cordance with § 27.33(b). At the time
of the requested discovery, or in the the above documents are exchanged,
case of depositions, a summary of the any party that intends to rely on the
scope of the proposed deposition. transcript of deposition testimony in
(2) Within ten days of service, a party lieu of live testimony at the hearing, if
may file an opposition to the motion permitted by the presiding officer,
and/or a motion for protective order as shall provide each party with a copy of
provided in § 27.24. the specific pages of the transcript it
(3) The presiding officer may grant a intends to introduce into evidence.
motion for discovery only if he finds (b) If a party objects, the presiding
that the discovery sought— officer shall not admit into evidence
(i) Is necessary for the expeditious, the testimony of any witness whose
fair, and reasonable consideration of name does not appear on the witness
the issues; list or any exhibit not provided to the
(ii) Is not unduly costly or burden- opposing party as provided above un-
some; less the presiding officer finds good
(iii) Will not unduly delay the pro- cause for the failure or that there is
ceeding; and not prejudice to the objecting party.
(iv) Does not seek privileged informa- (c) Unless another party objects
tion. within the time set by the presiding of-
(4) The burden of showing that dis- ficer, documents exchanged in accord-
covery should be allowed is on the ance with paragraph (a) of this section
party seeking discovery. shall be deemed to be authentic for the
(5) The presiding officer may grant purpose of admissibility at the hearing.
discovery subject to a protective order
under § 27.24. § 27.23 Subpoenas for attendance at
(e) Depositions. (1) If a motion for dep- hearing.
osition is granted, the presiding officer (a) A party wishing to procure the
shall issue a subpoena for the depo- appearance and testimony of any indi-
nent, which may require the deponent vidual at the hearing may request that
to produce documents. The subpoena the presiding officer issue a subpoena.
shall specify the time and place at (b) A subpoena requiring the attend-
which the deposition will be held. ance and testimony of an individual
(2) The party seeking to depose shall may also require the individual to
serve the subpoena in the manner pre- produce documents at the hearing.
scribed in § 27.8. (c) A party seeking a subpoena shall
(3) The deponent may file a motion to file a written request therefor not less
quash the subpoena or a motion for a than 15 days before the date fixed for
protective order within ten days of the hearing unless otherwise allowed
service. by the presiding officer for good cause
(4) The party seeking to depose shall shown. Such request shall specify any
provide for the taking of a verbatim documents to be produced and shall
transcript of the deposition, which it designate the witnesses and describe
shall make available to all other par- the address and location thereof with
ties for inspection and copying. sufficient particularity to permit such
(f) Each party shall bear its own witnesses to be found.
costs of discovery. (d) The subpoena shall specify the
time and place at which the witness is
§ 27.22 Exchange of witness lists, state- to appear and any documents the wit-
ments, and exhibits. ness is to produce.

(a) At least 15 days before the hear- (e) The party seeking the subpoena
ing or at such other time as may be or- shall serve it in the manner prescribed
339
§ 27.24 40 CFR Ch. I (7–1–21 Edition)
in § 27.8. A subpoena on a party or upon § 27.25 Fees.

an individual under the control of a
The party requesting a subpoena
party may be served by first class mail.
shall pay the cost of the fees and mile-
(f) A party or the individual to whom age of any witness subpoenaed in the
the subpoena is directed may file a mo- amounts that would be payable to a
tion to quash the subpoena within ten witness in a proceeding in United
days after service or on or before the States District Court. A check for wit-
time specified in the subpoena for com- ness fees and mileage shall accompany
pliance if it is less than ten days after the subpoena when served, except that
service. when a subpoena is issued on behalf of
the Authority, a check for witness fees
§ 27.24 Protective order. and mileage need not accompany the
(a) A party or a prospective witness subpoena.
or deponent may file a motion for a
protective order with respect to dis- § 27.26 Form, filing and service of pa-
covery sought by a party or with re- pers.
spect to the hearing, seeking to limit (a) Form. (1) Documents filed with the
the availability or disclosure of evi- hearing clerk shall include an original
dence. and two copies.
(b) In issuing a protective order, the (2) The first page of every pleading
presiding officer may make any order and paper filed in the proceeding shall
which justice requires to protect a contain a caption setting forth the
party or person from annoyance, em- title of the action, the case number as-
barrassment, oppression, or undue bur- signed by the hearing clerk, and a des-
den or expense, including one or more ignation of the paper (e.g., motion to
of the following: quash subpoena).
(1) That the discovery not be had; (3) Every pleading and paper shall be
(2) That the discovery may be had signed by, and shall contain the ad-
only on specified terms and conditions, dress and telephone number of, the
including a designation of the time or party or the person on whose behalf the
place; paper was filed, or his or her represent-
(3) That the discovery may be had ative.
only through a method of discovery (4) Papers are considered filed when
other than that requested; they are mailed. Date of mailing may
be established by a certificate from the
(4) That certain matters not be in-
party or its representative or by proof
quired into, or that the scope of dis-
that the document was sent by cer-
covery be limited to certain matters;
tified or registered mail.
(5) That discovery be conducted with
(b) Service. A party filing a document
no one present except persons des-
with the hearing clerk shall, at the
ignated by the presiding officer; time of filing, serve a copy of such doc-
(6) That the contents of discovery or ument on every other party. Service
evidence be sealed; upon any party of any document, other
(7) That a deposition after being than those required to be served as pre-
sealed be opened only by order of the scribed in § 27.8, shall be made by deliv-
presiding officer; ering a copy or by placing a copy of the
(8) That a trade secret or other con- document in the United States mail,
fidential research, development, or postage prepaid and addressed, to the
commercial information, or facts per- party’s last known address. When a
taining to any criminal investigation, party is represented by a representa-
proceeding, or other administrative in- tive, service shall be made upon such
vestigation not be disclosed or be dis- representative in lieu of the actual
closed only in a designated way; or party.
(9) That the parties simultaneously (c) Proof of service. A certificate of
file specified documents or information the individual serving the document by
enclosed in sealed envelopes to be personal delivery or by mail, setting

opened as directed by the presiding of- forth the manner of service, shall be
ficer. proof of service.
340
§ 27.27 Computation of time. (2) Failing to prosecute or defend an

action; or
(a) In computing any period of time
(3) Engaging in other misconduct
under this part or in an order issued
that interferes with the speedy, or-
thereunder, the time begins with the
derly, or fair conduct of the hearing.
day following the act, event, or default,
(b) Any such sanction, including but
and includes the last day of the period,
not limited to those listed in para-
unless it is a Saturday, Sunday, or
graphs (c), (d), and (e) of this section,
legal holiday observed by the Federal
shall reasonably relate to the severity
Government, in which event it includes
and nature of the failure or mis-
the next business day.
conduct.
(b) When the period of time allowed
(c) When a party fails to comply with
is less than seven days, intermediate
an order, including an order for taking
Saturdays, Sundays, and legal holidays
a deposition, the production of evi-
observed by the Federal Government
dence within the party’s control, or a
shall be excluded from the computa-
request for admission, the presiding of-
tion.
ficer may—
(c) When a document has been served
(1) Draw an inference in favor of the
or issued by placing it in the mail, an
requesting party with regard to the in-
additional five days will be added to
formation sought;
the time permitted for any response.
(2) In the case of requests for admis-
§ 27.28 Motions. sion, deem each matter of which an ad-
mission is requested to be admitted;
(a) Any application to the presiding (3) Prohibit the party failing to com-
officer for an order or ruling shall be ply with such order from introducing
by motion. Motions shall state the re- evidence concerning, or otherwise rely-
lief sought, the authority relied upon, ing upon, testimony relating to the in-
and the facts alleged, and shall be filed formation sought; and
with hearing clerk and served on all (4) Strike any part of the pleadings
other parties. or other submissions of the party fail-
(b) Except for motions made during a ing to comply with such request.
prehearing conference or at the hear- (d) If a party fails to prosecute or de-
ing, all motions shall be in writing. fend an action under this part com-
The presiding officer may require that menced by service of a notice of hear-
oral motions be reduced to writing. ing, the presiding officer may dismiss
(c) Within 15 days after a written mo- the action or may issue an initial deci-
tion is served, or such other time as sion imposing penalties and assess-
may be fixed by the presiding officer, ments.
any party may file a response to such (e) The presiding officer may refuse
motion. to consider any motion, request, re-
(d) The presiding officer may not sponse, brief or other document which
grant a written motion before the time is not filed in a timely fashion.
for filing responses thereto has expired,
except upon consent of the parties or § 27.30 The hearing and burden of
following a hearing on the motion, but proof.
may overrule or deny such motion (a) The presiding officer shall con-
without awaiting a response. duct a hearing on the record in order to
(e) The presiding officer shall make a determine whether the defendant is lia-
reasonable effort to dispose of all out- ble for a civil penalty or assessment
standing motions prior to the begin- under § 27.3 and, if so, the appropriate
ning of the hearing. amount of any such civil penalty or as-
sessment considering any aggravating
§ 27.29 Sanctions. or mitigating factors.
(a) The presiding officer may sanc- (b) The Authority shall prove defend-
tion a person, including any party or ant’s liability and any aggravating fac-
representative for— tors by a preponderance of the evi-
(1) Failing to comply with an order, dence.

rule, or procedure governing the pro- (c) The defendant shall prove any af-
ceeding; firmative defenses and any mitigating
341
§ 27.31 40 CFR Ch. I (7–1–21 Edition)
factors by a preponderance of the evi- (8) Whether the defendant has en-
dence. gaged in a pattern of the same or simi-
(d) The hearing shall be open to the lar misconduct;
public unless otherwise ordered by the (9) Whether the defendant attempted
presiding officer for good cause shown. to conceal the misconduct;
(10) The degree to which the defend-
§ 27.31 Determining the amount of ant has involved others in the mis-
penalties and assessments. conduct or in concealing it;
(11) Where the misconduct of employ-
(a) In determining an appropriate
ees or agents is imputed to the defend-
amount of civil penalties and assess- ant, the extent to which the defend-
ments, the presiding officer and the ant’s practices fostered or attempted
Environmental Appeals Board, upon to preclude such misconduct;
appeal, should evaluate any cir- (12) Whether the defendant cooper-
cumstances that mitigate or aggravate ated in or obstructed an investigation
the violation and should articulate in of the misconduct;
their opinions the reasons that support (13) Whether the defendant assisted
the penalties and assessments they im- in identifying and prosecuting other
pose. Because of the intangible costs of wrongdoers;
fraud, the expense of investigating (14) The complexity of the program
such conduct, and the need to deter or transaction, and the degree of the
others who might be similarly tempt- defendant’s sophistication with respect
ed, ordinarily double damages and a to it, including the extent of the de-
significant civil penalty should be im- fendant’s prior participation in the
posed. program or in similar transactions;
(b) Although not exhaustive, the fol- (15) Whether the defendant has been
lowing factors are among those that found, in any criminal, civil, or admin-
may influence the presiding officer and istrative proceeding to have engaged in
the Environmental Appeals Board in similar misconduct or to have dealt
determining the amount of penalties dishonestly with the Government of
and assessments to impose with respect the United States or of a State, di-
to the misconduct (i.e., the false, ficti- rectly or indirectly; and
tious, or fraudulent claims or state- (16) The need to deter the defendant
ments) charged in the complaint: and others from engaging in the same
(1) The number of false, fictitious, or or similar misconduct.
fraudulent claims or statements; (c) Nothing in this section shall be
construed to limit the presiding officer
(2) The time period over which such
or the Environmental Appeals Board
claims or statements were made;
from considering any other factors
(3) The degree of the defendant’s cul- that in any given case may mitigate or
pability with respect to the mis- aggravate the offense for which pen-
conduct; alties and assessments are imposed.
(4) The amount of money or the value
of the property, services, or benefit [53 FR 15182, Apr. 27, 1988, as amended at 57
FR 5327, Feb. 13, 1992]
falsely claimed;
(5) The value of the Government’s ac- § 27.32 Location of hearing.
tual loss as a result of the misconduct,
(a) The hearing may be held—
including foreseeable consequential (1) In any judicial district of the
damages and the costs of investigation; United States in which the defendant
(6) The relationship of the amount resides or transacts business;
imposed as civil penalties to the (2) In any judicial district of the
amount of the Government’s loss; United States in which the claim or
(7) The potential or actual impact of statement in issue was made; or
the misconduct upon national defense, (3) In such other place as may be
public health or safety, or public con- agreed upon by the defendant and the
fidence in the management of Govern- presiding officer.
ment programs and operations, includ- (b) Each party shall have the oppor-
ing particularly the impact on the in- tunity to present argument with re-
tended beneficiaries of such programs; spect to the location of the hearing.
342
(c) The hearing shall be held at the (2) In the case of a party that is not
place and at the time ordered by the an individual, an officer or empoyee of
presiding officer. the party appearing for the entity pro
se or designated by the party’s rep-
§ 27.33 Witnesses. resentative; or
(a) Except as provided in paragraph (3) an individual whose presence is
(b) of this section, testimony at the shown by a party to be essential to the
hearing shall be given orally by wit- presentation of its case, including an
nesses under oath or affirmation. individual employed by the Govern-
(b) At the discretion of the presiding ment engaged in assisting the rep-
officer, testimony may be admitted in resentative for the Government.
the form of a written statement or dep-
§ 27.34 Evidence.
osition. Any such written statement
must be provided to all other parties (a) The presiding officer shall deter-
along with the last known address of mine the admissibility of evidence.
such witness, in a manner which allows (b) Except as provided in this part,
sufficient time for other parties to sub- the presiding officer shall not be bound
poena such witness for cross-examina- by the Federal Rules of Evidence. How-
tion at the hearing. Prior written ever, the presiding officer may apply
statements of witnesses proposed to the Federal Rules of Evidence when ap-
testify at the hearing and deposition propriate, e.g., to exclude unreliable
transcripts shall be exchanged as pro- evidence.
vided in § 27.22(a). (c) The presiding officer shall exclude
(c) The presiding officer shall exer- irrelevant and immaterial evidence.
cise reasonable control over the mode (d) Although relevant, evidence may
and order of interrogating witnesses be excluded if its probative value is
and presenting evidence so as to: substantially outweighed by the danger
(1) Make the interrogation and pres- of unfair prejudice, confusion of the
entation effective for the ascertain- issues, or by considerations of undue
ment of the truth, delay or needless presentation of cumu-
(2) Avoid needless consumption of lative evidence.
time, and (e) Although relevant, evidence may
(3) Protect witnesses from harass- be excluded if it is privileged under
ment or undue embarrassment. Federal law.
(d) The presiding officer shall permit (f) Evidence concerning offers of com-
the parties to conduct such cross-ex- promise or settlement shall be inad-
amination as may be required for a full missible to the extent provided in Rule
and true disclosure of the facts. 408 of the Federal Rules of Evidence.
(e) At the discretion of the presiding (g) The presiding officer shall permit
officer, a witness may be cross-exam- the parties to introduce rebuttal wit-
ined on matters relevant to the pro- nesses and evidence.
ceeding without regard to the scope of (h) All documents and other evidence
his or her direct examination. To the offered or taken for the record shall be
extent permitted by the presiding offi- open to examination by all parties, un-
cer, cross-examination on matters out- less otherwise ordered by the presiding
side the scope of direct examination officer pursuant to § 27.24.
shall be conducted in the manner of di-
rect examination and may proceed by § 27.35 The record.
leading questions only if the witness is (a) The hearing will be recorded and
a hostile witness, an adverse party, or transcribed. Transcripts may be ob-
a witness identified with an adverse tained following the hearing from the
party. hearing clerk at a cost not to exceed
(f) Upon motion of any party, the the actual cost of duplication.
presiding officer shall order witnesses (b) The transcript of testimony, ex-
excluded so that they cannot hear the hibits and other evidence admitted at
testimony of other witnesses. This rule the hearing, and all papers and re-
does not authorize exclusion of— quests filed in the proceeding con-
(1) A party who is an individual; stitute the record for the decision by
343
§ 27.36 40 CFR Ch. I (7–1–21 Edition)
the presiding officer and the Environ- shall notify the parties of the reason
mental Appeals Board. for the delay and shall set a new dead-
(c) The record may be inspected and line.
copied (upon payment of a reasonable (d) Unless the initial decision of the
fee) by anyone, unless otherwise or- presiding officer is timely appealed to
dered by the presiding officer pursuant the Environmental Appeals Board, or a
to § 27.24. motion for reconsideration of the ini-
[53 FR 15182, Apr. 27, 1988, as amended at 57 tial decision is timely filed, the initial
FR 5327, Feb. 13, 1992] decision shall constitute the final deci-
sion of the Environmental Appeals
§ 27.36 Post-hearing briefs. Board and shall be final and binding on
The presiding officer may require the the parties 30 days after it is issued by
parties to file post-hearing briefs. In the presiding officer.
any event, any party may file a post- [53 FR 15182, Apr. 27, 1988, as amended at 57
hearing brief. The presiding officer FR 5327, Feb. 13, 1992]
shall fix the time for filing such briefs,
not to exceed 60 days from the date the § 27.38 Reconsideration of initial deci-
parties receive the transcript of the sion.
hearing or, if applicable, the stipulated (a) Except as provided in paragraph
record. Such briefs may be accom- (d) of this section, any party may file a
panied by proposed findings of fact and motion for reconsideration of the ini-
conclusions of law. The presiding offi- tial decision within 20 days of receipt
cer may permit the parties to file re- of the initial decision. If service was
sponsive briefs. made by mail, receipt will be presumed
§ 27.37 Initial decision. to be five days from the date of mailing
in the absence of contrary proof.
(a) The presiding officer shall issue (b) Every such motion must set forth
an initial decision based only on the
the matters claimed to have been erro-
record. The decision shall contain find-
neously decided and the nature of the
ings of fact, conclusions of law, and the
alleged errors. Such motion shall be
amount of any penalties and assess-
accompanied by a supporting brief.
ments imposed.
(b) The findings of fact shall include (c) Responses to such motions shall
a finding on each of the following be allowed only upon request of the
issues: presiding officer.
(1) Whether the claims or statements (d) No party may file a motion for re-
identified in the complaint, or any por- consideration of an initial decision
tions thereof, violate § 27.3; that has been revised in response to a
(2) If the person is liable for penalties previous motion for reconsideration.
or assessments, the appropriate (e) The presiding officer may dispose
amount of any such penalties or assess- of a motion for reconsideration by de-
ments considering any mitigating or nying it or by issuing a revised intial
aggravating factors that he or she finds decision.
in the case, such as those described in (f) If the presiding officer denies a
§ 27.31. motion for reconsideration, the initial
(c) The presiding officer shall decision shall constitute the final deci-
promptly serve the initial decision on sion of the Environmental Appeals
all parties within 90 days after the Board and shall be final and binding on
time for submission of post-hearing the parties 30 days after the presiding
briefs and responsive briefs (if per- officer denies the motion, unless the
mitted) has expired. The presiding offi- initial decision is timely appealed to
cer shall at the same time serve all the Environmental Appeals Board in
parties with a statement describing the accordance with § 27.39.
right of any defendant determined to (g) If the presiding officer issued a re-
be liable for a civil penalty or assess- vised initial decision, that decision
ment to file a motion for reconsider- shall constitute the final decision of
ation or a notice of appeal. If the pre- the Environmental Appeals Board and
siding officer fails to meet the deadline shall be final and binding on the par-
contained in this paragraph, he or she ties 30 days after it is issued, unless it
344
is timely appealed to the Environ- (h) In reviewing the initial decision,

mental Appeals Board in accordance the Environmental Appeals Board shall
with § 27.39. not consider any objection that was
not raised before the presiding officer
FR 5327, Feb. 13, 1992]
unless a demonstration is made of ex-
traordinary circumstances causing the
§ 27.39 Appeal to authority head. failure to raise the objection.
(i) If any party demonstrates to the
(a) Any defendant who has filed a satisfaction of the Environmental Ap-
timely answer and who is determined peals Board that additional evidence
in an initial decision to be liable for a not presented at such hearing is mate-
civil penalty or assessment may appeal rial and that there were reasonable
such decision to the Environmental grounds for the failure to present such
Appeals Board by filing a notice of ap- evidence at such hearing, the Environ-
peal with the hearing clerk in accord- mental Appeals Board shall remand the
ance with this section. matter to the presiding officer for con-
(b)(1) A notice of appeal may be filed sideration of such additional evidence.
at any time within 30 days after the (j) The Environmental Appeals Board
presiding officer issues an initial deci- may affirm, reduce, reverse, com-
sion. However, if another party files a promise, remand, or settle any penalty
motion for reconsideration under or assessment, determined by the pre-
§ 27.38, consideration of the appeal shall siding officer in any initial decision.
be stayed automatically pending reso- (k) The Environmental Appeals
lution of the motion for reconsider- Board shall promptly serve each party
ation. to the appeal with a copy of the deci-
(2) If a motion for reconsideration is sion of the Environmental Appeals
timely filed, a notice of appeal may be Board and a statement describing the
filed within 30 days after the presiding right of any person determined to be
officer denies the motion or issues a reliable for a civil penalty or assessment
vised initial decision, whichever ap- to seek judicial review.
plies. (l) Unless a petition for review is
(3) The Environmental Appeals Board filed as provided in 31 U.S.C. 3805 after
may extend the initial 30 day period for a defendant has exhausted all adminis-
an additional 30 days if the defendant trative remedies under this part and
files a request for an extension within within 60 days after the date on which
the initial 30 day period and shows the Environmental Appeals Board
good cause. serves the defendant with a copy of the
(c) If the defendant filed a timely no- Environmental Appeals Board’s deci-
tice of appeal, and the time for filing sion, a determination that a defendant
motions for reconsideration under is liable under § 27.3 is final and is not
§ 27.38 has expired, the presiding officer subject to judicial review.
shall forward the record of the pro- [53 FR 15182, Apr. 27, 1988, as amended at 57
ceeding to the Environmental Appeals FR 5327, Feb. 13, 1992]
Board.
(d) A notice of appeal shall be accom- § 27.40 Stay ordered by the Depart-
panied by a written brief specifying ex- ment of Justice.
ceptions to the initial decision and rea- If at any time the Attorney General
sons supporting the exceptions. or an Assistant Attorney General des-
(e) The representative for the Gov- ignated by the Attorney General trans-
ernment may file a brief in opposition mits to the Environmental Appeals
to exceptions within 30 days of receiv- Board a written finding that continu-
ing the notice of appeal and accom- ation of the administrative process de-
panying brief. scribed in this part with respect to a
(f) There is no right to appear person- claim or statement may adversely af-
ally before the Environmental Appeals fect any pending or potential criminal
Board. or civil action related to such claim or
(g) There is no right to appeal any in- statement, the Environmental Appeals
terlocutory ruling by the presiding of- Board shall stay the process imme-
ficer. diately. The Environmental Appeals
345
§ 27.41 40 CFR Ch. I (7–1–21 Edition)
Board may order the process resumed § 27.46 Compromise or settlement.

only upon receipt of the written au- (a) Parties may make offers of com-
thorization of the Attorney General. promise or settlement at any time.
[57 FR 5327, Feb. 13, 1992] (b) The reviewing official has the ex-
clusive authority to compromise or
§ 27.41 Stay pending appeal. settle a case under this part at any
time after the date on which the re-
(a) An initial decision is stayed auto-
viewing official is permitted to issue a
matically pending disposition of a mo-
complaint and before the date on which
tion for reconsideration or of an appeal
the presiding officer issues an initial
to the Environmental Appeals Board.
decision.
(b) No administrative stay is avail- (c) The Environmental Appeals Board
able following a final decision of the has exclusive authority to compromise
Environmental Appeals Board. or settle a case under this part at any
[57 FR 5327, Feb. 13, 1992] time after the date on which the pre-
siding officer issues an initial decision,
§ 27.42 Judicial review. except during the pendency of any re-
view under § 27.42 or during the pend-
Section 3805 of title 31, United States
ency of any action to collect penalties
Code, authorizes judicial review by an
and assessments under § 27.43.
appropriate United States District (d) The Attorney General has exclu-
Court of a final decision of the Envi- sive authority to compromise or settle
ronmental Appeals Board imposing a case under this part during the pend-
penalties or assessments under this ency of any review under § 27.42 or of
part and specifies the procedures for any action to recover penalties and as-
such review. sessments under 31 U.S.C. 3806.
[57 FR 5327, Feb. 13, 1992] (e) The investigating official may
recommend settlement terms to the re-
§ 27.43 Collection of civil penalties and viewing official, the Environmental
assessments. Appeals Board, or the Attorney Gen-
eral, as appropriate. The reviewing of-
Sections 3806 and 3808(b) of title 31,
ficial may recommend settlement
United States Code, authorize actions
terms to the Environmental Appeals
for collection of civil penalties and as- Board or the Attorney General, as ap-
sessments imposed under this part and propriate.
specify the procedures for such actions. (f) Any compromise or settlement
must be in writing.
§ 27.44 Right to administrative offset.
The amount of any penalty or assess- FR 5327, Feb. 13, 1992]
ment which has become final, or for
which a judgment has been entered § 27.47 Limitations.
under §§ 27.42 or 27.43, or any amount (a) The notice of hearing with respect
agreed upon in a compromise or settle- to a claim or statement must be served
ment under § 27.46, may be collected by in the manner specified in § 27.8 within
administrative offset under 31 U.S.C. 6 years after the date on which such
3716, except that an administrative off- claim or statement is made.
set may not be made under this section (b) If the defendant fails to file a
against a refund of an overpayment of timely answer, service of a notice
Federal taxes, then or later owing by under § 27.10(b) shall be deemed a notice
the United States to the defendant. of hearing for purposes of this section.
(c) The statute of limitations may be
§ 27.45 Deposit in Treasury of United extended by agreement of the parties.
States.
All amounts collected pursuant to § 27.48 Delegated functions.
this part shall be deposited as miscella- The Administrator delegates author-
neous receipts in the Treasury of the ity to the Environmental Appeals

United States, except as provided in 31 Board to issue final decisions in ap-
U.S.C. 3806(g). peals filed under this part. An appeal
346
directed to the Administrator, rather 29.12 How may a State simplify, consoli-
than the Environmental Appeals date, or substitute federally required
Board, will not be considered. This del- State plans?
egation of authority to the Environ- 29.13 May the Administrator waive any pro-
mental Appeals Board does not pre- vision of these regulations?
clude the Environmental Appeals AUTHORITY: E.O. 12372, July 14, 1982 (47 FR
Board from referring an appeal or mo- 30959), as amended Apr. 8, 1983 (48 FR 15887);
tion filed under this part to the Admin- sec. 401 of the Intergovernmental Coopera-
istrator for decision when the Environ- tion Act of 1968 as amended (31 U.S.C. 6506);
mental Appeals Board, in its sec. 204 of the Demonstration Cities and Met-
descretion, deems it appropriate to do ropolitan Development Act of 1966, as
so. When an appeal or motion is re- amended (42 U.S.C. 3334).
ferred to the Administrator, all parties SOURCE: 48 FR 29300, June 24, 1983, unless
shall be so notified and the rules in otherwise noted.
this part referring to the Environ-
mental Appeals Board shall be inter- § 29.1 What is the purpose of these reg-
preted as referring to the Adminis- ulations?
trator. If a case or motion is referred
(a) The regulations in this part im-
to the Administrator by the Environ-
plement Executive Order 12372, ‘‘Inter-
mental Appeals Board, the Adminis-
trator may consult with any EPA em- governmental Review of Federal Pro-
ployee concerning the matter, provided grams,’’ issued July 14, 1982, and
such consultation does not violate the amended, on April 8, 1983. These regula-
ex parte contacts restrictions set forth tions also implement applicable provi-
in §§ 27.14 and 27.15 of this part. sions of section 401 of the Intergovern-
mental Cooperation Act of 1968, as
[57 FR 5328, Feb. 13, 1992]
amended and section 204 of the Dem-
onstration Cities and Metropolitan De-
PART 29—INTERGOVERNMENTAL velopment Act of 1966, as amended.
REVIEW OF ENVIRONMENTAL (b) These regulations are intended to
PROTECTION AGENCY PRO- foster an intergovernmental partner-
GRAMS AND ACTIVITIES ship and a strengthened federalism by
relying on State processes and on
Sec. State, areawide, regional and local co-
29.1 What is the purpose of these regula-
tions? ordination for review of proposed Fed-
29.2 What definitions apply to these regula- eral financial assistance and direct
tions? Federal development.
29.3 What programs and activities of the (c) These regulations are intended to
Environmental Protection Agency are aid the internal management of the
subject to these regulations?
29.4 What are the Administrator’s general Environmental Protection Agency
responsibilities under the Order? (EPA) and are not intended to create
29.5 What is the Administrator’s obligation any right or benefit enforceable at law
with respect to Federal interagency co- by a party against EPA or its officers.
ordination?
29.6 What procedures apply to the selection § 29.2 What definitions apply to these
of programs and activities under these regulations?
regulations?
29.7 How does the Administrator commu- Administrator means the Adminis-
nicate with State and local officials con- trator of the U.S. Environmental Pro-
cerning EPA programs and activities? tection Agency or an official or em-
29.8 How does the Administrator provide
States an opportunity to comment on
ployee of the Agency acting for the Ad-
proposed Federal financial assistance ministrator under a delegation of au-
and direct Federal development? thority.
29.9 How does the Administrator receive Agency means the U.S. Environ-
and respond to comments? mental Protection Agency (EPA).
29.10 How does the Administrator make ef-
Order means Executive Order 12372,
forts to accommodate intergovernmental
concerns? issued July 14, 1982, and amended April

29.11 What are the Administrator’s obliga- 8, 1983, and titled ‘‘Intergovernmental
tions in interstate situations? Review of Federal Programs.’’
347
§ 29.3 40 CFR Ch. I (7–1–21 Edition)
States means any of the 50 States, the (6) Seeks the coordination of views of
District of Columbia, the Common- affected State and local elected offi-
wealth of Puerto Rico, the Common- cials in one State with those of another
wealth of the Northern Mariana Is- State when proposed Federal financial
lands, Guam, American Samoa, the assistance or direct Federal develop-
U.S. Virgin Islands, or the Trust Terri- ment has an impact on interstate met-
tory of the Pacific Islands. ropolitan urban centers or other inter-
state areas; and
§ 29.3 What programs and activities of (7) Supports State and local govern-
the Environmental Protection
Agency are subject to these regula- ments by discouraging the reauthoriza-
tions? tion or creation of any planning orga-
nization which is federally-funded,
The Administrator publishes in the which has a limited purpose, and which
FEDERAL REGISTER a list of the EPA is not adequately representative of, or
programs and activities that are sub- accountable to, State or local elected
ject to these regulations and identifies officials,
which of these are subject to the re-
quirements of section 204 of the Dem- § 29.5 What is the Administrator’s obli-
onstration Cities and Metropolitan De- gation with respect to Federal
velopment Act. interagency coordination?
§ 29.4 What are the Administrator’s The Administrator, to the extent
general responsibilities under the practicable, consults with and seeks
Order? advice from all other substantially af-
(a) The Administrator provides op- fected Federal departments and agen-
portunities for consultation by elected cies in an effort to assure full coordina-
officials of those State and local gov- tion between such agencies and EPA
ernments that would provide the non- regarding programs and activities cov-
Federal funds for, or that would be di- ered under these regulations.
rectly affected by, proposed Federal fi-
§ 29.6 What procedures apply to the se-
nancial assistance from, or direct Fed- lection of programs and activities
eral development by, the EPA. under these regulations?
(b) If a State adopts a process under
the Order to review and coordinate pro- (a) A State may select any program
posed Federal financial assistance and or activity published in the FEDERAL
direct Federal development, the Ad- REGISTER in accordance with § 29.3 of
ministrator to the extent permitted by this part for intergovernmental review
law: under these regulations. Each State,
(1) Uses the State process to deter- before selecting programs and activi-
mine official views of State and local ties, shall consult with local elected of-
elected officials; ficials.
(2) Communicates with State and (b) Each State that adopts a process
local elected officials as early in a pro- shall notify the Administrator of EPA
gram planning cycle as is reasonably programs and activities selected for
feasible to explain specific plans and that process.
actions; (c) A State may notify the Adminis-
(3) Makes efforts to accommodate trator of changes in its selections at
State and local elected officials’ con- any time. For each change, the State
cerns with proposed Federal financial shall submit an assurance to the Ad-
assistance and direct Federal develop- ministrator that the State has con-
ment that are communicated through sulted with local elected officials re-
the State process; garding the change. EPA may establish
(4) Allows the States to simplify and deadlines by which States are required
consolidate existing federally required to inform the Administrator of changes
State plan submissions; in their program selections.
(5) Where State planning and budg- (d) The Administrator uses a State’s
eting systems are sufficient and where process as soon as feasible, depending
permitted by law, encourages the sub- on individual programs and activities,

stitution of State plans for federally after the Administrator is notified of
required State plans; its selections.
348
§ 29.7 How does the Administrator Demonstration Cities and Metropolitan

communicate with State and local Development Act shall allow areawide
officials concerning the EPA pro- agencies a 60-day opportunity for re-
grams and activities? view and comment.
(a) For those programs and activities
covered by a State process under § 29.6, § 29.9 How does the Administrator re-
the Administrator, to the extent per- ceive and respond to comments?
mitted by law: (a) The Administrator follows the
(1) Uses the State process to deter- procedures in § 29.10 if:
mine views of State and local elected (1) A State office or official is des-
officials; and ignated to act as a single point of con-
(2) Communicates with State and
tact between a State process and all
local elected officials, through the
Federal agencies, and
State process, as early in a program
planning cycle as is reasonably feasible (2) That office or official transmits a
to explain specific plans and actions. State process recommendation for a
(b) The Administrator provides no- program selected under § 29.6.
tice of proposed Federal financial as- (b) The single point of contact is not
sistance or direct Federal development obligated to transmit comments from
to directly affected State, areawide, re- State, areawide, regional or local offi-
gional, and local entities in a State if: cials and entities where there is no
(1) The State has not adopted a proc- State process recommendation. How-
ess under the Order; or ever, if a State process recommenda-
(2) The assistance or development in- tion is transmitted by a single point of
volves a program or activity not se- contact, all comments from State,
lected for the State process. area-wide, regional, and local officials
This notice may be published in the and entities that differ from it must
FEDERAL REGISTER or issued by other also be transmitted.
means which EPA, in its discretion (c) If a State has not established a
deems appropriate. process, or is unable to submit a State
process recommendation, the State,
§ 29.8 How does the Administrator pro-
vide States an opportunity to com- areawide, regional and local officials
ment on proposed Federal financial and entities may submit comments di-
assistance and direct Federal devel- rectly either to the applicant or to
opment? EPA.
(a) Except in unusual circumstances, (d) If a program or activity is not se-
the Administrator gives State proc- lected for a State process, the State,
esses or directly affected State, areawide, regional and local officials
areawide, regional and local officials and entities may submit comments ei-
and entities: ther directly to the applicant or to
(1) At least 30 days from the date es- EPA. In addition, if a State process
tablished by the Administrator to com- recommendation for a nonselected pro-
ment on proposed Federal financial as- gram or activity is transmitted to EPA
sistance in the form of noncompeting by the single point of contact, the Ad-
continuation awards; and ministrator follows the procedures of
(2) At least 60 days from the date es- § 29.10 of this part.
tablished by the Administrator to com- (e) The Administrator considers com-
ment on proposed direct Federal devel- ments which do not constitute a State
opment or Federal financial assistance, process recommendation submitted
other than noncompeting continuation
under these regulations and for which
awards.
the Administrator is not required to
(b) This section also applies to com-
apply the procedures of § 29.10 of this
ments in cases in which the review, co-
ordination, and communication with part, when such comments are provided
the Environmental Protection Agency by a single point of contact, by the ap-
have been delegated. plicant, or directly to the Agency by a

(c) Applicants for programs and ac- commenting party.
tivities subject to section 204 of the
349
§ 29.10 40 CFR Ch. I (7–1–21 Edition)
§ 29.10 How does the Administrator received from a designated areawide

make efforts to accommodate interagency transmitted by a single point of
governmental concerns? contact, in cases in which the review,
(a) If a State process provides a State coordination, and communication with
process recommendation to the Agency EPA were delegated.
through the State’s single point of con- (b) The Administrator uses the proce-
tact, the Administrator either: dures in § 29.10 if a State process pro-
(1) Accepts the recommendation; vides a State process recommendation
(2) reaches a mutually agreeable so- to the Agency through a single point of
lution with the State process; or contact.
(3) Provides the single point of con-
tact with such written explanation of § 29.12 How may a State simplify, con-
solidate, or substitute federally re-
the decision, as the Administrator, in quired State plans?
his or her discretion, deems appro-
priate. The Administrator may also (a) As used in this section:
supplement the written explanation by (1) Simplify means that a State may
providing the explanation to the single develop its own format, choose its own
point of contact by telephone, other submission date, and select the plan-
telecommunication, or other means. ning period for a State plan.
(b) In any explanation under para- (2) Consolidate means that a State
graph (a)(3) of this section, the Admin- may meet statutory and regulatory re-
istrator informs the single point of quirements by combining two or more
contact that: plans into one document and that the
(1) EPA will not implement its deci- State can select the format, submis-
sion for at least ten days after the sin- sion date, and planning period for the
gle point of contact receives the expla- consolidated plan.
nation; or (3) Substitute means that a State may
(2) The Administrator has reviewed use a plan or other document that it
the decision and determined that, be- has developed for its own purposes to
cause of unusual circumstances, the meet Federal requirements.
waiting period of at least ten days is (b) If not inconsistent with law, a
not feasible. State may decide to try to simplify,
(c) For purposes of computing the consolidate, or substitute federally re-
waiting period under paragraph (b)(1) quired State plans without prior ap-
of this section, a single point of con- proval by the Administrator.
tact is presumed to have received writ- (c) The Administrator reviews each
ten notification 5 days after the date of State plan that a State has simplified,
mailing of such notification. consolidated, or substituted and ac-
cepts the plan only if its contents meet
§ 29.11 What are the Administrator’s Federal requirements.
obligations in interstate situations?
§ 29.13 May the Administrator waive
(a) The Administrator is responsible any provision of these regulations?
for:
(1) Identifying proposed Federal fi- In an emergency, the Administrator
nancial assistance and direct Federal may waive any provision of these regu-
development that have an impact on lations.
interstate areas;
(2) Notifying appropriate officials PART 30 [RESERVED]
and entities in States which have
adopted a process and selected an EPA PART 31—ON-SITE CIVIL
program or activity. INSPECTION PROCEDURES
(3) Making efforts to identify and no-
tify the affected State, areawide, re-
gional, and local officials and entities AUTHORITY: Clean Air Act 42 U.S.C. 7414,
7525, 7542, 7603, 7621; Clean Water Act 33
in those States that do not adopt a U.S.C. 1318, 1321, 1364, 1367; Comprehensive
process under the Order or do not se- Environmental Response, Compensation, and
lect an EPA program or activity; Liability Act 42 U.S.C. 9604, 9606, 9622, Execu-
(4) Responding in accordance with tive Order 12580, section 2(j)(2); Federal In-
§ 29.10 of this part to a recommendation secticide, Fungicide, and Rodenticide Act 7
350
U.S.C. 136; Resource Conservation and Re- Business Resources Information Sheet
covery Act 42 U.S.C. 6908, 6912, 6927, 6928, 6934, to help small businesses understand
6971, 6973, 6991, 6992; Safe Drinking Water Act and comply with federal and state envi-
42 U.S.C. 300; Toxic Substances Control Act
15 U.S.C. 2610; 5 U.S.C. 301; and Reorganiza-
ronmental laws.
tion Plan No. 3 of 1970, 84 Stat. 2086. (d)(1) EPA inspectors shall document
observations, and, as appropriate, take
SOURCE: 85 FR 12226, Mar. 2, 2020, unless
otherwise noted.
environmental or other samples and
take or obtain photographs and copies
§ 31.1 Procedures conducted by EPA of documents related to the purpose of
for on-site civil inspections. the inspection, and employ other rea-
(a) All on-site civil inspections by sonable investigative techniques.
EPA inspectors shall be conducted in (2) Where possible, EPA inspectors
accordance with this part. For pur- shall interview the owner, operator,
poses of this part, all references agent or employee of an establishment.
throughout to ‘‘inspection’’ or ‘‘in- Reasonable investigative techniques
spections’’ refer to on-site civil inspec- include, but are not limited to, the use
tions; this part does not apply to crimi- of monitoring devices/equipment to
nal inspections or investigations of en- measure releases to the environment.
vironmental crimes. (e) EPA inspectors shall take reason-
(b) EPA inspections shall take place able precautions to ensure actions con-
at such times and in such places as ap- ducted during inspections will not
propriate. cause hazardous situations, and, where
(c) At the beginning of an inspection, appropriate, wear and use appropriate
EPA inspectors shall present their cre- protective clothing and equipment.
dentials to the owner, operator, or (f)(1) At the conclusion of an inspec-
agent in charge at the facility or site, tion, EPA inspectors shall offer a clos-
if available. EPA inspectors shall gen- ing conference, where practicable, to
erally explain the nature and purpose confer with the facility/site representa-
of the inspection; offer an opening con- tive and informally advise them of any
ference; confirm any safety hazards; observations, potential deficiencies and
and indicate generally the scope of the concerns discovered by the inspection,
inspection and the records which they as applicable.
wish to review. However, such designa- (2) During such conference, the facil-
tion of records shall not preclude ac- ity/site representative shall be afforded
cess to additional records. an initial opportunity to bring to the
(1) During the opening conference, attention of the EPA inspector any
EPA inspectors shall, where applicable pertinent information regarding the
and practicable, offer facility personnel potential concerns identified.
the opportunity to obtain split samples (g) After an inspection, EPA shall
or to collect duplicate samples. prepare an inspection report and share
(2) If the facility is a small business, it with the facility. The content and
EPA inspectors shall offer a Small format of the report may vary.
351
SUBCHAPTER B—GRANTS AND OTHER FEDERAL ASSISTANCE
PART 33—PARTICIPATION BY DIS- 33.304 Must a Native American (either as an

individual, organization, Tribe or Tribal
ADVANTAGED BUSINESS ENTER- Government) recipient or prime con-
PRISES IN UNITED STATES ENVI- tractor follow the six good faith efforts?
RONMENTAL PROTECTION
AGENCY PROGRAMS Subpart D—Fair Share Objectives
33.401 What does this subpart require?
Subpart A—General Provisions 33.402 Are there special rules for loans
Sec. under EPA financial assistance agree-
33.101 What are the objectives of this part? ments?
33.102 When do the requirements of this 33.403 What is a fair share objective?
part apply? 33.404 When must a recipient negotiate fair
33.103 What do the terms in this part mean? share objectives with EPA?
33.104 May a recipient apply for a waiver 33.405 How does a recipient determine its
from the requirements of this part? fair share objectives?
33.105 What are the compliance and enforce- 33.406 May a recipient designate a lead
ment provisions of this part? agency for fair share objective negotia-
33.106 What assurances must EPA financial tion purposes?
assistance recipients obtain from their 33.407 How long do MBE and WBE fair share
contractors? objectives remain in effect?
33.107 What are the rules governing avail- 33.408 May a recipient use race and/or gen-
ability of records, cooperation, and in- der conscious measures as part of this
timidation and retaliation? program?
33.409 May a recipient use quotas as part of
Subpart B—Certification this program?
33.201 What does this subpart require? 33.410 Can a recipient be penalized for fail-
33.202 How does an entity qualify as an MBE ing to meet its fair share objectives?
or WBE under EPA’s 8% statute? 33.411 Who may be exempted from this sub-
33.203 How does an entity qualify as an MBE part?
or WBE under EPA’s 10% statute? 33.412 Must an Insular Area or Indian Tribal
33.204 Where does an entity become cer- Government recipient negotiate fair
tified under EPA’s 8% and 10% statutes? share objectives?
33.205 How does an entity become certified
by EPA? Subpart E—Recordkeeping and Reporting
33.206 Is there a list of certified MBEs and
WBEs? 33.501 What are the recordkeeping require-
33.207 Can an entity reapply to EPA for ments of this part?
MBE or WBE certification? 33.502 What are the reporting requirements
33.208 How long does an MBE or WBE cer- of this part?
tification from EPA last? 33.503 How does a recipient calculate MBE
33.209 Can EPA re-evaluate the MBE or and WBE participation for reporting pur-
WBE status of an entity after EPA cer- poses?
tifies it to be an MBE or WBE? APPENDIX A TO PART 33—TERM AND CONDI-
33.210 Does an entity certified as an MBE or TIONS
WBE by EPA need to keep EPA informed
of any changes which may affect the en- AUTHORITY: 15 U.S.C. 637 note; 42 U.S.C.
tity’s certification? 4370d, 7601 note, 9605(f); E.O. 11625, 36 FR
33.211 What is the process for appealing or 19967, 3 CFR, 1971 Comp., p. 213; E.O. 12138, 49
challenging an EPA MBE or WBE certifi- FR 29637, 3 CFR, 1979 Comp., p. 393; E.O.
cation determination? 12432, 48 FR 32551, 3 CFR, 1983 Comp., p. 198,
33.212 What conduct is prohibited by this 2 CFR part 200.
subpart?
SOURCE: 73 FR 15913, Mar. 26, 2008, unless
otherwise noted.
Subpart C—Good Faith Efforts
33.301 What does this subpart require? Subpart A—General Provisions
33.302 Are there any additional contract ad-
ministration requirements?
§ 33.101 What are the objectives of this

33.303 Are there special rules for loans part?
under EPA financial assistance agree-
ments? The objectives of this part are:
352
(a) To ensure nondiscrimination in Broker means a firm that does not

the award of contracts under EPA fi- itself perform, manage or supervise the
nancial assistance agreements. To that work of its contract or subcontract in
end, implementation of this rule with a manner consistent with the normal
respect to grantees, sub-grantees, loan business practices for contractors or
recipients, prime contractors, or sub- subcontractors in its line of business.
contractors in particular States or Business, business concern or business
locales—notably those where there is enterprise means an entity organized
no apparent history of relevant dis- for profit with a place of business lo-
crimination—must comply with equal
cated in the United States, and which
protection standards at that level,
operates primarily within the United
apart from the EPA DBE Rule’s con-
States or which makes a significant
stitutional compliance as a national
matter; contribution to the United States econ-
(b) To harmonize EPA’s DBE Pro- omy through payment of taxes or use
gram objectives with the U.S. Supreme of American products, materials or
Court’s decision in Adarand Construc- labor.
tors, Inc. v. Pena, 515 U.S. 200 (1995); Construction means erection, alter-
(c) To help remove barriers to the ation, or repair (including dredging, ex-
participation of DBEs in the award of cavating, and painting) of buildings,
contracts under EPA financial assist- structures, or other improvements to
ance agreements; and real property, and activities in re-
(d) To provide appropriate flexibility sponse to a release or a threat of a re-
to recipients of EPA financial assist- lease of a hazardous substance into the
ance in establishing and providing con- environment, or activities to prevent
tracting opportunities for DBEs. the introduction of a hazardous sub-
[73 FR 15913, Mar. 26, 2008] stance into a water supply.
Disabled American means, with re-
§ 33.102 When do the requirements of spect to an individual, permanent or
this part apply? temporary physical or mental impair-
The requirements of this part apply ment that substantially limits one or
to procurement under EPA financial more of the major life activities of
assistance agreements performed en- such an individual; a record of such an
tirely within the United States, wheth- impairment; or being regarded as hav-
er by a recipient or its prime con- ing such an impairment.
tractor, for construction, equipment, Disadvantaged business enterprise
services and supplies. (DBE) means an entity owned or con-
§ 33.103 What do the terms in this part trolled by a socially and economically
mean? disadvantaged individual as described
by Public Law 102–389 (42 U.S.C. 4370d)
Terms not defined below shall have
or an entity owned and controlled by a
the meaning given to them in 2 CFR
socially and economically disadvan-
part 200 and 1500, and 40 CFR part 35 as
taged individual as described by Title
applicable. As used in this part:
Availability analysis means docu- X of the Clean Air Act Amendments of
mentation of the availability of MBEs 1990 (42 U.S.C. 7601 note); a Small Busi-
and WBEs in the relevant geographic ness Enterprise (SBE); a Small Busi-
market in relation to the total number ness in a Rural Area (SBRA); or a
of firms available in that area. Labor Surplus Area Firm (LSAF), a
Availability analysis means docu- Historically Underutilized Business
mentation of the availability of MBEs (HUB) Zone Small Business Concern, or
and WBEs in the relevant geographic a concern under a successor program.
market in relation to the total number Disparity study means a comparison
of firms available in that area. within the preceding ten years of the
Award official means the EPA Re- available MBEs and WBEs in a relevant
gional or Headquarters official dele- geographic market with their actual
gated the authority to execute finan- usage by entities procuring in the cat-
cial assistance agreements on behalf of egories of construction, equipment,
EPA. services and supplies.
353
§ 33.103 40 CFR Ch. I (7–1–21 Edition)
Equipment means items procured (3) In the case of the BCRLF Pro-
under a financial assistance agreement gram, is a project that has been funded
as defined by 2 CFR 200.33. with EPA financial assistance.
Fair share objective means an objec- Insular area means the Common-
tive expressing the percentage of MBE wealth of Puerto Rico or any territory
or WBE utilization expected absent the or possession of the United States.
effects of discrimination. Joint venture means an association of
Financial assistance agreement means a DBE firm and one or more other
grants or cooperative agreements firms to carry out a single, for-profit
awarded by EPA. The term includes business enterprise, for which the par-
ties combine their property, capital, ef-
grants or cooperative agreements used
forts, skills and knowledge, and in
to capitalize revolving loan funds, in-
which the DBE is responsible for a dis-
cluding, but not limited to, the Clean
tinct, clearly defined portion of the
Water State Revolving Loan Fund
work of the contract and whose share
(CWSRF) Program under Title VI of in the capital contribution, control,
the Clean Water Act, as amended, 33 management, risks, and profits of the
U.S.C. 1381 et seq., the Drinking Water joint venture are commensurate with
State Revolving Fund (DWSRF) Pro- its ownership interest.
gram under section 1452 of the Safe Labor surplus area firm (LSAF) means
Drinking Water Act, 42 U.S.C. 300j–12, a concern that together with its first-
and the Brownfields Cleanup Revolving tier subcontractors will perform sub-
Loan Fund (BCRLF) Program under stantially in labor surplus areas (as
section 104 of the Comprehensive Envi- identified by the Department of Labor
ronmental Response, Compensation in accordance with 20 CFR part 654).
and Liability Act, 42 U.S.C. 9604. Performance is substantially in labor
Good faith efforts means the race and/ surplus areas if the costs incurred
or gender neutral measures described under the contract on account of man-
in subpart C of this part. ufacturing, production or performance
Historically black college or university of appropriate services in labor surplus
(HBCU) means an institution deter- areas exceed 50 percent of the contract
mined by the Secretary of Education to price.
meet the requirements of 34 CFR part Minority business enterprise (MBE)
608. means a Disadvantaged Business En-
HUBZone means a historically under- terprise (DBE) other than a Small
utilized business zone, which is an area Business Enterprise (SBE), a Labor
located within one or more qualified Surplus Area Firm (LSAF), a Small
census tracts, qualified metropolitan Business in Rural Areas (SBRA), or a
counties, or lands within the external Women’s Business Enterprise (WBE).
boundaries of an Indian reservation. Minority institution means an accred-
HUBZone small business concern ited college or university whose enroll-
ment of a single designated group or a
means a small business concern that
combination of designated groups (as
appears on the List of Qualified
defined by the Small Business Admin-
HUBZone Small Business Concerns
istration regulations at 13 CFR part
maintained by the Small Business Ad-
124) exceeds 50% of the total enroll-
ministration.
ment.
Identified loan means a loan project Native American means any individual
or set-aside activity receiving assist- who is an American Indian, Eskimo,
ance from a recipient of an EPA finan- Aleut, or Native Hawaiian.
cial assistance agreement to capitalize Recipient means an entity that re-
a revolving loan fund, which: ceives an EPA financial assistance
(1) In the case of the CWSRF Pro- agreement or is a sub-recipient of such
gram, is a project funded from amounts agreement, including loan recipients
equal to the capitalization grant; under the Clean Water State Revolving
(2) In the case of the DWSRF Pro- Fund Program, Drinking Water State
gram, is a loan project or set-aside ac- Revolving Fund Program, and the
tivity funded from amounts up to the Brownfields Cleanup Revolving Loan
amount of the capitalization grant; or Fund Program.
354
Services means a contractor’s labor, tor of the Office of Small and Dis-
time or efforts provided in a manner advantaged Business Utilization.
consistent with normal business prac- (b) The request must document spe-
tices which do not involve the delivery cial or exceptional circumstances that
of a specific end item, other than docu- make compliance with the requirement
ments (e.g., reports, design drawings, impractical, including a specific pro-
specifications). posal addressing how the recipient in-
Small business, small business concern tends to achieve the objectives of this
or small business enterprise (SBE) means part as described in § 33.101. The re-
a concern, including its affiliates, that quest must show that:
is independently owned and operated, (1) There is a reasonable basis to con-
not dominant in the field of operation clude that the recipient could achieve
in which it is bidding, and qualified as a level of MBE and WBE participation
a small business under the criteria and consistent with the objectives of this
size standards in 13 CFR part 121. part using different or innovative
Small business in a rural area (SBRA) means other than those that are pro-
means a small business operating in an vided in subparts C or D of this part;
area identified as a rural county with a (2) Conditions in the recipient’s juris-
code 6–9 in the Rural-Urban continuum diction are appropriate for imple-
Classification Code developed by the menting the request; and
United States Department of Agri- (3) The request is consistent with ap-
culture in 1980. plicable law.
Supplies means items procured under (c) The OSDBU Director has the au-
a financial assistance agreement as de- thority to approve a recipient’s re-
fined by applicable regulations for the quest. If the OSDBU Director grants a
particular type of financial assistance recipient’s request, the recipient may
received. administer its program as provided in
United States means any of the sev- the request, subject to the following
eral States, the District of Columbia, conditions:
the Commonwealth of Puerto Rico and
(1) The recipient’s level of MBE and
any other territories and possessions of
WBE participation continues to be con-
the United States.
sistent with the objectives of this part;
Women’s business enterprise (WBE)
(2) There is a reasonable limitation
means a business concern which is at
on the duration of the recipient’s modi-
least 51% owned or controlled by
fied program; and
women for purposes of EPA’s 8% stat-
ute or a business concern which is at (3) Any other conditions the OSDBU
least 51% owned and controlled by Director makes on the grant of the
women for purposes for EPA’s 10% stat- waiver.
ute. Determination of ownership by a (d) The OSDBU Director may end a
married woman in a community prop- program waiver at any time upon no-
erty jurisdiction will not be affected by tice to the recipient and require a re-
her husband’s 50 percent interest in her cipient to comply with the provisions
share. Similarly, a business concern of this part. The OSDBU Director may
which is more than 50 percent owned also extend the waiver if he or she de-
by a married man will not become a termines that all requirements of para-
qualified WBE by virtue of his wife’s 50 graphs (b) and (c) of this section con-
percent interest in his share. tinue to be met. Any such extension
shall be for no longer than the period
[73 FR 15913, Mar. 26, 2008, as amended at 79 originally set for the duration of the
FR 76054, Dec. 19, 2014] program waiver.
§ 33.104 May recipients apply for a [73 FR 15913, Mar. 26, 2008]
waiver from the requirements of
this part? § 33.105 What are the compliance and
(a) A recipient may apply for a waiv- enforcement provisions of this
er from any of the requirements of this part?
part that are not specifically based on If a recipient fails to comply with
a statute or Executive Order, by sub- any of the requirements of this part,
mitting a written request to the Direc- EPA may take remedial action under 2
355
§ 33.106 40 CFR Ch. I (7–1–21 Edition)
CFR 200.338, Remedies for noncompli- be considered as confidential business

ance, or 40 CFR part 35, as appropriate, information, consistent with Federal,
or any other action authorized by law, state, and local law.
including, but not limited to, enforce- (b) Cooperation. All participants in
ment under 18 U.S.C. 1001 and/or the EPA’s DBE Program are required to
Program Fraud Civil Remedies Act of cooperate fully and promptly with
1986 (31 U.S.C. 3801 et seq.). Examples of EPA, EPA Private Certifiers and EPA
the remedial actions under 2 CFR recipients in reviews, investigations,
200.338 or 40 CFR part 35 include, but and other requests for information.
are not limited to: Failure to do so shall be a ground for
(a) Temporarily withholding cash
appropriate action against the party
payments pending correction of the de-
involved in accordance with § 33.105.
ficiency by the recipient or more se-
vere enforcement action by EPA; (c) Intimidation and retaliation. A re-
(b) Disallowing all or part of the cost cipient, contractor, or any other par-
of the activity or action not in compli- ticipant in EPA’s DBE Program must
ance; not intimidate, threaten, coerce, or
(c) Wholly or partly suspending or discriminate against any individual or
terminating the current award; or firm for the purpose of interfering with
(d) Withholding further awards for any right or privilege secured by this
the project or program. part. Violation of this prohibition shall
[73 FR 15913, Mar. 26, 2008, as amended at 79
be a ground for appropriate action
FR 76054, Dec. 19, 2014] against the party involved in accord-
ance with § 33.105.
§ 33.106 What assurances must EPA fi-
nancial assistance recipients obtain Subpart B—Certification
from their contractors?
The recipient must ensure that each § 33.201 What does this subpart re-
procurement contract it awards con- quire?
tains the term and condition specified
(a) In order to qualify and participate
in Appendix A to this part concerning
as an MBE or WBE prime or subcon-
compliance with the requirements of
tractor for EPA recipients under EPA’s
this part. The recipient must also en-
sure that this term and condition is in- DBE Program, an entity must be prop-
cluded in each procurement contract erly certified as required by this sub-
awarded by an entity receiving an iden- part.
tified loan under a financial assistance (b) EPA’s DBE Program is primarily
agreement to capitalize a revolving based on two statutes. Public Law 102–
loan fund. 389, 42 U.S.C. 4370d, provides for an 8%
objective for awarding contracts under
§ 33.107 What are the rules governing EPA financial assistance agreements
availability of records, cooperation, to business concerns or other organiza-
and intimidation and retaliation?
tions owned or controlled by socially
(a) Availability of records. (1) In re- and economically disadvantaged indi-
sponding to requests for information viduals, including HBCUs and women
concerning any aspect of EPA’s DBE (‘‘EPA’s 8% statute’’). Title X of the
Program, EPA complies with the provi- Clean Air Act Amendments of 1990, 42
sions of the Federal Freedom of Infor- U.S.C. 7601 note, provides for a 10% ob-
mation and Privacy Acts (5 U.S.C. 552 jective for awarding contracts under
and 552a). EPA may make available to
EPA financial assistance agreements
the public any information concerning
for research relating to such amend-
EPA’s DBE Program release of which is
not prohibited by Federal law or regu- ments to business concerns or other or-
lation, including EPA’s Confidential ganizations owned and controlled by
Business Information regulations at 40 socially and economically disadvan-
CFR part 2, subpart B. taged individuals (‘‘EPA’s 10% stat-
(2) EPA recipients shall safeguard ute’’).

from disclosure to unauthorized per-
sons information that may reasonably
356
§ 33.202 How does an entity qualify as trolled by socially and economically

an MBE or WBE under EPA’s 8% disadvantaged individuals.
statute? (e) Women. Women are deemed to be
To qualify as an MBE or WBE under socially and economically disadvan-
EPA’s 8% statute, an entity must es- taged individuals. Ownership or control
tablish that it is owned or controlled must be demonstrated pursuant to
by socially and economically disadvan- paragraph (a) of this section, which
taged individuals who are of good char- may be accomplished by certification
acter and citizens of the United States. under § 33.204.
An entity need not demonstrate poten-
tial for success. § 33.203 How does an entity qualify as
(a) Ownership or control. ‘‘Ownership’’ an MBE or WBE under EPA’s 10%
statute?
and ‘‘control’’ shall have the same
meanings as set forth in 13 CFR 124.105 To qualify as an MBE or WBE under
and 13 CFR 124.106, respectively. (See EPA’s 10% statute, an entity must es-
also 13 CFR 124.109 for special rules ap- tablish that it is owned and controlled
plicable to Indian tribes and Alaska by socially and economically disadvan-
Native Corporations; 13 CFR 124.110 for taged individuals who are of good char-
special rules applicable to Native Ha- acter and citizens of the United States.
waiian Organizations). (a) Ownership and control. An entity
(b) Socially disadvantaged individual. must be at least 51% owned by a so-
A socially disadvantaged individual is cially and economically disadvantaged
a person who has been subjected to ra- individual, or in the case of a publicly
cial or ethnic prejudice or cultural bias traded company, at least 51% of the
because of his or her identity as a stock must be owned by one or more
member of a group without regard to socially and economically disadvan-
his or her individual qualities and as taged individuals, and the management
further defined by the implementing and daily business operations of the
regulations of section 8(a)(5) of the business concern must be controlled by
Small Business Act (15 U.S.C. 637(a)(5); such individuals. (See also 13 CFR
13 CFR 124.103; see also 13 CFR 124.109 124.109 for special rules applicable to
for special rules applicable to Indian Indian tribes and Alaska Native Cor-
tribes and Alaska Native Corporations; porations; 13 CFR 124.110 for special
13 CFR 124.110 for special rules applica- rules applicable to Native Hawaiian Or-
ble to Native Hawaiian Organizations). ganizations).
(c) Economically disadvantaged indi- (b) Socially disadvantaged individual.
vidual. An economically disadvantaged A socially disadvantaged individual is
individual is a socially disadvantaged
a person who has been subjected to ra-
individual whose ability to compete in
cial or ethnic prejudice or cultural bias
the free enterprise system is impaired
because of his or her identity as a
due to diminished capital and credit
opportunities, as compared to others in member of a group without regard to
the same business area who are not so- his or her individual qualities and as
cially disadvantaged and as further de- further defined by the implementing
fined by section 8(a)(6) of the Small regulations of section 8(a)(5) of the
Business Act (15 U.S.C. 637(a)(6)) and Small Business Act (15 U.S.C. 637(a)(5);
its implementing regulations (13 CFR 13 CFR 124.103; see also 13 CFR 124.109
124.104). (See also 13 CFR 124.109 for spe- for special rules applicable to Indian
cial rules applicable to Indian tribes tribes and Alaska Native Corporations;
and Alaska Native Corporations; 13 13 CFR 124.110 for special rules applica-
CFR 124.110 for special rules applicable ble to Native Hawaiian Organizations).
to Native Hawaiian Organizations). (c) Economically disadvantaged indi-
Under EPA’s DBE Program, an individual. An economically disadvantaged
vidual claiming disadvantaged status individual is a socially disadvantaged
must have an initial and continued per- individual whose ability to compete in
sonal net worth of less than $750,000. the free enterprise system is impaired
(d) HBCU. An HBCU automatically due to diminished capital and credit
qualifies as an entity owned or con- opportunities, as compared to others in
357
§ 33.204 40 CFR Ch. I (7–1–21 Edition)
the same business area who are not so- socially and economically disadvan-
cially disadvantaged and as further de- taged individual, and that entity owns
fined by section 8(a)(6) of the Small 51% of the joint venture.
Business Act (15 U.S.C. 637(a)(6)) and (2) As a party to a joint venture, a
its implementing regulations (13 CFR person who is not an economically dis-
124.104). (See also 13 CFR 124.109 for spe- advantaged individual, or an entity
cial rules applicable to Indian tribes that is not owned and controlled by a
and Alaska Native Corporations; 13 socially and economically disadvan-
CFR 124.110 for special rules applicable taged individual, may not be a party to
to Native Hawaiian Organizations). more than two awarded contracts in a
Under EPA’s DBE Program, an indi- fiscal year solely by joint venture with
vidual claiming disadvantaged status a socially and economically disadvan-
must have an initial and continued per- taged individual or entity.
sonal net worth of less than $750,000.
(d) Presumptions. In accordance with § 33.204 Where does an entity become
Title X of the Clean Air Act Amend- certified under EPA’s 8% and 10%
ments of 1990, 42 U.S.C. 7601 note, Black statutes?
Americans, Hispanic Americans, Na- (a) In order to participate as an MBE
tive Americans, Asian Americans, or WBE prime or subcontractor for
Women and Disabled Americans are EPA recipients under EPA’s DBE Pro-
presumed to be socially and economi- gram, an entity must first attempt to
cally disadvantaged individuals. In ad- be certified by the following:
dition, the following institutions are (1) The United States Small Business
presumed to be entities owned and con- Administration (SBA), under its 8(a)
trolled by socially and economically Business Development Program (13
disadvantaged individuals: HBCUs, Mi- CFR part 124, subpart A) or its Small
nority Institutions (including Tribal Disadvantaged Business (SDB) Pro-
Colleges and Universities and Hispanic- gram, (13 CFR part 124, subpart B);
Serving Institutions) and private and
(2) The United States Department of
voluntary organizations controlled by
Transportation (DOT), under its regu-
individuals who are socially and eco-
lations for Participation by Disadvan-
nomically disadvantaged.
taged Business Enterprises in DOT Pro-
(e) Individuals not members of des-
grams (49 CFR parts 23 and 26); or
ignated groups. Nothing in this section
(3) an Indian Tribal Government,
shall prohibit any member of a racial
State Government, local Government
or ethnic group that is not designated
or independent private organization in
as socially and economically disadvan-
accordance with EPA’s 8% or 10% stat-
taged under paragraph (d) of this sec-
ute as applicable.
tion from establishing that they have
been impeded in developing a business (2) Such certifications shall be con-
concern as a result of racial or ethnic sidered acceptable for establishing
discrimination. MBE or WBE status, as appropriate,
(f) Rebuttal of presumptions. The pre- under EPA’s DBE Program as long as
sumptions established by paragraph (d) the certification meets EPA’s U.S. citi-
of this section may be rebutted in ac- zenship requirement under § 33.202 or
cordance with § 33.209 with respect to a § 33.203.
particular entity if it is reasonably es- (3) An entity may only apply to EPA
tablished that the individual at issue is for MBE or WBE certification under
not experiencing impediments to devel- the procedures set forth in § 33.205 if
oping such entity as a result of the in- that entity first is unable to obtain
dividual’s identification as a member MBE or WBE certification under para-
of a specified group. graphs (a) (1) through (3) of this sec-
(g) Joint ventures. (1) A joint venture tion.
may be considered owned and con- (b) [Reserved]
trolled by socially and economically
disadvantaged individuals, notwith- § 33.205 How does an entity become
standing the size of such joint venture, certified by EPA?

if a party to the joint venture is an en- (a) Filing an application. In accord-
tity that is owned and controlled by a ance with § 33.204, an entity may apply
358
to EPA’s Office of Small and Disadvan- control requirements of this subpart,

taged Business Utilization (EPA EPA OSDBU will issue a written deci-
OSDBU) for certification as an MBE or sion to the entity rejecting the applica-
WBE. EPA’s Regional Offices will pro- tion and set forth the reasons for dis-
vide further information and required approval.
application forms to any entity inter- (d) Disadvantaged determination. Once
ested in MBE or WBE certification. EPA OSDBU determines whether an
The applicant must attest to the accu- applicant meets the ownership and/or
racy and truthfulness of the informa- control requirements of this subpart,
tion on the application form. This shall EPA OSDBU will determine whether
be done either in the form of an affi- the applicable disadvantaged status re-
davit sworn to by the applicant before quirements under EPA’s 8% or 10%
a person who is authorized by state law statute have been met. If EPA OSDBU
to administer oaths or in the form of determines that the applicable dis-
an unsworn declaration executed under advantaged status requirements have
penalty of perjury of the laws of the been met, EPA OSDBU shall notify the
United States. The application must applicant that it has been certified and
include evidence demonstrating that place the MBE or WBE on EPA
the entity is owned or controlled by OSDBU’s list of qualified MBEs and
one or more individuals claiming dis- WBEs. If EPA OSDBU determines that
advantaged status under EPA’s 8% the applicable disadvantaged status re-
statute or owned and controlled by one quirements have not been met, EPA
or more individuals claiming disadvan- OSDBU will reject the entity’s applica-
taged status under EPA’s 10% statute, tion for certification. EPA OSDBU will
along with certifications or narratives issue a written decision to the entity
regarding the disadvantaged status of setting forth EPA OSDBU’s reasons for
such individuals. In addition, the appli- disapproval.
cation must include documentation of (e) Evaluation standards. (1) An enti-
a denial of certification by a Federal ty’s eligibility shall be evaluated on
agency, State government, local gov- the basis of present circumstances. An
ernment, Indian Tribal government, or entity shall not be denied certification
independent private organization, if ap- based solely on historical information
plicable. indicating a lack of ownership and/or
(b) Application processing. EPA control of the firm by socially and eco-
OSDBU will advise each applicant nomically disadvantaged individuals at
within 15 days, whenever practicable, some time in the past, if the entity
after receipt of an application whether currently meets the ownership and/or
the application is complete and suit- control standards of this subpart.
able for evaluation and, if not, what (2) Entities seeking MBE or WBE cer-
additional information or action is re- tification shall cooperate fully with re-
quired. EPA OSDBU shall make its cer- quests for information relevant to the
tification decision within 30 days of recertification process. Failure or refusal
ceipt of a complete and suitable appli- to provide such information is a ground
cation package, whenever practicable. for denial of certification.
The burden is on the applicant to dem- (3) In making its certification deter-
onstrate that those individuals claim- mination, EPA OSDBU may consider
ing disadvantaged status own or con- whether an entity has exhibited a pat-
trol the entity under EPA’s 8% statute tern of conduct indicating its involve-
or own and control the entity under ment in attempts to evade or subvert
EPA’s 10% statute. the intent or requirements of the DBE
(c) Ownership and/or control determina- Program.
tion. EPA OSDBU first will determine (4) EPA OSDBU shall not consider
whether those individuals claiming dis- the issue of whether an entity performs
advantaged status own or control the a commercially useful function in
applicant entity under EPA’s 8% stat- making its certification determina-
ute or own and control the applicant tion. Consideration of whether an enti-
entity under EPA’s 10% statute. If EPA ty performs a commercially useful

OSDBU determines that the applicant function or is a regular dealer pertains
does not meet the ownership and/or solely to counting toward MBE and
359
§ 33.206 40 CFR Ch. I (7–1–21 Edition)
WBE objectives as provided in subpart cent determination by EPA OSDBU to

E of this part. decline the application.
(5) Information gathered as part of
the certification process that may rea- § 33.208 How long does an MBE or
WBE certification from EPA last?
sonably be regarded as proprietary or
other confidential business informa- Once EPA OSDBU certifies an entity
tion will be safeguarded from disclo- to be an MBE or WBE by placing it on
sure to unauthorized persons, con- the EPA OSDBU list of certified MBEs
sistent with applicable Federal, State, and WBEs specified in § 33.206, the enti-
and local law. ty will generally remain on the list for
(6) To assist in making EPA OSDBU’s a period of three years from the date of
certification determination, EPA its certification. To remain on the list
OSDBU itself may take the following after three years, an entity must sub-
steps: mit a new application and receive a
(i) Perform an on-site visit to the of- new certification.
fices of the entity. Interview the prin- § 33.209 Can EPA re-evaluate the MBE
cipal officers of the entity and review or WBE status of an entity after
their resumes and/or work histories. EPA certifies it to be an MBE or
Perform an on-site visit to local job WBE?
sites if there are such sites on which (a) EPA OSDBU may initiate a cer-
the entity is working at the time of the tification determination whenever it
certification investigation. Already ex- receives credible information calling
isting site visit reports may be relied into question an entity’s eligibility as
upon in making the certification; an MBE or WBE. Upon its completion
(ii) If the entity is a corporation, of a certification determination, EPA
analyze the ownership of stock in the OSDBU will issue a written determina-
entity; tion regarding the MBE or WBE status
(iii) Analyze the bonding and finan- of the questioned entity.
cial capacity of the entity; (b) If EPA OSDBU finds that the en-
(iv) Determine the work history of tity does not qualify as an MBE or
the entity, including contracts it has WBE, EPA OSDBU will decertify the
received and work it has completed; entity as an MBE or WBE, and imme-
(v) Obtain a statement from the enti- diately remove the entity from the
ty of the type of work it prefers to per- EPA OSDBU list of certified MBEs and
form for EPA recipients under the DBE WBEs.
Program and its preferred locations for (c) If EPA OSDBU finds that the enti-
performing the work, if any; and ty continues to qualify as an MBE or
(vi) Obtain or compile a list of the WBE, the determination remains in ef-
equipment owned by or available to the fect for three years from the date of
entity and the licenses the entity and the decision under the same conditions
its key personnel possess to perform as if the entity had been granted MBE
the work it seeks to do for EPA recipi- or WBE certification under § 33.205.
ents under the DBE Program. § 33.210 Does an entity certified as an
MBE or WBE by EPA need to keep
§ 33.206 Is there a list of certified EPA informed of any changes
MBEs and WBEs? which may affect the entity’s cer-
EPA OSDBU will maintain a list of tification?
certified MBEs and WBEs on EPA (a) An entity certified as an MBE or
OSDBU’s Home Page on the Internet. WBE by EPA OSDBU must provide
Any interested person may also obtain EPA OSDBU, every year on the anni-
a copy of the list from EPA OSDBU. versary of the date of its certification,
an affidavit sworn to by the entity’s
§ 33.207 Can an entity reapply to EPA owners before a person who is author-
for MBE or WBE certification? ized by state law to administer oaths
An entity which has been denied or an unsworn declaration executed
MBE or WBE certification may reapply under penalty of perjury of the laws of
for certification at any time 12 months the United States. This affidavit must
or more after the date of the most re- affirm that there have been no changes
360
in the entity’s circumstances affecting the late filing of the appeal or chal-
its ability to meet disadvantaged sta- lenge.
tus, ownership, and/or control require- (d) No specific format is required for
ments of this subpart or any material an appeal or challenge. However, the
changes in the information provided in appeal or challenge must include infor-
its application form. Failure to comply mation and arguments concerning why
may result in the loss of MBE or WBE EPA OSDBU’s MBE or WBE certifi-
certification under EPA’s DBE Pro- cation determination should be re-
gram. versed. For challenges in which a third
(b) An entity certified as an MBE or party questions EPA OSDBU’s deter-
WBE by EPA OSDBU must inform EPA mination to certify an entity as an
OSDBU in writing of any change in cir- MBE or WBE under § 33.205 or § 33.209,
cumstance affecting the MBE’s or the third party must also send a copy
WBE’s ability to meet disadvantaged of the challenge to the entity whose
status, ownership, and/or control re- MBE or WBE certification is being
quirements of this subpart or any ma- questioned. In addition, the Director
terial change in the information pro- shall request information and argu-
vided in its application form. The MBE ments from that entity as to why EPA
or WBE must attach supporting docu- OSDBU’s determination to certify the
mentation describing in detail the na- entity as an MBE or WBE should be
ture of such change. The notice from upheld.
the MBE or WBE must take the form of (e) The Director makes his/her appeal
an affidavit sworn to by the applicant or challenge decision based solely on
before a person who is authorized by the administrative record and does not
State law to administer oaths or of an conduct a hearing. The Director may
unsworn declaration executed under supplement the record by adding rel-
penalty of perjury of the laws of the evant information made available by
United States. The MBE or WBE must any other source, including the EPA
provide the written notification within Office of Inspector General; Federal,
30 calendar days of the occurrence of State, or local law enforcement au-
the change. thorities; an EPA recipient; or a pri-
vate party.
§ 33.211 What is the process for appeal- (f) Consistent with Federal law, the
ing or challenging an EPA MBE or Director shall make available, upon
WBE certification determination? the request of the appellant, challenger
(a) An entity which has been denied or the entity affected by the Director’s
MBE or WBE certification by EPA appeal or challenge decision, any sup-
OSDBU under § 33.205 or § 33.209 may ap- plementary information the Director
peal that denial. A third party may receives from any source as described
challenge EPA OSDBU’s determination in paragraph (e) of this section.
to certify an entity as an MBE or WBE (g) Pending the Director’s appeal or
under § 33.205 or § 33.209. challenge decision, EPA OSDBU’s MBE
(b) Appeals and challenges must be or WBE certification determination re-
sent to the Director of OSDBU at Envi- mains in effect. The Director does not
ronmental Protection Agency, 1200 stay the effect of its MBE or WBE cer-
Pennsylvania Avenue, NW., Mail Code tification determination while he/she is
1230T, Washington, DC 20460. considering an appeal or challenge.
(c) The appeal or challenge must be (h) The Director shall reverse EPA
sent to the Director of OSDBU (Direc- OSDBU’s MBE or WBE certification de-
tor) within 90 days of the date of EPA termination only if there was a clear
OSDBU’s MBE or WBE certification de- and significant error in the processing
termination. The Director may accept of the certification or if EPA OSDBU
an appeal or challenge filed later than failed to consider a significant mate-
90 days after the date of EPA OSDBU’s rial fact contained within the entity’s
MBE or WBE certification determina- application for MBE or WBE certifi-
tion if the Director determines that cation.

there was good cause, beyond the con- (i) All decisions under this section
trol of the appellant or challenger, for are administratively final.
361
§ 33.212 40 CFR Ch. I (7–1–21 Edition)
§ 33.212 What conduct is prohibited by (d) Encourage contracting with a

this subpart? consortium of DBEs when a contract is
An entity that does not meet the eli- too large for one of these firms to han-
gibility criteria of this subpart may dle individually.
not attempt to participate as an MBE (e) Use the services and assistance of
or WBE in contracts awarded under the SBA and the Minority Business De-
EPA financial assistance agreements velopment Agency of the Department
or be counted as such by an EPA re- of Commerce.
cipient. An entity that submits false, (f) If the prime contractor awards
fraudulent, or deceitful statements or subcontracts, require the prime con-
representations, or indicates a serious tractor to take the steps in paragraphs
lack of business integrity or honesty, (a) through (e) of this section.
may be subject to sanctions under
§ 33.105. § 33.302 Are there any additional con-
tract administration requirements?
Subpart C—Good Faith Efforts (a) A recipient must require its prime
contractor to pay its subcontractor for
§ 33.301 What does this subpart re- satisfactory performance no more than
quire? 30 days from the prime contractor’s re-
A recipient, including one exempted ceipt of payment from the recipient.
from applying the fair share objective (b) A recipient must be notified in
requirements by § 33.411, is required to writing by its prime contractor prior
make the following good faith efforts to any termination of a DBE subcon-
whenever procuring construction, tractor for convenience by the prime
equipment, services and supplies under contractor.
an EPA financial assistance agree- (c) If a DBE subcontractor fails to
ment, even if it has achieved its fair complete work under the subcontract
share objectives under subpart D of for any reason, the recipient must re-
this part: quire the prime contractor to employ
(a) Ensure DBEs are made aware of the six good faith efforts described in
contracting opportunities to the fullest § 33.301 if soliciting a replacement sub-
extent practicable through outreach contractor.
and recruitment activities. For Indian (d) A recipient must require its prime
Tribal, State and Local and Govern- contractor to employ the six good faith
ment recipients, this will include plac- efforts described in § 33.301 even if the
ing DBEs on solicitation lists and so- prime contractor has achieved its fair
liciting them whenever they are poten- share objectives under subpart D of
tial sources. this part.
(b) Make information on forthcoming (e) A recipient must require its prime
opportunities available to DBEs and contractor to provide EPA Form 6100–
arrange time frames for contracts and 2—DBE Program Subcontractor Par-
establish delivery schedules, where the ticipation Form to all of its DBE sub-
requirements permit, in a way that en- contractors. EPA Form 6100–2 gives a
courages and facilitates participation DBE subcontractor the opportunity to
by DBEs in the competitive process. describe the work the DBE subcon-
This includes, whenever possible, post- tractor received from the prime con-
ing solicitations for bids or proposals tractor, how much the DBE subcon-
for a minimum of 30 calendar days be- tractor was paid and any other con-
fore the bid or proposal closing date. cerns the DBE subcontractor might
(c) Consider in the contracting proc- have, for example reasons why the DBE
ess whether firms competing for large subcontractor believes it was termi-
contracts could subcontract with nated by the prime contractor. DBE
DBEs. For Indian Tribal, State and subcontractors may send completed
local Government recipients, this will copies of EPA Form 6100–2 directly to
include dividing total requirements the appropriate EPA DBE Coordinator.
when economically feasible into small- (f) A recipient must require its prime
er tasks or quantities to permit max- contractor to have its DBE subcontrac-

imum participation by DBEs in the tors complete EPA Form 6100–3—DBE
competitive process. Program Subcontractor Performance
362
Form. A recipient must then require § 33.304 Must a Native American (ei-
its prime contractor to include all ther as an individual, organization,
completed forms as part of the prime Tribe or Tribal Government) recipi-
contractor’s bid or proposal package. ent or prime contractor follow the
six good faith efforts?
(g) A recipient must require its prime
contractor to complete and submit (a) A Native American (either as an
EPA Form 6100–4—DBE Program Sub- individual, organization, corporation,
contractor Utilization Form as part of Tribe or Tribal Government) recipient
the prime contractor’s bid or proposal or prime contractor must follow the six
good faith efforts only if doing so
package.
would not conflict with existing Tribal
(h) Copies of EPA Form 6100–2—DBE
or Federal law, including but not lim-
Program Subcontractor Participation ited to the Indian Self-Determination
Form, EPA Form 6100–3—DBE Program and Education Assistance Act (25
Subcontractor Performance Form and U.S.C. 450e), which establishes, among
EPA Form 6100–4—DBE Program Sub- other things, that any federal contract,
contractor Utilization Form may be subcontract, grant, or subgrant award-
obtained from EPA OSDBU’s Home ed to Indian organizations or for the
Page on the Internet or directly from benefit of Indians, shall require pref-
EPA OSDBU. erence in the award of subcontracts
(i) A recipient must ensure that each and subgrants to Indian organizations
procurement contract it awards con- and to Indian-owned economic enter-
tains the term and condition specified prises.
in the appendix concerning compliance (b) Tribal organizations awarded an
with the requirements of this part. A EPA financial assistance agreement
recipient must also ensure that this have the ability to solicit and recruit
term and condition is included in each Indian organizations and Indian-owned
procurement contract awarded by an economic enterprises and give them
entity receiving an identified loan preference in the award process prior
under a financial assistance agreement to undertaking the six good faith ef-
to capitalize a revolving loan fund. forts. Tribal governments with promul-
gated tribal laws and regulations con-
§ 33.303 Are there special rules for cerning the solicitation and recruit-
loans under EPA financial assist- ment of Native-owned and other minor-
ance agreements? ity business enterprises, including
women-owned business enterprises,
A recipient of an EPA financial as- have the discretion to utilize these
sistance agreement to capitalize a re- tribal laws and regulations in lieu of
volving loan fund, such as a State the six good faith efforts. If the effort
under the CWSRF or DWSRF or an eli- to recruit Indian organizations and In-
gible entity under the Brownfields dian-owned economic enterprises is not
Cleanup Revolving Loan Fund pro- successful, then the recipient must fol-
gram, must require that borrowers re- low the six good faith efforts. All tribal
ceiving identified loans comply with recipients still must retain records
the good faith efforts described in documenting compliance in accordance
§ 33.301 and the contract administration with § 33.501 and must report to EPA on
requirements of § 3.302. This provision their accomplishments in accordance
does not require that such private and with § 33.502.
nonprofit borrowers expend identified (c) Any recipient, whether or not Na-
loan funds in compliance with any tive American, of an EPA financial as-
other procurement procedures con- sistance agreement for the benefit of
tained in 2 CFR part 200 Subpart D— Native Americans, is required to solicit
Post Federal Award Requirements, and recruit Indian organizations and
Procurement Standards, or 40 CFR part Indian-owned economic enterprises and
35 subpart O, as applicable. give them preference in the award
process prior to undertaking the six
[73 FR 15913, Mar. 26, 2008, as amended at 79 good faith efforts. If the efforts to so-
FR 76054, Dec. 19, 2014] licit and recruit Indian organizations
and Indian-owned economic enterprises
363
§ 33.401 40 CFR Ch. I (7–1–21 Edition)
is not successful, then the recipient § 33.404 When must a recipient nego-
must follow the six good faith efforts. tiate fair share objectives with
(d) Native Americans are defined in EPA?
§ 33.103 to include American Indians, A recipient must submit its proposed
Eskimos, Aleuts and Native Hawaiians. MBE and WBE fair share objectives and
supporting documentation to EPA
Subpart D—Fair Share Objectives within 120 days after its acceptance of
its financial assistance award. EPA
§ 33.401 What does this subpart re- must respond in writing to the recipi-
quire? ent’s submission within 30 days of re-
ceipt, either agreeing with the submis-
A recipient must negotiate with the
sion or providing initial comments for
appropriate EPA award official or his/
further negotiation. Failure to respond
her designee, fair share objectives for
within this time frame may be consid-
MBE and WBE participation in pro-
ered as agreement by EPA with the fair
curement under the financial assist-
share objectives submitted by the re-
ance agreements.
cipient. MBE and WBE fair share objec-
§ 33.402 Are there special rules for tives must be agreed upon by the re-
loans under EPA financial assist- cipient and EPA before funds may be
ance agreements? expended for procurement under the re-
cipient’s financial assistance agree-
A recipient of an EPA financial as- ment.
sistance agreement to capitalize re-
volving loan funds must either apply § 33.405 How does a recipient deter-
its own fair share objectives negotiated mine its fair share objectives?
with EPA under § 33.401 to identified (a) A recipient must determine its
loans using a substantially similar rel- fair share objectives based on demon-
evant geographic market, or negotiate strable evidence of the number of cer-
separate fair share objectives with en- tified MBEs and WBEs that are ready,
tities receiving identified loans, as willing, and able to perform in the rel-
long as such separate objectives are evant geographic market for each of
based on demonstrable evidence of the four procurement categories
availability of MBEs and WBEs in ac- (equipment, construction, services, and
cordance with this subpart. If procure- supplies). The relevant geographic
ments will occur over more than one market is the area of solicitation for
year, the recipient may choose to apply the procurement as determined by the
the fair share objective in place either recipient. The market may be a geo-
for the year in which the identified graphic region of a State, an entire
loan is awarded or for the year in State, or a multi-State area. Fair share
which the procurement action occurs. objectives must reflect the recipient’s
The recipient must specify this choice determination of the level of MBE and
in the financial assistance agreement, WBE participation it would expect ab-
or incorporate it by reference therein. sent the effects of discrimination. A re-
cipient may combine the four procure-
§ 33.403 What is a fair share objective?
ment categories into one weighted ob-
A fair share objective is an objective jective for MBEs and one weighted ob-
based on the capacity and availability jective for WBEs.
of qualified, certified MBEs and WBEs (b) Step 1. A recipient must first de-
in the relevant geographic market for termine a base figure for the relative
the procurement categories of con- availability of MBEs and WBEs. The
struction, equipment, services and sup- following are examples of approaches
plies compared to the number of all that a recipient may take. Any per-
qualified entities in the same market centage figure derived from one of
for the same procurement categories, these examples should be considered a
adjusted, as appropriate, to reflect the basis from which a recipient begins
level of MBE and WBE participation when examining evidence available in
expected absent the effects of discrimi- its jurisdiction.

nation. A fair share objective is not a (1) MBE and WBE Directories and Cen-
quota. sus Bureau Data. Separately determine
364
the number of certified MBEs and (ii) Evidence from disparity studies
WBEs that are ready, willing, and able conducted anywhere within the recipi-
to perform in the relevant geographic ent’s jurisdiction, to the extent it is
market for each procurement category not already accounted for in the base
from a MBE/WBE directory, such as a figure; and
bidder’s list. Using the Census Bureau’s (iii) If the base figure is the objective
County Business Pattern (CBP) data- of another EPA recipient, it must be
base, determine the number of all adjusted for differences in the local
qualified businesses available in the market and the recipient’s contracting
market that perform work in the same program.
procurement category. Separately di- (2) A recipient may also consider
vide the number of MBEs and WBEs by available evidence from related fields
the number of all businesses to derive a that affect the opportunities for MBEs
base figure for the relative availability and WBEs to form, grow and compete.
of MBEs and WBEs in the market. These include, but are not limited to:
(2) Data from a Disparity Study. Use a (i) Statistical disparities in the abil-
percentage figure derived from data in ity of MBEs and WBEs to get the fi-
a valid, applicable disparity study con- nancing, bonding and insurance re-
ducted within the preceding ten years quired to participate; and
comparing the available MBEs and
(ii) Data on employment, self-em-
WBEs in the relevant geographic mar-
ployment, education, training and
ket with their actual usage by entities
union apprenticeship programs, to the
procuring in the categories of construc-
extent it can be related to the opportu-
tion, equipment, services, and supplies.
(3) The Objective of Another EPA Re- nities for MBEs and WBEs to perform
cipient. A recipient may use, as its base in the program.
figure, the fair share objectives of an- (3) If a recipient attempts to make an
other EPA recipient if the recipient adjustment to its base figure to ac-
demonstrates that it will use the same, count for the continuing effects of past
or substantially similar, relevant geo- discrimination (often called the ‘‘but
graphic market as the other EPA re- for’’ factor) or the effects of another
cipient. (See § 33.411 for exemptions ongoing MBE/WBE program, the ad-
from fair share objective negotiations). justment must be based on demon-
(4) Alternative Methods. Subject to strable evidence that is logically and
EPA approval, other methods may be directly related to the effect for which
used to determine a base figure for the the adjustment is sought.
overall objective. Any methodology
chosen must be based on demonstrable § 33.406 May a recipient designate a
lead agency for fair share objective
evidence of local market conditions negotiation purposes?
and be designed to ultimately attain an
objective that is rationally related to If an Indian Tribal, State or local
the relative availability of MBEs and Government has more than one agency
WBEs in the relevant geographic mar- that receives EPA financial assistance,
ket. the agencies within that Government
(c) Step 2. After calculating a base may designate a lead agency to nego-
figure, a recipient must examine the tiate MBE and WBE fair share objec-
evidence available in its jurisdiction to tives with EPA to be used by each of
determine what adjustment, if any, is the agencies. Each agency must other-
needed to the base figure in order to ar- wise negotiate with EPA separately its
rive at the fair share objective. own MBE and WBE fair share objec-
(1) There are many types of evidence tives.
that must be considered when adjust-
ing the base figure. These include: § 33.407 How long do MBE and WBE
(i) The current capacity of MBEs and fair share objectives remain in ef-
WBEs to perform contract work under fect?
EPA financial assistance agreements, Once MBE and WBE fair share objec-
as measured by the volume of work tives have been negotiated, they will
MBEs and WBEs have performed in re- remain in effect for three fiscal years
cent years; unless there are significant changes to
365
§ 33.408 40 CFR Ch. I (7–1–21 Edition)
the data supporting the fair share ob- to apply the fair share objective re-
jectives. The fact that a disparity quirements of this subpart. This ex-
study utilized in negotiating fair share emption is limited to the fair share ob-
objectives has become more than ten jective requirements of this subpart.
years old during the three-year period (b) Clean Water State Revolving Fund
does not by itself constitute a signifi- (CWSRF) Program, Drinking Water State
cant change requiring renegotiation. Revolving Fund (DWSRF) Program, and
Brownfields Cleanup Revolving Loan
§ 33.408 May a recipient use race and/
or gender conscious measures as Fund (BCRLF) Program Identified Loan
part of this program? Recipients. A recipient under the
CWSRF, DWSRF, or BCRLF Program
(a) Should the good faith efforts de-
is not required to apply the fair share
scribed in subpart C of this part or
objective requirements of this subpart
other race and/or gender neutral meas-
to an entity receiving an identified
ures prove to be inadequate to achieve
an established fair share objective, loan in an amount of $250,000 or less or
race and/or gender conscious action to an entity receiving more than one
(e.g., apply the subcontracting sugges- identified loan with a combined total
tion in § 33.301(c) to MBEs and WBEs) is of $250,000 or less in any one fiscal year.
available to a recipient and its prime This exemption is limited to the fair
contractor to more closely achieve the share objective requirements of this
fair share objectives, subject to § 33.409. subpart.
Under no circumstances are race and/or (c) Tribal and Intertribal Consortia re-
gender conscious actions required by cipients of program grants which can be
EPA. included in Performance Partnership
(b) Any use of race and/or gender con- Grants (PPGs) under 40 CFR Part 35,
scious efforts must not result in the se- Subpart B. Tribal and Intertribal con-
lection of an unqualified MBE or WBE. sortia recipients of PPG eligible grants
are not required to apply the fair share
§ 33.409 May a recipient use quotas as objective requirements of this subpart
part of this program? to those grants. This exemption is lim-
A recipient is not permitted to use ited to the fair share objective require-
quotas in procurements under EPA’s ments of this subpart.
8% or 10% statute. (d) Technical Assistance Grant (TAG)
Program Recipients. A recipient of a
§ 33.410 Can a recipient be penalized
for failing to meet its fair share ob- TAG is not required to apply the fair
jectives? share objective requirements of this
subpart to that grant. This exemption
A recipient cannot be penalized, or
is limited to the fair share objective re-
treated by EPA as being in noncompli-
quirements of this subpart.
ance with this subpart, solely because
its MBE or WBE participation does not § 33.412 Must an Insular Area or In-
meet its applicable fair share objective. dian Tribal Government recipient
However, EPA may take remedial ac- negotiate fair share objectives?
tion under § 33.105 for a recipient’s fail-
ure to comply with other provisions of The requirements in this subpart re-
this part, including, but not limited to, garding the negotiation of fair share
the good faith efforts requirements de- objectives will not apply to an Insular
scribed in subpart C of this part. Area or Indian Tribal Government re-
cipient until three calendar years after
§ 33.411 Who may be exempted from the effective date of this part. Further-
this subpart? more, in accordance with § 33.411(c),
(a) General. A recipient of an EPA fi- tribal and intertribal consortia recipi-
nancial assistance agreement in the ents of program grants which can be
amount of $250,000 or less for any single included in Performance Partnership
assistance agreement, or of more than Grants (PPGs) under 40 CFR part 35,
one financial assistance agreement subpart B are not required to apply the
with a combined total of $250,000 or less fair share objective requirements of
in any one fiscal year, is not required this subpart to such grants.
366
Subpart E—Recordkeeping and (4) Entity’s status as an MBE/WBE or

Reporting non-MBE/WBE.
(c) Exemptions. A recipient of an EPA
§ 33.501 What are the recordkeeping financial assistance agreement in the
requirements of this part? amount of $250,000 or less for any single
(a) A recipient, including those re- assistance agreement, or of more than
cipients exempted under § 33.411 from one financial assistance agreement
the requirement to apply the fair share with a combined total of $250,000 or less
objectives, must maintain all records in any one fiscal year, is exempt from
documenting its compliance with the the paragraph (b) of this section re-
requirements of this part, including quirement to create and maintain a
documentation of its, and its prime bidders list. Also, a recipient under the
contractors’, good faith efforts and CWSRF, DWSRF, or BCRLF Program
data relied upon in formulating its fair is not required to apply the paragraph
share objectives. Such records must be (b) of this section bidders list require-
retained in accordance with applicable ment of this subpart to an entity re-
record retention requirements for the ceiving an identified loan in an amount
recipient’s financial assistance agree- of $250,000 or less, or to an entity re-
ment. ceiving more than one identified loan
(b) A recipient of a Continuing Envi- with a combined total of $250,000 or less
ronmental Program Grant or other an- in any one fiscal year. This exemption
nual grant must create and maintain a is limited to the paragraph (b) of this
bidders list. In addition, a recipient of section bidders list requirements of
an EPA financial assistance agreement this subpart.
to capitalize a revolving loan fund also
must require entities receiving identi- § 33.502 What are the reporting re-
fied loans to create and maintain a bid- quirements of this part?
ders list if the recipient of the loan is
subject to, or chooses to follow, com- MBE and WBE participation must be
petitive bidding requirements. (See reported by all recipients, including
e.g., § 33.303). The purpose of a bidders those recipients exempted under § 33.411
list is to provide the recipient and enti- from the requirement to apply the fair
ties receiving identified loans who con- share objectives, on EPA Form 5700–
duct competitive bidding with as accu- 52A. Recipients of Continuing Environ-
rate a database as possible about the mental Program Grants under 40 CFR
universe of MBE/WBE and non-MBE/ part 35, subpart A, recipients of Per-
WBE prime and subcontractors. The formance Partnership Grants (PPGs)
list must include all firms that bid or under 40 CFR part 35, subpart B; Gen-
quote on prime contracts, or bid or eral Assistance Program (GAP) grants
quote subcontracts on EPA assisted for tribal governments and intertribal
projects, including both MBE/WBEs consortia; and institutions of higher
and non-MBE/WBEs. The bidders list education, hospitals and other non-
must only be kept until the grant profit organizations receiving financial
project period has expired and the re- assistance agreements, will report on
cipient is no longer receiving EPA MBE and WBE participation on an an-
funding under the grant. For entities nual basis. All other financial assist-
receiving identified loans, the bidders ance agreement recipients, including
list must only be kept until the project recipients of financial assistance agree-
period for the identified loan has ments capitalizing revolving loan
ended. The following information must
funds, will report on MBE and WBE
be obtained from all prime and sub-
participation semiannually. Recipients
contractors:
of financial assistance agreements that
(1) Entity’s name with point of con-
capitalize revolving loan programs
tact;
must require entities receiving identi-
(2) Entity’s mailing address, tele-
fied loans to submit their MBE and
phone number, and e-mail address;

WBE participation reports on a semi-
(3) The procurement on which the en-
annual basis to the financial assistance
tity bid or quoted, and when; and
367
§ 33.503 40 CFR Ch. I (7–1–21 Edition)
agreement recipient, rather than to broker, and no MBE or WBE participa-

EPA. tion may be reported.
(2) Rebuttal. The MBE or WBE prime
FR 76054, Dec. 19, 2014] contractor may rebut this presumption
by demonstrating that its actions are
§ 33.503 How does a recipient calculate consistent with normal practices for
MBE and WBE participation for re- prime contractors in its business and
porting purposes? that it will actively perform, manage
(a) General. Only certified MBEs and and supervise the work under the con-
WBEs are to be counted towards MBE/ tract.
WBE participation. Amounts of MBE (f) MBE or WBE Truckers/Haulers. A
and WBE participation are calculated recipient may count expenditures to an
as a percentage of total financial as- MBE or WBE trucker/hauler only if the
sistance agreement project procure- MBE or WBE trucker/hauler is per-
ment costs, which include the match forming a commercially useful func-
portion of the project costs, if any. For tion. The following factors should be
recipients of financial assistance agree- used in determining whether an MBE
ments that capitalize revolving loan or WBE trucker/hauler is performing a
programs, the total amount is the total commercially useful function:
procurement dollars in the amount of (1) The MBE or WBE must be respon-
identified loans equal to the capitaliza-
sible for the management and super-
tion grant amount.
vision of the entire trucking/hauling
(b) Ineligible project costs. If all project
operation for which it is responsible on
costs attributable to MBE and WBE
a particular contract, and there cannot
participation are not eligible for fund-
ing under the EPA financial assistance be a contrived arrangement for the
agreement, the recipient may choose to purpose of meeting MBE or WBE objec-
report the percentage of MBE and WBE tives.
participation based on the total eligi- (2) The MBE or WBE must itself own
ble and non-eligible costs of the and operate at least one fully licensed,
project. insured, and operational truck used on
(c) Joint ventures. For joint ventures, the contract.
MBE and WBE participation consists of
the portion of the dollar amount of the
joint venture attributable to the MBE
or WBE. If an MBE’s or WBE’s risk of APPENDIX A TO PART 33—TERM AND
loss, control or management respon- CONDITION
sibilities is not commensurate with its
share of the profit, the Agency may di- Each procurement contract signed by an
EPA financial assistance agreement recipi-
rect an adjustment in the percentage of
ent, including those for an identified loan
MBE or WBE participation. under an EPA financial assistance agree-
(d) Central Purchasing or Procurement ment capitalizing a revolving loan fund,
Centers. A recipient must report MBE must include the following term and condi-
and WBE participation from its central tion:
purchasing or procurement centers. The contractor shall not discriminate on
(e) Brokers. A recipient may not the basis of race, color, national origin or
count expenditures to a MBE or WBE sex in the performance of this contract. The
that acts merely as a broker or passive contractor shall carry out applicable re-
conduit of funds, without performing, quirements of 40 CFR part 33 in the award
managing, or supervising the work of and administration of contracts awarded
its contract or subcontract in a man- under EPA financial assistance agreements.
Failure by the contractor to carry out these
ner consistent with normal business
requirements is a material breach of this
practices. contract which may result in the termi-
(1) Presumption. If 50% or more of the nation of this contract or other legally avail-
total dollar amount of a MBE or WBE’s able remedies.
prime contract is subcontracted to a

non-DBE, the MBE or WBE prime con-
tractor will be presumed to be a
368
PART 34—NEW RESTRICTIONS ON any of the following covered Federal

LOBBYING actions: the awarding of any Federal
contract, the making of any Federal
Subpart A—General grant, the making of any Federal loan,
the entering into of any cooperative
Sec. agreement, and the extension, continu-
34.100 Conditions on use of funds. ation, renewal, amendment, or modi-
34.105 Definitions. fication of any Federal contract, grant,
34.110 Certification and disclosure. loan, or cooperative agreement.
Subpart B—Activities by Own Employees (b) Each person who requests or re-
ceives from an agency a Federal con-
34.200 Agency and legislative liaison. tract, grant, loan, or cooperative
34.205 Professional and technical services. agreement shall file with that agency a
34.210 Reporting. certification, set forth in appendix A,
that the person has not made, and will
Subpart C—Activities by Other Than Own not make, any payment prohibited by
Employees paragraph (a) of this section.
34.300 Professional and technical services. (c) Each person who requests or re-
ceives from an agency a Federal con-
Subpart D—Penalties and Enforcement tract, grant, loan, or a cooperative
agreement shall file with that agency a
34.400 Penalties.
34.405 Penalty procedures. disclosure form, set forth in appendix
34.410 Enforcement. B, if such person has made or has
agreed to make any payment using
Subpart E—Exemptions nonappropriated funds (to include prof-
its from any covered Federal action),
34.500 Secretary of Defense.
which would be prohibited under para-
Subpart F—Agency Reports graph (a) of this section if paid for with
appropriated funds.
34.600 Semi-annual compilation. (d) Each person who requests or re-
34.605 Inspector General report. ceives from an agency a commitment
APPENDIX A TO PART 34—CERTIFICATION RE- providing for the United States to in-
GARDING LOBBYING sure or guarantee a loan shall file with
APPENDIX B TO PART 34—DISCLOSURE FORM that agency a statement, set forth in
TO REPORT LOBBYING appendix A, whether that person has
AUTHORITY: Section 319; Pub. L. 101–121 (31 made or has agreed to make any pay-
U.S.C. 1352); 33 U.S.C. 1251 et seq.; 42 U.S.C. ment to influence or attempt to influ-
7401 et seq.; 42 U.S.C. 6901 et seq.; 42 U.S.C. 300f ence an officer or employee of any
et seq.; 7 U.S.C. 136 et seq.; 15 U.S.C. 2601 et agency, a Member of Congress, an offi-
seq.; 42 U.S.C. 9601 et seq.; 20 U.S.C. 4011 et
seq.; 33 U.S.C. 1401 et seq.
cer or employee of Congress, or an em-
ployee of a Member of Congress in con-
SOURCE: 55 FR 6737, 6753, Feb. 26, 1990, un- nection with that loan insurance or
less otherwise noted. guarantee.
CROSS REFERENCE: See also Office of Man- (e) Each person who requests or re-
agement and Budget notice published at 54 ceives from an agency a commitment
FR 52306, December 20, 1989. providing for the United States to in-
sure or guarantee a loan shall file with
Subpart A—General that agency a disclosure form, set forth
in appendix B, if that person has made
§ 34.100 Conditions on use of funds. or has agreed to make any payment to
(a) No appropriated funds may be ex- influence or attempt to influence an of-
pended by the recipient of a Federal ficer or employee of any agency, a
contract, grant, loan, or cooperative Member of Congress, an officer or em-
agreement to pay any person for influ- ployee of Congress, or an employee of a
encing or attempting to influence an Member of Congress in connection with
officer or employee of any agency, a that loan insurance or guarantee.
Member of Congress, an officer or em-

ployee of Congress, or an employee of a § 34.105 Definitions.
Member of Congress in connection with For purposes of this part:
369
§ 34.105 40 CFR Ch. I (7–1–21 Edition)
(a) Agency, as defined in 5 U.S.C. (h) Influencing or attempting to influ-

552(f), includes Federal executive de- ence means making, with the intent to
partments and agencies as well as inde- influence, any communication to or ap-
pendent regulatory commissions and pearance before an officer or employee
Government corporations, as defined in or any agency, a Member of Congress,
31 U.S.C. 9101(1). an officer or employee of Congress, or
(b) Covered Federal action means any an employee of a Member of Congress
of the following Federal actions: in connection with any covered Federal
(1) The awarding of any Federal con- action.
tract; (i) Loan guarantee and loan insurance
(2) The making of any Federal grant; means an agency’s guarantee or insur-
(3) The making of any Federal loan; ance of a loan made by a person.
(4) The entering into of any coopera- (j) Local government means a unit of
tive agreement; and, government in a State and, if char-
(5) The extension, continuation, re- tered, established, or otherwise recog-
newal, amendment, or modification of nized by a State for the performance of
any Federal contract, grant, loan, or a governmental duty, including a local
cooperative agreement. public authority, a special district, an
Covered Federal action does not in- intrastate district, a council of govern-
clude receiving from an agency a comments, a sponsor group representative
mitment providing for the United organization, and any other instrumen-
States to insure or guarantee a loan. tality of a local government.
Loan guarantees and loan insurance (k) Officer or employee of an agency in-
are addressed independently within
cludes the following individuals who
this part.
are employed by an agency:
(c) Federal contract means an acquisi-
(1) An individual who is appointed to
tion contract awarded by an agency,
including those subject to the Federal a position in the Government under
Acquisition Regulation (FAR), and any title 5, U.S. Code, including a position
other acquisition contract for real or under a temporary appointment;
personal property or services not sub- (2) A member of the uniformed serv-
ject to the FAR. ices as defined in section 101(3), title 37,
(d) Federal cooperative agreement U.S. Code;
means a cooperative agreement en- (3) A special Government employee
tered into by an agency. as defined in section 202, title 18, U.S.
(e) Federal grant means an award of Code; and,
financial assistance in the form of (4) An individual who is a member of
money, or property in lieu of money, a Federal advisory committee, as de-
by the Federal Government or a direct fined by the Federal Advisory Com-
appropriation made by law to any per- mittee Act, title 5, U.S. Code appendix
son. The term does not include tech- 2.
nical assistance which provides serv- (l) Person means an individual, cor-
ices instead of money, or other assist- poration, company, association, au-
ance in the form of revenue sharing, thority, firm, partnership, society,
loans, loan guarantees, loan insurance, State, and local government, regard-
interest subsidies, insurance, or direct less of whether such entity is operated
United States cash assistance to an in-
for profit or not for profit. This term
dividual.
excludes an Indian tribe, tribal organi-
(f) Federal loan means a loan made by
zation, or any other Indian organiza-
an agency. The term does not include
tion with respect to expenditures spe-
loan guarantee or loan insurance.
cifically permitted by other Federal
(g) Indian tribe and tribal organization
have the meaning provided in section 4 law.
of the Indian Self-Determination and (m) Reasonable compensation means,
Education Assistance Act (25 U.S.C. with respect to a regularly employed
450B). Alaskan Natives are included officer or employee of any person, com-
under the definitions of Indian tribes in pensation that is consistent with the
that Act. normal compensation for such officer
370
or employee for work that is not fur- (1) Award of a Federal contract,
nished to, not funded by, or not fur- grant, or cooperative agreement ex-
nished in cooperation with the Federal ceeding $100,000; or
Government. (2) An award of a Federal loan or a
(n) Reasonable payment means, with commitment providing for the United
respect to professional and other tech- States to insure or guarantee a loan
nical services, a payment in an amount exceeding $150,000.
that is consistent with the amount nor- (b) Each person shall file a certifi-
mally paid for such services in the pri- cation, and a disclosure form, if re-
vate sector. quired, upon receipt by such person of:
(o) Recipient includes all contractors, (1) A Federal contract, grant, or co-
subcontractors at any tier, and sub- operative agreement exceeding $100,000;
grantees at any tier of the recipient of or
funds received in connection with a (2) A Federal loan or a commitment
Federal contract, grant, loan, or coop- providing for the United States to in-
erative agreement. The term excludes sure or guarantee a loan exceeding
an Indian tribe, tribal organization, or $150,000,
any other Indian organization with re-
Unless such person previously filed a
spect to expenditures specifically per-
certification, and a disclosure form, if
mitted by other Federal law.
(p) Regularly employed means, with required, under paragraph (a) of this
respect to an officer or employee of a section.
person requesting or receiving a Fed- (c) Each person shall file a disclosure
eral contract, grant, loan, or coopera- form at the end of each calendar quar-
tive agreement or a commitment pro- ter in which there occurs any event
viding for the United States to insure that requires disclosure or that materi-
or guarantee a loan, an officer or em- ally affects the accuracy of the infor-
ployee who is employed by such person mation contained in any disclosure
for at least 130 working days within form previously filed by such person
one year immediately preceding the under paragraphs (a) or (b) of this sec-
date of the submission that initiates tion. An event that materially affects
agency consideration of such person for the accuracy of the information re-
receipt of such contract, grant, loan, ported includes:
cooperative agreement, loan insurance (1) A cumulative increase of $25,000 or
commitment, or loan guarantee com- more in the amount paid or expected to
mitment. An officer or employee who is be paid for influencing or attempting
employed by such person for less than to influence a covered Federal action;
130 working days within one year im- or
mediately preceding the date of the (2) A change in the person(s) or indi-
submission that initiates agency con- vidual(s) influencing or attempting to
sideration of such person shall be con- influence a covered Federal action; or,
sidered to be regularly employed as (3) A change in the officer(s), em-
soon as he or she is employed by such ployee(s), or Member(s) contacted to
person for 130 working days. influence or attempt to influence a
(q) State means a State of the United covered Federal action.
States, the District of Columbia, the (d) Any person who requests or re-
Commonwealth of Puerto Rico, a terri- ceives from a person referred to in
tory or possession of the United States, paragraphs (a) or (b) of this section:
an agency or instrumentality of a (1) A subcontract exceeding $100,000
State, and a multi-State, regional, or at any tier under a Federal contract;
interstate entity having governmental (2) A subgrant, contract, or sub-
duties and powers. contract exceeding $100,000 at any tier
under a Federal grant;
§ 34.110 Certification and disclosure. (3) A contract or subcontract exceed-
(a) Each person shall file a certifi- ing $100,000 at any tier under a Federal
cation, and a disclosure form, if re- loan exceeding $150,000; or,
quired, with each submission that ini- (4) A contract or subcontract exceed-
tiates agency consideration of such ing $100,000 at any tier under a Federal
person for: cooperative agreement,
371
§ 34.200 40 CFR Ch. I (7–1–21 Edition)
Shall file a certification, and a disclo- lative liaison activities not directly re-
sure form, if required, to the next tier lated to a covered Federal action.
above. (b) For purposes of paragraph (a) of
(e) All disclosure forms, but not cer- this section, providing any information
tifications, shall be forwarded from specifically requested by an agency or
tier to tier until received by the person Congress is allowable at any time.
referred to in paragraphs (a) or (b) of (c) For purposes of paragraph (a) of
this section. That person shall forward this section, the following agency and
all disclosure forms to the agency.
legislative liaison activities are allow-
(f) Any certification or disclosure
able at any time only where they are
form filed under paragraph (e) of this
not related to a specific solicitation for
section shall be treated as a material
representation of fact upon which all any covered Federal action:
receiving tiers shall rely. All liability (1) Discussing with an agency (in-
arising from an erroneous representa- cluding individual demonstrations) the
tion shall be borne solely by the tier qualities and characteristics of the per-
filing that representation and shall not son’s products or services, conditions
be shared by any tier to which the er- or terms of sale, and service capabili-
roneous representation is forwarded. ties; and,
Submitting an erroneous certification (2) Technical discussions and other
or disclosure constitutes a failure to activities regarding the application or
file the required certification or disclo- adaptation of the person’s products or
sure, respectively. If a person fails to services for an agency’s use.
file a required certification or disclo- (d) For purposes of paragraph (a) of
sure, the United States may pursue all this section, the following agencies and
available remedies, including those au- legislative liaison activities are allow-
thorized by section 1352, title 31, U.S. able only where they are prior to for-
Code. mal solicitation of any covered Federal
(g) For awards and commitments in action:
process prior to December 23, 1989, but (1) Providing any information not
not made before that date, certifi- specifically requested but necessary for
cations shall be required at award or
an agency to make an informed deci-
commitment, covering activities oc-
sion about initiation of a covered Fed-
curring between December 23, 1989, and
eral action;
the date of award or commitment.
However, for awards and commitments (2) Technical discussions regarding
in process prior to the December 23, the preparation of an unsolicited pro-
1989 effective date of these provisions, posal prior to its official submission;
but not made before December 23, 1989, and,
disclosure forms shall not be required (3) Capability presentations by per-
at time of award or commitment but sons seeking awards from an agency
shall be filed within 30 days. pursuant to the provisions of the Small
(h) No reporting is required for an ac- Business Act, as amended by Public
tivity paid for with appropriated funds Law 95–507 and other subsequent
if that activity is allowable under ei- amendments.
ther subpart B or C. (e) Only those activities expressly au-
thorized by this section are allowable
Subpart B—Activities by Own under this section.
Employees
§ 34.205 Professional and technical
§ 34.200 Agency and legislative liaison. services.
(a) The prohibition on the use of ap- (a) The prohibition on the use of ap-
propriated funds, in § 34.100 (a), does propriated funds, in § 34.100 (a), does
not apply in the case of a payment of not apply in the case of a payment of
reasonable compensation made to an reasonable compensation made to an
officer or employee of a person request- officer or employee of a person request-
ing or receiving a Federal contract, ing or receiving a Federal contract,

grant, loan, or cooperative agreement grant, loan, or cooperative agreement
if the payment is for agency and legis- or an extension, continuation, renewal,
372
amendment, or modification of a Fed- ing a covered Federal award include

eral contract, grant, loan, or coopera- those required by law or regulation, or
tive agreement if payment is for pro- reasonably expected to be required by
fessional or technical services rendered law or regulation, and any other re-
directly in the preparation, submis- quirements in the actual award docu-
sion, or negotiation of any bid, pro- ments.
posal, or application for that Federal (d) Only those services expressly au-
contract, grant, loan, or cooperative thorized by this section are allowable
agreement or for meeting requirements under this section.
imposed by or pursuant to law as a
condition for receiving that Federal § 34.210 Reporting.
contract, grant, loan, or cooperative No reporting is required with respect
agreement. to payments of reasonable compensa-
(b) For purposes of paragraph (a) of tion made to regularly employed offi-
this section, ‘‘professional and tech- cers or employees of a person.
nical services’’ shall be limited to ad-
vice and analysis directly applying any
professional or technical discipline. Subpart C—Activities by Other
For example, drafting of a legal docu- Than Own Employees
ment accompanying a bid or proposal
by a lawyer is allowable. Similarly, § 34.300 Professional and technical
services.
technical advice provided by an engi-
neer on the performance or operational (a) The prohibition on the use of ap-
capability of a piece of equipment ren- propriated funds, in § 34.100 (a), does
dered directly in the negotiation of a not apply in the case of any reasonable
contract is allowable. However, com- payment to a person, other than an of-
munications with the intent to influ- ficer or employee of a person request-
ence made by a professional (such as a ing or receiving a covered Federal ac-
licensed lawyer) or a technical person tion, if the payment is for professional
(such as a licensed accountant) are not or technical services rendered directly
allowable under this section unless in the preparation, submission, or ne-
they provide advice and analysis di- gotiation of any bid, proposal, or appli-
rectly applying their professional or cation for that Federal contract, grant,
technical expertise and unless the ad- loan, or cooperative agreement or for
vice or analysis is rendered directly meeting requirements imposed by or
and solely in the preparation, submis- pursuant to law as a condition for re-
sion or negotiation of a covered Fed- ceiving that Federal contract, grant,
eral action. Thus, for example, commu- loan, or cooperative agreement.
nications with the intent to influence (b) The reporting requirements in
made by a lawyer that do not provide § 34.110 (a) and (b) regarding filing a dis-
legal advice or analysis directly and closure form by each person, if re-
solely related to the legal aspects of quired, shall not apply with respect to
his or her client’s proposal, but gen- professional or technical services ren-
erally advocate one proposal over an- dered directly in the preparation, sub-
other are not allowable under this sec- mission, or negotiation of any commit-
tion because the lawyer is not pro- ment providing for the United States
viding professional legal services. to insure or guarantee a loan.
Similarly, communications with the (c) For purposes of paragraph (a) of
intent to influence made by an engi- this section, ‘‘professional and tech-
neer providing an engineering analysis nical services’’ shall be limited to ad-
prior to the preparation or submission vice and analysis directly applying any
of a bid or proposal are not allowable professional or technical discipline.
under this section since the engineer is For example, drafting or a legal docu-
providing technical services but not di- ment accompanying a bid or proposal
rectly in the preparation, submission by a lawyer is allowable. Similarly,
or negotiation of a covered Federal ac- technical advice provided by an engi-
tion. neer on the performance or operational

(c) Requirements imposed by or pur- capability of a piece of equipment ren-
suant to law as a condition for receiv- dered directly in the negotiation of a
373
§ 34.400 40 CFR Ch. I (7–1–21 Edition)
contract is allowable. However, com- (b) Any person who fails to file or
munications with the intent to influ- amend the disclosure form (see appen-
ence made by a professional (such as a dix B) to be filed or amended if re-
licensed lawyer) or a technical person quired herein, shall be subject to a civil
(such as a licensed accountant) are not penalty of not less than $10,000 and not
allowable under this section unless more than $100,000 for each such fail-
they provide advice and analysis di- ure.
rectly applying their professional or (c) A filing or amended filing on or
technical expertise and unless the ad- after the date on which an administra-
vice or analysis is rendered directly tive action for the imposition of a civil
and solely in the preparation, submis- penalty is commenced does not prevent
sion or negotiation of a covered Fed- the imposition of such civil penalty for
eral action. Thus, for example, commu- a failure occurring before that date. An
nications with the intent to influence administrative action is commenced
made by a lawyer that do not provide with respect to a failure when an inves-
legal advice or analysis directly and tigating official determines in writing
solely related to the legal aspects of to commence an investigation of an al-
his or her client’s proposal, but gen- legation of such failure.
erally advocate one proposal over an- (d) In determining whether to impose
other are not allowable under this sec- a civil penalty, and the amount of any
tion because the lawyer is not pro- such penalty, by reason of a violation
viding professional legal services. by any person, the agency shall con-
Similarly, communications with the sider the nature, circumstances, ex-
intent to influence made by an engi- tent, and gravity of the violation, the
neer providing an engineering analysis effect on the ability of such person to
prior to the preparation or submission continue in business, any prior viola-
of a bid or proposal are not allowable tions by such person, the degree of cul-
under this section since the engineer is pability of such person, the ability of
providing technical services but not di- the person to pay the penalty, and such
rectly in the preparation, submission other matters as may be appropriate.
or negotiation of a covered Federal ac- (e) First offenders under paragraphs
tion. (a) or (b) of this section shall be subject
(d) Requirements imposed by or pur- to a civil penalty of $10,000, absent ag-
suant to law as a condition for receiv- gravating circumstances. Second and
ing a covered Federal award include subsequent offenses by persons shall be
those required by law or regulation, or subject to an appropriate civil penalty
reasonably expected to be required by between $10,000 and $100,000, as deter-
law or regulation, and any other re- mined by the agency head or his or her
quirements in the actual award docu- designee.
ments. (f) An imposition of a civil penalty
(e) Persons other than officers or em- under this section does not prevent the
ployees of a person requesting or re- United States from seeking any other
ceiving a covered Federal action in- remedy that may apply to the same
clude consultants and trade associa- conduct that is the basis for the impo-
tions. sition of such civil penalty.
(f) Only those services expressly au- § 34.405 Penalty procedures.
thorized by this section are allowable
under this section. Agencies shall impose and collect
civil penalties pursuant to the provi-
sions of the Program Fraud and Civil
Subpart D—Penalties and Remedies Act, 31 U.S.C. 3803 (except
Enforcement subsection (c)), 3804, 3805, 3806, 3807,
3808, and 3812, insofar as these provi-
§ 34.400 Penalties. sions are not inconsistent with the re-
(a) Any person who makes an expend- quirements herein.
iture prohibited herein shall be subject
to a civil penalty of not less than § 34.410 Enforcement.

$10,000 and not more than $100,000 for The head of each agency shall take
each such expenditure. such actions as are necessary to ensure
374
that the provisions herein are vigor- Services of the Senate and the House of
ously implemented and enforced in Representatives (whichever such com-
that agency. mittees have jurisdiction of matters
involving such information) and to the
Subpart E—Exemptions Committees on Appropriations of the
Senate and the House of Representa-
§ 34.500 Secretary of Defense. tives in accordance with procedures
(a) The Secretary of Defense may ex- agreed to by such committees. Such in-
empt, on a case-by-case basis, a cov- formation shall not be available for
ered Federal action from the prohibi- public inspection.
tion whenever the Secretary deter- (e) The first semi-annual compilation
mines, in writing, that such an exemp- shall be submitted on May 31, 1990, and
tion is in the national interest. The shall contain a compilation of the dis-
Secretary shall transmit a copy of each closure reports received from Decem-
such written exemption to Congress ber 23, 1989 to March 31, 1990.
immediately after making such a de- (f) Major agencies, designated by the
termination. Office of Management and Budget
(b) The Department of Defense may (OMB), are required to provide ma-
issue supplemental regulations to im- chine-readable compilations to the
plement paragraph (a) of this section. Secretary of the Senate and the Clerk
of the House of Representatives no
Subpart F—Agency Reports later than with the compilations due
on May 31, 1991. OMB shall provide de-
§ 34.600 Semi-annual compilation. tailed specifications in a memorandum
(a) The head of each agency shall col- to these agencies.
lect and compile the disclosure reports (g) Non-major agencies are requested
(see appendix B) and, on May 31 and to provide machine-readable compila-
November 30 of each year, submit to tions to the Secretary of the Senate
the Secretary of the Senate and the and the Clerk of the House of Rep-
Clerk of the House of Representatives a resentatives.
report containing a compilation of the (h) Agencies shall keep the originals
information contained in the disclo- of all disclosure reports in the official
sure reports received during the six- files of the agency.
month period ending on March 31 or § 34.605 Inspector General report.
September 30, respectively, of that
year. (a) The Inspector General, or other
(b) The report, including the com- official as specified in paragraph (b) of
pilation, shall be available for public this section, of each agency shall pre-
inspection 30 days after receipt of the pare and submit to Congress each year,
report by the Secretary and the Clerk. commencing with submission of the
(c) Information that involves intel- President’s Budget in 1991, an evalua-
ligence matters shall be reported only tion of the compliance of that agency
to the Select Committee on Intel- with, and the effectiveness of, the re-
ligence of the Senate, the Permanent quirements herein. The evaluation may
Select Committee on Intelligence of include any recommended changes that
the House of Representatives, and the may be necessary to strengthen or im-
Committees on Appropriations of the prove the requirements.
Senate and the House of Representa- (b) In the case of an agency that does
tives in accordance with procedures not have an Inspector General, the
agreed to by such committees. Such in- agency official comparable to an In-
formation shall not be available for spector General shall prepare and sub-
public inspection. mit the annual report, or, if there is no
(d) Information that is classified such comparable official, the head of
under Executive Order 12356 or any suc- the agency shall prepare and submit
cessor order shall be reported only to the annual report.
the Committee on Foreign Relations of (c) The annual report shall be sub-
the Senate and the Committee on For- mitted at the same time the agency
eign Affairs of the House of Represent- submits its annual budget justifica-
atives or the Committees on Armed tions to Congress.
375
(d) The annual report shall include agreement, the undersigned shall complete
the following: All alleged violations re- and submit Standard Form-LLL, ‘‘Disclosure
lating to the agency’s covered Federal Form to Report Lobbying,’’ in accordance
with its instructions.
actions during the year covered by the
(3) The undersigned shall require that the
report, the actions taken by the head
language of this certification be included in
of the agency in the year covered by the award documents for all subawards at all
the report with respect to those alleged tiers (including subcontracts, subgrants, and
violations and alleged violations in contracts under grants, loans, and coopera-
previous years, and the amounts of tive agreements) and that all subrecipients
civil penalties imposed by the agency shall certify and disclose accordingly.
in the year covered by the report. This certification is a material representa-
tion of fact upon which reliance was placed
when this transaction was made or entered
into. Submission of this certification is a
prerequisite for making or entering into this
APPENDIX A TO PART 34—CERTIFICATION transaction imposed by section 1352, title 31,
REGARDING LOBBYING U.S. Code. Any person who fails to file the
Certification for Contracts, Grants, Loans, and required certification shall be subject to a
Cooperative Agreements civil penalty of not less than $10,000 and not
more than $100,000 for each such failure.
The undersigned certifies, to the best of his
or her knowledge and belief, that: Statement for Loan Guarantees and Loan
(1) No Federal appropriated funds have Insurance
been paid or will be paid, by or on behalf of
the undersigned, to any person for influ- The undersigned states, to the best of his
encing or attempting to influence an officer or her knowledge and belief, that:
or employee of an agency, a Member of Con- If any funds have been paid or will be paid
gress, an officer or employee of Congress, or to any person for influencing or attempting
an employee of a Member of Congress in con- to influence an officer or employee of any
nection with the awarding of any Federal agency, a Member of Congress, an officer or
contract, the making of any Federal grant, employee of Congress, or an employee of a
the making of any Federal loan, the entering Member of Congress in connection with this
into of any cooperative agreement, and the commitment providing for the United States
extension, continuation, renewal, amend- to insure or guarantee a loan, the under-
ment, or modification of any Federal con- signed shall complete and submit Standard
tract, grant, loan, or cooperative agreement. Form-LLL, ‘‘Disclosure Form to Report Lob-
(2) If any funds other than Federal appro- bying,’’ in accordance with its instructions.
priated funds have been paid or will be paid Submission of this statement is a pre-
to any person for influencing or attempting requisite for making or entering into this
to influence an officer or employee of any transaction imposed by section 1352, title 31,
agency, a Member of Congress, an officer or U.S. Code. Any person who fails to file the
employee of Congress, or an employee of a required statement shall be subject to a civil
Member of Congress in connection with this penalty of not less than $10,000 and not more
Federal contract, grant, loan, or cooperative than $100,000 for each such failure.
376
Environmental Protection Agency Pt. 34, App. B
APPENDIX B TO PART 34—DISCLOSURE FORM TO REPORT LOBBYING

377
34-437.eps</GPH>
Pt. 34, App. B 40 CFR Ch. I (7–1–21 Edition)
378
34-438.eps</GPH>
Environmental Protection Agency Pt. 34, App. B
379
34-439.eps</GPH>
PART 35—STATE AND LOCAL PUBLIC WATER SYSTEM SUPERVISION (SECTION

1443(a))
ASSISTANCE
35.170 Purpose.
Sec. 35.172 Allotment.
35.001 Applicability. 35.175 Maximum federal share.
35.178 Award limitations.
Subpart A—Environmental Program Grants
UNDERGROUND WATER SOURCE PROTECTION
GENERAL (SECTION 1443(b))
35.100 Purpose of the subpart. 35.190 Purpose.
35.101 Environmental programs covered by 35.192 Basis for allotment.
the subpart. 35.195 Maximum federal share.
35.102 Definitions of terms. 35.198 Award limitation.
PREPARING AN APPLICATION HAZARDOUS WASTE MANAGEMENT (SECTION
35.104 Components of a complete applica- 3011(a))
tion. 35.210 Purpose.
35.105 Time frame for submitting an appli- 35.212 Basis for allotment.
cation. 35.215 Maximum federal share.
35.107 Work plans. 35.218 Award limitation.
35.108 Funding period.
35.109 Consolidated grants. PESTICIDE COOPERATIVE ENFORCEMENT
(SECTION 23(a)(1))
EPA ACTION ON APPLICATION
35.230 Purpose.
35.110 Time frame for EPA action.
35.232 Basis for allotment.
35.111 Criteria for approving an application.
35.235 Maximum federal share.
35.112 Factors considered in determining
award amount. PESTICIDE APPLICATOR CERTIFICATION AND
35.113 Reimbursement for pre-award costs. TRAINING (SECTION 23(a)(2))
POST-AWARD REQUIREMENTS 35.240 Purpose.
35.114 Amendments and other changes. 35.242 Basis for allotment.
35.115 Evaluation of performance. 35.245 Maximum federal share.
35.116 Direct implementation.
PESTICIDE PROGRAM IMPLEMENTATION
35.117 Unused funds.
(SECTION 23(a)(1))
35.118 Unexpended balances.
35.250 Purpose.
PERFORMANCE PARTNERSHIP GRANTS 35.251 Basis for allotment.
35.130 Purpose of Performance Partnership 35.252 Maximum federal share.
Grants.
35.132 Requirements summary. NONPOINT SOURCE MANAGEMENT (SECTION
35.133 Programs eligible for inclusion. 319(h))
35.134 Eligible recipients. 35.260 Purpose.
35.135 Activities eligible for funding. 35.265 Maximum federal share.
35.136 Cost share requirements. 35.266 Maintenance of effort.
35.137 Application requirements. 35.268 Award limitations.
35.138 Competitive grants.
LEAD-BASED PAINT PROGRAM (SECTION 404(g))
AIR POLLUTION CONTROL (SECTION 105)
35.270 Purpose.
35.140 Purpose. 35.272 Funding coordination.
35.141 Definitions.
35.143 Allotment. STATE INDOOR RADON GRANTS (SECTION 306)
35.146 Maintenance of effort. 35.290 Purpose.
35.147 Minimum cost share for a Perform- 35.292 Basis for allotment.
ance Partnership Grant. 35.295 Maximum federal share.
35.148 Award limitations. 35.298 Award limitations.
WATER POLLUTION CONTROL (SECTION 106) TOXIC SUBSTANCES COMPLIANCE MONITORING

(SECTION 28)
35.160 Purpose.
35.161 Definition. 35.310 Purpose.
35.162 Basis for allotment. 35.312 Basis for allotment.

35.165 Maintenance of effort. 35.315 Maximum federal share.
35.168 Award limitations. 35.318 Award limitation.
380
STATE UNDERGROUND STORAGE TANKS 35.508 Funding period.
(SECTION 2007(f)(2)) 35.509 Consolidated grants.
35.330 Purpose. EPA ACTION ON APPLICATION
35.335 Maximum federal share. 35.510 Time frame for EPA action.
35.511 Criteria for approving an application.
POLLUTION PREVENTION STATE GRANTS 35.512 Factors considered in determining
(SECTION 6605) award amount.
35.340 Purpose. 35.513 Reimbursement for pre-award costs.
35.342 Competitive process.
35.343 Definitions. POST-AWARD REQUIREMENTS
35.345 Eligible applicants. 35.514 Amendments and other changes.
35.348 Award limitation. 35.515 Evaluation of performance.
35.349 Maximum federal share. 35.516 Direct implementation.
35.517 Unused funds.
WATER QUALITY COOPERATIVE AGREEMENTS
(SECTION 104(b)(3)) 35.518 Unexpended balances.
35.360 Purpose. PERFORMANCE PARTNERSHIP GRANTS

35.362 Competitive process. 35.530 Purpose of Performance Partnership
Grants.
STATE WETLANDS DEVELOPMENT GRANTS 35.532 Requirements summary.
(SECTION 104(b)(3)) 35.533 Programs eligible for inclusion.
35.534 Eligible recipients.
35.380 Purpose. 35.535 Activities eligible for funding.
35.382 Competitive process. 35.536 Cost share requirements.
35.385 Maximum federal share. 35.537 Application requirements.
STATE ADMINISTRATION (SECTION 205(g)) 35.538 Project period.
35.400 Purpose. INDIAN ENVIRONMENTAL GENERAL ASSISTANCE

35.402 Allotment. PROGRAM (GAP)
35.405 Maintenance of effort.
35.540 Purpose.
35.542 Definitions. [Reserved]
WATER QUALITY MANAGEMENT PLANNING 35.543 Eligible recipients.
GRANTS (SECTION 205(j)(2)) 35.545 Eligible activities.
35.548 Award limitation.
35.410 Purpose.
35.412 Allotment. AIR POLLUTION CONTROL (SECTION 105)
35.418 Award limitations. 35.570 Purpose.
35.572 Definitions.
STATE RESPONSE PROGRAM GRANTS (CERCLA 35.573 Eligible Tribe.
SECTION 128(A)) 35.575 Maximum federal share.
35.576 Maintenance of effort.
35.419 Purpose.
35.578 Award limitation.
35.421 Maximum federal share. WATER POLLUTION CONTROL (SECTIONS 106
AND 518)
Subpart B—Environmental Program Grants
for Tribes 35.580 Purpose.
35.582 Definitions.
GENERAL—ALL GRANTS 35.583 Eligible recipients.
35.500 Purpose of the subpart.
35.501 Environmental programs covered by
the subpart. WATER QUALITY COOPERATIVE AGREEMENTS
35.502 Definitions of terms. (SECTION 104(b)(3))
35.503 Deviation from this subpart.
35.504 Eligibility of an Intertribal Consor- 35.600 Purpose.
tium. 35.603 Competitive process.
PREPARING AN APPLICATION
WETLANDS DEVELOPMENT GRANT PROGRAM
35.505 Components of a complete applica- (SECTION 104(b)(3))
tion.
35.506 Time frame for submitting an appli- 35.610 Purpose.

cation. 35.613 Competitive process.
35.507 Work plans. 35.615 Maximum federal share.
381
NONPOINT SOURCE MANAGEMENT GRANTS 35.705 Maximum federal share.
(SECTIONS 319(h) AND 518(f)) 35.708 Award limitations.
35.630 Purpose. TOXIC SUBSTANCES COMPLIANCE MONITORING
35.632 Definition. (SECTION 28)
35.633 Eligibility requirements.
35.635 Maximum federal share. 35.710 Purpose.
35.636 Maintenance of effort. 35.712 Competitive process.
35.638 Award limitations. 35.713 Eligible recipients.
PESTICIDE COOPERATIVE ENFORCEMENT 35.718 Award limitation.
(SECTION 23 (a)(1))
HAZARDOUS WASTE MANAGEMENT PROGRAM
35.640 Purpose. GRANTS (PUB.L. 105–276)
35.645 Basis for allotment. 35.723 Competitive process.
PESTICIDE APPLICATOR CERTIFICATION AND
TRAINING (SECTION 23(a)(2)) UNDERGROUND STORAGE TANKS PROGRAM
GRANTS (PUB.L. 105–276)
35.646 Purpose.
PESTICIDE PROGRAM IMPLEMENTATION 35.732 Basis for allotment.
(SECTION 23(a)(1)) 35.735 Maximum federal share.
35.650 Purpose. TRIBAL RESPONSE PROGRAM GRANTS
35.653 Eligible recipients. (CERCLA SECTION 128(A))
POLLUTION PREVENTION GRANTS (SECTION 35.738 Maximum federal share.
6605)
Subparts C–H [Reserved]
35.660 Purpose.
35.661 Competitive process. Subpart I—Grants for Construction of
35.662 Definitions.
Treatment Works
35.668 Award limitations. 35.2000 Purpose and policy.
35.669 Maximum federal share. 35.2005 Definitions.
35.2010 Allotment; reallotment.
PUBLIC WATER SYSTEM SUPERVISION 35.2012 Capitalization grants.
(SECTIONS 1443(a) AND 1451) 35.2015 State priority system and project
35.670 Purpose. priority list.
35.672 Definition. 35.2020 Reserves.
35.673 Annual amount reserved by EPA. 35.2021 Reallotment of reserves.
35.675 Maximum federal share. 35.2023 Water quality management plan-
35.676 Eligible recipients. ning.
35.678 Award limitations. 35.2024 Combined sewer overflows.
35.2025 Allowance and advance of allowance.
UNDERGROUND WATER SOURCE PROTECTION 35.2030 Facilities planning.
(SECTION 1443(b)) 35.2032 Innovative and alternative tech-
35.680 Purpose. nologies.
35.682 Definition. 35.2034 Privately owned individual systems.
35.2035 Rotating biological contractor
35.683 Annual amount reserved by EPA.
(RBC) replacement grants.
35.2036 Design/build project grants.
35.686 Eligible recipients
35.2040 Grant application.
35.2042 Review of grant applications.
LEAD-BASED PAINT PROGRAM (SECTION 404(g)) 35.2050 Effect of approval or certification of
documents.
35.690 Purpose. 35.2100 Limitations on award.
35.691 Funding coordination. 35.2101 Advanced treatment.
35.693 Eligible recipients. 35.2102 Water quality management plan-
ning.
INDOOR RADON GRANTS (SECTION 306)
35.2103 Priority determination.
35.700 Purpose. 35.2104 Funding and other considerations.

35.702 Basis for allotment. 35.2105 Debarment and suspension.
35.703 Eligible recipients. 35.2106 Plan of operation.
382
35.2107 Intermunicipal service agreements. 35.3115 Eligible activities of the SRF.
35.2108 Phased or segmented treatment 35.3120 Authorized types of assistance.
works. 35.3125 Limitations on SRF assistance.
35.2109 Step 2 + 3. 35.3130 The capitalization grant agreement.
35.2110 Access to individual systems. 35.3135 Specific capitalization grant agree-
35.2111 Revised water quality standards. ment requirements.
35.2112 Marine discharge waiver applicants. 35.3140 Environmental review requirements.
35.2113 Environmental review. 35.3145 Application of other Federal au-
35.2114 Value engineering. thorities.
35.2116 Collection system. 35.3150 Intended Use Plan (IUP).
35.2118 Preaward costs. 35.3155 Payments.
35.2120 Infiltration/Inflow. 35.3160 Cash draw rules.
35.2122 Approval of user charge system and 35.3165 Reports and audits.
proposed sewer use ordinance. 35.3170 Corrective action.
35.2123 Reserve capacity.
35.2125 Treatment of wastewater from in- APPENDIX A TO SUBPART K OF PART 35—CRI-
dustrial users. TERIA FOR EVALUATING A STATE’S PRO-
35.2127 Federal facilities. POSED NEPA-LIKE PROCESS
35.2130 Sewer use ordinance.
35.2140 User charge system. Subpart L—Drinking Water State Revolving
35.2152 Federal share. Funds
35.2200 Grant conditions.
35.2202 Step 2 + 3 projects. 35.3500 Purpose, policy, and applicability.
35.2203 Step 7 projects. 35.3505 Definitions.
35.2204 Project changes. 35.3510 Establishment of the DWSRF pro-
35.2205 Maximum allowable project cost. gram.
35.2206 Operation and maintenance. 35.3515 Allotment and withholdings of
35.2208 Adoption of sewer use ordinance and funds.
user charge system. 35.3520 Systems, projects, and project-re-
35.2210 Land acquisition. lated costs eligible for assistance from
35.2211 Field testing for Innovative and Al- the Fund.
ternative Technology Report. 35.3525 Authorized types of assistance from
35.2212 Project initiation. the Fund.
35.2214 Grantee responsibilities. 35.3530 Limitations on uses of the Fund.
35.2216 Notice of building completion and 35.3535 Authorized set-aside activities.
final inspection. 35.3540 Requirements for funding set-aside
35.2218 Project performance. activities.
35.2250 Determination of allowable costs. 35.3545 Capitalization grant agreement.
35.2260 Advance purchase of eligible land. 35.3550 Specific capitalization grant agree-
35.2262 Funding of field testing. ment requirements.
35.2300 Grant payments. 35.3555 Intended Use Plan (IUP).
35.2350 Subagreement enforcement. 35.3560 General payment and cash draw
APPENDIX A TO SUBPART I OF PART 35—DE- rules.
TERMINATION OF ALLOWABLE COSTS 35.3565 Specific cash draw rules for author-
APPENDIX B TO SUBPART I OF PART 35—AL- ized types of assistance from the Fund.
LOWANCE FOR FACILITIES PLANNING AND 35.3570 Reports and audits.
DESIGN 35.3575 Application of Federal cross-cutting
authorities (cross-cutters).
Subpart J—Construction Grants Program 35.3580 Environmental review requirements.
Delegation to States 35.3585 Compliance assurance procedures.
APPENDIX A TO SUBPART L OF PART 35—CRI-
35.3000 Purpose. TERIA FOR EVALUATING A STATE’S PRO-
35.3005 Policy. POSED NEPA-LIKE PROCESS.
35.3010 Delegation agreement.
35.3015 Extent of State responsibilities. Subpart M—Grants for Technical
35.3020 Certification procedures.
Assistance
35.3025 Overview of State performance
under delegation. GENERAL
35.3030 Right of review of State decision.
35.3035 Public participation. 35.4000 Authority.
35.4005 What is a Technical Assistance
Subpart K—State Water Pollution Control Grant?
Revolving Funds 35.4010 What does this subpart do?
35.4011 Do the general grant regulations
35.3100 Policy and purpose. apply to TAGs?

35.3105 Definitions. 35.4012 If there appears to be a difference
35.3110 Fund establishment. between the requirements of 2 CFR Parts
383
200 and 1500 and this subpart, which regu- 35.4135 What period of time should my
lations should my group follow? group’s budget cover?
35.4015 Do certain words in this subpart 35.4140 What must be included in my
have specific meaning? group’s work plan?
35.4145 How much time do my group or
WHO IS ELIGIBLE? other interested groups have to submit a
35.4020 Is my community group eligible for TAG application to EPA?
a TAG? 35.4150 What happens after my group sub-
35.4025 Is there any way my group can get a mits its application to EPA?
TAG if it is currently ineligible? 35.4155 How does EPA decide whether to
35.4030 Can I be a part of a TAG group if I award a TAG to our group?
belong to an ineligible group? 35.4160 What does EPA do if more than one
35.4035 Does EPA use the same eligibility group applies for a TAG at the same site?
criteria for TAGs at ‘‘Federal facility’’ 35.4161 Does the TAG application process af-
sites? fect the schedule for work at my site?
35.4040 How many groups can receive a TAG 35.4165 When does EPA award a TAG?
at one Superfund site?
MANAGING YOUR TAG
YOUR RESPONSIBILITIES AS A TAG RECIPIENT 35.4170 What kinds of reporting does EPA
35.4045 What requirements must my group require?
meet as a TAG recipient? 35.4175 What other reporting and record
35.4050 Must my group contribute toward keeping requirements are there?
the cost of a TAG? 35.4180 Must my group keep financial
35.4055 What if my group can’t come up with records after we finish our TAG?
the ‘‘matching funds?’’ 35.4185 What does my group do with reports
our technical advisor prepares for us?
HOW MUCH MONEY TAGS PROVIDE
PROCURING A TECHNICAL ADVISOR OR OTHER
35.4060 How much money can my group re- CONTRACTOR WITH TAG FUNDS
ceive through a TAG?
35.4065 How can my group get more than 35.4190 How does my group identify a quali-
$50,000? fied technical advisor?
35.4195 Are there certain people my group
WHAT TAGS CAN PAY FOR cannot select to be our technical advisor,
35.4070 How can my group spend TAG grant administrator, or other contractor
money? under the grant?
35.4075 Are there things my group can’t 35.4200 What restrictions apply to contrac-
spend TAG money for? tors my group procures for our TAG?
35.4205 How does my group procure a tech-
HOW YOU GET THE MONEY nical advisor or any other contractor?
35.4210 Must my group solicit and document
35.4080 Does my group get a lump sum up
bids for our procurements?
front, or does EPA reimburse us for costs
35.4215 What if my group can’t find an ade-
we incur?
quate number of potential sources for a
35.4085 Can my group get an ‘‘advance pay-
technical advisor or other contractor?
ment’’ to help us get started?
35.4220 How does my group ensure a prospec-
35.4090 If my group is eligible for an ad-
tive contractor does not have a conflict
vance payment, how do we get our funds?
of interest?
35.4095 What can my group pay for with an
35.4225 What if my group decides a prospec-
advance payment?
tive contractor has a conflict of interest?
35.4100 Can my group incur any costs prior
35.4230 What are my group’s contractual re-
to the award of our grant?
sponsibilities once we procure a con-
HOW TO APPLY FOR A TAG tractor?
35.4235 Are there specific provisions my
35.4105 What is the first step for getting a group’s contract(s) must contain?
TAG?
35.4106 What information should an LOI in- REQUIREMENTS FOR TAG CONTRACTORS
clude?
35.4110 What does EPA do once it receives 35.4240 What provisions must my group’s
the first LOI from a group? TAG contractor comply with if it sub-
35.4115 After the public notice that EPA has contracts?
received an LOI, how much time does my GRANT DISPUTES, TERMINATION, AND
group have to form a coalition or submit ENFORCEMENT
a separate LOI?
35.4120 What does my group do next? 35.4245 How does my group resolve a dis-
35.4125 What else does my group need to do? agreement with EPA regarding our TAG?
35.4130 What must be included in my 35.4250 Under what circumstances would
group’s budget? EPA terminate my group’s TAG?
384
35.4255 Can my group terminate our TAG? REMOVAL RESPONSE COOPERATIVE
35.4260 What other steps might EPA take if AGREEMENTS
my group fails to comply with the terms
and conditions of our award? 35.6200 Eligibility for removal Cooperative
Agreements.
CLOSING OUT A TAG 35.6205 Removal Cooperative Agreements.
35.4265 How does my group close out our CORE PROGRAM COOPERATIVE AGREEMENTS
TAG?
35.6215 Eligibility for Core Program Cooper-
OTHER THINGS YOU NEED TO KNOW ative Agreements.
35.4270 Definitions. 35.6220 General.
35.4275 Where can my group get the docu- 35.6225 Activities eligible for funding under
ments this subpart references (for exam- Core Program Cooperative Agreements.
ple, OMB circulars, other subparts, 35.6230 Application requirements.
forms)? 35.6235 Cost sharing.
Subpart N [Reserved] SUPPORT AGENCY COOPERATIVE AGREEMENTS

35.6240 Eligibility for support agency Coop-
Subpart O—Cooperative Agreements and erative Agreements.
Superfund State Contracts for Super- 35.6245 Allowable activities.
fund Response Actions 35.6250 Support agency Cooperative Agree-
ment requirements.
GENERAL
35.6000 Authority. COMBINING COOPERATIVE AGREEMENTS
35.6005 Purpose and scope. 35.6260 Combining Cooperative Agreement
35.6010 Indian Tribe and intertribal consor- sites and activities.
tium eligibility.
35.6015 Definitions. FINANCIAL ADMINISTRATION REQUIREMENTS
35.6020 Requirements for both applicants UNDER A COOPERATIVE AGREEMENT
and recipients.
35.6025 Deviation from this subpart. 35.6270 Standards for financial management
systems.
PRE-REMEDIAL RESPONSE COOPERATIVE 35.6275 Period of availability of funds.
AGREEMENTS 35.6280 Payments.
35.6050 Eligibility for pre-remedial Coopera- 35.6285 Recipient payment of response costs.
tive Agreements. 35.6290 Program income.
35.6055 State-lead pre-remedial Cooperative
PERSONAL PROPERTY REQUIREMENTS UNDER A
Agreements.
COOPERATIVE AGREEMENT
35.6060 Political subdivision-lead pre-reme-
dial Cooperative Agreements. 35.6300 General personal property acquisi-
35.6070 Indian Tribe-lead pre-remedial Coop- tion and use requirements.
erative Agreements. 35.6305 Obtaining supplies.
35.6310 Obtaining equipment.
REMEDIAL RESPONSE COOPERATIVE
35.6315 Alternative methods for obtaining
AGREEMENTS
property.
35.6100 Eligibility for remedial Cooperative 35.6320 Usage rate.
Agreements. 35.6325 Title and EPA interest in CERCLA-
35.6105 State-lead remedial Cooperative funded property.
Agreements. 35.6330 Title to federally owned property.
35.6110 Indian Tribe-lead remedial Coopera- 35.6335 Property management standards.
tive Agreements. 35.6340 Disposal of CERCLA-funded prop-
35.6115 Political subdivision-lead remedial erty.
Cooperative Agreements. 35.6345 Equipment disposal options.
35.6120 Notification of the out-of-State or
35.6350 Disposal of federally owned prop-
out-of-an-Indian-Tribal-area-of-Indian-
erty.
country transfer of CERCLA waste.
REAL PROPERTY REQUIREMENTS UNDER A
ENFORCEMENT COOPERATIVE AGREEMENTS
35.6145 Eligibility for enforcement Coopera-
tive Agreements. 35.6400 Acquisition and transfer of interest.
35.6150 Activities eligible for funding under 35.6405 Use.
enforcement Cooperative Agreements.
COPYRIGHT REQUIREMENTS UNDER A

35.6155 State, political subdivisions or In-
dian Tribe-lead enforcement Cooperative
Agreements. 35.6450 General requirements.
385
§ 35.001 40 CFR Ch. I (7–1–21 Edition)
USE OF RECIPIENT EMPLOYEES (‘‘FORCE AC- 35.9040 Application for assistance.
COUNT’’) UNDER A COOPERATIVE AGREE- 35.9045 EPA action on application.
MENT 35.9050 Assistance amount.
35.6500 General requirements. 35.9055 Evaluation of recipient performance.
35.9060 Maximum Federal share.
PROCUREMENT REQUIREMENTS UNDER A 35.9065 Limitations.
COOPERATIVE AGREEMENT 35.9070 National program assistance agree-
ments.
35.6550 Procurement system standards.
35.6555 Competition.
Subpart Q—Credit Assistance for Water
35.6565 Procurement methods.
35.6570 Use of the same engineer during sub- Infrastructure Projects
sequent phases of response. 35.10000 Purpose.
35.6575 Restrictions on types of contracts. 35.10005 Definitions.
35.6580 [Reserved]
35.10010 Limitations on assistance.
35.6585 Cost and price analysis.
35.10015 Application process.
35.6590 Bonding and insurance.
35.10020 Small community set-aside.
35.6595 Contract provisions.
35.10025 Federal requirements.
35.6600 Contractor claims.
35.6605 Privity of contract. 35.10026 Federal flood risk management
35.6610 Contracts awarded by a contractor. standard.
35.10030 American iron and steel.
REPORTS REQUIRED UNDER A COOPERATIVE 35.10035 Labor standards.
AGREEMENT 35.10040 Investment-grade ratings.
35.10045 Threshold criteria.
35.6650 Progress reports. 35.10050 Use of existing financing mecha-
35.6655 Notification of significant develop- nisms.
ments.
35.10055 Selection criteria.
35.6660 Property inventory reports.
35.10060 Term sheets and approvals.
35.6665 [Reserved]
35.10065 Closing on the credit agreement.
35.6670 Financial reports.
35.10070 Credit agreement.
RECORDS REQUIREMENTS UNDER A 35.10075 Reporting requirements.
COOPERATIVE AGREEMENT 35.10080 Fees.
35.6700 Project records. AUTHORITY: 42 U.S.C. 7401 et seq.; 33 U.S.C.
35.6705 Records retention. 1251 et seq.; 42 U.S.C. 300f et seq.; 42 U.S.C. 6901
35.6710 Records access. et seq.; 7 U.S.C. 136 et seq.; 15 U.S.C. 2601 et
seq.; 42 U.S.C. 13101 et seq.; Pub. L. 104–134, 110
OTHER ADMINISTRATIVE REQUIREMENTS FOR Stat. 1321, 1321–299 (1996); Pub. L. 105–65, 111
COOPERATIVE AGREEMENTS Stat. 1344, 1373 (1997), 2 CFR 200.
35.6750 Modifications.
35.6755 Monitoring program performance. § 35.001 Applicability.
35.6760 Enforcement and termination. This part codifies policies and proce-
35.6765 Non-Federal audit. dures for financial assistance awarded
35.6770 Disputes. by the Environmental Protection
35.6775 Exclusion of third-party benefits.
Agency (EPA) to State, interstate, and
35.6780 Closeout.
35.6785 Collection of amounts due. local agencies, Indian Tribes and Inter-
35.6790 High risk recipients. tribal Consortia for pollution abate-
ment and control programs. These pro-
REQUIREMENTS FOR ADMINISTERING A visions supplement the EPA general as-
SUPERFUND STATE CONTRACT (SSC) sistance regulations in 2 CFR parts 200
35.6800 Superfund State Contract. and 1500.
35.6805 Contents of an SSC.
35.6815 Administrative requirements. [66 FR 1734, Jan. 9, 2001, as amended at 79 FR
35.6820 Conclusion of the SSC. 76054, Dec. 19, 2014]
Subpart P—Financial Assistance for the Subpart A—Environmental

National Estuary Program Program Grants
35.9000 Applicability.
35.9005 Purpose. AUTHORITY: 42 U.S.C. 7401 et seq.; 33 U.S.C.
35.9010 Definitions. 1251 et seq.; 42 U.S.C. 300f et seq.; 42 U.S.C. 6901
35.9015 Summary of annual process. et seq.; 7 U.S.C. 136 et seq.; 15 U.S.C. 2601 et
35.9020 Planning targets. seq.; 42 U.S.C. 13101 et seq.; Pub. L. 104–134, 110
35.9030 Work program. Stat. 1321, 1321–299 (1996); Pub. L. 105–65, 111
35.9035 Budget period. Stat. 1344, 1373 (1997).
386
SOURCE: 66 FR 1734, Jan. 9, 2001, unless oth- Federal Insecticide, Fungicide, and
erwise noted. Rodenticide Act).
(9) Pesticide program implementa-
GENERAL
tion (section 23(a)(1) of the Federal In-
§ 35.100 Purpose of the subpart. secticide, Fungicide, and Rodenticide
Act).
This subpart establishes administra-
(10) Nonpoint source management
tive requirements for all grants award-
ed to State, interstate, and local agen- (sections 205(j)(5) and 319(h) of the
cies and other entities for the environ- Clean Water Act).
mental programs listed in § 35.101. (11) Lead-based paint program (sec-
These provisions supplement the EPA tion 404(g) of the Toxic Substances
general assistance regulations in 2 CFR Control Act).
parts 200 and 1500. Sections 35.100–35.118 (12) State indoor radon grants (sec-
contain administrative requirements tion 306 of the Toxic Substances Con-
that apply to all environmental pro- trol Act).
gram grants included in this subpart. (13) Toxic substances compliance
Sections 35.130–35.418 contain require- monitoring (section 28 of the Toxic
ments that apply to specified environ- Substances Control Act).
mental program grants. Many of these (14) State underground storage tanks
environmental programs also have pro- (section 2007(f)(2) of the Solid Waste
grammatic and technical requirements Disposal Act).
that are published elsewhere in the (15) Pollution prevention state grants
Code of Federal Regulations. (section 6605 of the Pollution Preven-
[66 FR 1734, Jan. 9, 2001, as amended at 79 FR tion Act of 1990).
76054, Dec. 19, 2014] (16) Water quality cooperative agree-
ments (section 104(b)(3) of the Clean
§ 35.101 Environmental programs cov- Water Act).
ered by the subpart. (17) Wetlands development grants
(a) The requirements in this subpart program (section 104(b)(3) of the Clean
apply to all grants awarded for the fol- Water Act).
lowing programs: (18) State administration of construc-
(1) Performance partnership grants tion grant, permit, and planning pro-
(Omnibus Consolidated Rescissions and grams (section 205(g) of the Clean
Appropriations Act of 1996, Pub. Law Water Act).
104–134, 110 Stat. 1321, 1321–299 (1996) (19) Water quality management plan-
and Departments of Veterans Affairs ning (section 205(j)(2) of the Clean
and Housing and Urban Development, Water Act).
and Independent Agencies Appropria- (20) State Response Program Grants
tions Act, 1998, Pub. Law 105–65, 111 (section 128(a) of the Comprehensive
Stat. 1344, 1373 (1997)). Environmental Response, Compensa-
(2) Air pollution control (section 105 tion, and Liability Act (CERCLA)).
of the Clean Air Act).
(b) Unless otherwise prohibited by
(3) Water pollution control (section
statute or regulation, the requirements
106 of the Clean Water Act).
in § 35.100 through § 35.118 of this sub-
(4) Public water system supervision
part also apply to grants under envi-
(section 1443(a) of the Safe Drinking
ronmental programs established after
Water Act).
this subpart becomes effective if speci-
(5) Underground water source protec-
fied in Agency guidance for such pro-
tion (section 1443(b) of the Safe Drink-
grams.
ing Water Act).
(6) Hazardous waste management (c) In the event a grant is awarded
(section 3011(a) of the Solid Waste Dis- from EPA headquarters for one of the
posal Act). programs listed in paragraph (a) of this
(7) Pesticide cooperative enforcement section, this subpart shall apply and
(section 23(a)(1) of the Federal Insecti- the term ‘‘Regional Administrator’’
cide, Fungicide, and Rodenticide Act). shall mean ‘‘Assistant Administrator’.

(8) Pesticide applicator certification [66 FR 1734, Jan. 9, 2001, as amended at 74 FR
and training (section 23(a)(2) of the 28444, June 16, 2009]
387
§ 35.102 40 CFR Ch. I (7–1–21 Edition)
§ 35.102 Definitions of terms. Performance Partnership Agreement. A

negotiated agreement signed by the
Terms are defined as follows when
they are used in this subpart. EPA Regional Administrator and an
appropriate official of a State agency
Allotment. EPA’s calculation of the
funds that may be available to an eligi- and designated as a Performance Part-
ble recipient for an environmental pro- nership Agreement. Such agreements
gram grant. An allotment is not an en- typically set out jointly developed
titlement. goals, objectives, and priorities; the
Consolidated grant. A single grant strategies to be used in meeting them;
made to a recipient consolidating funds the roles and responsibilities of the
from more than one environmental State and EPA; and the measures to be
grant program. After the award is used in assessing progress. A Perform-
made, recipients must account for ance Partnership Agreement may be
grant funds in accordance with the used as all or part of a work plan for a
funds’ original environmental program grant if it meets the requirements for a
sources. Consolidated grants are not work plan set out in § 35.107.
Performance Partnership Grants. Performance Partnership Grant. A sin-
Environmental program. A program for gle grant combining funds from more
which EPA awards grants under the au- than one environmental program. A
thorities listed in § 35.101. The grants Performance Partnership Grant may
are subject to the requirements of this provide for administrative savings or
subpart. programmatic flexibility to direct
Funding period. The period of time grant resources where they are most
specified in the grant agreement during needed to address public health and en-
which the recipient may expend or ob- vironmental priorities (see also
ligate funds for the purposes set forth § 35.130). Each Performance Partnership
in the agreement. Grant has a single, integrated budget
National program guidance. Guidance and recipients do not need to account
issued by EPA’s National Program for grant funds in accordance with the
Managers for establishing and main-
funds’ original environmental program
taining effective environmental pro-
sources.
grams. This guidance establishes na-
tional goals, objectives, and priorities Planning target. The amount of funds
as well as the core performance meas- that the Regional Administrator sug-
ures and other information to be used gests a grant applicant consider in de-
in monitoring progress. The guidance veloping its application, including the
may also set out specific environ- work plan, for an environmental pro-
mental strategies, criteria for evalu- gram.
ating programs, and other elements of Regional supplemental guidance. Guid-
program implementation. ance to environmental program appli-
Outcome. The environmental result, cants prepared by the Regional Admin-
effect, or consequence that will occur istrator, based on the national program
from carrying out an environmental guidance and specific regional and ap-
program or activity that is related to plicant circumstances, for use in pre-
an environmental or programmatic paring a grant application.
goal or objective. Outcomes must be Work plan commitments. The outputs
quantitative, and they may not nec- and outcomes associated with each
essarily be achievable during a grant work plan component, as established in
funding period. See ‘‘output.’’ the grant agreement.
Output. An environmental activity or Work plan component. A negotiated
effort and associated work products re- set or group of work plan commitments
lated to an environmental goal or ob- established in the grant agreement. A
jective that will be produced or pro-
work plan may have one or more work
vided over a period of time or by a
plan components.
specified date. Outputs may be quan-
titative or qualitative but must be

measurable during a grant funding pe-
riod. See ‘‘outcome.’’
388
PREPARING AN APPLICATION (2) An approvable work plan must

specify:
§ 35.104 Components of a complete ap- (i) The work plan components to be
plication. funded under the grant;
A complete application for an envi- (ii) The estimated work years and the
ronmental program must: estimated funding amounts for each
(a) Meet the requirements in 2 CFR work plan component;
part 200, subpart C. (iii) The work plan commitments for
(b) Include a proposed work plan each work plan component and a time
(§ 35.107); and frame for their accomplishment;
(c) Specify the environmental pro- (iv) A performance evaluation proc-
gram and the amount of funds re- ess and reporting schedule in accord-
quested. ance with § 35.115 of this subpart; and
[66 FR 1734, Jan. 9, 2001, as amended at 79 FR (v) The roles and responsibilities of
76054, Dec. 19, 2014] the recipient and EPA in carrying out
the work plan commitments.
§ 35.105 Time frame for submitting an
application. (3) The work plan must be consistent
with applicable federal statutes; regu-
An applicant should submit a com- lations; circulars; executive orders; and
plete application to EPA at least 60 EPA delegations, approvals, or author-
days before the beginning of the pro- izations.
posed funding period. (c) Performance Partnership Agreement
§ 35.107 Work plans. as work plan. An applicant may use a
Performance Partnership Agreement or
(a) Bases for negotiating work plans. a portion of a Performance Partnership
The work plan is negotiated between Agreement as the work plan for an en-
the applicant and the Regional Admin- vironmental program grant if the por-
istrator and reflects consideration of tions of the Performance Partnership
national, regional, and State environ- Agreement that serve as all or part of
mental and programmatic needs and the grant work plan:
priorities. (1) Are clearly identified and distin-
(1) Negotiation considerations. In nego- guished from other portions of the Per-
tiating the work plan, the Regional Ad- formance Partnership Agreement; and
ministrator and applicant will consider
(2) Meet the requirements in
such factors as national program guid-
§ 35.107(b).
ance; any regional supplemental guid-
ance; goals, objectives, and priorities § 35.108 Funding period.
proposed by the applicant; other joint-
ly identified needs or priorities; and The Regional Administrator and ap-
the planning target. plicant may negotiate the length of the
(2) National program guidance. If an funding period for environmental pro-
applicant proposes a work plan that gram grants, subject to limitations in
differs significantly from the goals and appropriations acts.
objectives, priorities, or core perform-
ance measures in the national program § 35.109 Consolidated grants.
guidance associated with the proposed (a) Any applicant eligible to receive
activities, the Regional Administrator funds from more than one environ-
must consult with the appropriate Na- mental program may submit an appli-
tional Program Manager before agree- cation for a consolidated grant. For
ing to the work plan. consolidated grants, an applicant pre-
(3) Use of existing guidance. An appli- pares a single budget and work plan
cant should base the grant application covering all of the environmental pro-
on the national program guidance in grams included in the application. The
place at the time the application is consolidated budget must identify each
being prepared. environmental program to be included,
(b) Work plan requirements. (1) The the amount of each program’s funds,
work plan is the basis for the manage- and the extent to which each program’s
ment and evaluation of performance funds support each work plan compo-
under the grant agreement. nent. Recipients of consolidated grants
389
§ 35.110 40 CFR Ch. I (7–1–21 Edition)
must account for grant funds in ac- (2) Disapprove the application in
cordance with the funds’ environ- writing.
mental program sources; funds in- [66 FR 1734, Jan. 9, 2001, as amended at 79 FR
cluded in a consolidated grant from a 76054, Dec. 19, 2014]
particular environmental program may
be used only for that program. § 35.112 Factors considered in deter-
(b) Insular areas that choose to con- mining award amount.
solidate environmental program grants (a) After approving an application
may be exempted by the Regional Ad- under § 35.111, the Regional Adminis-
ministrator from requirements of this trator will consider such factors as the
subpart in accordance with 48 U.S.C. applicant’s allotment, the extent to
1469a. which the proposed work plan is con-
sistent with EPA guidance and mutu-
EPA ACTION ON APPLICATION ally agreed upon priorities, and the an-
ticipated cost of the work plan relative
§ 35.110 Time frame for EPA action. to the proposed work plan components,
The Regional Administrator will re- to determine the amount of funds to be
view a complete application and either awarded.
approve, conditionally approve, or dis- (b) If the Regional Administrator
approve it within 60 days of receipt. finds the requested level of funding is
This period may be extended by mutual not justified or the work plan does not
agreement between EPA and the appli- comply with the requirements of
cant. The Regional Administrator will § 35.107, the Regional Administrator
award the funds for approved or condi- will attempt to negotiate a resolution
tionally approved applications when of the issues with the applicant before
the funds are available. determining the award amount. The
Regional Administrator may determine
§ 35.111 Criteria for approving an ap- that the award amount will be less
plication. than the amount allotted or requested.
(a) The Regional Administrator may § 35.113 Reimbursement for pre-award
approve an application upon deter- costs.
mining that:
(a) Notwithstanding the require-
(1) The application meets the re-
ments of 2 CFR parts 200 and 1500, EPA
quirements of this subpart and 2 CFR
may reimburse recipients for pre-award
part 200, subpart C.
costs incurred from the beginning of
(2) The application meets the re- the funding period established in the
quirements of all applicable federal grant agreement if such costs would
statutes; regulations; circulars; execu- have been allowable if incurred after
tive orders; and delegations, approvals, the award and the recipients submitted
or authorizations; complete grant applications before the
(3) The proposed work plan complies beginning of the budget period. Such
with the requirements of § 35.107; and costs must be identified in the grant
(4) The achievement of the proposed application EPA approves.
work plan is feasible, considering such (b) The applicant incurs pre-award
factors as the applicant’s existing cir- costs at its own risk. EPA is under no
cumstances, past performance, pro- obligation to reimburse such costs un-
gram authority, organization, re- less they are included in an approved
sources, and procedures. grant award.
(b) If the Regional Administrator
[66 FR 1734, Jan. 9, 2001, as amended at 79 FR
finds the application does not satisfy 76054, Dec. 19, 2014]
the criteria in paragraph (a) of this sec-
tion, the Regional Administrator may POST-AWARD REQUIREMENTS
either:
(1) Conditionally approve the applica- § 35.114 Amendments and other
tion if only minor changes are re- changes.
quired, with grant conditions necessary The following provisions govern

to ensure compliance with the criteria, amendments and other changes to
or grant work plans and budgets after the
390
work plan is negotiated and a grant EPA’s approval before approving the
awarded. subgrantee’s request.
(a) Changes requiring prior approval. [66 FR 1734, Jan. 9, 2001, as amended at 79 FR
Recipients may make significant 76055, Dec. 19, 2014]
changes in work plan commitments
only after obtaining the Regional Ad- § 35.115 Evaluation of performance.
ministrator’s prior written approval.
(a) Joint evaluation process. The appli-
EPA, in consultation with the recipi-
cant and the Regional Administrator
ent, will document these revisions in-
will develop a process for jointly evalu-
cluding budgeted amounts associated
ating and reporting progress and ac-
with the revisions.
complishments under the work plan. A
(b) Changes requiring approval. Recipi-
description of the evaluation process
ents must request, in writing, grant
and a reporting schedule must be in-
amendments for changes requiring in-
cluded in the work plan (see
creases in environmental program
§ 35.107(b)(2)(iv)). The schedule must re-
grant amounts and extensions of the
quire the recipient to report at least
funding period. Recipients may begin
annually and must satisfy the require-
implementing a change before the
ments for progress reporting under 2
amendment has been approved by EPA,
CFR 200.328.
but do so at their own risk. If EPA ap-
(b) Elements of the evaluation process.
proves the change, EPA will issue a
The evaluation process must provide
grant amendment. EPA will notify the
for:
recipient in writing if the change is
(1) A discussion of accomplishments
disapproved.
as measured against work plan com-
(c) Changes not requiring approval.
mitments;
Other than those situations described
(2) A discussion of the cumulative ef-
in paragraphs (a) and (b) of this sec-
fectiveness of the work performed
tion, recipients do not need to obtain
under all work plan components;
approval for changes, including
changes in grant work plans, budgets, (3) A discussion of existing and po-
or other components of grant agree- tential problem areas; and
ments, unless the Regional Adminis- (4) Suggestions for improvement, in-
trator determines approval require- cluding, where feasible, schedules for
ments should be imposed on a specific making improvements.
recipient for a specified period of time. (c) Resolution of issues. If the joint
(d) OMB cost principles. The Regional evaluation reveals that the recipient
Administrator may waive in writing has not made sufficient progress under
approval requirements for specific re- the work plan, the Regional Adminis-
cipients and costs contained in OMB trator and the recipient will negotiate
cost principles. a resolution that addresses the issues.
(e) Changes in consolidated grants. Re- If the issues cannot be resolved
cipients of consolidated grants under through negotiation, the Regional Ad-
§ 35.109 may not transfer funds among ministrator may take appropriate
environmental programs. measures under 2 CFR 200.338. The re-
cipient may request review of the Re-
(f) Subgrants. Subgrantees must re-
gional Administrator’s decision under
quest required approvals in writing
the dispute processes in 2 CFR part
from the recipient and the recipient
1500, subpart E.
shall approve or disapprove the request
in writing. A recipient will not approve (d) Evaluation reports. The Regional
any work plan or budget revision which Administrator will ensure that the re-
is inconsistent with the purpose or quired evaluations are performed ac-
terms and conditions of the federal cording to the negotiated schedule and
grant to the recipient. If the revision that copies of evaluation reports are
requested by the subgrantee would replaced in the official files and provided
sult in a significant change to the re- to the recipient.

cipient’s approved grant which requires [66 FR 1734, Jan. 9, 2001, as amended at 79 FR
EPA approval, the recipient will obtain 76055, Dec. 19, 2014]
391
§ 35.116 40 CFR Ch. I (7–1–21 Edition)
§ 35.116 Direct implementation. (b) Purpose of program. Performance

Partnership Grants enable States and
If funds remain in a State’s allot-
interstate agencies to combine funds
ment for an environmental program
from more than one environmental
grant either after grants for that envi-
program grant into a single grant with
ronmental program have been made or
a single budget. Recipients do not need
because no grant was made, the Re-
to account for Performance Partner-
gional Administrator may, subject to
ship Grant funds in accordance with
any limitations contained in appropria-
the funds’ original environmental pro-
tion acts, use all or part of the funds to
gram sources; they need only account
support a federal program required by
for total Performance Partnership
law in the State in the absence of an
Grant expenditures subject to the re-
acceptable State program.
quirements of this subpart. The Per-
§ 35.117 Unused funds. formance Partnership Grant program
is designed to:
If funds for an environmental pro- (1) Strengthen partnerships between
gram grant remain in a State’s allot- EPA and State and interstate agencies
ment either after an initial environ- through joint planning and priority-
mental program grant has been made setting and better deployment of re-
or because no grant was made, and the sources;
Regional Administrator does not use (2) Provide State and interstate agen-
the funds under § 35.116 of this subpart, cies with flexibility to direct resources
the Regional Administrator may award where they are most needed to address
the funds to any eligible recipient in environmental and public health prior-
the region, including the same State or ities;
an Indian Tribe or Tribal consortium, (3) Link program activities more ef-
for the same environmental program or fectively with environmental and pub-
for a Performance Partnership Grant, lic health goals and program outcomes;
subject to any limitations in appro- (4) Foster development and imple-
priation acts. mentation of innovative approaches
such as pollution prevention, eco-
§ 35.118 Unexpended balances. system management, and community-
Subject to any relevant provisions of based environmental protection strate-
law, if a recipient’s Financial Status gies; and
Report shows unexpended balances, the (5) Provide savings by streamlining
Regional Administrator will deobligate administrative requirements.
the unexpended balances and make
them available, to either the same re- § 35.132 Requirements summary.
cipient in the same region or other eli- Applicants and recipients of Perform-
gible recipients, including Indian ance Partnership Grants must meet:
Tribes and Tribal Consortia, for envi- (a) The requirements in §§ 35.100 to
ronmental program grants. 35.118, which apply to all environ-
mental program grants, including Per-
PERFORMANCE PARTNERSHIP GRANTS formance Partnership Grants; and
(b) The requirements in §§ 35.130 to
§ 35.130 Purpose of Performance Part- 35.138, which apply only to Perform-
nership Grants. ance Partnership Grants.
(a) Purpose of section. Sections 35.130
through 35.138 govern Performance § 35.133 Programs eligible for inclu-
Partnership Grants to States and sion.
interstate agencies authorized in the (a) Eligible programs. Except as pro-
Omnibus Consolidated Rescissions and vided in paragraph (b) of this section,
Appropriations Act of 1996, (Pub. L. the environmental programs eligible,
104–134; 110 Stat. 1321, 1321–299 (1996)) in accordance with appropriation acts,
and the Departments of Veterans Af- for inclusion in a Performance Partner-
fairs and Housing and Urban Develop- ship Grant are listed in § 35.101(a)(2)
ment, and Independent Agencies Ap- through (17) and (20). (Funds available
propriations Act, 1998, (Pub. L. 105–65; from the section 205(g) State Adminis-
111 Stat. 1344, 1373 (1997)). tration Grants program (§ 35.101(a)(18))
392
and the Water Quality Management § 35.135 Activities eligible for funding.
Planning Grant program (§ 35.101(a)(19))
(a) A recipient may use a Perform-
and funds awarded to States under
ance Partnership Grant, subject to the
State Response Program Grants
requirements of paragraph (c) of this
(§ 35.101(a)(20)) to capitalize a revolving
section, to fund any activity that is el-
loan fund for Brownfield remediation
igible for funding under at least one of
or purchase insurance or develop a risk
the environmental programs from
sharing pool, an indemnity pool, or in-
which funds are combined into the
surance mechanism to provide financ-
grant.
ing for response actions may not be in-
(b) A recipient may also use a Per-
cluded in Performance Partnership
formance Partnership Grant to fund
Grants.)
multi-media activities that are eligible
(b) Changes in eligible programs. The in accordance with paragraph (a) of
Administrator may, in guidance or reg- this section and have been agreed to by
ulation, describe subsequent additions, the Regional Administrator. Such ac-
deletions, or changes to the list of en- tivities may include multi-media per-
vironmental programs eligible for in- mitting and enforcement and pollution
clusion in Performance Partnership prevention, ecosystem management,
Grants. community-based environmental pro-
[66 FR 1734, Jan. 9, 2001, as amended at 74 FR tection, and other innovative ap-
28444, June 16, 2009; 74 FR 46020, Sept. 8, 2009] proaches.
(c) A recipient may not use a Per-
§ 35.134 Eligible recipients. formance Partnership Grant to fund
(a) Eligible agencies. All State agen- activities eligible only under a specific
cies (including environmental, health, environmental program grant unless
agriculture, and other agencies) and some or all of the recipient’s allotted
interstate agencies eligible to receive funds for that program have been in-
funds from more than one environ- cluded in the Performance Partnership
mental program may receive Perform- Grant.
ance Partnership Grants
§ 35.136 Cost share requirements.
(b) Designated agency. A State agency
must be designated by a Governor, (a) An applicant for a Performance
State legislature, or other authorized Partnership Grant must provide a non-
State process to receive grants under federal cost share that is not less than
each of the environmental programs to the sum of the minimum non-federal
be combined in the Performance Part- cost share required under each of the
nership Grant. If it is not the des- environmental programs that are com-
ignated agency for a particular grant bined in the Performance Partnership
program to be included in the Perform- Grant. Cost share requirements for the
ance Partnership Grant, the State individual environmental programs are
agency must have an agreement with described in §§ 35.140 to 35.418.
the State agency that does have the (b) When an environmental program
designation regarding how the funds included in the Performance Partner-
will be shared between the agencies. ship Grant has both a matching and
(c) Programmatic requirements. In maintenance of effort requirement, the
order to include funds from an environ- greater of the two amounts will be used
mental program grant listed in § 35.101 to calculate the minimum cost share
of this subpart in a Performance Part- attributed to that environmental pro-
nership Grant, applicants must meet gram.
the requirements for award of each of
the environmental programs from § 35.137 Application requirements.
which funds are combined in the agen- (a) An application for a Performance
cy’s Performance Partnership Grant, Partnership Grant must contain:
except the requirements at §§ 35.268(b) (1) A list of the environmental pro-
and (c), 35.272, and 35.298 (c), (d), (e), grams and the amount of funds from
and (g). These requirements can be each program to be combined in the

found in this regulation beginning at Performance Partnership Grant;
§ 35.140. (2) A consolidated budget;
393
§ 35.138 40 CFR Ch. I (7–1–21 Edition)
(3) A consolidated work plan that ad- mitments will be carried over into fu-
dresses each program being combined ture work plans.
in the grant and that meets the re-
quirements of § 35.107; and, AIR POLLUTION CONTROL (SECTION 105)
(4) A rationale, commensurate with
§ 35.140 Purpose.
the extent of any programmatic flexi-
bility (i.e., increased effort in some (a) Purpose of section. Sections 35.140
programs and decreased effort in oth- through 35.148 govern Air Pollution
ers) indicated in the work plan, that Control Grants to State, local, inter-
explains the basis for the applicant’s state, or intermunicipal air pollution
priorities, the expected environmental control agencies (as defined in section
or other benefits to be achieved, and 302(b) of the Clean Air Act) authorized
the anticipated impact on any environ- under section 105 of the Act.
mental programs or program areas pro- (b) Purpose of program. Air Pollution
posed for reduced effort. Control Grants are awarded to admin-
(b) The applicant and the Regional ister programs that prevent and con-
Administrator will negotiate regarding trol air pollution or implement na-
the information necessary to support tional ambient air quality standards.
the rationale for programmatic flexi- (c) Program regulations. Refer to 40
bility required in paragraph (a)(4) of CFR parts 49, 50, 51, 52, 58, 60, 61, 62, and
this section. The rationale may be sup- 81 for associated program regulations.
ported by information from a variety
of sources, including a Performance § 35.141 Definitions.
Partnership Agreement or comparable In addition to the definitions in
negotiated document, the evaluation § 35.102, the following definitions apply
report required in § 35.125, and other en- to the Clean Air Act’s section 105 grant
vironmental and programmatic data program:
sources. Implementing means any activity re-
(c) A State agency seeking pro- lated to planning, developing, estab-
grammatic flexibility is encouraged to lishing, carrying-out, improving, or
include a description of efforts to in- maintaining programs for the preven-
volve the public in developing the tion and control of air pollution or im-
State agency’s priorities. plementation of national primary and
secondary ambient air quality stand-
§ 35.138 Competitive grants. ards.
(a) Some environmental program Nonrecurrent expenditures are those
grants are awarded through a competi- expenditures which are shown by the
tive process. An applicant and the Re- recipient to be of a nonrepetitive, un-
gional Administrator may agree to add usual, or singular nature that would
funds available for a competitive grant not reasonably be expected to recur in
to a Performance Partnership Grant. If the foreseeable future. Costs cat-
this is done, the work plan commit- egorized as nonrecurrent must be ap-
ments that would have been included proved in the grant agreement or an
in the competitive grant must be in- amendment thereto.
cluded in the Performance Partnership Recurrent expenditures are those ex-
Grant work plan. After the funds have penses associated with the activities of
been added to the Performance Part- a continuing environmental program.
nership Grant, the recipient does not All expenditures are considered recur-
need to account for these funds in ac- rent unless justified by the applicant
cordance with the funds’ original envi- as nonrecurrent and approved as such
ronmental program source. in the grant award or an amendment
(b) If the projected completion date thereto.
for competitive grant work plan com-
mitments added to a Performance § 35.143 Allotment.
Partnership Grant is after the end of (a) The Administrator allots air pol-
the Performance Partnership Grant lution control funds under section 105
funding period, the Regional Adminis- of the Clean Air Act based on a number
trator and the applicant will agree in of factors, including:
writing as to how the work plan com- (1) Population;
394
(2) The extent of actual or potential reduction of the programs of all execu-
air pollution problems; and tive branch agencies of the applicable
(3) The financial need of each agency. unit of government.
(b) The Regional Administrator shall (e) The Regional Administrator will
allot to a State not less than one-half not award section 105 funds unless the
of one percent nor more than 10 per- applicant provides assurance that the
cent of the annual section 105 grant ap- grant will not supplant non-federal
propriation. funds that would otherwise be avail-
(c) The Administrator may award
able for maintaining the section 105
funds on a competitive basis.
program.
§ 35.145 Maximum federal share.
§ 35.147 Minimum cost share for a Per-
(a) The Regional Administrator may formance Partnership Grant.
provide air pollution control agencies,
as defined in section 302(b) of the Clean (a) To calculate the cost share for a
Air Act, up to three-fifths of the ap- Performance Partnership Grant (see
proved costs of implementing programs §§ 35.130 through 35.138) in the initial
for the prevention and control of air and subsequent years that it includes
pollution or implementing national section 105 funds, the minimum cost
primary and secondary ambient air share contribution for the section 105
quality standards. program will be the match requirement
(b) Revenue collected pursuant to a set forth in § 35.145, or the maintenance
State’s Title V operating permit proof effort established under § 35.146 in
gram may not be used to meet the cost the first year that the section 105 grant
share requirements of section 105. is included in a Performance Partner-
ship Grant, whichever is greater.
§ 35.146 Maintenance of effort.
(b) If an air pollution control agency
(a) To receive funds under section includes its section 105 air program
105, an agency must expend annually, funding in a Performance Partnership
for recurrent section 105 program ex- Grant and subsequently withdraws that
penditures, an amount of non-federal program from the grant:
funds at least equal to such expendi-
(1) The required maintenance of ef-
tures during the preceding fiscal year.
fort amount for the section 105 pro-
(b) In order to award grants in a
timely manner each fiscal year, the Re- gram for the first year after the pro-
gional Administrator shall compare an gram is withdrawn will be equal to the
agency’s proposed expenditure level, as maintenance of effort amount required
detailed in the agency’s grant applica- in the year the agency included the
tion, to that agency’s expenditure level section 105 program in the Performance
in the second preceding fiscal year. Partnership Grant.
When expenditure data for the pre- (2) The maximum federal share for
ceding fiscal year is complete, the Re- the section 105 program in the first and
gional Administrator shall use this in- subsequent years after the grant is
formation to determine the agency’s withdrawn may not be more than
compliance with its maintenance of ef- three-fifths of the approved cost of the
fort requirement. program.
(c) If the expenditure data for the (c) The Regional Administrator may
preceding fiscal year shows that an approve an exception from paragraph
agency did not meet the requirements (b) of this section upon determining
of § 35.146, the Regional Administrator that exceptional circumstances justify
will take action to recover the grant a reduction in the maintenance of ef-
funds for the year in which the agency fort, including when an air pollution
did not maintain its level of effort.
control agency reduces section 105
(d) The Regional Administrator may
funding as part of a non-selective re-
grant an exception to § 35.146(a) if, after
notice and opportunity for a public duction of the programs of all execu-
hearing, the Regional Administrator tive branch agencies of the applicable

determines that a reduction in expendi- unit of government.
ture is attributable to a non-selective
395
§ 35.148 40 CFR Ch. I (7–1–21 Edition)
§ 35.148 Award limitations. § 35.161 Definition.

(a) The Regional Administrator will Recurrent expenditures are those ex-
not award section 105 funds to an inter- penditures associated with the activi-
state or intermunicipal agency: ties of a continuing Water Pollution
(1) That does not provide assurance Control program. All expenditures, ex-
that it can develop a comprehensive cept those for equipment purchases of
plan for the air quality control region $5,000 or more, are considered recurrent
which includes representation of appro-
unless justified by the applicant as
priate State, interstate, local, Tribal,
nonrecurrent and approved as such in
and international interests; and
(2) Without consulting with the ap- the grant award or an amendment
propriate official designated by the thereto.
Governor or Governors of the State or
§ 35.162 Basis for allotment.
States affected or the appropriate offi-
cial of any affected Indian Tribe or (a) Allotments. Each fiscal year funds
Tribes. appropriated for Water Pollution Con-
(b) The Regional Administrator will trol grants to State and interstate
not disapprove an application for or agencies will be allotted to States and
terminate or annul a section 105 grant interstate agencies on the basis of the
without prior notice and opportunity extent of the pollution problems in the
for a public hearing in the affected respective States. A portion of the
State or States. funds appropriated for States under the
WATER POLLUTION CONTROL (SECTION Water Pollution Control grant program
106) will be set aside for allotment to eligi-
ble interstate agencies. The interstate
§ 35.160 Purpose. allotment will be 2.6 percent of the
(a) Purpose of section. Sections 35.160 funds available under this paragraph.
through 35.168 govern Water Pollution (b) State allotment formula. The Water
Control Grants to State and interstate Pollution Control State grant allot-
agencies (as defined in section 502 of ment formula establishes an allotment
the Clean Water Act) authorized under ratio for each State based on six com-
section 106 of the Clean Water Act. ponents selected to reflect the extent
(b) Purpose of program. Water Pollu- of the water pollution problem in the
tion Control Grants are awarded to as- respective States. The formula pro-
sist in administering programs for the vides a funding floor for each State
prevention, reduction, and elimination with provisions for periodic adjust-
of water pollution, including programs ments for inflation and a maximum
for the development and implementa- funding level (150 percent of its pre-
tion of ground-water protection strate- vious fiscal year allotment).
gies. Some of these activities may also
(1) Components and component
be eligible for funding under sections
104(b)(3) (Water Quality Cooperative weights—(i) Components. The six compo-
Agreements and Wetlands Develop- nents used in the Water Pollution Con-
ment Grants), 205(j)(2) (Water Quality trol State grant allotment formula are:
Management Planning), and section Surface Water Area; Ground Water
205(g) (State Administration Grants) of Use; Water Quality Impairment; Point
the Clean Water Act. (See §§ 35.160, Sources; Nonpoint Sources; and Popu-
35.360, 35.380, 35.400, and 35.410.) lation of Urbanized Area. The compo-
(c) Associated program requirements. nents for the formula are presented in
Program requirements for water qual- Table 1 of this section, with their asso-
ity planning and management activi- ciated elements, sub-elements, and
ties are provided in 40 CFR part 130. supporting data sources.
396
(ii) Component weights. To account for nent is weighted individually. Final

the fact that not all of the selected for- component weights will be phased-in
mula components contribute equally to by Fiscal Year (FY) 2004, according to

the extent of the pollution problem the schedule presented in Table 2 of
within the States, each formula compo- this section:
397
ER09JA01.019</GPH>
§ 35.162 40 CFR Ch. I (7–1–21 Edition)
TABLE 2—COMPONENT WEIGHTS IN THE WATER that component. The component ratios
POLLUTION CONTROL STATE GRANT ALLOT- for all other States will be adjusted ac-
MENT FORMULA cordingly.
(7) Update cycle. The data used in the
FY2004
FY 2000 FY2001– + State formula will be periodically up-
Component FY2003
(percent) (percent) (per- dated. The first update will impact al-
cent)
lotments for FY 2001, and will consist
Surface Water Area ........... 13 13 12 of updating the data used to support
Ground Water Use ............. 11 12 12 the Water Quality Impairment compo-
Water Quality Impairment .. 13 25 35
Point Sources ..................... 25 17 13 nent of the formula. These data will be
Nonpoint Sources ............... 18 15 13 updated using the currently available
Population of Urbanized Clean Water Act section 305(b) reports.
Area ................................ 20 18 15
After this initial update, the data used
Total ............................ 100 100 100 to support all six components of the
Water Pollution Control State grant
(2) Funding floor. A funding floor is allotment formula will be updated in
established for each State. Each FY 2003 (for use in the determination of
State’s funding floor will be at least FY 2004 allotments). Thereafter, all
equal to its FY 2000 allotment in all fu- data will be updated every five years
ture years unless the funds appro- (e.g., in FY 2008 for FY 2009 allotments
priated for States under the Water Pol- and in FY 2013 for FY 2014 allotments.)
lution Control grant program decrease There will be an annual adjustment to
from the FY 2000 amount. the funding floor for all States, based
(3) Funding decrease. If the appropria- on the appropriation for Water Pollu-
tion for Water Pollution Control State tion Control State grants and changes
grants decreases in future years, the in the CPI.
funding floor will be disregarded and (c) Interstate allotment formula. EPA
all State allotments will be reduced by will set-aside 2.6 percent of the funds
an equal percentage. appropriated for the Water Pollution
(4) Inflation adjustment. Funding Control State grant program for inter-
floors for each State will be adjusted state agencies. The interstate agency
for inflation when the funds appro- Water Pollution Control grant allot-
priated for Water Pollution Control ment formula consists of two parts: a
State grants increase from the pre- funding floor with provisions for peri-
ceding fiscal year. These adjustments odic adjustments for inflation, and a
will be made on the basis of the cumu- variable allotment.
lative change in the Consumer Price (1) Funding Floor. A funding floor is
Index (CPI), published by the U.S. De- established for each interstate agency.
partment of Labor, since the most re- Each interstate’s funding floor for FY
cent year in which Water Pollution 2005 will be at least equal to its FY 2003
Control State grant funding last in- allotment. Beginning in FY 2006, the
creased. Inflation adjustments to State interstate funding floor will ensure
funding floors will be capped at the that unless there is a decrease in the
lesser of the percentage change in ap- CWA section 106 state appropriation,
propriated funds or the cumulative per- each interstate will receive at a min-
centage change in the inflation rate. imum, the same level of funding re-
(5) Cap on annual funding increases. ceived in the previous fiscal year. The
The maximum allotment to any State funding floor for each interstate agen-
will be 150 percent of that State’s allot- cy will be adjusted for inflation when
ment for the previous fiscal year. the funds appropriated for states under
(6) Cap on component ratio. A compo- the Water Pollution Control State
nent ratio is equal to each State’s grant program increase from the pre-
share of the national total of a single ceding fiscal year. These adjustments
component. The cap on each of the six will be made on the basis of the cumu-
State formula components ratios is 10 lative change in the Consumer Price
percent. If a State’s calculated compo- Index (CPI), published by the U.S. De-
nent ratio for a particular component partment of Labor, since the most re-
exceeds the 10 percent cap, the State cent year in which Water Pollution
will instead be assigned 10 percent for Control State grant funding increased.
398
Inflation adjustments to the interstate § 35.165 Maintenance of effort.

agency funding floor will be capped at
To receive a Water Pollution Control
the lesser of the percentage of change
grant, a State or interstate agency
in appropriated funds or the cumu-
lative percentage change in the infla- must expend annually for recurrent
tion rate. If the appropriation for section 106 program expenditures an
states under the Water Pollution Con- amount of non-federal funds at least
trol State grant program decreases in equal to expenditures during the fiscal
future years, the funding floor will be year ending June 30, 1971.
disregarded and all interstate agency
§ 35.168 Award limitations.
allotments will be reduced by an equal
percentage. (a) The Regional Administrator may
(2) Variable allotment. The variable al- award section 106 funds to a State only
lotment provides for funds to be dis- if:
tributed to interstate agencies on the (1) The State monitors and compiles,
basis of the extent of the pollution analyzes, and reports water quality
problems in the respective States. data as described in section 106(e)(1) of
Funds not allotted under the base al- the Clean Water Act;
lotment will be allotted to eligible (2) The State has authority com-
interstate agencies based on each parable to that in section 504 of the
interstate agency’s share of their mem- Clean Water Act and adequate contin-
ber States’ Water Pollution Control gency plans to implement such author-
grant formula allotment ratios. Up- ity;
dates of the data for the six compo- (3) There is no federally-assumed en-
nents of the Water Pollution Control
forcement as defined in section
State grant allocation formula will
309(a)(2) of the Clean Water Act in ef-
automatically result in corresponding
fect with respect to the State agency;
updates to the variable allotment por-
tion of the interstate allotments. The (4) The State’s work plan shows that
allotment ratios for those States in- the activities to be funded are coordi-
volved in compacts with more than one nated, as appropriate, with activities
interstate agency will be allocated proposed for funding under sections
among such interstate agencies based 205(g) and (j) of the Clean Water Act;
on the percentage of each State’s terri- and
tory that is situated within the drain- (5) The State filed with the Adminis-
age basin or watershed area covered by trator within 120 days after October 18,
each compact. 1972, a summary report of the current
(d) Alternative allotment formula. Not- status of the State pollution control
withstanding paragraphs (b) and (c) of program, including the criteria used by
this section, if the Administrator de- the State in determining priority of
termines that a portion of the funds treatment works.
appropriated under the Water Pollu- (b) The Regional Administrator may
tion Control grant program should be award section 106 funds to an interstate
allotted for specific water pollution agency only if:
control elements, the Administrator (1) The interstate agency filed with
may allot those funds to States and the Administrator within 120 days after
interstate agencies in accordance with October 18, 1972, a summary report of
a formula determined by him after con- the current status of the State pollu-
sultation with the respective States tion control program, including the
and interstate agencies. The Adminis- criteria used by the State in deter-
trator will make this determination mining priority of treatment works.
under this paragraph only if EPA’s ap-
(2) There is no federally-assumed en-
propriation process indicates that
forcement as defined in section
these funds should be used for this pur-
pose. 309(a)(2) of the Clean Water Act in ef-
fect with respect to the interstate
[66 FR 1734, Jan. 9, 2001, as amended at 69 FR agency.

59812, Oct. 6, 2004; 71 FR 18, Jan. 3, 2006; 73 FR
52590, Sept. 10, 2008; 74 FR 17405, Apr. 15, 2009]
399
§ 35.170 40 CFR Ch. I (7–1–21 Edition)
PUBLIC WATER SYSTEM SUPERVISION UNDERGROUND WATER SOURCE

(SECTION 1443(a)) PROTECTION (SECTION 1443(b))
§ 35.170 Purpose. § 35.190 Purpose.

(a) Purpose of section. Sections 35.170 (a) Purpose of section. Sections 35.190
through 35.178 govern Public Water through 35.198 govern Underground
System Supervision Grants to States Water Source Protection Grants to
(as defined in section 1401 (13)(A) of the States (as defined in section 1401(13)(A)
Safe Drinking Water Act) authorized of the Safe Drinking Water Act) au-
under section 1443(a) of the Act. thorized under section 1443(b) of the
(b) Purpose of program. Public Water Act.
(b) Purpose of program. The Under-
System Supervision Grants are award-
ground Water Source Protection
ed to carry out public water system su-
Grants are awarded to carry out under-
pervision programs including imple-
ground water source protection pro-
mentation and enforcement of the re-
grams.
quirements of the Act that apply to
(c) Associated program regulations. As-
public water systems.
sociated program regulations are found
(c) Associated program regulations. As- in 40 CFR 124, 144, 145, 146, and 147.
sociated program regulations are found
in 40 CFR parts 141, 142, and 143. § 35.192 Basis for allotment.
The Administrator allots funds for
§ 35.172 Allotment.
grants to support State’s underground
(a) Basis for allotment. The Adminis- water source protection programs
trator allots funds for grants to sup- based on such factors as population, ge-
port States’ Public Water System Su- ographic area, extent of underground
pervision programs based on each injection practices, and other relevant
State’s population, geographic area, factors.
numbers of community and non-com-
munity water systems, and other rel- § 35.195 Maximum federal share.
evant factors. The Regional Administrator may
(b) Allotment limitation. No State, ex- provide a maximum of 75 percent of a
cept American Samoa, Guam, the Vir- State’s approved work plant costs.
gin Islands, and the Commonwealth of
the Northern Mariana Islands, shall be § 35.198 Award limitation.
allotted less than $334,500 (which is one The Regional Administrator will
percent of the FY 1989 appropriation). only award section 1443(b) funds to
States that have primary enforcement
§ 35.175 Maximum federal share. responsibility for the underground
The Regional Administrator may water source protection program.
provide a maximum of 75 percent of the
HAZARDOUS WASTE MANAGEMENT
State’s approved work plan costs.
(SECTION 3011(a))
§ 35.178 Award limitations. § 35.210 Purpose.
(a) Initial grants. The Regional Ad- (a) Purpose of section. Sections 35.210
ministrator will not make an initial through 35.218 govern Hazardous Waste
award unless the applicant has an ap- Management Grants to States (as de-
proved Public Water System Super- fined in section 1004 of the Solid Waste
vision program or agrees to establish Disposal Act) under section 3011(a) of
an approvable program within one year the Act.
of the initial award. (b) Purpose of program. Hazardous
(b) Subsequent grants. The Regional Waste Management Grants are awarded
Administrator will not award a grant to assist States in the development and
to a State after the initial award un- implementation of authorized State
less the applicant has assumed and hazardous waste management pro-
maintained primary enforcement re- grams.

sponsibility for the State’s Public (c) Associated program regulations. As-
Water System Supervision program. sociated program regulations are at 40
400
CFR part 124, subparts B, E, and F; 40 (1) The State’s population,

CFR parts 260 through 266; 40 CFR (2) The number of pesticide-pro-
parts 268 through 273; and 40 CFR part ducing establishments,
279. (3) The numbers of certified private
and commercial pesticide applicators,
(4) The number of farms and their
The Administrator allots funds for acreage, and
Hazardous Waste Management Grants (5) As appropriate, the State’s poten-
in accordance with section 3011(b) of
tial farm worker protection concerns.
the Solid Waste Disposal Act based on
(b) Final allotments. Final allotments
factors including:
(a) The extent to which hazardous are negotiated between each State and
waste is generated, transported, treat- the appropriate Regional Adminis-
ed, stored, and disposed of in the State; trator.
(b) The extent to which human
beings and the environment in the § 35.235 Maximum federal share.
State are exposed to such waste, and; The Regional Administrator may
(c) Other factors the Administrator provide up to 100 percent of the ap-
deems appropriate. proved work plan costs.
§ 35.215 Maximum federal share. PESTICIDE APPLICATOR CERTIFICATION
The Regional Administrator may AND TRAINING (SECTION 23(a)(2))
provide up to 75 percent of the ap-
proved work plant costs. § 35.240 Purpose.
§ 35.218 Award limitation.
through 35.245 govern Pesticide Appli-
The Regional Administrator will not cator Certification and Training
award Hazardous Waste Management Grants to States (as defined in section
Grants to a State with interim or final 2 of Federal Insecticide, Fungicide, and
hazardous waste authorization unless Rodenticide Act) under section 23(a)(2)
the applicant is the lead agency des-
of the Act.
ignated in the authorization agree-
(b) Purpose of program. Pesticide Ap-
ment.
plicator Certification and Training
PESTICIDE COOPERATIVE ENFORCEMENT Grants are awarded to train and certify
(SECTION 23(a)(1)) restricted use pesticide applicators.
(c) Associated program regulations. As-
§ 35.230 Purpose. sociated program regulations are found
(a) Purpose of section. Sections 35.230 in 40 CFR parts 162, 170, and 171.
through 35.235 govern Pesticide En-
forcement Cooperative Agreements to § 35.242 Basis for allotment.
States (as defined in section 2 of Fed- The Regional Administrator con-
eral Insecticide, Fungicide, and siders two factors in allotting pes-
Rodenticide Act) under section 23(a)(1) ticides applicator certification and
of the Act.
training funds:
(b) Purpose of program. Pesticides En-
forcement Cooperative Agreements are (a) The number of farms in each
awarded to assist States to implement State; and
pesticide enforcement programs. (b) The numbers of private and com-
(c) Program regulations. Associated mercial applicators requiring certifi-
program regulations are at 40 CFR cation and recertification in each
parts 150 through 189 and 19 CFR part State.
12.
§ 35.232 Basis for allotment. The Regional Administrator may
(a) Factors for FIFRA enforcement pro- provide up to 50 percent of the ap-
gram funding. The factors considered in proved work plan costs.

allotment of funds for enforcement of
FIFRA are:
401
§ 35.250 40 CFR Ch. I (7–1–21 Edition)
PESTICIDE PROGRAM IMPLEMENTATION (b) Purpose of program. Nonpoint

(SECTION 23(a)(1)) Source Management Grants may be
awarded for the implementation of
§ 35.250 Purpose. EPA-approved nonpoint source man-
(a) Purpose of section. Sections 35.250 agement programs, including ground-
through 35.259 govern Pesticide Pro- water quality protection activities,
gram Implementation Cooperative that will advance the implementation
Agreements to States (as defined in of a comprehensive approved nonpoint
section 2 of Federal Insecticide, Fun- source management program.
gicide, and Rodenticide Act) under sec-
tion 23(a)(1) of the Act. § 35.265 Maximum federal share.
(b) Purpose of program. Pesticide Pro- The Regional Administrator may
gram Implementation Cooperative provide up to 60 percent of the ap-
Agreements are awarded to assist proved work plan costs in any fiscal
States to develop and implement pes- year. The non-federal share of costs
ticide programs, including programs must be provided from non-federal
that protect workers, groundwater, and sources.
endangered species from pesticide risks
and for other pesticide management § 35.266 Maintenance of effort.
programs designated by the Adminis-
To receive section 319 funds in any
trator.
fiscal year, a State must agree to
(c) Program regulations. Associated
maintain its aggregate expenditures
program regulations are at 40 CFR
from all other sources for programs for
parts 150 through 189 and 19 CFR part
12. controlling nonpoint pollution and im-
proving the quality of the State’s
§ 35.251 Basis for allotment. waters at or above the average level of
such expenditures in Fiscal Years 1985
(a) Factors for pesticide program imple- and 1986.
mentation funding. The factors consid-
ered in allotment of funds for pesticide § 35.268 Award limitations.
program implementation are based
upon potential ground water, endan- The following limitations apply to
gered species, and worker protection funds appropriated and awarded under
concerns in each State relative to section 319(h) of the Act in any fiscal
other States and on other factors the year.
Administrator deems appropriate for (a) Award amount. The Regional Ad-
these or other pesticide program imple- ministrator will award no more than 15
mentation activities. percent of the amount appropriated to
(b) Final allotments. Final allotments carry out section 319(h) of the Act to
are negotiated between each State and any one State. This amount includes
the appropriate Regional Adminis- any grants to any local public agency
trator. or organization with authority to con-
trol pollution from nonpoint sources in
§ 35.252 Maximum federal share. any area of the State.
The Regional Administrator may (b) Financial assistance to persons.
provide up to 100 percent of the ap- States may use funds for financial as-
proved work plan costs. sistance to persons only to the extent
that such assistance is related to the
NONPOINT SOURCE-MANAGEMENT cost of demonstration projects.
(SECTION 319(h)) (c) Administrative costs. Administra-
tive costs in the form of salaries, over-
§ 35.260 Purpose. head, or indirect costs for services pro-
(a) Purpose of section. Sections 35.260 vided and charged against activities
through 35.268 govern Nonpoint Source and programs carried out with these
Management Grants to States (as de- funds shall not exceed 10 percent of the
fined in section 502 of the Clean Water funds the State receives in any fiscal
Act) authorized under section 319 of the year. The cost of implementing en-
Act. forcement and regulatory activities,
402
education, training, technical assist- Control Act), under section 404(g) of

ance, demonstration projects, and tech- the Act.
nology transfer programs are not sub- (b) Purpose of program. Lead-Based
ject to this limitation. Paint Program Grants are awarded to
(d) Requirements. The Regional Ad- develop and carry out authorized pro-
ministrator will not award section grams to ensure that individuals em-
319(h) funds to a State unless: ployed in lead-based paint activities
(1) Approved assessment report. EPA are properly trained; that training pro-
has approved the State’s assessment grams are accredited; and that contrac-
report on nonpoint sources, prepared in tors employed in such activities are
accordance with section 319(a) of the certified.
Act; (c) Associated program regulations. As-
(2) Approved State management pro- sociated program regulations are found
gram. EPA has approved the State’s in 40 CFR part 745.
management program for nonpoint
§ 35.272 Funding coordination.
sources, prepared in accordance with
section 319(b) of the Act; Recipients must use the lead-based
(3) Progress on reducing pollutant load- paint program funding in a way that
ings. The Regional Administrator de- complements any related assistance
termines that the State made satisfac- they receive from other federal sources
tory progress in the preceding fiscal for lead-based paint activities.
year in meeting its schedule for achiev-
STATE INDOOR RADON GRANTS (SECTION
ing implementation of best manage-
306)
ment practices to reduce pollutant
loadings from categories of nonpoint § 35.290 Purpose.
sources, or particular nonpoint
sources, designated in the State’s man- (a) Purpose of section. Sections 35.290
agement program. The State must through 35.298 govern Indoor Radon
have developed this schedule in accord- Grants to States (as defined in section
ance with section 319(b)(2)(c) of the 3 of the Toxic Substances Control Act,
Act; which include territories and the Dis-
trict of Columbia) under section 306 of
(4) Activity and output descriptions.
the Toxic Substances Control Act.
The work plan briefly describes each
(b) Purpose of program. (1) State In-
significant category of nonpoint source
door Radon Grants are awarded to as-
activity and the work plan commit-
sist States with the development and
ments to be produced for each cat-
implementation of programs that as-
egory; and
sess and mitigate radon and that aim
(5) Significant watershed projects. For at reducing radon health risks. State
watershed projects whose costs exceed Indoor Radon Grant funds may be used
$50,000, the work plan also contains: for the following eligible activities:
(i) A brief synopsis of the watershed (i) Survey of radon levels, including
implementation plan outlining the special surveys of geographic areas or
problem(s) to be addressed; classes of buildings (such as public
(ii) The project’s goals and objec- buildings, school buildings, high-risk
tives; and residential construction types);
(iii) The performance measures or en- (ii) Development of public informa-
vironmental indicators that will be tion and education materials con-
used to evaluate the results of the cerning radon assessment, mitigation,
project. and control programs;
(iii) Implementation of programs to
LEAD-BASED PAINT PROGRAM (SECTION control radon on existing and new
404(g)) structures;
(iv) Purchase by the State of radon
§ 35.270 Purpose. measurement equipment and devices;
(a) Purpose of section. Sections 35.270 (v) Purchase and maintenance of ana-
through 35.278 govern Lead-Based Paint lytical equipment connected to radon

Program Grants to States (as defined measurement and analysis, including
in section 3 of the Toxic Substances costs of calibration of such equipment;
403
§ 35.292 40 CFR Ch. I (7–1–21 Edition)
(vi) Payment of costs of EPA-ap- § 35.298 Award limitations.

proved training programs related to
(a) The Regional Administrator shall
radon for permanent State or local em-
not include State Indoor Radon funds
ployees;
in a Performance Partnership Grant
(vii) Payment of general overhead
awarded to another State Agency with-
and program administration costs in
out consulting with the State Agency
accordance with § 35.298(d);
which has the primary responsibility
(viii) Development of a data storage for radon programs as designated by
and management system for informa- the Governor of the affected State.
tion concerning radon occurrence, lev-
(b) No grant may be made in any fis-
els, and programs;
cal year to a State which in the pre-
(ix) Payment of costs of demonstra- ceding fiscal year did not satisfactorily
tion of radon mitigation methods and implement the activities funded by the
technologies as approved by EPA, in- grant in the preceding fiscal year.
cluding State participation in the EPA
(c) The costs of radon measurement
Home Evaluation Program; and
equipment or devices (see
(x) A toll-free radon hotline to pro- § 35.290(b)(1)(iv)) and demonstration of
vide information and technical assist- radon mitigation, methods, and tech-
ance. nologies (see § 35.290(b)(1)(ix)) shall not,
(2) States may use grant funds to as- in the aggregate, exceed 50 percent of a
sist local governments in implementa- State’s radon grant award in a fiscal
tion of activities eligible for assistance year.
under paragraphs (b)(1)(ii), (iii), and (d) The costs of general overhead and
(vi) of this section. program administration (see
(3) In implementing paragraphs § 35.290(b)(1)(vii)) of a State Indoor
(b)(1)(iv) and (ix) of this section, a Radon grant shall not exceed 25 per-
State should make every effort, con- cent of the amount of a State’s Indoor
sistent with the goals and successful Radon Grant in a fiscal year.
operation of the State radon program, (e) A State may use funds for finan-
to give preference to low-income per- cial assistance to persons only to the
sons. extent such assistance is related to
(4) Funds appropriated for section 306 demonstration projects or the purchase
may not be used to cover the costs of and analysis of radon measurement de-
federal proficiency rating programs vices.
under section 305(a)(2) of the Act. (f) Recipients must provide the Re-
Funds appropriated for section 306 and gional Administrator all radon-related
grants awarded under section 306 may information generated in its grant sup-
be used to cover the costs of State pro- ported activities, including the results
ficiency rating programs. of radon surveys, mitigation dem-
onstration projects, and risk commu-
nication studies.
(a) The Regional Administrator will (g) Recipients must maintain and
allot State Indoor Radon Grant funds make available to the public, a list of
based on the criteria in EPA Guidance firms and individuals in the State that
in accordance with sections 306(d) and have received a passing rating under
(e) of the Toxic Substances Control the EPA proficiency rating program
Act. under section 305(a)(2) of the Act.
(b) No State may receive a State In-
door Radon Grant in excess of 10 per- TOXIC SUBSTANCES COMPLIANCE
cent of the total appropriated amount MONITORING (SECTION 28)
made available each fiscal year.
§ 35.310 Purpose.
§ 35.295 Maximum federal share. (a) Purpose of section. Sections 35.310
The Regional Administrator may through 35.315 govern Toxic Substances
provide State agencies up to 50 percent Compliance Monitoring Grants to
of the approved costs for the develop- States (as defined in section 3(13) of the
ment and implementation of radon pro- Toxic Substances Control Act) under
gram activities. section 28(a) of the Act.
404
(b) Purpose of program. Toxic Sub- § 35.332 Basis for allotment.

stances Compliance Monitoring Grants
The Administrator allots State Un-
are awarded to establish and operate derground Storage Tank Grant funds
compliance monitoring programs to to each EPA regional office. Regional
prevent or eliminate unreasonable Administrators award funds to States
risks to health or the environment as- based on their programmatic needs and
sociated with chemical substances or applicable EPA guidance.
mixtures within the States with re-
spect to which the Administrator is un- § 35.335 Maximum federal share.
able or not likely to take action for
The Regional Administrator may
their prevention or elimination.
(c) Associated program regulations. As- proved work plan costs.
sociated program regulations are at 40
CFR parts 700 through 799. POLLUTION PREVENTION STATE GRANTS
(SECTION 6605)
EPA will allot and award Toxic Sub- § 35.340 Purpose.
stances Control Act Compliance Moni- (a) Purpose of section. Sections 35.340
toring grant funds to States based on through 35.349 govern Pollution Pre-
national program guidance. vention State Grants under section 6605
of the Pollution Prevention Act.
[71 FR 7415, Feb. 13, 2006]
(b) Purpose of program. Pollution Pre-
§ 35.315 Maximum federal share. vention State Grants are awarded to
promote the use of source reduction
The Regional Administrator may techniques by businesses.
proved work plan costs. § 35.342 Competitive process.
EPA Regions award Pollution Pre-
vention State Grants to State pro-
If the toxic substances compliance grams through a competitive process in
monitoring grant funds are included in accordance with EPA guidance. When
a Performance Partnership Grant, the evaluating State applications, EPA
toxic substances compliance moni- must consider, among other criteria,
toring work plan commitments must whether the proposed State program
be included in the Performance Part- would:
nership Grant work plan. (a) Make specific technical assistance
available to businesses seeking infor-
STATE UNDERGROUND STORAGE TANKS mation about source reduction oppor-
(SECTION 2007(f)(2)) tunities, including funding for experts
to provide onsite technical advice to
§ 35.330 Purpose. businesses seeking assistance in the de-
(a) Purpose of section. Sections 35.330 velopment of source reduction plans;
through 35.335 govern Underground (b) Target assistance to businesses
Storage Tank Grants to States (as de- for whom lack of information is an im-
fined in section 1004 of the Solid Waste pediment to source reduction; and
Disposal Act) under section 2007(f)(2) of (c) Provide training in source reduc-
the Act. tion techniques. Such training may be
(b) Purpose of program. State Under- provided through local engineering
ground Storage Tank Grants are schools or other appropriate means.
awarded to States to develop and im-
plement a State underground storage § 35.343 Definitions.
tank release detection, prevention, and In addition to the definitions in
corrective action program under Sub- § 35.102, the following definitions apply
title I of the Resource Conservation to the Pollution Prevention State
and Recovery Act. Grants program and to §§ 35.340 through
(c) Associated program regulations. As- 35.349:

sociated program regulations are found (a) Pollution prevention/source re-
in 40 CFR parts 280 through 282. duction is any practice that:
405
§ 35.345 40 CFR Ch. I (7–1–21 Edition)
(1) Reduces the amount of any haz- pollution control agencies and inter-
ardous substance, pollutant, or con- state agencies (as defined in section 502
taminant entering any waste stream or of the Clean Water Act) and local gov-
otherwise released into the environ- ernment agencies under section
ment (including fugitive emissions) 104(b)(3) of the Act. These sections do
prior to recycling, treatment, or dis- not govern Water Quality Cooperative
posal; Agreements to other entities eligible
(2) Reduces the hazards to public under section 104(b)(3).
health and the environment associated (b) Purpose of program. EPA awards
with the release of such substances,
Water Quality Cooperative Agreements
pollutants, or contaminants; or
for investigations, experiments, train-
(3) Reduces or eliminates the cre-
ation of pollutants through: ing, demonstrations, surveys, and stud-
(i) Increased efficiency in the use of ies relating to the causes, effects, ex-
raw materials, energy, water, or other tent, prevention, reduction, and elimi-
resources; or nation of water pollution. EPA issues
(ii) Protection of natural resources guidance each year advising EPA re-
by conservation. gions and headquarters regarding ap-
(b) Pollution prevention/source re- propriate priorities for funding for this
duction does not include any practice program. This guidance may include
which alters the physical, chemical, or such focus areas as National Pollutant
biological characteristics or the vol- Discharge Elimination System water-
ume of a hazardous substance, pollut- shed permitting, urban wet weather
ant, or contaminant through a process programs, or innovative pretreatment
or activity which itself is not integral program or biosolids projects.
to and necessary for the production of
a product or the providing of a service. [66 FR 1734, Jan. 9, 2001, as amended at 79 FR
76055, Dec. 19, 2014]
§ 35.345 Eligible applicants.
§ 35.362 Competitive process.
Applicants eligible for funding under
the Pollution Prevention program in- EPA will award Water Quality Coop-
clude any agency or instrumentality, erative Agreement funds through a
including State universities, of the 50 competitive process in accordance with
States, the District of Columbia, the national program guidance.
U.S. Virgin Islands, the Commonwealth
of Puerto Rico, and any territory or § 35.364 Maximum federal share.
possession of the United States. The Regional Administrator may
provide up to 100 percent of approved
work plan costs.
If a State includes a Pollution Pre-
vention State Grant in a Performance STATE WETLANDS DEVELOPMENT
Partnership Grant, the work plan com- GRANTS (SECTION 104(b)(3))
mitments must be included in the Per-
formance Partnership Grant work plan § 35.380 Purpose.
(see § 35.138).
§ 35.349 Maximum federal share. through 35.385 govern State Wetlands
Development Grants for State and
The federal share for Pollution Pre-
interstate agencies (as defined in sec-
vention State Grants will not exceed 50
percent of the allowable pollution pre- tion 502 of the Clean Water Act) and
vention State grant project cost. local government agencies under sec-
tion 104(b)(3) of the Act. These sections
WATER QUALITY COOPERATIVE do not govern Water Quality Coopera-
AGREEMENTS (SECTION 104(b)(3)) tive Agreements to other entities eligi-
ble under section 104(b)(3).
§ 35.360 Purpose. (b) Purpose of program. EPA awards
(a) Purpose of section. Sections 35.360 State Wetlands Development Grants to

through 35.364 govern Water Quality
Cooperative Agreements to State water
406
assist in the development of new, or re- that those elements are consistent
finement of existing, wetlands protec- with 40 CFR part 35, subpart I.
tion and management programs. (2) Permit and planning grants. A
[66 FR 1734, Jan. 9, 2001, as amended at 79 FR State may use section 205(g) funds for
76055, Dec. 19, 2014] administering permit programs under
sections 402 and 404, including Munic-
§ 35.382 Competitive process. ipal Wastewater Pollution Prevention
State Wetlands Development Grants activities under an approved section
are awarded on a competitive basis. 402 program and State operator train-
EPA annually establishes a deadline ing programs, and for administering
for receipt of proposed grant project statewide waste treatment manage-
applications. EPA reviews applications ment planning programs, including the
and decides which grant projects to development of State biosolids man-
fund in a given year based on criteria agement programs, under section
established by EPA. After the competi- 208(b)(4). Some of these activities may
tive process is complete, the recipient
also be eligible for funding under sec-
can, at its discretion, accept the award
tions 106 (Water Pollution Control),
as a State Wetlands Development
Grant or add the funds to a Perform- 205(j)(2) (Water Quality Management
ance Partnership Grant. If the recipi- Planning), and 104(b)(3) (Water Quality
ent chooses to add the funds to a Per- Cooperative Agreements and Wetlands
formance Partnership Grant, the wet- Development Grants) of the Clean
lands development program work plan Water Act. (See §§ 35.160, 35.410, 35.360,
commitments must be included in the and 35.380.)
Performance Partnership Grant work (c) Associated program requirements.
plan. Program requirements for State con-
struction management activities under
§ 35.385 Maximum federal share. delegation are provided in 40 CFR part
EPA may provide up to 75 percent of 35, subparts I and J. Program require-
the approved work plan costs for the ments for water quality management
development or refinement of a wet- activities are provided in 40 CFR part
lands protection and management pro- 130.
gram.
§ 35.402 Allotment.
STATE ADMINISTRATION (SECTION 205(g))
Each State may reserve up to four
§ 35.400 Purpose. percent of the State’s authorized con-
(a) Purpose of section. Sections 35.400 struction grant allotment as deter-
through 35.408 govern State Adminis- mined by Congress or $400,000, which-
tration Grants to States (as defined in ever is greater, for section 205 (g)
section 502 of the Clean Water Act) au- grants.
thorized under section 205(g) of the
Act. § 35.405 Maintenance of effort.
(b) Purpose of program. EPA awards To receive funds under section 205(g),
these grants for the following two pur- a State agency must expend annually
poses: for recurrent section 106 program ex-
(1) Construction management grants. A penditures an amount of non-federal
State may use section 205(g) funds for funds at least equal to such expendi-
administering elements of the con- tures during fiscal year 1977, unless the
struction grant program under sections
Regional Administrator determines
201, 203, 204, and 212 of the Clean Water
that the reduction is attributable to a
Act and for managing waste treatment
construction grants for small commu- non-selective reduction of expenditures
nities. A State may also use construc- in State executive branch agencies (see
tion management assistance funds for § 35.165).
administering elements of a State’s
§ 35.408 Award limitations.

construction grant program which are
implemented without federal grants, if The Regional Administrator will not
the Regional Administrator determines award section 205(g) funds:
407
§ 35.410 40 CFR Ch. I (7–1–21 Edition)
(a) For construction management (3) Determination of the nature, ex-

grants unless there is a signed agree- tent, and causes of water quality prob-
ment delegating responsibility for ad- lems in various areas of the State and
ministration of those activities to the interstate region.
State. (4) Determination of those publicly
(b) For permit and planning grants owned treatment works which should
before awarding funds providing for the be constructed with State Revolving
management of a substantial portion of Fund assistance. This determination
the State’s construction grants pro- should take into account the relative
gram. The maximum amount of permit degree of effluent reduction attained,
and planning grants a State may re- the relative contributions to water
ceive is limited to the amount remain- quality of other point or nonpoint
ing in its reserve after the Regional sources, and the consideration of alter-
Administrator allows for full funding natives to such construction.
of the management of the construction (5) Implementation of section 303(e)
grant program under full delegation. of the Clean Water Act.
(c) Program requirements for water
(c) For permit and planning grants
quality management planning activi-
unless the work plan submitted with
ties are provided in 40 CFR part 130.
the application shows that the activi-
ties to be funded are coordinated, as § 35.412 Allotment.
appropriate, with activities proposed
States must reserve, each fiscal year,
for funding under sections 106 (Water
not less than $100,000 nor more than
Pollution Control) and 205(j) (Water
one percent of the State’s construction
Quality Management Planning) of the
grant allotment as determined by Con-
Clean Water Act.
gress for Water Quality Management
WATER QUALITY MANAGEMENT Planning Grants under section 205(j)(2).
PLANNING GRANTS (SECTION 205(j)(2)) However, Guam, the Virgin Islands,
American Samoa and the Common-
§ 35.410 Purpose. wealth of the Northern Mariana Islands
must reserve a reasonable amount for
(a) Purpose of section. Sections 35.410 this purpose. (See 40 CFR 35.3110(g)(4)
through 35.418 govern Water Quality regarding reserves from State allot-
Management Planning Grants to ments under Title VI of the Clean
States (as defined in section 502 of the Water Act for section 205(j) grants.)
Clean Water Act) authorized under sec-
tion 205(j)(2) of the Act. § 35.415 Maximum federal share.
(b) Purpose of program. EPA awards The Regional Administrator may
Water Quality Management Planning provide up to 100 percent of the ap-
Grants to carry out water quality man- proved work plan costs.
agement planning activities. Some of
these activities may also be eligible for § 35.418 Award limitations.
funding under sections 106 (Water Pol- The following limitations apply to
lution Control), 104(b)(3) (Water Qual- funds awarded under section 205(j)(2) of
ity Cooperative Agreements and Wet- the Clean Water Act. The Regional Ad-
lands Development Grants) and section ministrator will not award these
205(g) (State Administration Grants) of grants to a State agency:
the Clean Water Act. (See §§ 35.160, (a) Unless the agency develops its
35.360, 35.380, and 35.400.) EPA awards work plan jointly with local, regional
these grants for purposes such as: and interstate agencies and gives fund-
(1) Identification of the most cost-ef- ing priority to such agencies and des-
fective and locally acceptable facility ignated or undesignated public com-
and nonpoint measures to meet and prehensive planning organizations to
maintain water quality standards. carry out portions of that work plan.
(2) Development of an implementa- (b) Unless the agency reports annu-
tion plan to obtain State and local fi- ally on the nature, extent, and causes
nancial and regulatory commitments of water quality problems in various

to implement measures developed areas of the State and interstate re-
under paragraph (b)(1) of this section. gion.
408
(c) Unless the work plan submitted Stat. 1344, 1373 (1997); Pub. L. 105–276, 112
with the application shows that the ac- Stat. 2461, 2499 (1988).
tivities to be funded are coordinated, SOURCE: 66 FR 3795, Jan. 16, 2001, unless
as appropriate, with activities proposed otherwise noted.
for funding under section 106 (Water
Pollution Control) of the Clean Water GENERAL—ALL GRANTS
Act.
§ 35.500 Purpose of the subpart.
STATE RESPONSE PROGRAM GRANTS This subpart establishes administra-
(CERCLA SECTION 128(A)) tive requirements for all grants award-
ed to Indian Tribes and Intertribal
SOURCE: 74 FR 28444, June 16, 2009, unless Consortia for the environmental pro-
otherwise noted. grams listed in § 35.501. These provi-
sions supplement the EPA general as-
§ 35.419 Purpose. sistance regulations in 2 CFR parts 200
(a) Purpose of section. Sections 35.419 and 1500. Sections 35.500–518 contain ad-
through 35.421 govern State Response ministrative requirements that apply
Program Grants (as defined in section to all environmental program grants
128(a) of the Comprehensive Environ- included in this subpart. Sections 35.530
mental Response, Compensation, and through 35.718 contain requirements
Liability Act (CERCLA)). that apply to specified environmental
(b) Purpose of program. State Re- program grants. Many of these envi-
sponse Program Grants are awarded to ronmental programs also have pro-
States to establish or enhance the re- grammatic and technical requirements
sponse program of the State; capitalize that are published elsewhere in the
a revolving loan fund for Brownfield re- Code of Federal Regulations.
mediation under section 104(k)(3) of [66 FR 3795, Jan. 16, 2001, as amended at 79
CERCLA; or purchase insurance or de- FR 76055, Dec. 19, 2014]
velop a risk sharing pool, an indemnity
pool, or insurance mechanism to pro- § 35.501 Environmental programs cov-
vide financing for response actions ered by the subpart.
under a State response program. (a) The requirements in this subpart
apply to all grants awarded for the fol-
§ 35.420 Basis for allotment. lowing programs:
The Administrator allots response (1) Performance Partnership Grants
program funds to each EPA regional of- (1996 Omnibus Consolidated Rescissions
fice. Regional Administrators award and Appropriations Act of 1996, Pub. L.
funds to States based on their pro- 104–134; 110 Stat. 1321, 1321–299 (1996)
grammatic needs and applicable EPA and Departments of Veterans Affairs,
guidance. Housing and Urban Development, and
Independent Agencies Appropriations
§ 35.421 Maximum federal share. Act of 1998, Pub. L. 105–65; 111 Stat.
1344, 1373 (1997)).
The Regional Administrator may (2) The Indian Environmental Gen-
provide up to 100 percent of the ap- eral Assistance Program Act of 1992, 42
proved work plan costs with the excep- U.S.C. 4368b.
tion of the cost shares required by (3) Clean Air Act. Air pollution con-
CERCLA 104(k)(9)(B)(iii) for capitaliza- trol (section 105).
tion of revolving loan funds under (4) Clean Water Act.
CERCLA 104(k)(3). (i) Water pollution control (section
106 and 518).
Subpart B—Environmental (ii) Water quality cooperative agree-
Program Grants for Tribes ments (section 104(b)(3)).
(iii) Wetlands development grant pro-
AUTHORITY: 42 U.S.C. 7401 et seq.; 33 U.S.C.
gram (section 104(b)(3)).
1251 et seq.; 42 U.S.C. 300f et seq.; 42 U.S.C. 6901 (iv) Nonpoint source management
et seq.; 7 U.S.C. 136 et seq.; 15 U.S.C. 2601 et (section 319(h)).

seq.; 42 U.S.C. 13101 et seq.; Pub. L. 104–134, 110 (5) Federal Insecticide, Fungicide,
Stat. 1321, 1321–299 (1996); Pub. L. 105–65, 111 and Rodenticide Act.
409
§ 35.502 40 CFR Ch. I (7–1–21 Edition)
(i) Pesticide cooperative enforcement grant program. After the award is

(section 23(a)(1)). made, recipients must account for
(ii) Pesticide applicator certification grant funds in accordance with the
and training (section 23(a)(2)). funds’ original environmental program
(iii) Pesticide program implementa- sources. Consolidated grants are not
tion (section 23(a)(1)). Performance Partnership Grants.
(6) Pollution Prevention Act of 1990. Environmental program. A program for
Pollution prevention grants for Tribes which EPA awards grants under the au-
(section 6605). thorities listed in § 35.501. The grants
(7) Safe Drinking Water Act. are subject to the requirements of this
(i) Public water system supervision subpart.
(section 1443(a)). Federal Indian reservation. All land
(ii) Underground water source protec- within the limits of any Indian reserva-
tion (section 1443(b)). tion under the jurisdiction of the
(8) Toxic Substances Control Act.
United States Government, notwith-
(i) Lead-based paint program (section
standing the issuance of any patent,
404(g)).
and, including rights-of-way running
(ii) Indoor radon grants (section 306).
(iii) Toxic substances compliance through the reservation.
monitoring (section 28). Funding period. The period of time
(9) Department of Veterans Affairs specified in the grant agreement during
and Housing and Urban Development, which the recipient may expend or ob-
and Independent Agencies Appropria- ligate funds for the purposes set forth
tions Act, 1999 (Pub. L. 105–276; 112 in the agreement.
Stat. 2461, 2499; 42 U.S.C. 6908a). Intertribal Consortium or Consortia. A
(i) Hazardous Waste Management partnership between two or more
Program Grants (Pub. L. 105–276; 112 Tribes that is authorized by the gov-
Stat. 2461, 2499; 42 U.S.C. 6908a). erning bodies of those Tribes to apply
(ii) Underground Storage Tanks Pro- for and receive assistance under one or
gram Grants (Pub. L. 105–276; 112 Stat. more of the programs listed in § 35.501.
2461, 2499; 42 U.S.C. 6908a). National program guidance. Guidance
(10) Tribal Response Program Grants issued by EPA’s National Program
(section 128(a) of the Comprehensive Managers for establishing and main-
Environmental Response, Compensa- taining effective environmental pro-
tion, and Liability Act (CERCLA)). grams. This guidance establishes na-
(b) Unless otherwise prohibited by tional goals, objectives, and priorities
statute or regulation, the requirements as well as other information to be used
in § 35.500 through § 35.518 of this sub- in monitoring progress. The guidance
part also apply to grants to Indian may also set out specific environ-
Tribes and Intertribal Consortia under mental strategies, core performance
environmental programs established measures, criteria for evaluating pro-
after this subpart becomes effective, if grams, and other elements of program
specified in Agency guidance for such implementation.
programs. Outcome. The environmental result,
(c) In the event a grant is awarded effect, or consequence that will occur
from EPA headquarters for one of the from carrying out an environmental
programs listed in paragraph (a) of this program or activity that is related to
section, this subpart shall apply and an environmental or programmatic
the term ‘‘Regional Administrator’’ goal or objective. Outcomes must be
shall mean ‘‘Assistant Administrator’. quantitative, and they may not nec-
[66 FR 3795, Jan. 16, 2001, as amended at 74 essarily be achievable during a grant
FR 28444, June 16, 2009] funding period. See ‘‘output.’’
Output. An environmental activity or
§ 35.502 Definitions of terms. effort and associated work products re-
Terms are defined as follows when lated to an environmental goal or ob-
they are used in this regulation: jective that will be produced or pro-
Consolidated grant. A single grant vided over a period of time or by a

made to a recipient consolidating funds specified date. Outputs may be quan-
from more than one environmental titative or qualitative but must be
410
measurable during a grant funding pe- Work plan. The document which iden-
riod. See ‘‘outcome.’’ tifies how and when the applicant will
Performance Partnership Grant. A sin- use funds from environmental program
gle grant combining funds from more grants and is the basis for management
than one environmental program. A and evaluation of performance under
Performance Partnership Grant may the grant agreement to produce spe-
provide for administrative savings or cific outputs and outcomes (see 35.507).
programmatic flexibility to direct The work plan must be consistent with
grant resources where they are most applicable federal statutes; regula-
needed to address public health and en- tions; circulars; executive orders; and
vironmental priorities (see also EPA delegations, approvals, or author-
§ 35.530). Each Performance Partnership izations.
Grant has a single, integrated budget Work plan commitments. The outputs
and recipients do not need to account and outcomes associated with each
for grant funds in accordance with the work plan component, as established in
funds’ original environmental program the grant agreement.
Work plan component. A negotiated
sources.
set or group of work plan commitments
Planning target. The amount of funds established in the grant agreement. A
that the Regional Administrator sug- work plan may have one or more work
gests a grant applicant consider in de- plan components.
veloping its application, including the
work plan, for an environmental pro- § 35.503 Deviation from this subpart.
gram. EPA will consider and may approve
Regional supplemental guidance. Guid- requests for an official deviation from
ance to environmental program grant non-statutory provisions of this regula-
applicants prepared by the Regional tion in accordance with 2 CFR 1500.3.
Administrator, based on the national
program guidance and specific regional [79 FR 76055, Dec. 19, 2014]
and applicant circumstances, for use in § 35.504 Eligibility of an Intertribal
preparing a grant application. Consortium.
Tribal Environmental Agreement
(a) An Intertribal Consortium is eli-
(TEA). A dynamic, strategic planning
gible to receive grants under the au-
document negotiated by the Regional
thorities listed in § 35.501 only if the
Administrator and an appropriate Trib- Consortium demonstrates that all
al official. A Tribal Environmental members of the Consortium meet the
Agreement may include: Long-term eligibility requirements for the grant
and short-term environmental goals, and authorize the Consortium to apply
objectives, and desired outcomes based for and receive assistance in accord-
on Tribal priorities and available fund- ance with paragraph (c) of this section,
ing. A Tribal Environmental Agree- except as provided in paragraph (b) of
ment can be a very general or specific this section.
document that contains budgets, per- (b) An Intertribal Consortium is eli-
formance measures, outputs and out- gible to receive a grant under the In-
comes that could be used as part or all dian Environmental General Assist-
of a Performance Partnership Grant ance Program Act, in accordance with
work plan, if it meets the requirements § 35.540, if the Consortium demonstrates
of section 35.507(b). that:
Tribe. Except as otherwise defined in (1) A majority of its members meets
statute or this subpart, Indian Tribal the eligibility requirements for the
Government (Tribe) means: Any Indian grant;
Tribe, band, nation, or other organized (2) All members that meet the eligi-
group or community, including any bility requirements authorize the Con-
Alaska Native village, which is recog- sortium to apply for and receive assist-
nized as eligible by the United States ance; and
Department of the Interior for the spe- (3) It has adequate accounting con-
cial services provided by the United trols to ensure that only members that
States to Indians because of their sta- meet the eligibility requirements will
tus as Indians. benefit directly from the grant project
411
§ 35.505 40 CFR Ch. I (7–1–21 Edition)
and will receive and manage grant (2) National program guidance. If an
funds, and the Consortium agrees to a applicant proposes a work plan that
grant condition to that effect. differs significantly from the goals and
(c) An Intertribal Consortium must objectives, priorities, or performance
submit to EPA adequate documenta- measures in the national program guid-
tion of: ance associated with the proposed work
(1) The existence of the partnership plan activities, the Regional Adminis-
between Indian Tribal governments, trator must consult with the appro-
and priate National Program Manager be-
(2) Authorization of the Consortium fore agreeing to the work plan.
by all its members (or in the case of (3) Use of existing guidance. An appli-
the General Assistance Program, all cant should base the grant application
members that meet the eligibility re- on the national program guidance in
quirements for a General Assistance place at the time the application is
Program grant) to apply for and re- being prepared.
ceive the grant(s) for which the Consor- (b) Work plan requirements. (1) The
tium has applied. work plan is the basis for the manage-
ment and evaluation of performance
PREPARING AN APPLICATION under the grant agreement.
(2) An approvable work plan must
§ 35.505 Components of a complete ap- specify:
plication. (i) The work plan components to be
A complete application for an envi- funded under the grant;
ronmental program grant must: (ii) The estimated work years and es-
(a) Meet the requirements in 2 CFR timated funding amounts for each
part 200, subpart C. work plan component;
(b) Include a proposed work plan (iii) The work plan commitments for
(§ 35.507 of this subpart); and each work plan component, and a time
(c) Specify the environmental pro- frame for their accomplishment;
gram and the amount of funds re- (iv) A performance evaluation proc-
quested. ess and reporting schedule in accord-
ance with § 35.515 of this subpart; and
[66 FR 3795, Jan. 16, 2001, as amended at 79 (v) The roles and responsibilities of
FR 76055, Dec. 19, 2014] the recipient and EPA in carrying out
the work plan commitments.
§ 35.506 Time frame for submitting an (3) The work plan must be consistent
application.
with applicable federal statutes; regu-
An applicant should submit a com- lations; circulars; executive orders; and
plete application to EPA at least 60 delegations, approvals, or authoriza-
days before the beginning of the pro- tions.
posed funding period. (c) Tribal Environmental Agreement as
work plan. An applicant may use a
§ 35.507 Work plans. Tribal Environmental Agreement or a
(a) Bases for negotiating work plans. portion of the Tribal Environmental
The work plan is negotiated between Agreement as the work plan or part of
the applicant and the Regional Admin- the work plan for an environmental
istrator and reflects consideration of program grant if the portion of the
national, regional, and Tribal environ- Tribal Environmental Agreement that
mental and programmatic needs and is to serve as the grant work plan:
priorities. (1) Is clearly identified as the grant
(1) Negotiation considerations. In nego- work plan and distinguished from other
tiating the work plan, the Regional Ad- portions of the Tribal Environmental
ministrator and applicant will consider Agreement; and
such factors as national program guid- (2) Meets the requirements in
ance; any regional supplemental guid- § 35.507(b).
ance; goals, objectives, and priorities
proposed by the applicant; other joint- § 35.508 Funding period.

ly identified needs or priorities; and The Regional Administrator and ap-
the planning target. plicant may negotiate the length of the
412
funding period for environmental pro- (b) If the Regional Administrator

gram grants, subject to limitations in finds the application does not satisfy
appropriations and authorizing stat- the criteria in paragraph (a) of this sec-
utes. tion, the Regional Administrator may
either:
§ 35.509 Consolidated grants. (1) Conditionally approve the applica-
Any applicant eligible to receive tion if only minor changes are re-
funds from more than one environ- quired, with grant conditions necessary
mental program may submit an appli- to ensure compliance with the criteria,
cation for a consolidated grant. For or
consolidated grants, an applicant pre- (2) Disapprove the application in
pares a single budget and work plan writing.
covering all of the environmental pro- [66 FR 3795, Jan. 16, 2001, as amended at 79
grams included in the application. The FR 76055, Dec. 19, 2014]
consolidated budget must identify each
environmental program to be included, § 35.512 Factors considered in deter-
the amount of each program’s funds, mining award amount.
and the extent to which each program’s (a) After approving an application
funds support each work plan compo- under § 35.511, the Regional Adminis-
nent. Recipients of consolidated grants trator will consider such factors as the
must account for grant funds in ac- amount of funds available for award to
cordance with the funds’ environ- Indian Tribes and Intertribal Con-
mental program sources; funds in- sortia, the extent to which the pro-
cluded in a consolidated grant from a posed work plan is consistent with
particular environmental program may EPA guidance and mutually agreed
be used only for that program. upon priorities, and the anticipated
cost of the work plan relative to the
EPA ACTION ON APPLICATION proposed work plan components to de-
termine the amount of funds to be
§ 35.510 Time frame for EPA action. awarded.
The Regional Administrator will re- (b) If the Regional Administrator
view a complete application and either finds that the requested level of fund-
approve, conditionally approve, or dis- ing is not justified, the Regional Ad-
approve it within 60 days of receipt. ministrator will attempt to negotiate a
The Regional Administrator will award resolution of the issues with the appli-
grants for approved or conditionally cant before determining the award
approved applications if funds are amount.
available.
§ 35.513 Reimbursement for pre-award
§ 35.511 Criteria for approving an ap- costs.
plication. (a) Notwithstanding the require-
(a) After evaluating other applica- ments of 2 CFR parts 200 and 1500, EPA
tions as appropriate, the Regional Ad- may reimburse recipients for pre-award
ministrator may approve an applica- costs incurred from the beginning of
tion upon determining that: the funding period established in the
(2) The application meets the re- grant agreement if such costs would
quirements of all applicable federal have been allowable if incurred after
statutes; regulations; circulars; execu- the award and the recipients submitted
tive orders; and EPA delegations, ap- complete grant applications before the
provals, or authorizations; beginning of the budget period. Such
(3) The proposed work plan complies costs must be specifically identified in
with the requirements of § 35.507 of this the grant application EPA approves.
subpart; and (b) The applicant incurs pre-award
(4) The achievement of the proposed costs at its own risk. EPA is under no
work plan is feasible, considering such obligation to reimburse such costs un-
factors as the applicant’s existing cir- less they are included in an approved
cumstances, past performance, pro- grant application.

gram authority, organization, re- [66 FR 3795, Jan. 16, 2001, as amended at 79
sources, and procedures. FR 76055, Dec. 19, 2014]
413
§ 35.514 40 CFR Ch. I (7–1–21 Edition)
POST-AWARD REQUIREMENTS terms and conditions of the federal

grant to the recipient. If the revision
§ 35.514 Amendments and other requested by the subgrantee would re-
changes. sult in a significant change to the re-
The following provisions govern cipient’s approved grant which requires
amendments and other changes to EPA approval, the recipient will obtain
grant work plans and budgets after the EPA’s approval before approving the
work plan is negotiated and a grant subgrantee’s request.
awarded.
(a) Changes requiring prior approval. FR 76055, Dec. 19, 2014]
The recipient needs the Regional Ad-
ministrator’s prior written approval to § 35.515 Evaluation of performance.
make significant post-award changes
to work plan commitments. EPA, in (a) Joint evaluation process. The appli-
consultation with the recipient, will cant and the Regional Administrator
document approval of these changes in- will develop a process for jointly evalu-
cluding budgeted amounts associated ating and reporting progress and ac-
with the revisions. complishments under the work plan
(b) Changes requiring approval. Recipi- (see section 35.507(b)(2)(iv)). A descrip-
ents must request, in writing, grant tion of the evaluation process and re-
amendments for changes requiring in- porting schedule must be included in
creases in environmental program the work plan. The schedule must re-
grant amounts and extensions of the quire the recipient to report at least
funding period. Recipients may begin annually and must satisfy the require-
implementing a change before the ments for progress reporting under 2
amendment has been approved by EPA, CFR 200.328.
but do so at their own risk. If EPA ap- (b) Elements of the evaluation process.
proves the change, EPA will issue a The evaluation process must provide
grant amendment. EPA will notify the for:
recipient in writing if the change is (1) A discussion of accomplishments
disapproved. as measured against work plan com-
(c) Changes not requiring approval. mitments;
Other than those situations described (2) A discussion of the cumulative ef-
in paragraphs (a) and (b) of this sec- fectiveness of the work performed
tion, recipients do not need to obtain under all work plan components;
approval for changes, including (3) A discussion of existing and po-
changes in grant work plans, budgets, tential problem areas; and
or other parts of grant agreements, un- (4) Suggestions for improvement, in-
less the Regional Administrator deter- cluding, where feasible, schedules for
mines approval requirements should be making improvements.
imposed on a specific recipient for a (c) Resolution of issues. If the joint
specified period of time. evaluation reveals that the recipient
(d) Office of Management and Budget has not made sufficient progress under
(OMB) cost principles. The Regional Ad- the work plan, the Regional Adminis-
ministrator may waive, in writing, ap- trator and the recipient will negotiate
proval requirements for specific recipi- a resolution that addresses the issues.
ents and costs contained in OMB cost If the issues cannot be resolved
principles. through negotiation, the Regional Ad-
(e) Changes in consolidated grants. Re- ministrator may take appropriate
cipients of consolidated grants under measures under 2 CFR 200.338. The re-
§ 35.509 may not transfer funds among cipient may request review of the Re-
environmental programs. gional Administrator’s decision under
(f) Subgrants. Subgrantees must re- the dispute processes in 2 CFR part
quest required approvals in writing 1500, subpart E.
from the recipient and the recipient (d) Evaluation reports. The Regional
shall approve or disapprove the request Administrator will ensure that the re-
in writing. A recipient will not approve quired evaluations are performed ac-
any work plan or budget revision which cording to the negotiated schedule and
is inconsistent with the purpose or that copies of evaluation reports are
414
placed in the official files and provided Housing and Urban Development, and
to the recipient. Independent Agencies Appropriations
Act, 1998 (Pub. L. 105–65; 111 Stat. 1344,
FR 76055, Dec. 19, 2014] 1373 (1997)).
(b) Purpose of program. Performance
§ 35.516 Direct implementation. Partnership Grants enable Tribes and
If funds for an environmental pro- Intertribal Consortia to combine funds
gram remain after Tribal and Inter- from more than one environmental
tribal Consortia environmental pro- program grant into a single grant with
gram grants for that program have a single budget. Recipients do not need
been awarded or because no grants to account for Performance Partner-
were awarded, the Regional Adminis- ship Grant funds in accordance with
trator may, subject to any limitations the funds’ original environmental pro-
contained in appropriation acts, use all gram sources; they need only account
or part of the funds to support a federal for total Performance Partnership
program required by law in the absence Grant expenditures. Subject to the re-
of an acceptable Tribal program. quirements of this subpart, the Per-
formance Partnership Grant program
§ 35.517 Unused funds. is designed to:
If funds for an environmental pro- (1) Strengthen partnerships between
gram remain after Tribal and Inter- EPA and Tribes and Intertribal Con-
tribal Consortia grants for that pro- sortia through joint planning and pri-
gram have been awarded or because no ority setting and better deployment of
grants were awarded, and the Regional resources;
Administrator does not use the funds (2) Provide Tribes and Intertribal
under § 35.516 of this subpart, the Re- Consortia with flexibility to direct re-
gional Administrator may award the sources where they are most needed to
funds to any eligible Indian Tribe or address environmental and public
Intertribal Consortium in the region health priorities;
(including a Tribe or Intertribal Con- (3) Link program activities more ef-
sortium that has already received fectively with environmental and pub-
funds) for the same environmental pro- lic health goals and program outcomes;
gram or for a Performance Partnership (4) Foster development and imple-
Grant, subject to any limitations in ap- mentation of innovative approaches,
propriation acts. such as pollution prevention, eco-
system management, and community-
§ 35.518 Unexpended balances. based environmental protection strate-
Subject to any relevant provisions of gies; and
law, if a recipient’s final Financial Sta- (5) Provide savings by streamlining
tus Report shows unexpended balances, administrative requirements.
the Regional Administrator will § 35.532 Requirements summary.
deobligate the unexpended balances
and make them available, either to the (a) Applicants and recipients of Per-
same recipient or other Tribes or Inter- formance Partnership Grants must
tribal Consortia in the region, for envi- meet:
ronmental program grants. (1) The requirements in §§ 35.500 to
35.518 of this subpart which apply to all
PERFORMANCE PARTNERSHIP GRANTS environmental program grants, includ-
ing Performance Partnership Grants;
§ 35.530 Purpose of Performance Part- and
nership Grants. (2) The requirements in §§ 35.530 to
(a) Purpose of section. Sections 35.530 35.538 of this subpart which apply only
through 35.538 govern Performance to Performance Partnership Grants.
Partnership Grants to Tribes and (b) In order to include funds from an
Intertribal Consortia authorized in the environmental program grant listed in
Omnibus Consolidated Rescissions and § 35.501(a) of this subpart in a Perform-
Appropriations Act of 1996 (Pub. L. 104– ance Partnership Grant, applicants

134; 110 Stat. 1321, 1321–299 (1996)) and must meet the requirements for award
Departments of Veterans Affairs and of each environmental program from
415
§ 35.533 40 CFR Ch. I (7–1–21 Edition)
which funds are included in the Per- program grants listed in § 35.501(a) in
formance Partnership Grant, except accordance with the requirements for
the requirements at §§ 35.548(c), those environmental programs.
35.638(b) and (c), 35.691, and 35.708 (c), (b) For grants to Tribes, a Tribal
(d), (e), and (g). These requirements agency must be designated by a Tribal
can be found in this regulation begin- government or other authorized Tribal
ning at § 35.540. If the applicant is an process to receive grants under each of
Intertribal Consortium, each Tribe the environmental programs to be com-
that is a member of the Consortium bined in the Performance Partnership
must meet the requirements.
Grant.
(3) Apply for the environmental pro-
gram grant. § 35.535 Activities eligible for funding.
(4) Obtain the Regional Administra-
tor’s approval of the application for (a) Delegated, approved, or authorized
that grant. activities. A Tribe or Intertribal Consor-
(c) If funds from an environmental tium may use Performance Partnership
program are not included in a Perform- Grant funds to carry out EPA-dele-
ance Partnership Grant, an applicant is gated, EPA-approved, or EPA-author-
not required to meet the eligibility re- ized activities, such as permitting and
quirements for that environmental pro- primary enforcement responsibility
gram grant in order to carry out ac- only if the Tribe or each member of the
tivities eligible under that program as Intertribal Consortium receives from
provided in § 35.535. the Regional Administrator the delega-
tions, approvals, or authorizations to
§ 35.533 Programs eligible for inclu-
sion. conduct such activities.
(b) Other program activities. Except for
(a) Eligible programs. Except as pro- the limitation in paragraph (a) of this
vided in paragraph (b) of this section,
section, a Tribe or Intertribal Consor-
the environmental programs eligible
tium may use Performance Partnership
for inclusion in a Performance Partner-
Grant funds for any activity that is eli-
ship Grant are listed in § 35.101(a)(2)
gible under the environmental pro-
through (10) of this subpart. Funds
grams listed in § 35.501(a) of this sub-
awarded to tribes under Tribal Re-
sponse Program Grants (§ 35.101(a)(10)) part, as determined by the Regional
to capitalize a revolving loan fund for Administrator. If an applicant proposes
Brownfield remediation or purchase in- a Performance Partnership Grant work
surance or develop a risk sharing pool, plan that differs significantly from any
an indemnity pool, or insurance mech- of the proposed work plans approved
anism to provide financing for response for funding that the applicant now pro-
actions may not be included in Per- poses to move into a Performance
formance Partnership Grants. Partnership Grant, the Regional Ad-
(b) Changes in eligible programs. The ministrator must consult with the ap-
Administrator may, in guidance or reg- propriate National Program Managers
ulation, describe subsequent additions, before agreeing to the Performance
deletions, or changes to the list of en- Partnership Grant work plan. National
vironmental programs eligible for in- Program Managers may expressly
clusion in Performance Partnership waive or modify this requirement for
Grants. consultation in national program guid-
ance. National Program Managers also
FR 28444, June 16, 2009] may define in national program guid-
ance ‘‘significant’’ differences from a
§ 35.534 Eligible recipients. work plan submitted with a Tribe’s or
(a) A Tribe or Intertribal Consortium a Consortium’s application for funds.
is eligible for a Performance Partner-
§ 35.536 Cost share requirements.
ship Grant if the Tribe or each member
of the Intertribal Consortium is eligi- (a) The Performance Partnership
ble for, and the Tribe or Intertribal Grant cost share shall be the sum of
Consortium receives funding from, the amounts required for each environ-
more than one of the environmental mental program grant included in the
416
Performance Partnership Grant, as de- (b) A consolidated budget;

termined in accordance with para- (c) A consolidated work plan that ad-
graphs (b) and (c) of this section, unless dresses each program being combined
waived under paragraph (d) of this sec- in the grant and which meets the re-
tion. quirements of § 35.507.
(b) For each environmental program
grant included in the Performance § 35.538 Project period.
Partnership Grant that has a cost If the projected completion date for a
share of five percent or less under the work plan commitment funded under
provisions of §§ 35.540 through 35.718, an environmental program grant that
the required cost share shall be that is added to a Performance Partnership
identified in §§ 35.540 through 35.718 of Grant extends beyond the end of the
this subpart. project period for the Performance
(c) For each environmental program Partnership Grant, the Regional Ad-
grant included in the Performance ministrator and the recipient will
Partnership Grant that has a cost agree in writing as to how and when
share of greater than five percent the work plan commitment will be
under the provisions of §§ 35.540 through completed.
35.718 of this subpart, the required cost
share shall be five percent of the allow- INDIAN ENVIRONMENTAL GENERAL
able cost of the work plan budget for ASSISTANCE PROGRAM (GAP)
that program. However, after the first
two years in which a Tribe or Inter- § 35.540 Purpose.
tribal Consortium receives a Perform- (a) Purpose of section. Sections 35.540
ance Partnership Grant, the Regional through 35.547 govern grants to Tribes
Administrator must determine through and Intertribal Consortia under the In-
objective assessment whether the Tribe dian Environmental General Assist-
or the members of an Intertribal Con- ance Program Act of 1992 (42 U.S.C.
sortium meet socio-economic indica- 4368b.)
tors that demonstrate the ability of (b) Purpose of program. Indian Envi-
the Tribe or the Intertribal Consortium ronmental General Assistance Program
to provide a cost share greater than grants are awarded to build capacity to
five percent. If the Regional Adminis- administer environmental programs
trator determines that the Tribe or the for Tribes by providing general assist-
members of Intertribal Consortium ance to plan, develop, and establish en-
meets such indicators, then the Re- vironmental protection programs for
gional Administrator shall increase the Tribes.
required cost share up to a maximum
of 10 percent of the allowable cost of § 35.542 Definitions. [Reserved]
the work plan budget for each program
§ 35.543 Eligible recipients.
with a cost share greater than five per-
cent. The following entities are eligible to
(d) The Regional Administrator may receive grants under this program:
waive the cost share required under (a) Tribes and
this section upon request of the Tribe (b) Intertribal Consortia as provided
or Intertribal Consortium, if, based on in § 35.504.
an objective assessment of socio-eco-
nomic indicators, the Regional Admin- § 35.545 Eligible activities.
istrator determines that meeting the Tribes and Intertribal Consortia may
cost share would impose undue hard- use General Assistance Program funds
ship. for planning, developing, and estab-
lishing environmental protection pro-
§ 35.537 Application requirements. grams and to develop and implement
An application for a Performance solid and hazardous waste programs for
Partnership Grant must contain: Tribes.
(a) A list of the environmental pro-
grams and the amount of funds from § 35.548 Award limitations.

each program to be combined in the (a) Each grant awarded under the
Performance Partnership Grant; General Assistance Program shall be
417
§ 35.570 40 CFR Ch. I (7–1–21 Edition)
not less than $75,000. This limitation in the grant award or an amendment
does not apply to additional funds that thereto.
may become available for award to the
same Tribe or Intertribal Consortium. § 35.573 Eligible Tribe.
(b) The Regional Administrator shall (a) A Tribe is eligible to receive sec-
not award a grant to a single Tribe or tion 105 financial assistance under
Intertribal Consortium of more than 10 §§ 35.570 through 35.578 if it has dem-
percent of the total annual funds ap- onstrated eligibility to be treated as a
propriated under the Act.
State under 40 CFR 49.6. An Intertribal
(c) The project period of a General
Consortium consisting of Tribes that
Assistance Program award may not ex-
have demonstrated eligibility to be
ceed four years.
treated as States under 40 CFR 49.6 is
(d) No award under this program
shall result in reduction of total EPA also eligible for financial assistance.
grants for environmental programs to (b) Tribes that have not made a dem-
the recipient. onstration under 40 CFR 49.6 and Inter-
tribal Consortia consisting of Tribes
AIR POLLUTION CONTROL (SECTION 105) that have not demonstrated eligibility
to be treated as States under 40 CFR
§ 35.570 Purpose. 49.6 are eligible for financial assistance
(a) Purpose of section. Sections 35.570 under sections 105 and 302(b)(5) of the
through 35.578 govern air pollution con- Clean Air Act.
trol grants to Tribes (as defined in sec-
tion 302(r) of the Clean Air Act (CAA)) § 35.575 Maximum federal share.
authorized under sections 105 and 301(d) (a) For Tribes and Intertribal Con-
of the Act and Intertribal Consortia. sortia eligible under § 35.573(a), the Re-
(b) Purpose of program. Air pollution gional Administrator may provide fi-
control grants are awarded to develop nancial assistance in an amount up to
and administer programs that prevent 95 percent of the approved costs of
and control air pollution or implement
planning, developing, establishing, or
national air quality standards for air
improving an air pollution control pro-
resources within the exterior bound-
gram, and up to 95 percent of the ap-
aries of the reservation or other areas
proved costs of maintaining that pro-
within the Tribe’s jurisdiction.
(c) Associated program regulations. gram. After two years from the date of
Refer to 40 CFR parts 49, 50, 51, 52, 58, each Tribe’s or Intertribal Consor-
60, 61, 62, and 81 for associated program tium’s initial grant award, the Re-
regulations. gional Administrator will reduce the
maximum federal share to 90 percent if
§ 35.572 Definitions. the Regional Administrator determines
In addition to the definitions in that the Tribe or each member of the
§ 35.502, the following definitions apply Intertribal Consortium meets certain
to the Clean Air Act’s section 105 grant economic indicators that would provide
program: an objective assessment of the Tribe’s
Nonrecurrent expenditures are those or each of the Intertribal Consortiums
expenditures which are shown by the member’s ability to increase its share.
recipient to be of a nonrepetitive, un- For a Tribe or Intertribal Consortium
usual, or singular nature such as would eligible under § 35.573(a), the Regional
not reasonably be expected to recur in Administrator may increase the max-
the foreseeable future. Costs cat- imum federal share if the Tribe or
egorized as nonrecurrent must be ap- Intertribal Consortium can dem-
proved in the grant agreement or an onstrate in writing to the satisfaction
amendment thereto. of the Regional Administrator that fis-
Recurrent expenditures are those ex- cal circumstances within the Tribe or
penses associated with the activities of within the member Tribes of the Inter-
a continuing environmental program. tribal Consortium are constrained to
All expenditures are considered recur- such an extent that fulfilling the
rent unless justified by the applicant match requirement would impose
as nonrecurrent and approved as such undue hardship.
418
(b) For Tribes and Intertribal Con- award Section 105 funds unless the ap-
sortia eligible under § 35.573(b), the Re- plicant provides assurance that the
gional Administrator may provide fi- grant will not supplant non-federal
nancial assistance in an amount up to funds that would otherwise be avail-
60 percent of the approved costs of able for maintaining the Section 105
planning, developing, establishing, or program.
improving an air pollution control pro-
gram, and up to 60 percent of the ap- § 35.578 Award limitation.
proved costs of maintaining that pro- The Regional Administrator will not
gram. disapprove an application for, or termi-
(c) Revenue collected under a Tribal nate or annul an award of, financial as-
Title V operating permit program may sistance under § 35.573 without prior no-
not be used to meet the cost share re- tice and opportunity for a public hear-
quirements of this section. ing within the appropriate jurisdiction
or, where more than one area is af-
§ 35.576 Maintenance of effort. fected, within one of the affected areas
(a) For Tribes and Intertribal Con- within the jurisdiction
sortia that are eligible for financial as-
sistance under § 35.573(b) of this sub- WATER POLLUTION CONTROL (SECTIONS
part, the Tribe or each of the Inter- 106 AND 518)
tribal Consortium’s members must ex-
§ 35.580 Purpose.
pend annually, for recurrent Section
105 program expenditures, an amount (a) Purpose of section. Sections 35.580
of non-federal funds at least equal to through 35.588 govern water pollution
such expenditures during the preceding control grants to eligible Tribes and
fiscal year. Intertribal Consortia (as defined in
(1) In order to award grants in a § 35.502) authorized under sections 106
timely manner each fiscal year, the Re- and 518 of the Clean Water Act.
gional Administrator shall compare a (b) Purpose of program. Water pollu-
Tribe’s or each of the Intertribal Con- tion control grants are awarded to as-
sortium’s member’s proposed expendi- sist Tribes and Intertribal Consortia in
ture level, as detailed in the grant ap- administering programs for the preven-
plication, to its expenditure level in tion, reduction, and elimination of
the second preceding fiscal year. When water pollution, including programs for
expenditure data for the preceding fis- the development and implementation
cal year is complete, the Regional Ad- of ground-water protection strategies.
ministrator shall use this information (c) Associated program requirements.
to determine the Tribe’s or Intertribal Program requirements for water qual-
Consortium’s compliance with its ity planning and management activi-
maintenance of effort requirement. ties are provided in 40 CFR part 130.
(2) If expenditure data for the pre-
ceding fiscal year shows that a Tribe or § 35.582 Definitions.
Intertribal Consortium did not meet Federal Indian reservation. All land
the requirements of paragraph (a) of within the limits of any Indian reserva-
this section, the Regional Adminis- tion under the jurisdiction of the
trator will take action to recover the United States Government, notwith-
grant funds for that year. standing the issuance of any patent,
(3) The Regional Administrator may and, including rights-of-way running
grant an exception to § 35.576(a) if, after through the reservation.
notice and opportunity for a public Tribe. Any Indian Tribe, band, group,
hearing, the Regional Administrator or community recognized by the Sec-
determines that a reduction in expendi- retary of the Interior, exercising gov-
tures is attributable to a non-selective ernmental authority over a federal In-
reduction of all the Tribe’s or each of dian reservation.
the Intertribal Consortium’s member’s
programs. § 35.583 Eligible recipients.
(b) For Tribes and Intertribal Con- A Tribe, including an Intertribal

sortia that are eligible under § 35.573(b), Consortium, is eligible to receive a sec-
the Regional Administrator will not tion 106 grant if EPA determines that
419
§ 35.585 40 CFR Ch. I (7–1–21 Edition)
the Indian Tribe or each member of the (b) A Tribe or Intertribal Consortium
Intertribal Consortium meets the re- is eligible to receive a section 106 grant
quirements for treatment in a manner or section 106 grant funds even if the
similar to a State under section 518(e) Tribe or each of the members of an
of the Clean Water Act (see 40 CFR Intertribal Consortium does not meet
130.6(d)). the requirements of section 106(e)(1)
and 106(f)(1) of the Clean Water Act.
(a) The Regional Administrator may FR 76055, Dec. 19, 2014]
proved work plan costs for Tribes or WATER QUALITY COOPERATIVE
Intertribal Consortia establishing a AGREEMENTS (SECTION 104(b)(3))
section 106 program. Work plan costs
include costs of planning, developing, § 35.600 Purpose.
establishing, improving or maintaining (a) Purpose of section. Sections 35.600
a water pollution control program. through 35.604 govern Water Quality
(b) The Regional Administrator may Cooperative Agreements to Tribes and
increase the maximum federal share if Intertribal Consortia authorized under
the Tribe or Intertribal Consortium section 104(b)(3) of the Clean Water
can demonstrate in writing to the sat- Act. These sections do not govern
isfaction of the Regional Adminis- Water Quality Cooperative Agreements
trator that fiscal circumstances within under section 104(b)(3) to organizations
the Tribe or within each Tribe that is that do not meet the definitions of
a member of an Intertribal Consortium Tribe or Intertribal Consortium in
are constrained to such an extent that § 35.502.
fulfilling the match requirement would (b) Purpose of program. EPA awards
impose undue hardship. Water Quality Cooperative Agreements
for investigations, experiments, train-
§ 35.588 Award limitations. ing, demonstrations, surveys, and stud-
(a) The Regional Administrator will ies relating to the causes, effects, ex-
only award section 106 funds to a Tribe tent, prevention, reduction, and elimi-
or Intertribal Consortium if: nation of water pollution. EPA issues
(1) All monitoring and analysis ac- guidance each year advising EPA re-
tivities performed by the Tribe or gions and headquarters regarding ap-
Intertribal Consortium meets the appropriate priorities for funding for this
plicable quality assurance and quality program. This guidance may include
control requirements in 2 CFR 1500.11. such focus areas as National Pollutant
(2) The Tribe or each member of the Discharge Elimination System water-
Intertribal Consortium has emergency shed permitting, urban wet weather
power authority comparable to that in programs, or innovative pretreatment
section 504 of the Clean Water Act and programs and biosolids projects.
adequate contingency plans to imple- [66 FR 3795, Jan. 16, 2001, as amended at 79
ment such authority. FR 76055, Dec. 19, 2014]
(3) EPA has not assumed enforcement
as defined in section 309(a)(2) of the § 35.603 Competitive process.
Clean Water Act in the Tribe’s or any EPA will award water quality cooper-
Intertribal Consortium member’s juris- ative agreement funds through a com-
diction. petitive process in accordance with na-
(4) The Tribe or Intertribal Consor- tional program guidance. After the
tium agrees to include a discussion of competitive process is complete, the
how the work performed under section recipient can, at its discretion, accept
106 addressed water quality problems the award as a separate cooperative
on Tribal lands in the annual report re- agreement or add the funds to a Per-
quired under § 35.515(d). formance Partnership Grant. If the re-
(5) After an initial award of section cipient chooses to add the funds to a
106 funds, the Tribe or Intertribal Con- Performance Partnership Grant, the
sortium shows satisfactory progress in water quality work plan commitments

meeting its negotiated work plan com- must be included in the Performance
mitments. Partnership Grant work plan.
420
§ 35.604 Maximum federal share. NONPOINT SOURCE MANAGEMENT GRANTS

(SECTIONS 319(h) AND 518(f))
provide up to 100 percent of approved § 35.630 Purpose.
work plan costs.
WETLANDS DEVELOPMENT GRANT through 35.638 govern nonpoint source
PROGRAM (SECTION 104(b)(3)) management grants to eligible Tribes
and Intertribal Consortia under sec-
§ 35.610 Purpose. tions 319(h) and 518(f) of the Clean
(a) Purpose of section. Sections 35.610 Water Act.
through 35.615 govern wetlands devel- (b) Purpose of program. Nonpoint
opment grants to Tribes and Inter- source management grants may be
tribal Consortia under section 104(b)(3) awarded for the implementation of
of the Clean Water Act. These sections EPA-approved nonpoint source man-
do not govern wetlands development agement programs, including ground-
water quality protection activities
grants under section 104(b)(3) to organi-
that will advance the approved
zations that do not meet the defini-
nonpoint source management program.
tions of Tribe or Intertribal Consor-
tium in § 35.502. § 35.632 Definition.
(b) Purpose of program. EPA awards
wetlands development grants to assist Tribe. Any Indian Tribe, band, group,
in the development of new, or the re- or community recognized by the Sec-
retary of the Interior and exercising
finement of existing, wetlands protec-
governmental authority over a federal
tion and management programs.
Indian reservation.
FR 76055, Dec. 19, 2014] § 35.633 Eligibility requirements.
A Tribe or Intertribal Consortium is
eligible to receive a Nonpoint Source
Wetlands development grants are Management grant if EPA has deter-
awarded on a competitive basis. EPA mined that the Tribe or each member
annually establishes a deadline for re- of the Intertribal Consortium meets
ceipt of grant applications. EPA re- the requirements for treatment in a
views applications and decides which manner similar to a State under sec-
grant projects to fund based on criteria tion 518(e) of the Clean Water Act (see
established by EPA. After the competi- 40 CFR 130.6(d)).
tive process is complete, the recipient
can, at its discretion, accept the award § 35.635 Maximum federal share.
as a wetlands development program (a) The Regional Administrator may
grant or add the funds to a Perform- provide up to 60 percent of the ap-
ance Partnership Grant. If the recipi- proved work plan costs in any fiscal
ent chooses to add the funds to a Per- year. The non-federal share of costs
formance Partnership Grant, the wet- must be provided from non-federal
lands development program work plan sources.
commitments must be included in the (b) The Regional Administrator may
Performance Partnership Grant work increase the maximum federal share if
plan. the Tribe or Intertribal Consortium
can demonstrate in writing to the sat-
§ 35.615 Maximum federal share. isfaction of the Regional Adminis-
EPA may provide up to 75 percent of trator that fiscal circumstances within
the approved work plan costs for the the Tribe or within each Tribe that is
development or refinement of a wet- a member of the Intertribal Consor-
tium are constrained to such an extent
lands protection and management pro-
that fulfilling the match requirement
gram.
would impose undue hardship. In no

case shall the federal share be greater
than 90 percent.
421
§ 35.636 40 CFR Ch. I (7–1–21 Edition)
§ 35.636 Maintenance of effort. termines, for a Tribe or Intertribal

To receive funds under section 319 in Consortium that received a section 319
any fiscal year, a Tribe or each mem- funds in the preceding fiscal year, that
ber of an Intertribal Consortium must the Tribe or each member of the Inter-
agree that the Tribe or each member of tribal Consortium made satisfactory
the Intertribal Consortium will main- progress in meeting its schedule for
tain its aggregate expenditures from achieving implementation of best man-
all other sources for programs for con- agement practices to reduce pollutant
trolling nonpoint source pollution and loadings from categories of nonpoint
improving the quality of the Tribe’s or sources, or particular nonpoint
the Intertribal Consortium’s members’ sources, designated in the Tribe’s or
waters at or above the average level of each Consortium member’s manage-
such expenditures in Fiscal Years 1985 ment program. The Tribe or each mem-
and 1986. ber of the Intertribal Consortium must
§ 35.638 Award limitations. develop this schedule in accordance
with section 319(b)(2) of the Act;
(a) Available funds. EPA may use no (4) Activity and output descriptions.
more than the amount authorized
The work plan briefly describes each
under the Clean Water Act section 319
significant category of nonpoint source
and 518(f) for making grants to Tribes
or Intertribal Consortia. activity and the work plan commit-
(b) Financial assistance to persons. ments to be produced for each cat-
Tribes or Intertribal Consortia may use egory; and
funds for financial assistance to per- (5) Significant watershed projects. For
sons only to the extent that such as- watershed projects whose costs exceed
sistance is related to the cost of dem- $50,000, the work plan contains:
onstration projects. (i) A brief synopsis of the watershed
(c) Administrative costs. Administra- implementation plan outlining the
tive costs in the form of salaries, over- problems to be addressed;
head, or indirect costs for services pro- (ii) The project’s goals and objec-
vided and charged against activities tives; and
and programs carried out with these (iii) The performance measures and
funds shall not exceed 10 percent of the
environmental indicators that will be
funds the Tribe or Intertribal Consor-
used to evaluate the results of the
tium receives in any fiscal year. The
cost of implementing enforcement and project.
regulatory activities, education, train-
PESTICIDE COOPERATIVE ENFORCEMENT
ing, technical assistance, demonstra-
(SECTION 23(a)(1))
tion projects, and technology transfer
programs are not subject to this limi- § 35.640 Purpose.
tation.
(d) The Regional Administrator will (a) Purpose of section. Sections 35.640
not award section 319(h) funds to any through 35.645 govern cooperative
Tribe or Intertribal Consortium unless: agreements to Tribes and Intertribal
(1) Approved assessment report. EPA Consortia authorized under section
has approved the Tribe’s or each mem- 23(a)(1) of the Federal Insecticide, Fun-
ber of the Intertribal Consortium’s As- gicide, and Rodenticide Act for pes-
sessment Report on nonpoint sources, ticide enforcement.
prepared in accordance with section (b) Purpose of program. Cooperative
319(a) of the Act; agreements are awarded to assist
(2) Approved Tribe or Intertribal Con- Tribes and Intertribal Consortia in im-
sortium management program. EPA has plementing pesticide enforcement pro-
approved the Tribes’s or each member grams.
of the Intertribal Consortium’s man-
(c) Associated program regulations.
agement program for nonpoint sources,
Refer to 19 CFR part 12 and 40 CFR
prepared in accordance with section
319(b) of the Act; parts 150 through 189 for associated

(3) Progress on reducing pollutant load- regulations.
ings. The Regional Administrator de-
422
§ 35.641 Eligible recipients. workers, ground water, and endangered

Eligible recipients of pesticide en- species from pesticide risks and other
forcement cooperative agreements are pesticide management programs des-
Tribes and Intertribal Consortia. ignated by the Administrator.
(c) Program regulations. Refer to 40
§ 35.642 Maximum federal share. CFR parts 150 through 189 and 19 CFR
The Regional Administrator may part 12 for associated regulations.
provide up to 100 percent of the ap- § 35.653 Eligible recipients.
proved work plan costs.
Eligible recipients of pesticide pro-
§ 35.645 Basis for allotment. gram implementation cooperative
The Administrator allots pesticide agreements are Tribes and Intertribal
enforcement cooperative agreement Consortia.
funds to each regional office. Regional
offices award funds to Tribes and Inter- § 35.655 Basis for allotment.
tribal Consortia based on their pro- The Administrator allots pesticide
grammatic needs and applicable EPA program implementation cooperative
guidance. agreement funds to each Regional Of-
fice. Regional Offices award funds to
PESTICIDE APPLICATOR CERTIFICATION Tribes and Intertribal Consortia based
AND TRAINING (SECTION 23(a)(2)) on their programmatic needs and appli-
cable EPA guidance.
§ 35.646 Purpose.
(a) Purpose of section. Sections 35.646 § 35.659 Maximum federal share.
through 35.649 govern pesticide appli- The Regional Administrator may
cator certification and training grants
to Tribes and Intertribal Consortia
under section 23(a)(2) of the Federal In-
secticide, Fungicide, and Rodenticide POLLUTION PREVENTION GRANTS
Act. (SECTION 6605)
(b) Purpose of program. Pesticide ap-
plicator certification and training § 35.660 Purpose.
grants are awarded to train and certify
restricted use pesticide applicators. (a) Purpose of section. Sections 35.660
(c) Associated program regulations. As- through 35.669 govern grants to Tribes
sociated program regulations are found and Intertribal Consortia under section
in 40 CFR parts 162, 170, and 171. 6605 of the Pollution Prevention Act.
(b) Purpose of program. Pollution Pre-
§ 35.649 Maximum federal share. vention Grants are awarded to promote
The Regional Administrator may the use of source reduction techniques
provide up to 50 percent of the ap- by businesses.
proved work plan costs. § 35.661 Competitive process.
PESTICIDE PROGRAM IMPLEMENTATION EPA Regions award Pollution Pre-
(SECTION 23(a)(1)) vention Grant funds to Tribes and
Intertribal Consortia through a com-
§ 35.650 Purpose. petitive process in accordance with
(a) Purpose of section. Sections 35.650 EPA guidance. When evaluating a
through 35.659 govern Pesticide Pro- Tribe’s or Intertribal Consortium’s ap-
gram Implementation cooperative plication, EPA must consider, among
agreements to Tribes and Intertribal other criteria, whether the proposed
Consortia under section 23(a)(1) of the program would:
Federal Insecticide, Fungicide, and (a) Make specific technical assistance
Rodenticide Act. available to businesses seeking infor-
(b) Purpose of program. Cooperative mation about source reduction oppor-
agreements are awarded to assist tunities, including funding for experts
Tribes and Intertribal Consortia to de- to provide onsite technical advice to

velop and implement pesticide pro- businesses seeking assistance in the de-
grams, including programs that protect velopment of source reduction plans;
423
§ 35.662 40 CFR Ch. I (7–1–21 Edition)
(b) Target assistance to businesses (b) If the Administrator has pre-

for whom lack of information is an im- viously determined that an Indian
pediment to source reduction; and Tribe has met the prerequisites in
(c) Provide training in source reduc- paragraphs (a)(1) and (2) of this section
tion techniques. Such training may be for another EPA program, the Tribe
provided through local engineering need provide only that information
schools or other appropriate means. unique to the Pollution Prevention
Grants program required by paragraphs
§ 35.662 Definitions. (b)(3) and (4) of this section.
The following definition applies to
the Pollution Prevention Grant pro- § 35.668 Award limitation.
gram and to §§ 35.660 through 35.669: If the Pollution Prevention Grant
(a) Pollution prevention/source refunds are included in a Performance
duction is any practice that: Partnership Grant, the Pollution Pre-
(1) Reduces the amount of any haz- vention work plan commitments must
ardous substance, pollutant, or con- be included in the Performance Part-
taminant entering any waste stream or nership Grant work plan.
otherwise released into the environ-
ment (including fugitive emissions) § 35.669 Maximum federal share.
prior to recycling, treatment, or dis- The federal share for Pollution Pre-
posal; vention Grants will not exceed 50 per-
(2) Reduces the hazards to public cent of the allowable Tribe and Inter-
health and the environment associated tribal Consortium Pollution Preven-
with the release of such substances, tion project cost.
pollutants, or contaminants; or
(3) Reduces or eliminates the cre- PUBLIC WATER SYSTEM SUPERVISION
ation of pollutants through: (SECTION 1443(a) AND SECTION 1451)
(i) Increased efficiency in the use of
raw materials, energy, water, or other § 35.670 Purpose.
resources; or (a) Purpose of section. Sections 35. 670
(ii) Protection of national resources through 35.678 govern public water sys-
by conservation. tem supervision grants to Tribes and
(b) Pollution prevention/source re- Intertribal Consortia authorized under
duction does not include any practice sections 1443(a) and 1451 of the Safe
which alters the physical, chemical, or Drinking Water Act.
biological characteristics or the vol- (b) Purpose of program. Public water
ume of a hazardous substance, pollut- system supervision grants are awarded
ant, or contaminant through a process to carry out public water system super-
or activity which itself is not integral vision programs including implementa-
to and necessary for the production of tion and enforcement of the require-
a product or the providing of a service. ments of the Act that apply to public
water systems.
§ 35.663 Eligible recipients. (c) Associated program regulations. As-
(a) The Regional Administrator will sociated program regulations are found
treat a Tribe or Intertribal Consortium in 40 CFR parts 141, 142, and 143.
as eligible to apply for a Pollution Pre-
vention Grant if the Tribe or each § 35.672 Definition.
member of the Intertribal Consortium: Tribe. Any Indian Tribe having a fed-
(1) Is recognized by the Secretary of erally recognized governing body car-
the Interior; rying out substantial governmental du-
(2) Has an existing government exer- ties and powers over any area.
cising substantial governmental duties
and powers; § 35.673 Annual amount reserved by
(3) Has adequate authority to carry EPA.
out the grant activities; and Each year, EPA shall reserve up to
(4) Is reasonably expected to be capa- seven percent of the public water sys-
ble, in the Regional Administrator’s tem supervision funds for grants to

judgment, of administering the grant Tribes and Intertribal Consortia under
program. section 1443(a).
424
§ 35.675 Maximum federal share. gram capability to implement the re-

quirements found in 40 CFR 142.10.
(a) The Regional Administrator may
provide up to 75 percent of the ap- (b) Subsequent grants. The Regional
proved work plan costs. Administrator will not make a subse-
(b) The Regional Administrator may quent grant, after the initial award,
increase the maximum federal share if unless the Tribe or each member of the
the Tribe or Intertribal Consortium Intertribal Consortia can demonstrate
can demonstrate in writing to the sat- reasonable progress towards assuming
isfaction of the Regional Adminis- primary enforcement responsibility
trator that fiscal circumstances within within the three-year period after ini-
the Tribe or Consortium are con- tial award. After the three-year period
strained to such an extent that ful- expires, the Regional Administrator
filling the match requirement would will not award section 1443(a) funds to
impose undue hardship, except that the an Indian Tribe or Intertribal Consor-
federal share shall not be greater than tium unless the Tribe or each member
90 percent. of the Intertribal Consortia has as-
sumed primary enforcement responsi-
§ 35.676 Eligible recipients. bility for the public water system su-
pervision program.
A Tribe or Intertribal Consortium is
eligible to apply for a public water sys- UNDERGROUND WATER SOURCE
tem supervision grant if the Tribe or PROTECTION (SECTION 1443(b))
each member of the Intertribal Consor-
tium meets the following criteria: § 35.680 Purpose.
(a) The Tribe or each member of the
Intertribal Consortium is recognized by
through 35.688 govern underground
the Secretary of the Interior;
water source protection grants to
(b) The Tribe or each member of the
Tribes and Intertribal Consortia under
Intertribal Consortium has a governing
section 1443(b) of the Safe Drinking
body carrying out substantial govern-
Water Act.
mental duties and powers over any
(b) Purpose of program. The Under-
area;
ground Water Source Protection grants
(c) The functions to be exercised
are awarded to carry out underground
under the grant are within the area of
water source protection programs.
the Tribal government’s jurisdiction;
and (c) Associated program regulations. As-
(d) The Tribe or each member of the sociated program regulations are found
Intertribal Consortium is reasonably in 40 CFR parts 124, 144, 145, 146, and
expected to be capable, in the Regional 147.
Administrator’s judgment, of carrying § 35.682 Definition.
out the functions to be exercised under
the grant. Tribe. Any Indian Tribe having a fed-
erally recognized governing body car-
§ 35.678 Award limitations. rying out substantial governmental du-
(a) Initial grant. The Regional Admin- ties and powers over any area.
istrator will not make an initial award
§ 35.683 Annual amount reserved by
unless the Tribe or each member of the EPA.
Intertribal Consortium has:
(1) Met the requirements of § 35.676 EPA shall reserve up to five percent
(Eligible recipients); of the underground water source pro-
(2) Established an approved public tection funds each year for under-
water system supervision program or ground water source protection grants
agrees to establish an approvable pro- to Tribes under section 1443(b) of the
gram within three years of the initial Safe Drinking Water Act.
award and assumed primary enforce-
ment responsibility within this period; § 35.685 Maximum federal share.
and (a) The Regional Administrator may

(3) Agreed to use at least one year of provide up to 75 percent of the ap-
the grant funding to demonstrate pro- proved work plan costs.
425
§ 35.686 40 CFR Ch. I (7–1–21 Edition)
(b) The Regional Administrator may pires, the Regional Administrator shall
increase the maximum federal share if not award section 1443(b) funds to an
the Tribe or Intertribal Consortium Indian Tribe unless the Tribe has as-
can demonstrate in writing to the sat- sumed primary enforcement responsi-
isfaction of the Regional Adminis- bility for the underground water source
trator that fiscal circumstances within protection program.
the Tribe or Consortium are con-
strained to such an extent that ful- LEAD-BASED PAINT PROGRAM (SECTION
filling the match requirement would 404(g))
impose undue hardship, except that the
§ 35.690 Purpose.
federal share shall not be greater than
90 percent. (a) Purpose of section. Sections 35.690
through 35.693 govern grants to Tribes
§ 35.686 Eligible recipients. and Intertribal Consortia under section
A Tribe or Intertribal Consortium is 404(g) for the Toxic Substances Control
eligible to apply for an underground Act .
water source protection grant if the (b) Purpose of program. Lead-Based
Tribe or each member of the Inter- Paint Program grants are awarded to
tribal Consortium meets the following develop and carry out authorized pro-
criteria: grams to ensure that individuals em-
(a) The Tribe or each member of the ployed in lead-based paint activities
Intertribal Consortium is recognized by are properly trained; that training pro-
the Secretary of the Interior; grams are accredited; and that contrac-
(b) The Tribe or each member of the tors employed in such activities are
Intertribal Consortium has a governing certified.
body carrying out substantial govern- (c) Associated program regulations. As-
mental duties and powers over any sociated program regulations are found
area; in 40 CFR part 745.
(c) The functions to be exercised
under the grant are within the area of § 35.691 Funding coordination.
the Tribal government’s jurisdiction; Recipients must use the Lead-Based
and Paint program funding in a way that
(d) The Tribe or each member of the complements any related assistance
Intertribal Consortium is reasonably they receive from other federal sources
expected to be capable, in the Regional for lead-based paint activities.
Administrator’s judgment, of carrying
out the functions to be exercised under § 35.693 Eligible recipients.
the grant. (a) The Regional Administrator will
treat a Tribe or Intertribal Consortium
§ 35.688 Award limitations. as eligible to apply for a Lead-Based
(a) Initial grants. The Regional Ad- Paint Program grant if the Tribe or
ministrator will not make an initial each member of the Intertribal Consor-
award unless the Tribe or each member tium:
of the Intertribal Consortium has: (1) Is recognized by the Secretary of
(1) Met the requirements of § 35.676 the Interior;
(Eligible recipients); and (2) Has an existing government exer-
(2) Established an approved under- cising substantial governmental duties
ground water source protection pro- and powers;
gram or agrees to establish an approv- (3) Has adequate authority to carry
able program within four years of the out the grant activities; and
initial award. (4) Is reasonably expected to be capa-
(b) Subsequent grants. The Regional ble, in the Regional Administrator’s
Administrator will not make a subse- judgment, of administering the grant
quent grant, after the initial award, program.
unless the Tribe can demonstrate rea- (b) If the Administrator has pre-
sonable progress towards assuming pri- viously determined that an Indian
mary enforcement responsibility with- Tribe has met the prerequisites in

in the four-year period after initial paragraphs (a)(1) and (2) of this section
award. After the four-year period ex- for another EPA program, the Tribe
426
need provide only that information (x) A toll-free radon hotline to pro-
unique to the Lead-Based Paint Pro- vide information and technical assist-
gram required by paragraphs (b)(3) and ance.
(4) of this section. (2) In implementing paragraphs
(b)(1)(iv) and (ix) of this section, a
INDOOR RADON GRANTS (SECTION 306) Tribe or Intertribal Consortia should
make every effort, consistent with the
§ 35.700 Purpose. goals and successful operation of the
(a) Purpose of section. Sections 35.700 Tribal Indoor Radon program, to give
through 35.708 govern Indoor Radon preference to low-income persons.
Grants to Tribes and Intertribal Con-
sortia under section 306 of the Toxic § 35.702 Basis for allotment.
Substances Control Act. (a) The Regional Administrator will
(b) Purpose of program. (1) Indoor allot Indoor Radon Grant funds based
Radon Grants are awarded to assist on the criteria in EPA guidance in ac-
Tribes and Intertribal Consortia with cordance with section 306(d) and (e) of
the development and implementation the Toxic Substances Control Act.
of programs that assess and mitigate (b) No Tribe or Intertribal Consor-
radon and that aim at reducing radon tium may receive an Indoor Radon
health risks. Indoor Radon Grant funds Grant in excess of 10 percent of the
may be used for the following eligible total appropriated amount made avail-
activities. able each fiscal year.
(i) Survey of radon levels, including
special surveys of geographic areas or § 35.703 Eligible recipients.
classes of buildings (such as public (a) The Regional Administrator will
buildings, school buildings, high-risk treat a Tribe or Intertribal Consortium
residential construction types); as eligible to apply for an Indoor Radon
(ii) Development of public informa- Grant if the Tribe or each member of
tion and education materials con- the Intertribal Consortium:
cerning radon assessment, mitigation, (1) Is recognized by the Secretary of
and control programs; the Interior;
(iii) Implementation of programs to (2) Has an existing government exer-
control radon on existing and new cising substantial governmental duties
structures; and powers;
(iv) Purchase, by the Tribe or Inter- (3) Has adequate authority to carry
tribal Consortium of radon measure- out the grant activities; and,
ment equipment and devices; (4) Is reasonably expected to be capa-
(v) Purchase and maintenance of ana- ble, in the Regional Administrator’s
lytical equipment connected to radon judgment, of administering the grant
measurement and analysis, including program.
costs of calibration of such equipment; (b) If the Administrator has pre-
(vi) Payment of costs of Environ- viously determined that a Tribe has
mental Protection Agency-approved met the prerequisites in paragraphs
training programs related to radon for (a)(1) and (2) of this section for another
permanent Tribal employees; EPA program, the Tribe need provide
(vii) Payment of general overhead only that information unique to the
and program administration costs; radon grant program required by para-
(viii) Development of a data storage graphs (a)(3) and (4) of this section.
and management system for informa-
tion concerning radon occurrence, lev- § 35.705 Maximum federal share.
els, and programs; The Regional Administrator may
(ix) Payment of costs of demonstra- provide Tribes and Intertribal Con-
tion of radon mitigation methods and sortia up to 75 percent of the approved
technologies as approved by EPA, in- costs for the development and imple-
cluding Tribal and Intertribal Con- mentation of radon program activities
sortia participation in the Environ- incurred by the Tribe in the first year
mental Protection Agency Home Eval- of a grant to the Tribe or Consortium;
uation Program; and 60 percent in the second year; and 50
427
§ 35.708 40 CFR Ch. I (7–1–21 Edition)
percent in the third and each year be used to cover the costs of the Tribal
thereafter. proficiency rating programs.
§ 35.708 Award limitations. TOXIC SUBSTANCES COMPLIANCE
(a) The Regional Administrator shall MONITORING (SECTION 28)
consult with the Tribal agency which
§ 35.710 Purpose.
has the primary responsibility for
radon programs as designated by the (a) Purpose of section. Sections 35.710
affected Tribe before including Indoor through 35.715 govern Toxic Substances
Radon Grant funds in a Performance Compliance Monitoring grants to
Partnership Grant with another Tribal Tribes and Intertribal Consortia under
agency. section 28 of the Toxic Substances Con-
(b) No grant may be made in any fis- trol Act.
cal year to a Tribe or Intertribal Con- (b) Purpose of program. Toxic Sub-
sortium which did not satisfactorily stances Compliance Monitoring grants
implement the activities funded by the are awarded to establish and operate
most recent grant awarded to the Tribe compliance monitoring programs to
or Intertribal Consortium for an Indoor prevent or eliminate unreasonable
Radon program. risks to health or the environment as-
(c) The costs of radon measurement sociated with chemical substances or
equipment or devices (see mixtures on Tribal lands with respect
§ 35.820(b)(1)(iv)) and demonstration of to which the Administrator is unable
radon mitigation, methods, and tech- or not likely to take action for their
nologies (see § 35.820(b)(1)(ix)) shall not, prevention or elimination.
in aggregate, exceed 50 percent of a (c) Associated program regulations.
Tribe’s or Intertribal Consortium’s Refer to 40 CFR parts 700 through 799
radon grant award in a fiscal year. for associated program regulations.
(d) The costs of general overhead and
program administration (see
§ 35.820(b)(1)(vii)) of an indoor radon EPA will award Toxic Substances
grant shall not exceed 25 percent of the Control Act Compliance Monitoring
amount of a Tribe’s or Intertribal Con- grants to Tribes or Intertribal Con-
sortium’s Indoor Radon Grant in a fis- sortia through a competitive process in
cal year. accordance with national program
(e) A Tribe or Intertribal Consortium guidance.
may use funds for financial assistance
to persons only to the extent such as- § 35.713 Eligible recipients.
sistance is related to demonstration (a) The Regional Administrator will
projects or the purchase and analysis treat a Tribe or Intertribal Consortium
of radon measurement devices. as eligible to apply for a Toxic Sub-
(f) Recipients must provide the Re- stances Compliance Monitoring grant
gional Administrator all radon-related if the Tribe or each member of the
information generated in its grant sup- Intertribal Consortium:
ported activities, including the results (1) Is recognized by the Secretary of
of radon surveys, mitigation dem- the Interior;
onstration projects, and risk commu- (2) Has an existing government exer-
nication studies. cising substantial governmental duties
(g) Recipients must maintain and and powers;
make available to the public, a list of (3) Has adequate authority to carry
firms and individuals that have re- out the grant activities; and,
ceived a passing rating under the EPA (4) Is reasonably expected to be capa-
proficiency rating program under sec- ble, in the Regional Administrator’s
tion 305(a)(2) of the Act. judgment, of administering the grant
(h) Funds appropriated for section 306 program.
may not be used to cover the costs of (b) If the Administrator has pre-
federal proficiency rating programs viously determined that an Indian
under section 305(a)(2) of the Act. Tribe has met the prerequisites in
Funds appropriated for section 306 and paragraphs (a)(1) and (2) of this section
grants awarded under section 306 may for another EPA program, the Tribe
428
need provide only that information § 35.725 Maximum federal share.

unique to the Toxic Substances Com-
pliance Monitoring grant program re- provide up to 100 percent of the ap-
quired by paragraphs (a)(3) and (4) of proved work plan costs.
this section.
UNDERGROUND STORAGE TANKS
§ 35.715 Maximum federal share. PROGRAM GRANTS (PUB. L. 105–276)
provide up to 75 percent of the ap- § 35.730 Purpose.
proved work plan costs. (a) Purpose of section. Section 35.730
through 35.733 govern underground
§ 35.718 Award limitation. storage tank program grants to eligible
If the Toxic Substances Compliance Tribes and Intertribal Consortia under
Monitoring grant funds are included in Pub.L. 105–276.
a Performance Partnership Grant, the (b) Purpose of program. Tribal under-
toxic substances compliance moni- ground storage tank program grants
toring work plan commitments must are awarded to assist Tribes and Inter-
be included in the Performance Part- tribal Consortia in developing and im-
nership Grant work plan. plementing programs to manage under-
ground storage tanks.
HAZARDOUS WASTE MANAGEMENT
PROGRAM GRANTS (PUB.L. 105–276) § 35.731 Eligible recipients.
Eligible recipients of underground
§ 35.720 Purpose. storage tank program grants are Tribes
(a) Purpose of section. Sections 35.720 and Intertribal Consortia.
through 35.725 govern hazardous waste
program grants to eligible Tribes and
Intertribal Consortia under the Depart- The Administrator allots under-
ments of Veterans Affairs and Housing ground storage tank program grant
and Urban Development, and Inde- funds to each regional office based on
pendent Agencies Appropriations Act, applicable EPA guidance. Regional of-
1999, Pub.L. 105–276, 112 Stat. 2461, 2499; fices award funds to Tribes and Inter-
42 U.S.C. 6908a (1998). tribal Consortia based on their pro-
(b) Purpose of program. Tribal haz- grammatic needs and applicable EPA
ardous waste program grants are guidance.
awarded to assist Tribes and Inter- § 35.735 Maximum federal share.
tribal Consortia in developing and im-
plementing programs to manage haz- The Regional Administrator may
ardous waste. provide up to 100 percent of the ap-
TRIBAL RESPONSE PROGRAM GRANTS
EPA will award Tribal hazardous (CERCLA SECTION 128(A))
waste program grants to Tribes or
Intertribal Consortia on a competitive SOURCE: 74 FR 28444, June 16, 2009, unless
basis in accordance with national pro- otherwise noted.
gram guidance. After the competitive
process is complete, the recipient can, § 35.736 Purpose.
at its discretion, accept the award as a (a) Purpose of section. Sections 35.736
Tribal hazardous waste program grant through 35.738 govern Tribal Response
or add the funds to a Performance Program Grants (as defined in section
Partnership Grant. If the recipient 128(a) of the Comprehensive Environ-
chooses to add the funds to a Perform- mental Response, Compensation, and
ance Partnership Grant, the Tribal Liability Act (CERCLA)).
hazardous waste program work plan (b) Purpose of program. Tribal Re-
commitments must be included in the sponse Program Grants are awarded to

Performance Partnership Grant work Tribes to establish or enhance the re-
plan. sponse program of the Tribe; capitalize
429
§ 35.737 40 CFR Ch. I (7–1–21 Edition)
a revolving loan fund for brownfield re- ment regulation (2 CFR part 1532), and
mediation under section 104(k)(3) of establishes requirements for Federal
CERCLA; or purchase insurance or de- grant assistance for the building of
velop a risk sharing pool, an indemnity wastewater treatment works. EPA may
pool, or insurance mechanism to pro- also find it necessary to publish other
vide financing for response actions requirements applicable to the con-
under a Tribal response program. struction grants program in response
to Congressional action and executive
§ 35.737 Basis for allotment. orders.
The Administrator allots response (c) EPA’s policy is to delegate admin-
program funds to each EPA regional of- istration of the construction grants
fice. Regional Administrators award program on individual projects to
funds to Tribes based on their pro- State agencies to the maximum extent
grammatic needs and applicable EPA possible. Throughout this subpart we
guidance. have used the term Regional Adminis-
trator. To the extent that the Regional
§ 35.738 Maximum federal share. Administrator delegates review of
The Regional Administrator may projects for compliance with the re-
provide up to 100 percent of the ap- quirements of this subpart to a State
proved work plan costs with the excep- agency under a delegation agreement
tion of the cost shares required by (§ 35.1030), the term Regional Adminis-
CERCLA 104(k)(9)(B)(iii) for capitaliza- trator may be read State agency.
tion of revolving loan funds under (d) In accordance with the Federal
CERCLA 104(k)(3). Grant and Cooperative Agreement Act
(Pub. L. 95–224) EPA will, when sub-
Subparts C–H [Reserved] stantial Federal involvement is antici-
pated, award assistance under coopera-
tive agreements. Throughout this sub-
Subpart I—Grants for Construction part we have used the terms grant and
of Treatment Works grantee but those terms may be read
cooperative agreement and recipient if
AUTHORITY: Secs. 101(e), 109(b), 201 through appropriate.
205, 207, 208(d), 210 through 212, 215 through (e) From time to time EPA publishes
219, 304(d)(3), 313, 501, 502, 511 and 516(b) of the
technical and guidance materials on
Clean Water Act, as amended, 33 U.S.C. 1251
et seq. various topics relevant to the construc-
tion grants program. Grantees may
SOURCE: 49 FR 6234, Feb. 17, 1984, unless find this information useful in meeting
otherwise noted.
requirements in this subpart. These
§ 35.2000 Purpose and policy. publications, including the MCD and
FRD series, may be ordered from: EPA,
(a) The primary purpose of Federal 1200 Pennsylvania Ave., NW., room 1115
grant assistance available under this ET, WH 547, Washington, DC 20460. In
subpart is to assist municipalities in order to expedite processing of re-
meeting enforceable requirements of quests, persons wishing to obtain these
the Clean Water Act, particularly, ap- publications should request a copy of
plicable National Pollutant Discharge EPA form 7500–21 (the order form list-
Elimination System (NPDES) permit ing all available publications), from
requirements. EPA Headquarters, Municipal Con-
(b) This subpart supplements EPA’s struction Division (WH–547) or from
Uniform Relocation and Real Property any EPA Regional Office.
Acquisition Policies Act regulation
(part 4 of this chapter), its National [49 FR 6234, Feb. 17, 1984, as amended at 79
Environmental Policy Act (NEPA) reg- FR 76055, Dec. 19, 2014]
ulation (part 6 of this chapter), its pub-
lic participation regulation (part 25 of § 35.2005 Definitions.
this chapter), its intergovernmental re- (a) Words and terms not defined
view regulation (part 29 of this chap- below shall have the meaning given to
ter), its general grant regulation (2 them in 2 CFR part 200, subpart A—
CFR parts 200 and 1500), and its debar- Acronyms and Definitions.
430
(b) As used in this subpart, the fol- (ii) 40 CFR part 125, subpart G—ma-
lowing words and terms mean: rine discharge waivers;
(1) Act. The Clean Water Act (33 (iii) 40 CFR 122.44(d)—more stringent
U.S.C. 1251 et seq., as amended). water quality standards and State
(2) Ad valorem tax. A tax based upon standards; or
the value of real property. (iv) 41 FR 6190 (February 11, 1976)—
(3) Allowance. An amount based on a Alternative Waste Management Tech-
percentage of the project’s allowable niques for Best Practicable Waste
building cost, computed in accordance Treatment (treatment and discharge,
with appendix B. land application techniques and utili-
(4) Alternative technology. Proven zation practices, and reuse).
wastewater treatment processes and (8) Building. The erection, acquisi-
tion, alteration, remodeling, improve-
techniques which provide for the re-
ment or extension of treatment works.
claiming and reuse of water, produc-
(9) Building completion. The date when
tively recycle wastewater
all but minor components of a project
constitutuents or otherwise eliminate
have been built, all equipment is oper-
the discharge of pollutants, or recover
ational and the project is capable of
energy. Specifically, alternative
functioning as designed.
technolgy includes land application of
(10) Collector sewer. The common lat-
effluent and sludge; aquifer recharge;
eral sewers, within a publicly owned
aquaculture; direct reuse (non-pota-
treatment system, which are primarily
ble); horticulture; revegetation of dis-
installed to receive wastewaters di-
turbed land; containment ponds; sludge
rectly from facilities which convey
composting and drying prior to land wastewater from individual systems, or
application; self-sustaining inciner- from private property, and which in-
ation; and methane recovery. clude service ‘‘Y’’ connections designed
(5) Alternative to conventional treat- for connection with those facilities in-
ment works for a small community. For cluding:
purposes of §§ 35.2020 and 35.2032, alter- (i) Crossover sewers connecting more
native technology used by treatment than one property on one side of a
works in small communities include al- major street, road, or highway to a lat-
ternative technologies defined in para- eral sewer on the other side when more
graph (b)(4), as well as, individual and cost effective than parallel sewers; and
onsite systems; small diameter grav- (ii) Except as provided in paragraph
ity, pressure or vacuum sewers con- (b)(10)(iii) of this section, pumping
veying treated or partially treated units and pressurized lines serving in-
wastewater. These systems can also individual structures or groups of struc-
clude small diameter gravity sewers tures when such units are cost effective
carrying raw wastewater to cluster and are owned and maintained by the
systems. grantee.
(6) Architectural or engineering serv- (iii) This definition excludes other fa-
ices. Consultation, investigations, re- cilities which convey wastewater from
ports, or services for design-type individual structures, from private
projects within the scope of the prac- property to the public lateral sewer, or
tice of architecture or professional en- its equivalent and also excludes facili-
gineering as defined by the laws of the ties associated with alternatives to
State or territory in which the grantee conventional treatment works in small
is located. communities.
(7) Best Practicable Waste Treatment (11) Combined sewer. A sewer that is
Technology (BPWTT). The cost-effective designed as a sanitary sewer and a
technology that can treat wastewater, storm sewer.
combined sewer overflows and non- (12) Complete waste treatment system. A
excessive infiltration and inflow in complete waste treatment system con-
publicly owned or individual waste- sists of all the treatment works nec-
water treatment works, to meet the essary to meet the requirements of
applicable provisions of: title III of the Act, involving: (i) The
(i) 40 CFR part 133—secondary treat- transport of wastewater from indi-
ment of wastewater; vidual homes or buildings to a plant or
431
§ 35.2005 40 CFR Ch. I (7–1–21 Edition)
facility where treatment of the waste- of the infiltration/inflow. (See

water is accomplished; (ii) the treat- §§ 35.2005(b) (28) and (29) and 35.2120.)
ment of the wastewater to remove pol- (17) Field testing. Practical and gen-
lutants; and (iii) the ultimate disposal, erally small-scale testing of innovative
including recycling or reuse, of the or alternative technologies directed to
treated wastewater and residues which verifying performance and/or refining
result from the treatment process. design parameters not sufficiently test-
(13) Construction. Any one or more of ed to resolve technical uncertainties
the following: Preliminary planning to which prevent the funding of a prom-
determine the feasibility of treatment ising improvement in innovative or al-
works, engineering, architectural, ternative treatment technology.
legal, fiscal, or economic investiga- (18) Individual systems. Privately
tions or studies, surveys, designs, owned alternative wastewater treat-
plans, working drawings, specifica- ment works (including dual waterless/
tions, procedures, field testing of inno- gray water systems) serving one or
vative or alternative wastewater treat- more principal residences, or small
ment processes and techniques (exclud- commercial establishments. Normally
ing operation and maintenance) meet- these are onsite systems with localized
ing guidelines promulgated under sec- treatment and disposal of wastewater,
tion 304(d)(3) of the Act, or other nec- but may be systems utilizing small di-
essary actions, erection, building, ac- ameter gravity, pressure or vacuum
quisition, alteration, remodeling, im- sewers conveying treated or partially
provement, or extension of treatment treated wastewater. These systems can
works, or the inspection or supervision also include small diameter gravity
of any of the foregoing items. sewers carrying raw wastewater to
cluster systems.
(14) Conventional technology. Waste-
(19) Industrial user. Any nongovern-
water treatment processes and tech- mental, nonresidential user of a pub-
niques involving the treatment of licly owned treatment works which is
wastewater at a centralized treatment identified in the Standard Industrial
plant by means of biological or phys- Classification Manual, 1972, Office of
ical/chemical unit processes followed Management and Budget, as amended
by direct point source discharge to sur- and supplemented, under one of the fol-
face waters. lowing divisions:
(15) Enforceable requirements of the
Act. Those conditions or limitations of Division A. Agriculture, Forestry, and Fish-
ing
section 402 or 404 permits which, if vio- Division B. Mining
lated, could result in the issuance of a Division D. Manufacturing
compliance order or initiation of a Division E. Transportation, Communications,
civil or criminal action under section Electric, Gas, and Sanitary Services
309 of the Act or applicable State laws. Division I. Services
If a permit has not been issued, the (20) Infiltration. Water other than
term shall include any requirement wastewater that enters a sewer system
which, in the Regional Administrator’s (including sewer service connections
judgment, would be included in the per- and foundation drains) from the ground
mit when issued. Where no permit ap- through such means as defective pipes,
plies, the term shall include any re- pipe joints, connections, or manholes.
quirement which the Regional Admin- Infiltration does not include, and is
istrator determines is necessary for the distinguished from, inflow.
best practicable waste treatment tech- (21) Inflow. Water other than waste-
nology to meet applicable criteria. water that enters a sewer system (in-
(16) Excessive infiltration/inflow. The cluding sewer service connections)
quantities of infiltration/inflow which from sources such as, but not limited
can be economically eliminated from a to, roof leaders, cellar drains, yard
sewer system as determined in a cost- drains, area drains, drains from springs
effectiveness analysis that compares and swampy areas, manhole covers,
the costs for correcting the infiltra- cross connections between storm sew-
tion/inflow conditions to the total ers and sanitary sewers, catch basins,
costs for transportation and treatment cooling towers, storm waters, surface
432
runoff, street wash waters, or drainage. (26) Marine bays and estuaries. Semi-
Inflow does not include, and is distin- enclosed coastal waters which have a
guished from, infiltration. free connection to the territorial sea.
(22) Initiation of operation. The date (27) Municipality. A city, town, bor-
specified by the grantee on which use ough, county, parish, district, associa-
of the project begins for the purpose for tion, or other public body (including an
which it was planned, designed, and intermunicipal agency of two or more
built. of the foregoing entities) created under
(23) Innovative technology. Developed State law, or an Indian tribe or an au-
wastewater treatment processes and thorized Indian tribal organization,
techniques which have not been fully having jurisdiction over disposal of
proven under the circumstances of sewage, industrial wastes, or other
their contemplated use and which rep- waste, or a designated and approved
resent a significant advancement over management agency under section 208
the state of the art in terms of signifi- of the Act.
cant reduction in life cycle cost or sig- (i) This definition includes a special
nificant environmental benefits district created under State law such
through the reclaiming and reuse of as a water district, sewer district, sani-
water, otherwise eliminating the dis- tary district, utility district, drainage
charge of pollutants, utilizing recy- district or similar entity or an inte-
cling techniques such as land treat- grated waste management facility, as
ment, more efficient use of energy and defined in section 201(e) of the Act,
which has as one of its principal re-
resources, improved or new methods of
sponsibilities the treatment, transport,
waste treatment management for com-
or disposal of domestic wastewater in a
bined municipal and industrial sys-
particular geographic area.
tems, or the confined disposal of pol-
lutants so that they will not migrate (ii) This definition excludes the fol-
to cause water or other environmental lowing:
pollution. (A) Any revenue producing entity
(24) Interceptor sewer. A sewer which which has as its principal responsi-
bility an activity other than providing
is designed for one or more of the fol-
wastewater treatment services to the
lowing purposes:
general public, such as an airport,
(i) To intercept wastewater from a
turnpike, port facility or other munic-
final point in a collector sewer and
ipal utility.
convey such wastes directly to a treat-
(B) Any special district (such as
ment facility or another interceptor.
school district or a park district) which
(ii) To replace an existing wastewater has the responsibility to provide waste-
treatment facility and transport the water treatment services in support of
wastes to an adjoining collector sewer its principal activity at specific facili-
or interceptor sewer for conveyance to ties, unless the special district has the
a treatment plant. responsibility under State law to pro-
(iii) To transport wastewater from vide wastewater treatment services to
one or more municipal collector sewers the community surrounding the special
to another municipality or to a re- district’s facility and no other munici-
gional plant for treatment. pality, with concurrent jurisdiction to
(iv) To intercept an existing major serve the community, serves or intends
discharge of raw or inadequately treat- to serve the special district’s facility
ed wastewater for transport directly to or the surrounding community.
another interceptor or to a treatment (28) Nonexcessive infiltration. The
plant. quantity of flow which is less than 120
(25) Interstate agency. An agency of gallons per capita per day (domestic
two or more States established under base flow and infiltration) or the quan-
an agreement or compact approved by tity of infiltration which cannot be
the Congress, or any other agency of economically and effectively elimi-
two or more States, having substantial nated from a sewer system as deter-
powers or duties pertaining to the con- mined in a cost-effectiveness analysis.
trol of water pollution. (See §§ 35.2005(b)(16) and 35.2120.)
433
§ 35.2005 40 CFR Ch. I (7–1–21 Edition)
(29) Nonexcessive inflow. The max- (35) Project schedule. A timetable

imum total flow rate during storm specifying the dates of key project
events which does not result in chronic events including public notices of pro-
operational problems related to hy- posed procurement actions, subagree-
draulic overloading of the treatment ment awards, issuance of notice to pro-
works or which does not result in a ceed with building, key milestones in
total flow of more than 275 gallons per the building schedule, completion of
capita per day (domestic base flow plus building, initiation of operation and
infiltration plus inflow). Chronic oper- certification of the project.
ational problems may include sur- (36) Replacement. Obtaining and in-
charging, backups, bypasses, and over- stalling equipment, accessories, or ap-
flows. (See §§ 35.2005(b)(16) and 35.2120). purtenances which are necessary dur-
(30) Operation and Maintenance. Ac-
ing the design or useful life, whichever
tivities required to assure the depend-
is longer, of the treatment works to
able and economical function of treat-
maintain the capacity and performance
ment works.
for which such works were designed
(i) Maintenance: Preservation of func-
tional integrity and efficiency of equip- and constructed.
ment and structures. This includes pre- (37) Sanitary sewer. A conduit in-
ventive maintenance, corrective main- tended to carry liquid and water-car-
tenance and replacement of equipment ried wastes from residences, commer-
(See § 35.2005(b)(36)) as needed.) cial buildings, industrial plants and in-
(ii) Operation: Control of the unit stitutions together with minor quan-
processes and equipment which make tities of ground, storm and surface
up the treatment works. This includes waters that are not admitted inten-
financial and personnel management; tionally.
records, laboratory control, process (38) Services. A contractor’s labor,
control, safety and emergency oper- time or efforts which do not involve
ation planning. the delivery of a specific end item,
(31) Principal residence. For the pur- other than documents (e.g., reports, de-
poses of § 35.2034, the habitation of a sign drawings, specifications). This
family or household for at least 51 per- term does not include employment
cent of the year. Second homes, vaca- agreements or collective bargaining
tion or recreation residences are not agreements.
included in this definition. (39) Small commercial establishments.
(32) Project. The activities or tasks For purposes of § 35.2034 private estab-
the Regional Administrator identifies lishments such as restaurants, hotels,
in the grant agreement for which the stores, filling stations, or recreational
grantee may expend, obligate or com-
facilities and private, nonprofit enti-
mit funds.
ties such as churches, schools, hos-
(33) Project performance standards. The
pitals, or charitable organizations with
performance and operations require-
dry weather wastewater flows less than
ments applicable to a project including
25,000 gallons per day.
the enforceable requirements of the
Act and the specifications, including (40) Small Community. For purposes of
the quantity of excessive infiltration §§ 35.2020(b) and 35.2032, any munici-
and inflow proposed to be eliminated, pality with a population of 3,500 or less
which the project is planned and de- or highly dispersed sections of larger
signed to meet. municipalities, as determined by the
(34) Priority water quality areas. For Regional Administrator.
the purposes of § 35.2015, specific stream (41) State. A State, the District of Co-
segments or bodies of water, as deter- lumbia, the Commonwealth of Puerto
mined by the State, where municipal Rico, the Virgin Islands, Guam, Amer-
discharges have resulted in the impair- ican Samoa, the Trust Territory of the
ment of a designated use or significant Pacific Islands, and the Commonwealth
public health risks, and where the re- of the Northern Marianas. For the pur-
duction of pollution from such disposes of applying for a grant under sec-
charges will substantially restore sur- tion 201(g)(1) of the act, a State (in-
face or groundwater uses. cluding its agencies) is subject to the
434
limitations on revenue producing enti- may be any substantial portion of a fa-

ties and special districts contained in cility and its interceptors described in
§ 35.2005(b)(27)(ii). a facilities plan under § 35.2030, which
(42) State agency. The State agency can be identified as a subagreement or
designated by the Governor having re- discrete subitem. Multiple subagree-
sponsibility for administration of the ments under a project shall not be con-
construction grants program under sec- sidered to be segments or phases. Com-
tion 205(g) of the Act. pletion of building of a treatment
(43) Step 1. Facilities planning. works phase or segment may, but need
(44) Step 2. Preparation of design not in and of itself, result in an oper-
drawings and specifications. able treatment works.
(45) Step 3. Building of a treatment (51) Useful life. The period during
works and related services and sup- which a treatment works operates.
plies. (Not ‘‘design life’’ which is the period
(46) Step 2 + 3. Design and building of during which a treatment works is
a treatment works and building related planned and designed to be operated.)
services and supplies. (52) User charge. A charge levied on
(47) Step 7. Design/building of treat- users of a treatment works, or that
ment works wherein a grantee awards portion of the ad valorem taxes paid by
a single contract for designing and a user, for the user’s proportionate
building certain treatment works. share of the cost of operation and
(48) Storm sewer. A sewer designed to maintenance (including replacement)
carry only storm waters, surface run- of such works under sections
off, street wash waters, and drainage. 204(b)(1)(A) and 201(h)(2) of the Act and
(49) Treatment works. Any devices and this subpart.
systems for the storage, treatment, re- (53) Value engineering. A specialized
cycling, and reclamation of municipal cost control technique which uses a
sewage, domestic sewage, or liquid in- systematic and creative approach to
dustrial wastes used to implement sec- identify and to focus on unnecessarily
tion 201 of the Act, or necessary to re- high cost in a project in order to arrive
cycle or reuse water at the most eco- at a cost saving without sacrificing the
nomical cost over the design life of the reliability or efficiency of the project.
works. These include intercepting sew- [49 FR 6234, Feb. 17, 1984, as amended at 50
ers, outfall sewers, sewage collection FR 45894, Nov. 4, 1985; 55 FR 27095, June 29,
systems, individual systems, pumping, 1990; 79 FR 76056, Dec. 19, 2014]
power, and other equipment and their
appurtenances; extensions, improve- § 35.2010 Allotment; reallotment.
ment, remodeling, additions, and alter- (a) Allotments are made on a formula
ations thereof; elements essential to or other basis which Congress specifies
provide a reliable recycled supply such for each fiscal year (FY). The allot-
as standby treatment units and clear ment for each State and the avail-
well facilities; and any works, includ- ability period shall be announced each
ing acquisition of the land that will be fiscal year in the FEDERAL REGISTER.
an integral part of the treatment proc- This section applies only to funds al-
ess or is used for ultimate disposal of lotted under section 205 of the Act.
residues resulting from such treatment (b) Unless otherwise provided by Con-
(including land for composting sludge, gress, all sums allotted to a State
temporary storage of such compost and under section 205 of the Act shall re-
land used for the storage of treated main available for obligation until the
wastewater in land treatment systems end of the one year after the close of
before land application); or any other the fiscal year for which the sums were
method or system for preventing, abat- appropriated. Except as provided in
ing, reducing, storing, treating, sepa- § 35.2020(a), sums not obligated at the
rating, or disposing of municipal waste end of that period shall be subject to
or industrial waste, including waste in reallotment on the basis of the same
combined storm water and sanitary ratio as applicable to the then-current
sewer systems. fiscal year, adjusted for the States

(50) Treatment works phase or segment. which failed to obligate any of the fis-
A treatment works phase or segment cal year funds being reallotted, but
435
§ 35.2012 40 CFR Ch. I (7–1–21 Edition)
none of the funds reallotted shall be accordance with an approved State pri-
made available to any State which ority system. The State priority sys-
failed to obligate any of the fiscal year tem and list must be designed to
funds being reallotted. Any sum made achieve optimum water quality man-
available to a State by reallotment agement consistent with the goals and
under this section shall be in addition requirements of the Act. All projects
to any funds otherwise allotted to such for building treatment works to be
State for grants under this subpart funded by EPA must be included on a
during any fiscal year and the reallot- State project list, except training fa-
ted funds shall remain available for ob- cilities funded under section 109(b) of
ligation until the last day of the fiscal the Act and marine CSO projects fund-
year following the fiscal year in which ed under section 201(n)(2) of the Act.
the reallotted funds are issued by the (b) State priority system. The State
Comptroller to the Regional Adminis- priority system describes the method-
trator. ology used to rank projects that are
(c) Except for funds appropriated for considered eligible for assistance. The
FY 72 and fiscal years prior to 1972, priority system should give high pri-
sums which are deobligated and re- ority to projects in priority water qual-
issued by the Comptroller to the Re- ity areas. The priority system may
gional Administrator before their real- also include the administrative, man-
lotment date shall be available for ob- agement, and public participation pro-
ligation in the same State and treated cedures required to develop and revise
in the same manner as the allotment the State project priority list. The pri-
from which such funds were derived. ority system includes at least the fol-
(d) Except for funds appropriated for lowing elements:
FY 72 and fiscal years prior to 1972, (1) Criteria. (i) The priority system
deobligated sums which are reissued by shall include at least the following cri-
the Comptroller to the Regional Ad- teria for ranking projects:
ministrator after their reallotment
(A) The impairment of classified
date shall be available for obligation in
water uses resulting from existing mu-
the same State until the last day of the
nicipal pollutant discharges; and
fiscal year following the fiscal year in
which the reissuance occurs. (B) The extent of surface or ground
(e) Deobligated FY 72 and prior to water use restoration or public health
1972 fiscal year funds, except 1964, 1965 improvement resulting from the reduc-
and 1966 funds, will be credited to the tion in pollution.
allowances of the same Region from (ii) The State may also include other
which such funds are recovered, and criteria in its priority system for rank-
the Regional Administrator may deter- ing projects, such as the use of innova-
mine how these recoveries are credited tive or alternative technology, the
to the States within the Region. need to complete a waste treatment
system for which a grant for a phase or
[49 FR 6234, Feb. 17, 1984, as amended at 50 segment was previously awarded; and
FR 45895, Nov. 4, 1985] the category of need and the existing
§ 35.2012 Capitalization grants. population affected.
(iii) In ranking phased and segmented
Amounts allotted to a State under projects States must comply with
title II may be deposited in that § 35.2108.
State’s water pollution control revolv- (2) Categories of need. All projects
ing fund as a capitalization grant in ac- must fit into at least one of the cat-
cordance with 40 CFR 35.5020 (f) and (g). egories of need described in this para-
[55 FR 27095, June 29, 1990] graph to be eligible for funding, except
as provided in paragraphs (b)(2) (iii)
§ 35.2015 State priority system and and (iv) of this section. States will
project priority list. have sole authority to determine the
(a) General. The Regional Adminis- priority for each category of need.
trator will award grant assistance from (i) Before October 1, 1984, these cat-
annual allotments to projects on a egories of need shall include at least
State project priority list developed in the following:
436
(A) Secondary treatment (category (1) The State shall develop the
I); project priority list consistent with the
(B) Treatment more stringent than criteria established in the approved
secondary (category II); priority system. In ranking projects,
(C) Infiltration/inflow correction the State must also consider total
(category IIIA); funds available, needs and priorities set
(D) Major sewer system rehabilita- forth in areawide water quality man-
tion (category IIIB); agement plans, and any other factors
(E) New collector sewers and appur- contained in the State priority system.
tenances (category IVA); (2) The list shall include an estimate
(F) New interceptors and appur- of the eligible cost of each project.
tenances (category IVB); (d) Public participation. (1) In addition
to any requirements in 40 CFR part 25,
(G) Correction of combined sewer
the State shall hold public hearings as
overflows (category V).
follows:
(ii) After September 30, 1984, except
(i) Before submitting its priority sys-
as provided in paragraphs (b)(2) (iii)
tem to the Regional Administrator for
and (iv) of this section, these cat-
approval and before adopting any sig-
egories of need shall include only the
nificant change to an approved priority
following:
system; and
(A) Secondary treatment or any cost- (ii) Before submitting its annual
effective alternative; project priority list to the Regional
(B) Treatment more stringent than Administrator for acceptance and be-
secondary or any cost-effective alter- fore revising its priority list unless the
native; State agency and the Regional Admin-
(C) New interceptors and appur- istrator determine that the revision is
tenances; and not significant.
(D) Infiltration/inflow correction. (iii) If the approved State priority
(iii) After September 30, 1984, up to 20 system contains procedures for bypass-
percent (as determined by the Gov- ing projects on the fundable portion of
ernor) of a State’s annual allotment the priority list, such bypasses will not
may be used for categories of need be significant revisions for purposes of
other than those listed in paragraph this section.
(b)(2)(ii) of this section and for any pur- (2) Public hearings may be conducted
pose for which grants may be made as directed in the State’s continuing
under sections 319 (h) and (i) of the Act planning process document or may be
(including any innovative and alter- held in conjunction with any regular
native approaches for the control of public meeting of the State agency.
nonpoint sources of pollution). (e) Regional Administrator review. The
(iv) After September 30, 1984, the State must submit its priority system,
Governor may include in the priority project priority list and revisions of
system a category for projects needed the priority system or priority list to
to correct combined sewer overflows the Regional Administrator for review.
which result in impaired uses in pri- The State must also submit each year,
ority water quality areas. Only by August 31, a new priority list for use
projects which comply with the re- in the next fiscal year.
quirements of § 35.2024(a) may be in- (1) After submission and approval of
cluded in this category. the initial priority system and submis-
(c) Project priority list. The State’s an- sion and acceptance of the project pri-
nual project priority list is an ordered ority lists under paragraph (c) of this
listing of projects for which the State section, the State may revise its pri-
expects Federal financial assistance. ority system and list as necessary.
The priority list contains two portions: (2) The Regional Administrator shall
the fundable portion, consisting of review the State priority system and
those projects anticipated to be funded any revisions to insure that they are
from funds available for obligation; designed to obtain compliance with the
and the planning portion, consisting of criteria established in accordance with

projects anticipated to be funded from paragraphs (b) and (d) of this section
future authorized allotments. and the enforceable requirements of
437
§ 35.2020 40 CFR Ch. I (7–1–21 Edition)
the Act as defined in § 35.2005(b)(15). ment, up to 4 percent of the State’s al-

The Regional Administrator shall com- lotment based on the amount author-
plete review of the priority system ized to be appropriated, or $400,000,
within 30 days of receipt of the system whichever is greater, for State manage-
from the State and will notify the ment assistance grants under subpart
State in writing of approval or dis- A of this part. Grants may be made
approval of the priority system, stat- from these funds to cover the costs of
ing any reasons for disapproval. administering activities delegated or
(3) The Regional Administrator will scheduled to be delegated to a State.
review the project priority list and any Funds reserved for this purpose that
revisions to insure compliance with the are not obligated by the end of the al-
State’s approved priority system and lotment period will be added to the
the requirements of paragraph (c) of amounts last allotted to a State. These
this section. The Regional Adminis- funds shall be immediately available
trator will complete review of the for obligation to projects in the same
project priority list within 30 days of manner and to the same extent as the
receipt from the State and will notify last allotment.
the State in writing of acceptance or (b) Reserve for alternative systems for
rejection, stating the reasons for the small communities. Each State with 25
rejection. Any project which is not percent or more rural population (as
contained on an accepted current pri- determined by the population esti-
ority list will not receive funding. mates of the Bureau of Census) shall
(f) Compliance with the enforceable re- reserve not less than 4 percent nor
quirements of the Act. (1) Except as lim- more than 71⁄2 percent of the State’s
ited under paragraph (f)(2) of this sec- annual allotment for alternatives to
tion, the Regional Administrator, after conventional treatment works for
a public hearing, shall require the re- small communities. The Governor of
moval of a specific project or portion any non-rural State may reserve up to
thereof from the State project priority 71⁄2 percent of the State’s allotment for
list if the Regional Administrator de- the same purpose.
termines it will not contribute to com- (c) Reserve for innovative and alter-
pliance with the enforceable require- native technologies. Each State shall re-
ments of the Act. serve not less than 4 percent nor more
(2) The Regional Administrator shall than 71⁄2 percent from its annual allot-
not require removal of projects in cat- ment to increase the Federal share of
egories under paragraphs (b)(2)(i) (D) grant awards under § 35.2032 for projects
through (G) of this section which do which use innovative or alternative
not meet the enforceable requirements wastewater treatment processes and
of the Act unless the total Federal techniques. Of this amount not less
share of such projects would exceed 25 than one-half of one percent of the
percent of the State’s annual allot- State’s allotment shall be set aside to
ment. increase the Federal share for projects
[49 FR 6234, Feb. 17, 1984, as amended at 55 using innovative processes and tech-
FR 27095, June 29, 1990] niques.
(d) Reserve for water quality manage-
§ 35.2020 Reserves. ment. Each State shall reserve not less
In developing its priority list the than $100,000 nor more than 1 percent
State shall establish the reserves re- from its annual allotments, to carry
quired or authorized under this section. out water quality management plan-
The amount of each mandatory reserve ning under § 35.2023, except that in the
shall be based on the allotment to each case of Guam, the Virgin Islands,
State from the annual appropriation American Samoa, the Trust Territory
under § 35.2010. The State may also es- of the Pacific Islands and the Common-
tablish other reserves which it deter- wealth of the Northern Marianas, a
mines appropriate. reasonable amount shall be reserved
(a) Reserve for State management assist- for this purpose.
ance grants. Each State may request (e) Reserve for Advances of Allowance.
that the Regional Administrator re- Each State shall reserve a reasonable
serve, from the State’s annual allot- portion of its annual allotment not to
438
exceed 10 percent for advances of allow- these optional reserves are not obli-
ance under § 35.2025. The Regional Ad- gated or released and obligated for
ministrator may waive this reserve re- other purposes before the reallotment
quirement where a State can dem- date, they shall be subject to reallot-
onstrate that such a reserve is not nec- ment under § 35.2010(b).
essary because no new facilities plan- (c) Sums deobligated from the man-
ning or design work requiring an ad- datory portion of reserves under para-
vance and resulting in Step 3 grant graphs (b) through (e) of § 35.2020 which
awards is expected to begin during the are reissued by the Comptroller to the
period of availability of the annual al- Regional Administrator before the ini-
lotment. tial reallotment date for those funds
(f) Nonpoint source reserve. Each State shall be returned to the same reserve.
shall reserve 1 percent of its annual al- (See § 35.2010(c)).
lotment or $100,000, whichever is great-
er, for development and implementa- FR 45895, Nov. 4, 1985; 55 FR 27095, June 29,
tion of a nonpoint source management 1990]
program under section 319 of the Act.
Sums reserved by the State under this § 35.2023 Water quality management
paragraph that are in excess of $100,000 planning.
and that are not used for these pur- (a) From funds reserved under
poses, may be used by the State for any § 35.2020(d) the Regional Administrator
other purpose under title II of the Act. shall make grants to the States to
(g) Marine estuary reserve. The Admin- carry out water quality management
istrator shall reserve, before allotment planning including but not limited to:
of funds to the States, 1 percent of the (1) Identifying the most cost-effec-
funds appropriated under section 207 in tive and locally acceptable facility and
fiscal years 1987 and 1988, and 11⁄2 per- non-point measures to meet and main-
cent of the funds appropriated under tain water quality standards;
section 207 in fiscal years 1989 and 1990, (2) Developing an implementation
to carry out section 205(l) of the Act. plan to obtain State and local financial
(h) Indian program reserve. The Ad- and regulatory commitments to imple-
ministrator shall reserve, before allotment measures developed under para-
ment of funds to the States, one-half of graph (a)(1) of this section;
1 percent of the funds appropriated (3) Determining the nature, extent
under section 207 in fiscal years 1987, and causes of water quality problems
1988, 1989 and 1990, for grants for the de- in various areas of the State and inter-
velopment of waste treatment manage- state region, and reporting on these an-
ment plans and for the construction of nually; and
sewage treatment works to serve In- (4) Determining which publicly
dian tribes. owned treatment works should be con-
[49 FR 6234, Feb. 17, 1984, as amended at 50 structed, in which areas and in what
FR 45895, Nov. 4, 1985; 55 FR 27095, June 29, sequence, taking into account the rel-
1990] ative degree of effluent reduction at-
tained, the relative contributions to
§ 35.2021 Reallotment of reserves. water quality of other point or
(a) Mandatory portions of reserves nonpoint sources, and the consider-
under § 35.2020(b) through (g) shall be ation of alternatives to such construc-
reallotted if not obligated during the tion, and implementing section 303(e)
allotment period (§ 35.2010(b) and (d)). of the Act.
Such reallotted sums are not subject to (b) In carrying out planning with
reserves. The State management as- grants made under paragraph (a) of
sistance reserve under § 35.2020(a) is not this section, a State shall develop
subject to reallotment. jointly with local, regional and inter-
(b) States may request the Regional state entities, a plan for carrying out
Administrator to release funds in op- the program and give funding priority
tional reserves or optional portions of to such entities and designated or un-
required reserves under § 35.2020(b) designated public comprehensive plan-

through (e) for funding projects at any ning organizations to carry out the
time before the reallotment date. If purposes of this section.
439
§ 35.2024 40 CFR Ch. I (7–1–21 Edition)
§ 35.2024 Combined sewer overflows. teria in paragraph (b)(2) of this section

(a) Grant assistance from State allot- must be applied to the treatment
ment. As provided in § 35.2015(b)(2)(iv), works described in the facilities plan
after September 30, 1984, upon request and each segment proposed for funding.
from a State, the Administrator may (4) All requirements of this subpart
award a grant under section 201(n)(1) of apply to grants awarded under section
the Act from the State allotment for 201(n)(2) of the Act except §§ 35.2010,
correction of combined sewer overflows 35.2015, 35.2020, 35.2021, 35.2025(b),
provided that the project is on the 35.2042, 35.2103, 35.2109, and 35.2202.
project priority list, it addresses im-
paired uses in priority water quality § 35.2025 Allowance and advance of al-
areas which are due to the impacts of lowance.
the combined sewer overflows and oth- (a) Allowance. Step 2 + 3 and Step 3
erwise meets the requirements of this grant agreements will include an al-
subpart. The State must demonstrate lowance for facilities planning and de-
to the Administrator that the water sign of the project and Step 7 agree-
quality goals of the Act will not be ments will include an allowance for fa-
achieved without correcting the com- cility planning in accordance with ap-
bined sewer overflows. The demonstra- pendix B of this subpart.
tion shall as a minimum prove that (b) Advance of allowance to potential
significant usage of the water for fish- grant applicants. (1) After application
ing and swimming will not be possible by the State (see § 35.2040(d)), the Re-
without the proposed project, and that
gional Administrator will award a
the project will result in substantial
grant to the State in the amount of the
restoration of an existing impaired use.
reserve under § 35.2020(e) to advance al-
(b) Separate fund for combined sewer
lowances to potential grant applicants
overflows in marine waters. (1) After Sep-
tember 30, 1982, the Administrator may for facilities planning and project de-
award grants under section 201(n)(2) of sign.
the Act for addressing impaired uses or (2) The State may request that the
public health risks in priority water right to receive payments under the
quality areas in marine bays and estu- grant be assigned to specified potential
aries due to the impacts of combined grant applicants.
sewer overflows. The Administrator (3) The State may provide advances
may award such grants provided that of allowance only to small commu-
the water quality benefits of the pro- nities, as defined by the State, which
posed project have been demonstrated would otherwise be unable to complete
by the State. The demonstration shall an application for a grant under
as a minimum prove that significant § 35.2040 in the judgment of the State.
usage of the water for shellfishing and (4) The advance shall not exceed the
swimming will not be possible without Federal share of the estimate of the al-
the proposed project for correction of lowance for such costs which a grantee
combined sewer overflows, and the pro- would receive under paragraph (a) of
posed project will result in substantial this section.
restoration of an existing impaired use. (5) In the event a Step 2 + 3, Step 3 or
(2) The Administrator shall establish Step 7 grant is not awarded to a recipi-
priorities for projects with dem- ent of an advance, the State may seek
onstrated water quality benefits based repayment of the advance on such
upon the following criteria: terms and conditions as it may deter-
(i) Extent of water use benefits that mine. When the State recovers such ad-
would result, including swimming and vances they shall be added to its most
shellfishing; recent grant for advances of allowance.
(ii) Relationship of water quality im-
provements to project costs; and [49 FR 6234, Feb. 17, 1984, as amended at 55
(iii) National and regional signifi- FR 27095, June 29, 1990]
cance.
(3) If the project is a phase or seg- § 35.2030 Facilities planning.

ment of the proposed treatment works (a) General. (1) Facilities planning
described in the facilities plan, the cri- consists of those necessary plans and
440
studies which directly relate to treat- (2) A description of the Best Prac-
ment works needed to comply with en- ticable Wastewater Treatment Tech-
forceable requirements of the Act. Fa- nology. (See § 35.2005(b)(7).)
cilities planning will investigate the (3) A cost-effectiveness analysis of
need for proposed facilities. Through a the feasible conventional, innovative
systematic evaluation of alternatives and alternative wastewater treatment
that are feasible in light of the unique works, processes and techniques capa-
demographic, topographic, hydrologic ble of meeting the applicable effluent,
and institutional characteristics of the water quality and public health re-
area, it will demonstrate that, except quirements over the design life of the
for innovative and alternative tech- facility while recognizing environ-
nology under § 35.2032, the selected al- mental and other non-monetary con-
ternative is cost effective (i.e., is the siderations. The planning period for
most economical means of meeting the the cost-effectiveness analysis shall be
applicable effluent, water quality and 20 years. The monetary costs to be con-
public health requirements over the de- sidered must include the present worth
sign life of the facility while recog- or equivalent annual value of all cap-
nizing environmental and other non- ital costs and operation and mainte-
monetary considerations). For sewered nance costs. The discount rate estab-
communities with a population of lished by EPA for the construction
10,000 or less, consideration must be grants program shall be used in the
given to appropriate low cost tech- cost-effectiveness analysis. The popu-
nologies such as facultative ponds, lation forecasting in the analysis shall
trickling filters, oxidation ditches, or be consistent with the current Needs
overland-flow land treatment; and for Survey. A cost-effectiveness analysis
unsewered portions of communities of must include:
10,000 or less, consideration must be (i) An evaluation of alternative flow
given to onsite systems. The facilities reduction methods. (If the grant appli-
plan will also demonstrate that the se- cant demonstrates that the existing
lected alternative is implementable average daily base flow (ADBF) from
from legal, institutional, financial and the area is less than 70 gallons per cap-
management standpoints. ita per day (gpcd), or if the Regional
(2) Grant assistance may be awarded Administrator determines the area has
before certification of the completed an effective existing flow reduction
facilities plan if: program, additional flow reduction
(i) The Regional Administrator deter- evaluation is not required.)
mines that applicable statutory and (ii) A description of the relationship
regulatory requirements (including between the capacity of alternatives
part 6) have been met; that the facili- and the needs to be served, including
ties planning related to the project has capacity for future growth expected
been substantially completed; and that after the treatment works become
the project for which grant assistance operational. This includes letters of in-
is awarded will not be significantly af- tent from significant industrial users
fected by the completion of the facili- and all industries intending to increase
ties plan and will be a component part their flows or relocate in the area doc-
of the complete waste treatment sys- umenting capacity needs and charac-
tem; and teristics for existing or projected flows;
(ii) The applicant agrees to complete (iii) An evaluation of improved efflu-
the facilities plan on a schedule the ent quality attainable by upgrading
State accepts and such schedule is in- the operation and maintenance and ef-
serted as a special condition of the ficiency of existing facilities as an al-
grant agreement. ternative or supplement to construc-
(b) Facilities plan contents. A com- tion of new facilities;
pleted facilities plan must include: (iv) An evaluation of the alternative
(1) A description of both the proposed methods for the reuse or ultimate dis-
treatment works, and the complete posal of treated wastewater and sludge
waste treatment system of which it is material resulting from the treatment
a part. process;
441
§ 35.2032 40 CFR Ch. I (7–1–21 Edition)
(v) A consideration of systems with § 35.2032 Innovative and alternative

revenue generating applications; technologies.
(vi) An evaluation of opportunities to (a) Funding for innovative and alter-
reduce use of, or recover energy; native technologies. Projects or portions
(vii) Cost information on total cap- of projects using unit processes or
ital costs, and annual operation and techniques which the Regional Admin-
maintenance costs, as well as esti- istrator determines to be innovative or
mated annual or monthly costs to resi- alternative technology shall receive in-
dential and industrial users. creased grants under § 35.2152.
(4) A demonstration of the non-exist- (1) Only funds from the reserve in
ence or possible existence of excessive § 35.2020(c) shall be used to increase
inflitration/inflow in the sewer system. these grants.
(2) If the project is an alternative to
See § 35.2120.
conventional treatment works for a
(5) An analysis of the potential open small community, funds from the re-
space and recreation opportunities as- serve in § 35.2020(b) may be used for the
sociated with the project. 75 percent portion, or any lower Fed-
(6) An adequate evaluation of the en- eral share of the grant as determined
vironmental impacts of alternatives under § 35.2152.
under part 6 of this chapter. (b) Cost-effectiveness preference. The
(7) An evaluation of the water supply Regional Administrator may award
implications of the project. grant assistance for a treatment works
(8) For the selected alternative, a or portion of a treatment works using
concise description at an appropriate innovative or alternative technologies
level of detail, of at least the following: if the total present worth cost of the
(i) Relevant design parameters; treatment works for which the grant is
(ii) Estimated capital construction to be made does not exceed the total
present worth cost of the most cost-ef-
and operation and maintenance costs,
fective alternative by more than 15 per-
(identifying the Federal, State and
cent.
local shares), and a description of the (1) Privately-owned individual sys-
manner in which local costs will be fi- tems (§ 35.2034) are not eligible for this
nanced; preference.
(iii) Estimated cost of future expan- (2) If the present worth costs of the
sion and long-term needs for recon- innovative or alternative unit proc-
struction of facilities following their esses are 50 percent or less of the
design life; present worth cost of the treatment
(iv) Cost impacts on wastewater sys- works, the cost-effectiveness pref-
tem users; and erence applies only to the innovative
(v) Institutional and management ar- or alternative components.
rangements necessary for successful (c) Modification or replacement of inno-
implementation. vative and alternative projects. The Re-
(c) Submission and review of facilities gional Administrator may award grant
plan. Each facilities plan must be sub- assistance to fund 100 percent of the al-
mitted to the State for review. EPA lowable costs of the modification or re-
placement of any project funded with
recommends that potential grant appli-
increased grant funding in accordance
cants confer with State reviewers early
with paragraph (a) of this section if he
in the facilities planning process. In
determines that:
addition, a potential grant applicant (1) The innovative or alternative ele-
may request in writing from the State ments of the project have caused the
and EPA an early determination under project or significant elements of the
part 6 of this chapter of the appro- complete waste treatment system of
priateness of a categorical exclusion which the project is a part to fail to
from NEPA requirements, the scope of meet project performance standards;
the environmental information docu- (2) The failure has significantly in-
ment or the early preparation of an en- creased operation and maintenance ex-
vironmental impact statement. penditures for the project or the com-
plete waste treatment system of which
442
the project is a part; or requires sig- (b) The RBC failure has significantly
nificant additional capital expendi- increased the project’s capital or oper-
tures for corrective action; ation and maintenance costs;
(3) The failure has occurred prior to (c) The modification/replacement
two years after initiation of operation project meets all requirements of
of the project; and EPA’s construction grant and other ap-
(4) The failure is not attributable to plicable regulations, including 40 CFR
negligence on the part of any person. part 35, and 2 CFR parts 200, 1500 and
1532.
§ 35.2034 Privately owned individual (d) The modification/replacement
systems. project is included within the fundable
(a) An eligible applicant may apply range of the State’s annual project pri-
for a grant to build privately owned ority list; and
treatment works serving one or more (e) The State certifies the project for
principal residences or small commer- funding from its regular (i.e., non-re-
cial establishments. serve) allotments and from funds ap-
(b) In addition to those applicable propriated or otherwise available after
limitations set forth in §§ 35.2100 February 4, 1987.
through 35.2127 the grant applicant [55 FR 27095, June 29, 1990, as amended at 79
shall: FR 76056, Dec. 19, 2014]
(1) Demonstrate that the total cost
and environmental impact of building § 35.2036 Design/build project grants.
the individual system will be less than (a) Terms and conditions. The Re-
the cost of a conventional system; gional Administrator may award a de-
(2) Certify that the principal resi- sign/build (Step 7) project grant pro-
dence or small commercial establish- vided that:
ment was constructed before December (1) The proposed treatment works has
27, 1977, and inhabited or in use on or an estimated total cost of $8 million or
before that date; less;
(3) Apply on behalf of a number of in- (2) The proposed treatment works is
dividual units to be served in the facili- an aerated lagoon, trickling filter,
ties planning area; waste stabilization pond, land applica-
(4) Certify that public ownership of tion system (wastewater or sludge),
such works is not feasible and list the slow rate (intermittent) sand filter or
reasons; and subsurface disposal system;
(5) Certify that such treatment works (3) The proposed treatment works
will be properly operated and main- will be an operable unit, will meet all
tained and will comply with all other requirements of title II of the Act, and
requirements of section 204 of the Act. will be operated to meet the require-
ments of any applicable permit;
§ 35.2035 Rotating biological con- (4) The grantee obtains bonds from
tractor (RBC) replacement grants. the contractor in an amount the Re-
The Regional Administrator may gional Administrator determines ade-
award a grant for 100 percent of the quate to protect the Federal interest in
cost, including planning and design the treatment works (see 2 CFR
costs, of modification or replacement 200.325);
of RBCs which have failed to meet de- (5) The grantee will not allow any en-
sign performance specifications, pro- gineer, engineering firm or contractor
vided: which provided facilities planning or
(a) The applicant for a modification/ pre-bid services to bid or carry out any
replacement grant demonstrates to the part of the design/build work;
Regional Administrator’s satisfaction, (6) Contracts will be firm, fixed price
by a preponderance of the evidence, contracts;
that the RBC failure is not due to the (7) The grantee agrees that the grant
negligence of any person, including the amount, as amended to reflect the low-
treatment works owner, the applicant, est responsive/responsible bid (see

its engineers, contractors, equipment paragraph (e) of this section), will not
manufacturers or suppliers; be increased;
443
§ 35.2040 40 CFR Ch. I (7–1–21 Edition)
(8) The grantee will establish reason- (2) An estimated cost of sup-
able building start and completion plementing the facilities plan and
dates; other costs necessary to prepare the
(9) The grantee agrees that EPA will pre-bid package (see appendix A.I.1(a)
not pay more than 95 percent of the of this subpart); and
grant amount until after completion of (3) The estimated cost of the design/
building and the Regional Administra- build contract.
tor’s final project approval, based on (e) Amended grant amount. (1) After
initiation of operation and acceptance bids are accepted for the design/build
of the facility by the grantee; contract, and the price of the lowest
(10) The grantee agrees that a recipi- responsive, responsible bidder is deter-
ent of a Step 7 grant is not eligible for mined, EPA will amend the design/
any other grant for the project under build project grant based on:
(i) The amount of the lowest respon-
title II of the Act; and
sive, responsible bid;
(11) The grantee accepts other terms (ii) A lump sum for construction
and conditions deemed necessary by management, contract and project ad-
the Regional Administrator. ministration services and contin-
(b) Procurement. (1) Grantee procure- gencies;
ment for developing or supplementing (iii) Any adjustments to the final al-
the facilities plan to prepare the pre- lowance for facilities planning if in-
bid package, as well as for designing cluded as required by paragraph (c)(1)
and building the project and per- of this section (the amount of the final
forming construction management and allowance is established as a percent-
contract administration, will be in ac- age of the actual building cost in ac-
cordance with the procurement stand- cordance with appendix B of this sub-
ards at 2 CFR 200.317 through 200.326 part);
and 2 CFR 1500.9 through 1500.10. (iv) The actual reasonable and nec-
(2) The grantee will use the sealed bid essary cost of supplementing the facili-
(formal advertising) method of pro- ties plan to prepare the pre-bid pack-
curement to select the design/build age (see paragraph (c)(1) of this sec-
contractor. tion); and
(3) The grantee may use the same ar- (v) The submission of approvable
chitect or engineer that prepared the items required by § 35.2203 of this part.
facilities plan to provide any or all of (2) Changes to Step 7 projects cannot
the pre-bid, construction management, increase the amount of EPA assistance
and contract and/or project administra- established at the time of the grant
tion services provided the initial pro- amendment.
curement met EPA requirements (see 2 (f) Allotment limit for design/build
CFR 1500.10). grants. The Governor may use up to 20
(c) Pre-bid package. Each design/build percent of the State’s annual allotment
project grant will provide for the prep- for design/build project grants.
aration of a pre-bid package that is suf- [55 FR 27096, June 29, 1990, as amended at 79
ficiently detailed to insure that the FR 76056, Dec. 19, 2014]
bids received for the design/build work
are complete, accurate and comparable § 35.2040 Grant application.
and will result in a cost-effective, oper- Applicants for Step 2 + 3 or Step 3 as-
able facility. sistance shall submit applications to
(d) Grant amount. The grant amount the State. In addition to the informa-
will be based on an estimate of the de- tion required in 2 CFR parts 200 and
sign/build project’s final cost, includ- 1500, applicants shall provide the fol-
ing: lowing information:
(1) An allowance for facilities plan- (a) Step 2 + 3: Combined design and
ning if the grantee did not receive a building of a treatment works and build-
Step 1 grant (the amount of the allowing related services and supplies. An ap-
ance is established as a percentage of plication for Step 2 + 3 grant assistance
the estimated design/build cost in ac- shall include:

cordance with appendix B of this sub- (1) A facilities plan prepared in ac-
part); cordance with this subpart;
444
(2) Certification from the State that (2) The basis for the amount re-
there has been adequate public partici- quested.
pation based on State and local stat- (e) Field Testing of Innovative and Al-
utes; ternative Technology. An application for
(3) Notification of any advance re- field testing of I/A projects shall in-
ceived under § 35.2025(b); clude a field testing plan containing:
(4) Evidence of compliance with all (1) Identification; including size, of
application limitations on award all principal components to be tested;
(§§ 35.2100 through 35.2127); and (2) Location of testing facilities in
(5) The project schedule.
relationship to full scale design;
(b) Step 3: Building of a treatment
(3) Identification of critical design
works and related services and supplies
An application for Step 3 grant assist- parameters and performance variables
ance shall include: that are to be verified as the basis for
(1) A facilities plan prepared in ac- I/A determinations:
cordance with this subpart; (4) Schedule for construction of field
(2) Certification from the State that testing facilities and duration of pro-
there has been adequate public partici- posed testing;
pation based on State and local stat- (5) Capital and O&M cost estimate of
utes; field testing facilities with documenta-
(3) Notification of any advance re- tion of cost effectiveness of field test-
ceived under § 35.2025(b); ing approach; and
(4) Evidence of compliance with all (6) Design drawing, process flow dia-
applicable limitations on award gram, equipment specification and re-
(§§ 35.2100 through 35.2127); lated engineering data and information
(5) Final design drawings and speci- sufficient to describe the overall design
fications; and proposed performance of the field
(6) The project schedule; and testing facility.
(7) In the case of an application for (f) Marine CSO Fund Project. An appli-
Step 3 assistance that is solely for the cation for marine CSO grant assistance
acquisition of eligible real property, a under § 35.2024(b) shall include:
plat which shows the legal description
(1) All information required under
of the property to be acquired, a pre-
paragraphs (b) (1), (2), (4), (6), and (7), of
liminary layout of the distribution and
drainage systems, and an explanation this section;
of the intended method of acquiring (2) Final design drawings and speci-
the real property (see 40 CFR part 4). fications or a commitment to provide
(c) Training facility project. An appli- them by a date set by the Regional Ad-
cation for a grant for construction and ministrator; and
support of a training facility, facilities (3) The water quality benefits dem-
or training programs under section onstration required under § 35.2024(b)(1).
109(b) of the Act shall include: (g) Design/build project grant (Step 7).
(1) A written commitment from the An application for a design/build
State agency to carry out at such facil- project grant shall include:
ity a program of training; and (1) All the information required in
(2) If a facility is to be built, an engi- paragraphs (b) (1), (2) and (4) of this
neering report including facility design section; and
data and cost estimates for design and (2) The estimated building start and
building. completion dates and Federal payment
(d) Advances of allowance. State appli- schedule (the start and completion
cations for advances of allowance to dates may be revised when the design/
small communities shall be on govern- build bids are accepted and included in
ment wide Application for Federal As- the amended grant).
sistance (SF–424). The application shall
include: (Approved by the Office of Management and
(1) A list of communities that re- Budget under control number 2040–0027)
ceived an advance of allowance and the [49 FR 6234, Feb. 17, 1984, as amended at 50
amount received by each under the pre- FR 45895, Nov. 4, 1985; 55 FR 27096, June 29,
vious State grant; and 1990; 79 FR 76056, Dec. 19, 2014]
445
§ 35.2042 40 CFR Ch. I (7–1–21 Edition)
§ 35.2042 Review of grant applications. and § 35.2025 will be reviewed in accord-

ance with 2 CFR parts 200 and 1500.
(a) All States shall review grant ap-
plications to ensure that they are com- (Approved by the Office of Management and
plete. When the State determines the Budget under control number 2040–0027)
proposed project is entitled to priority [49 FR 6234, Feb. 17, 1984, as amended at 79
it shall forward the State priority cer- FR 76056, Dec. 19, 2014]
tification and, except where applica-
tion review is delegated, the complete § 35.2050 Effect of approval or certifi-
application to the regional Adminis- cation of documents.
trator for review. Review or approval of facilities
(b)(1) All States delegated authority plans, design drawings and specifica-
to manage the construction grants pro- tions or other documents by or for EPA
gram under section 205(g) of the Act is for administrative purposes only and
and subpart F of this part shall furnish does not relieve the grantee of its re-
a written certification to the Regional sponsibility to properly plan, design,
Administrator, on a project-by-project build and effectively operate and main-
basis, stating that the applicable Fed- tain the treatment works described in
eral requirements within the scope of the grant agreement as required under
authority delegated to the State under law, regulations, permits, and good
the delegation agreement have been management practices. EPA is not re-
met. The certification must be sup- sponsible for increased costs resulting
ported by documentation specified in from defects in the plans, design draw-
the delegation agreement which will be ings and specifications or other sub-
agreement documents.
made available to the Regional Admin-
istrator upon request. The Regional § 35.2100 Limitations on award.
Administrator shall accept the certifi-
cation unless he determines the State (a) Facilities plan approval. Before
has failed to establish adequate awarding grant assistance for any
grounds for the certification or that an project the Regional Administrator
applicable requirement has not been shall approve the facilities plan and
met. final design drawings and specifica-
tions and determine that the applicant
(2)(i) When EPA receives a certifi-
and the applicant’s project have met
cation covering all delegable preaward
all the applicable requirements of
requirements, the Regional Adminis- §§ 35.2040 and 35.2100 through § 35.2127
trator shall approve or disapprove the except as provided in § 35.2202 for Step 2
grant within 45 calendar days of receipt + 3 projects and § 35.2203 for Step 7
of the certification. The Regional Ad- projects.
ministrator shall state in writing the (b) Agreement on eligible costs. (1) Con-
reasons for any disapproval, and he current with the approval of a Step 3,
shall have an additional 45 days to re- Step 2 + 3 or Step 7 grant, the Regional
view any subsequent revised submis- Administrator and the grant applicant
sions. If the Regional Administrator will enter into a written agreement
fails to approve or disapprove the grant which will specify the items in the pro-
within 45 days of receipt of the applica- posed project that are eligible for Fed-
tion, the grant shall be deemed ap- eral payments and which shall be in-
proved and the Regional Adminstrator corporated as a special grant condition
shall issue the grant agreement. in the grant award.
(ii) Grant increase requests are sub- (2) Notwithstanding such agreement,
ject to the 45 day provision of this sec- the Regional Administrator may:
tion if the State has been delegated au- (i) Modify eligibility determinations
thority over the subject matter of the that are found to violate applicable
request. Federal statutes and regulations;
(c) Applications for assistance for (ii) Conduct an audit of the project;
training facilities funded under section (iii) Withhold or recover Federal

109(b) and for State advances of allow- funds for costs that are found to be un-
ance under section 201(l)(1) of the Act reasonable, unsupported by adequate
446
documentation or otherwise unallow- bility to ensure adequate building and

able under applicable Federal cost operation and maintenance of the
principles; treatment works throughout the appli-
(iv) Withhold or recover Federal cant’s jurisdiction including the abil-
funds for costs that are incurred on a ity to comply with part 30 of this sub-
project that fails to meet the design chapter. This demonstration must in-
specifications or effluent limitations clude: An explanation of the roles and
contained in the grant agreement and responsibilities of the local govern-
NPDES permit issued under section 402 ments involved; how construction and
of the Act. operation and maintenance of the fa-
[55 FR 27096, June 29, 1990]
cilities will be financed; a current esti-
mate of the cost of the facilities; and a
§ 35.2101 Advanced treatment. calculation of the annual costs per
household. It must also include a writ-
Projects proposing advanced treat-
ten certification signed by the appli-
ment shall be awarded grant assistance
cant that the applicant has analyzed
only after the project has been re-
the costs and financial impacts of the
viewed under EPA’s advanced treat-
proposed facilities, and that it has the
ment review policy. This review must
capability to finance and manage their
be completed before submission of any
building and operation and mainte-
application. EPA recommends that po-
nance in accordance with this regula-
tential grant applicants obtain this re-
tion;
view before initiation of design.
(3) Certify that it has not violated
§ 35.2102 Water quality management any Federal, State or local law per-
planning. taining to fraud, bribery, graft, kick-
Before grant assistance can be award- backs, collusion, conflict of interest or
ed for any treatment works project, other unlawful or corrupt practice re-
the Regional Administrator shall first lating to or in connection with facili-
determine that the project is: ties planning or design work on a
(a) Included in any water quality wastewater treatment works project.
management plan being implemented (4) Indicate the level of participation
for the area under section 208 of the for minority and women’s business en-
Act or will be included in any water terprises during facilities planning and
quality management plan that is being design of the project.
developed for the area and reasonable (b) Federal assistance made available
progress is being made toward the im- by the Farmers Home Administration
plementation of that plan; and may be used to provide the non-Federal
(b) In conformity with any plan or re- share of the project’s cost.
port implemented or being developed (Approved by the Office of Management and
by the State under sections 303(e) and Budget under control number 2040–0027)
305(b) of the Act.
[55 FR 27097, June 29, 1990] FR 27097, June 29, 1990]
§ 35.2103 Priority determination. § 35.2105 Debarment and suspension.

The project shall be entitled to pri- The applicant shall indicate whether
ority in accordance with § 35.2015, and it used the services of any individual,
the award of grant assistance for the organization, or unit of government for
project shall not jeopardize the funding facilities planning or design work
of any project of higher priority under whose name appears on the master list
the approved priority system. of debarments, suspensions, and vol-
untary exclusions. See 2 CFR 200.113
§ 35.2104 Funding and other consider- and 2 CFR part 1532. If the applicant in-
ations. dicates it has used the services of a
(a) The applicant shall; debarred individual or firm, EPA will
(1) Agree to pay the non-Federal closely examine the facilities plan, de-
project costs; sign drawings and specifications to de-

(2) Demonstrate the legal, institu- termine whether to award a grant.
tional, managerial, and financial capa- EPA will also determine whether the
447
§ 35.2106 40 CFR Ch. I (7–1–21 Edition)
applicant should be found non-respon- with the enforceable requirements of

sible under 2 CFR parts 200 and 1500 or the Act, provided:
be the subject of possible debarment or (a) The grant agreement requires the
suspension under 2 CFR part 1532. recipient to make the treatment works
[79 FR 76056, Dec. 19, 2014] of which the phase or segment is a part
operational and comply with the en-
§ 35.2106 Plan of operation. forceable requirements of the Act ac-
cording to a schedule specified in the
The applicant shall submit a draft
grant agreement regardless of whether
plan of operation that addresses devel-
grant funding is available for the re-
opment of: An operation and mainte-
maining phases and segments; and
nance manual; an emergency operating
program; personnel training; an ade- (b) Except in the case of a grant sole-
quate budget consistent with the user ly for the acquisition of eligible real
charge system approved under § 35.2140; property, one or more of the following
operational reports; laboratory testing conditions exist:
needs; and an operation and mainte- (1) The Federal share of the cost of
nance program for the complete waste building the treatment works would re-
treatment system. quire a disproportionate share of the
State’s annual allotment relative to
§ 35.2107 Intermunicipal service agree- other needs or would require a major
ments. portion of the State’s annual allot-
If the project will serve two or more ment;
municipalities, the applicant shall sub- (2) The period to complete the build-
mit the executed intermunicipal agreeing of the treatment works will cover
ments, contracts or other legally bind- three years or more;
ing instruments necessary for the fi- (3) The treatment works must be
nancing, building and operation of the phased or segmented to meet the re-
proposed treatment works. At a min- quirements of a Federal or State court
imum they must include the basis upon order; or
which costs are allocated, the formula (4) The treatment works is being
by which costs are allocated, and the phased or segmented to build only the
manner in which the cost allocation less-than-secondary facility pending a
system will be administered. The Re- final decision on the applicant’s re-
gional Administrator may waive this quest for a secondary treatment re-
requirement provided the applicant can quirement waiver under section 301(h)
demonstrate: of the Act.
(a) That such an agreement is al-
ready in place; or [49 FR 6234, Feb. 17, 1984, as amended at 50
(b) Evidence of historic service rela- FR 45895, Nov. 4, 1985]
tionships for water supply, wastewater
§ 35.2109 Step 2 + 3.
or other services between the affected
communities regardless of the exist- The Regional Administrator may
ence of formal agreements, and award a Step 2 + 3 grant which will pro-
(c) That the financial strength of the vide the Federal share of an allowance
supplier agency is adequate to continue under appendix B and the estimated al-
the project, even if one of the proposed lowable cost of the project only if:
customer agencies fails to participate. (a) The population of the applicant
municipality is 25,000 or less according
Budget under control number 2040–0027) to the most recent U.S. Census;
(b) The total Step 3 building cost is
§ 35.2108 Phased or segmented treat- estimated to be $8 million or less; and
ment works. (c) The project is not for a treatment
Grant funding may be awarded for a works phase or segment.
phase or segment of a treatment
§ 35.2110 Access to individual systems.

works, subject to the limitations of
§ 35.2123, although that phase or seg- Applicants for privately owned indi-
ment does not result in compliance vidual systems shall provide assurance
448
of access to the systems at all reason- § 35.2030(c), a potential applicant may

able times for such purposes as inspec- request, in writing, that EPA make a
tion, monitoring, building, operation, formal determination under part 6 of
rehabilitation and replacement. this chapter.
§ 35.2111 Revised water quality stand- § 35.2114 Value engineering.
ards.
(a) If the project has not received
After December 29, 1984, no grant can Step 2 grant assistance the applicant
be awarded for projects that discharge shall conduct value engineering if the
into stream segments which have not, total estimated cost of building the
at least once since December 29, 1981, treatment works is more than $10 mil-
had their water quality standards re- lion.
viewed and revised or new standards (b) The value engineering rec-
adopted, as appropriate, under section ommendations shall be implemented to
303(c) of the Act, unless: the maximum extent feasible.
(a) The State has in good faith sub-
mitted such water quality standards (Approved by the Office of Management and
and the Regional Administrator has Budget under control number 2040–0027)
failed to act on them within 120 days of
receipt; § 35.2116 Collection system.
(b) The grant assistance is for the Except as provided in § 35.2032(c), if
construction of non-discharging land the project involves collection system
treatment or containment ponds; or work, such work:
(c) The grant assistance is a State (a) Shall be for the replacement or
program grant awarded under section major rehabilitation of an existing col-
205(g) or 205(j) of the Act. lection system which was not build
[50 FR 45895, Nov. 4, 1985] with Federal funds awarded on or after
October 18, 1972, and shall be necessary
§ 35.2112 Marine discharge waiver ap- to the integrity and performance of the
plicants. complete waste treatment system; or
If the applicant is also an applicant (b) Shall be for a new cost-effective
for a secondary treatment requirement collection system in a community in
waiver under section 301(h) of the Act, existence on October 18, 1972, which has
a plan must be submitted which con- sufficient existing or planned capacity
tains a modified scope of work, a sched- to adequately treat such collected
ule for completion of the less-than-sec- wastewater and where the bulk (gen-
ondary facility and an estimate of erally two-thirds) of the expected flow
costs providing for building the pro- (flow from existing plus future residen-
posed less-than-secondary facilities, intial users) will be from the resident
cluding provisions for possible future population on October 18, 1972. The ex-
additions of treatment processes or pected flow will be subject to the limi-
techniques to meet secondary treat- tations for interceptors contained in
ment requirements. § 35.2123. If assistance is awarded, the
grantee shall provide assurances that
§ 35.2113 Environmental review. the existing population will connect to
(a) The environmental review re- the collection system within a reason-
quired by part 6 of this chapter must be able time after project completion.
completed before submission of any ap-
plication. The potential applicant § 35.2118 Preaward costs.
should work with the State and EPA as (a) EPA will not award grant assist-
early as possible in the facilities plan- ance for Step 2 + 3 and Step 3 work per-
ning process to determine if the project formed before award of grant assist-
qualifies for a categorical exclusion ance for that project, except:
from part 6 requirements, or whether a (1) In emergencies or instances where
finding of no significant impact or an delay could result in significant cost
environmental impact statement is re- increases, the Regional Administrator
quired. may approve preliminary building

(b) In conjunction with the facilities work (such as procurement of major
planning process as described in equipment requiring long lead times,
449
§ 35.2120 40 CFR Ch. I (7–1–21 Edition)
field testing of innovative and alter- eliminate that specific excessive infil-
native technologies, minor sewer reha- tration.
bilitation, acquisition of eligible land (2) If the flow rate at the existing
or an option for the purchase of eligible treatment facility is more than 120 gal-
land or advance building on minor por- lons per capita per day during periods
tions of treatment works) after com- of high groundwater, the applicant
pletion of the environmental review as shall either:
required by § 35.2113. (i) Perform a study of the sewer sys-
(2) If the Regional Administrator ap- tem to determine the quantity of ex-
proves preliminary Step 3 work, such cessive infiltration and to propose a
approval is not an actual or implied sewer rehabilitation program to elimi-
commitment of grant assistance and nate the excessive infiltration; or
the applicant proceeds at its own risk. (ii) If the flow rate is not signifi-
(b) Any procurement is subject to the cantly more than 120 gallons per capita
requirements of 40 CFR part 33, and in per day, request the Regional Adminis-
the case of acquisition of eligible real trator to determine that he may pro-
property, 40 CFR part 4. ceed without further study, in which
case the allowable project cost will be
limited to the cost of a project with a
capacity of 120 gallons per capita per
[49 FR 6234, Feb. 17, 1984, as amended at 55 day under appendix A.G.2.a.
FR 27097, June 29, 1990]
§ 35.2120 Infiltration/Inflow. Budget under control number 2040–0027)
(a) General. The applicant shall dem- [49 FR 6234, Feb. 17, 1984, as amended at 50
onstrate to the Regional Administra- FR 45895, Nov. 4, 1985]
tor’s satisfaction that each sewer sys-
§ 35.2122 Approval of user charge sys-
tem discharging into the proposed tem and proposed sewer use ordi-
treatment works project is not or will nance.
not be subject to excessive infiltration/
inflow. For combined sewers, inflow is If the project is for Step 3 grant as-
not considered excessive in any event. sistance, unless it is solely for acquisi-
(b) Inflow. If the rainfall induced tion of eligible land, the applicant
peak inflow rate results or will result must obtain the Regional Administra-
in chronic operational problems during tor’s approval of its user charge system
storm events, or the rainfall-induced (§ 35.2140) and proposed (or existing)
total flow rate exceeds 275 gpcd during sewer use ordinance § 35.2130). If the ap-
plicant has a sewer use ordinance or
storm events, the applicant shall per-
user charge system in affect, the appli-
form a study of the sewer system to de-
cant shall demonstrate to the Regional
termine the quantity of excessive in-
Administrator’s satisfaction that they
flow and to propose a rehabilitation
meet the requirements of this part and
program to eliminate the excessive in-
are being enforced.
flow. All cases in which facilities are
planned for the specific storage and/or (Approved by the Office of Management and
treatment of inflow shall be subject to Budget under control number 2040–0027)
a cost-effectiveness analysis.
(c) Infiltration. (1) If the flow rate at § 35.2123 Reserve capacity.
the existing treatment facility is 120 EPA will limit grant assistance for
gallons per capita per day or less dur- reserve capacity as follows:
ing periods of high groundwater, the (a) If EPA awarded a grant for a Step
applicant shall build the project in- 3 interceptor segment before December
cluding sufficient capacity to transport 29, 1981, EPA may award grants for re-
and treat any existing infiltration. maining interceptor segments included
However, if the applicant believes any in the facilities plan with reserve ca-
specific portion of its sewer system is pacity as planned, up to 40 years.
subject to excessive infiltration, the (b) Except as provided in paragraph
applicant may confirm its belief in a (a) of this section, if EPA awards a
cost-effectiveness analysis and propose grant for a Step 3 or Step 3 segment of
a sewer rehabilitation program to a primary, secondary, or advanced
450
treatment facility or its interceptors § 35.2125 Treatment of wastewater

included in the facilities plan before from industrial users.
October 1, 1984, the grant for that Step
(a) Grant assistance shall not be pro-
3 or Step 3 segment, and any remaining
vided for a project unless the project is
segments, may include 20 years reserve
capacity. included in a complete waste treat-
(c) Except as provided in paragraph ment system and the principal purpose
(b) of this section, after September 30, of both the project and the system is
1984, no grant shall be made to provide for the treatment of domestic waste-
reserve capacity for a project for sec- water of the entire community, area,
ondary treatment or more stringent region or district concerned.
treatment or new interceptors and ap- (b) Allowable project costs do not in-
purtenances. Grants for such projects clude:
shall be based on capacity necessary to (1) Costs of interceptor or collector
serve existing needs (including existing sewers constructed exclusively, or al-
needs of residential, commercial, in- most exclusively, to serve industrial
dustrial, and other users) as deter- users; or
mined on the date of the approval of (2) Costs for control or removal of
the Step 3 grant. Grant assistance pollutants in wastewater introduced
awarded after September 30, 1990 shall into the treatment works by industrial
be limited to the needs existing on Sep- users, unless the applicant is required
tember 30, 1990. to remove such pollutants introduced
(d) For any application with capacity
from nonindustrial users.
in excess of that provided by this sec-
tion: § 35.2127 Federal facilities.
(1) All incremental costs shall be
paid by the applicant. Incremental Grant assistance shall not be pro-
costs include all costs which would not vided for costs to transport or treat
have been incurred but for the addi- wastewater produced by a facility that
tional excess capacity, i.e., any cost in is owned and operated by the Federal
addition to the most cost-effective al- Government which contributes more
ternative with eligible reserve capacity than 250,000 gallons per day or 5 per-
described under paragraphs (a) and (b) cent of the design flow of the complete
of this section. waste treatment system, whichever is
(2) It must be determined that the ac- less.
tual treatment works to be built meets
the requirements of the National Envi- (Approved by the Office of Management and
ronmental Policy Act and all applica-
ble laws and regulations. § 35.2130 Sewer use ordinance.
(3) The Regional Administrator shall
approve the plans, specifications and The sewer use ordinance (see also
estimates for the actual treatment §§ 35.2122 and 35.2208) or other legally
works. binding document shall prohibit any
(4) The grantee shall assure the Re- new connections from inflow sources
gional Administrator satisfactorily into the treatment works and require
that it has assessed the costs and fi- that new sewers and connections to the
nancial impacts of the actual treat- treatment works are properly designed
ment works and has the capability to and constructed. The ordinance or
finance and manage their construction other legally binding document shall
and operation. also require that all wastewater intro-
(5) The grantee must implement a duced into the treatment works not
user charge system which applies to contain toxics or other pollutants in
the entire service area of the grantee. amounts or concentrations that endan-
(6) The grantee shall execute appro- ger public safety and physical integrity
priate grant conditions or releases pro-
of the treatment works; cause viola-
tecting the Federal Government from
tion of effluent or water quality limi-

any claim for any of the costs of con-
tations; or preclude the selection of the
struction due to the additional capac-
ity. most cost-effective alternative for
451
§ 35.2140 40 CFR Ch. I (7–1–21 Edition)
wastewater treatment and sludge dis- (3) Each member of the industrial
posal. user and commercial user class which
discharges more than 25,000 gallons per
Budget under control number 2040–0027) day of sanitary waste pays its share of
the costs of operation and maintenance
§ 35.2140 User charge system. (including replacement) of the treat-
The user charge system (see §§ 35.2122 ment works based upon charges for ac-
and 35.2208) must be designed to tual use.
produce adequate revenues required for (c) Notification. Each user charge sys-
operation and maintenance (including tem must provide that each user be no-
replacement). It shall provide that tified, at least annually, in conjunction
each user which discharges pollutants with a regular bill (or other means ac-
that cause an increase in the cost of ceptable to the Regional Adminis-
managing the effluent or sludge from trator), of the rate and that portion of
the treatment works shall pay for such the user charges or ad valorem taxes
increased cost. The user charge system which are attributable to wastewater
shall be based on either actual use treatment services.
under paragraph (a) of this section, ad (d) Financial management system. Each
valorem taxes under paragraph (b) of user charge system must include an
this section, or a combination of the adequate financial management sys-
two. tem that will accurately account for
(a) User charge system based on actual revenues generated by the system and
use. A grantee’s user charge system expenditures for operation and mainte-
based on actual use (or estimated use) nance (including replacement) of the
of wastewater treatment services shall treatment system, based on an ade-
provide that each user (or user class) quate budget identifying the basis for
pays its proportionate share of oper- determining the annual operation and
ation and maintenance (including re- maintenance costs and the costs of per-
placement) costs of treatment works sonnel, material, energy and adminis-
within the grantee’s service area, based tration.
on the user’s proportionate contribu- (e) Charges for operation and mainte-
tion to the total wastewater loading nance for extraneous flows. The user
from all users (or user classes). charge system shall provide that the
(b) User charge system based on ad va- costs of operation and maintenance for
lorem taxes. A grantee’s user charge all flow not directly attributable to
system which is based on ad valorem users (i.e., infiltration/inflow) be dis-
taxes may be approved if: tributed among all users based upon ei-
(1) On December 27, 1977, the grantee ther of the following:
had in existence a system of dedicated (1) In the same manner that it dis-
ad valorem taxes which collected reve- tributes the costs for their actual use,
nues to pay the cost of operation and or
maintenance of wastewater treatment (2) Under a system which uses one or
works within the grantee’s service area any combination of the following fac-
and the grantee has continued to use tors on a reasonable basis:
that system; (i) Flow volume of the users;
(2) The ad valorem user charge sys- (ii) Land area of the users;
tem distributes the operation and (iii) Number of hookups or discharges
maintenance (including replacement) of the users;
costs for all treatment works in the (iv) Property valuation of the users,
grantee’s jurisdiction to the residential if the grantee has an approved user
and small non-residential user class charge system based on ad valorem
(including at the grantee’s option non- taxes.
residential, commercial and industrial (f) After completion of building a
users that introduce no more than the project, revenue from the project (e.g.,
equivalent of 25,000 gallons per day of sale of a treatment-related by-product;
domestic sanitary wastes to the treat- lease of the land; or sale of crops grown
ment works), in proportion to the use on the land purchased under the grant
of the treatment works by this class; agreement) shall be used to offset the
and costs of operation and maintenance.
452
The grantee shall proportionately re- Except as provided elsewhere in this

duce all user charges. section, the Federal share shall be:
(g) Adoption of system. One or more (1) 75 percent for grant assistance
municipal legislative enactments or awarded before October 1, 1984;
other appropriate authority must in- (2) 55 percent for grant assistance
corporate the user charge system. If awarded after September 30, 1984, ex-
the project accepts wastewater from cept as provided in paragraph (a)(3) of
other municipalities, the subscribers this section; and
receiving waste treatment services (3) Subject to paragraphs (c) and (d)
from the grantee shall adopt user
of this section, 75 percent for grant as-
charge systems in accordance with this
sistance awarded after September 30,
section. These user charge systems
1984 and before October 1, 1990, for se-
shall also be incorporated in appro-
quential phases or segments of a pri-
priate municipal legislative enact-
mary, secondary, or advanced treat-
ments or other appropriate authority
of all municipalities contributing ment facility or its interceptors, or in-
wastes to the treatment works. filtration/inflow correction provided:
(h) Inconsistent agreements. The user (i) The treatment works being phased
charge system shall take precedence or segmented is described in a facilities
over any terms or conditions of agree- plan approved by the Regional Admin-
ments or contracts which are incon- istrator before October 1, 1984;
sistent with the requirements of sec- (ii) The Step 3 grant for the initial
tion 204(b)(1)(A) of the Act and this sec- phase or segment of the treatment
tion. works described in (a)(3)(i) of this sec-
(i) Low income residential user rates. (1) tion is awarded prior to October 1, 1984;
Grantees may establish lower user and
charge rates for low income residential (iii) The phase or segment that re-
users after providing for public notice ceives 75 percent funding is necessary
and hearing. A low income residential to (A) make a phase or segment pre-
user is any residence with a household viously funded by EPA operational and
income below the Federal poverty level comply with the enforceable require-
as defined in 45 CFR 1060.2 or any resi- ments of the Act, or (B) complete the
dence designated as low income under treatment works referenced in (a)(3)(i)
State law or regulation. of this section provided that all phases
(2) Any lower user charge rate for low or segments previously funded by EPA
income residential users must be de- are operational and comply with the
fined as a uniform percentage of the enforceable requirements of the Act.
user charge rate charged other residen- (b) Innovative and alternative tech-
tial users. nology. In accordance with § 35.2032, the
(3) The costs of any user charge re-
Federal share for eligible treatment
ductions afforded a low income residen-
works or unit processes and techniques
tial class must be proportionately ab-
that the Regional Administrator deter-
sorbed by all other user classes. The
mines meet the definition of innova-
total revenue for operation and main-
tive or alternative technology shall be
tenance (including equipment replace-
ment) of the facilities must not be re- 20 percent greater than the Federal
duced as a result of establishing a low share under paragraph (a) or (c) of this
income residential user class. section, but in no event shall the total
Federal share be greater than 85 per-
(Approved by the Office of Management and cent. This increased Federal share de-
Budget under control number 2040–0027) pends on the availability of funds from
[49 FR 6234, Feb. 17, 1984, as amended at 55 the reserve under § 35.2020. The propor-
FR 27097, June 29, 1990] tional State contribution to the non-
Federal share of building costs for I/A
§ 35.2152 Federal share. projects must be the same as or greater
(a) General. The Federal share for than the proportional State contribu-
each project shall be based on the sum tion (if any) to the non-Federal share
of the total Step 3 or Step 7 allowable of eligible building costs for all treat-
costs and the allowance established in ment works which receive 75 or 55 per-
the grant agreement under appendix B. cent grants or such other Federal share
453
§ 35.2200 40 CFR Ch. I (7–1–21 Edition)
under paragraph (c) of this section in grant shall be subject to the conditions
the State. under §§ 35.2202 through 35.2218.
(c) A project for which an application [79 FR 76056, Dec. 19, 2014]
for grant assistance has been made be-
fore October 1, 1984, but which was § 35.2202 Step 2 + 3 projects.
under judicial injunction at that time (a) Prior to initiating action to ac-
prohibiting its construction, shall be quire eligible real property, a Step 2 +
eligible for a grant at 75 percent of the 3 grantee shall submit for Regional Ad-
cost of its construction. ministrator review and written ap-
(d) Uniform lower Federal share. (1) Ex- proval the information required under
cept as provided in § 35.2032 (c) and (d) § 35.2040(b)(7).
of this section, the Governor of a State (b) Before initiating procurement ac-
may request the Regional Administra- tion for the building of the project, a
tor’s approval to revise uniformly Step 2 + 3 grantee shall submit for the
throughout the State the Federal share Regional Administrator’s review and
of grant assistance for all future written approval the information re-
projects. The revised Federal share quired under §§ 35.2040(b) (5) and (6),
must apply to all needs categories (see 35.2106, 35.2107, 35.2130 and 35.2140.
§ 35.2015(b)(2)).
(2) After EPA awards grant assist- § 35.2203 Step 7 projects.
ance for a project, the Federal share (a) Prior to initiating action to ac-
shall be the same for any grant inquire real property, a Step 7 grantee
crease that is within the scope of the shall submit for Regional Adminis-
project. trator review and written approval the
(3) The uniform lower Federal share information required under
established by the Governor does not § 35.2040(b)(7).
apply to projects funded under (b) Before approving a Step 7 grant
§ 35.2024(b). amendment under § 25.2036, the Re-
(e) Training facilities. The Federal gional Administrator shall determine
share of treatment works required to that the applicant and its project have
train and upgrade waste treatment met the requirements of §§ 35.2040 (b)(6)
works operations and maintenance per- and (g), 35.2106, 35.2107, and 35.2122.
sonnel may be up to 100 percent of the
allowable cost of the project. [55 FR 27097, June 29, 1990]
(1) Where a grant is made to serve
§ 35.2204 Project changes.
two or more States, the Administrator
is authorized to make an additional (a) Minor changes in the project work
grant for a supplemental facility in that are consistent with the objectives
each State. The Federal funds awarded of the project and within the scope of
to any State under section 109(b) for all the grant agreement do not require the
training facilities shall not exceed execution of a formal grant amend-
$500,000. ment before the grantee’s implementa-
(2) Any grantee who received a grant tion of the change. However, the
under section 109(b) before December amount of the funding provided by the
27, 1977, may have the grant increased grant agreement may only be increased
up to $500,000 by funds made available by a formal grant amendment.
under the Act, not to exceed 100 per- (b) The grantee must receive from
cent of the allowable costs. the Regional Administrator a formal
grant amendment before implementing
(Approved by the Office of Management and changes which:
Budget under control number 2040–0027) (1) Alter the project performance
[49 FR 6234, Feb. 17, 1984, as amended at 50 standards;
FR 45896, Nov. 4, 1985; 55 FR 27097, June 29, (2) Alter the type of wastewater
1990] treatment provided by the project;
(3) Significantly delay or accelerate
§ 35.2200 Grant conditions. the project schedule;
In addition to the EPA General (4) Substantially alter the facilities

Grant Conditions (http://www.epa.gov/ plan, design drawings and specifica-
ogd/tc.htm), each treatment works tions, or the location, size, capacity, or
454
quality of any major part of the of equitable adjustments for differing

project; or site conditions will be exempt, pro-
(5) Otherwise require a formal grant vided the requirements of 40 CFR part
amendment under part 30 of this sub- 35, subpart I, appendix A, paragraph
chapter. A.1.g. and all other applicable laws and
(c) Notwithstanding paragraph (a) of regulations have been met.
this section, changes to Step 7 projects
cannot increase the amount of EPA as- [50 FR 46649, Nov. 12, 1985]
sistance established at the time of the
§ 35.2206 Operation and maintenance.
grant amendment.
(a) The grantee must assure economi-
FR 27097, June 29, 1990] cal and effective operation and mainte-
nance (including replacement) of the
§ 35.2205 Maximum allowable project treatment works.
cost. (b) Except as provided in paragraphs
(a) Grants awarded on or after the ef- (c) (1) and (2) of this section, the Re-
fective date of this regulation. Except as gional Administrator shall not pay
provided in paragraph (c) of this sec- more than 50 percent of the Federal
tion, for Step 2 + 3 or Step 3 grants share of any project unless the grantee
awarded on or after the effective date has furnished and the Regional Admin-
of this regulation, the maximum allow- istrator has approved the final plan of
able project cost will be the sum of: operation required by § 35.2106, and
(1) The allowable cost of the fol- shall not pay more than 90 percent of
lowing: the Federal share of any project unless
(i) The initial award amount of all the grantee has furnished and the Re-
project subagreements between the gional Administrator has approved an
grantee and its contractors; operation and maintenance manual.
(ii) The initial amounts approved for (c)(1) In projects where segmenting of
force account work to be performed on a proposed treatment works has oc-
the project; curred, the Regional Administrator
(iii) The purchase price of eligible shall not pay more than 90 percent of
real property; and the Federal share of the total allowable
(iv) The initial amount approved for costs of the proposed treatment works
project costs not included under para- until the grantee has furnished and the
graphs (a)(1)(i) through (a)(1)(iii) of Regional Administrator has approved
this section, excluding any amounts an operation and maintenance manual.
approved for an allowance under (2) In projects where a component is
§ 35.2025 and for contingencies; and placed in operation before completion
(2) Five percent of the sum of the of the entire project, the Regional Ad-
amounts included under paragraphs ministrator shall not make any addi-
(a)(1)(i) through (a)(1)(iv) of this sectional payment on that project until a
tion. final operation and maintenance man-
(b) Grants awarded before the effective ual for the operating component is fur-
date of the regulation. Except as pro- nished and approved.
vided in paragraph (c) of this section,
for Step 2 + 3 or Step 3 grants awarded (Approved by the Office of Management and
before the effective date of this regula- Budget under control number 2040–0027)
tion, the maximum allowable increase
in the cost for work covered by each § 35.2208 Adoption of sewer use ordi-
nance and user charge system.
subagreement finally advertised or,
where there will be no advertisement, The grantee shall adopt its sewer use
each subagreement awarded on or after ordinance and implement its user
the effective date of this regulation charge system developed under
will be five percent of the initial award §§ 35.2130 and 35.2140 before the treat-
amount of the subagreement. ment works is placed in operation. Fur-
(c) Differing site conditions. In deter- ther, the grantee shall implement the
mining whether the maximum allow- user charge system and sewer use ordi-
able project cost or increase in sub- nance for the useful life of the treat-
agreement cost will be exceeded, costs ment works.
455
§ 35.2210 40 CFR Ch. I (7–1–21 Edition)
§ 35.2210 Land acquisition. allowable costs. (See appendixes A,

A.2.e.).
The grantee shall not acquire real
property determined allowable for (d) The grantee shall notify the Re-
grant assistance until the Regional Ad- gional Administrator immediately
ministrator has determined that appli- upon award of the subagreement(s) for
cable provisions of 40 CFR part 4 have building all significant elem
been met. (Approved by the Office of Management and
§ 35.2211 Field testing for Innovative
and Alternative Technology Report. [49 FR 6234, Feb. 17, 1984, as amended at 55
FR 27097, June 29, 1990; 79 FR 76056, Dec. 19,
The grantee shall submit a report 2014]
containing the procedure, cost, results
and conclusions of any field testing. § 35.2214 Grantee responsibilities.
The report shall be submitted to the (a) The grantee shall complete the
Regional Administrator in accordance project in accordance with the grant
with a schedule to be specified in the agreement including: The facilities
grant agreement. plan that establishes the need for the
(Approved by the Office of Management and project; the design drawings and speci-
Budget under control number 2040–0027) fications; the plan of operation under
§ 35.2106 that identifies the basis to de-
§ 35.2212 Project initiation. termine annual operating costs; the fi-
(a) The grantee shall expeditiously nancial management system under
initiate and complete the project, in § 35.2140(d) that adequately accounts for
accordance with the project schedule revenues and expenditures; the user
contained in the grant application and charge system under § 35.2140 that will
agreement. Failure to promptly ini- generate sufficient revenue to operate
tiate and complete a project may re- and maintain the treatment works; the
sult in the imposition of sanctions project schedule; and all other applica-
under 2 CFR 200.338. ble regulations. The grantee shall
(b) The grantee shall initiate pro- maintain and operate the project to
curement action for building the meet project performance standards in-
project promptly after award of a Step cluding the enforceable requirements
3 grant or, after receiving written ap- of the Act for the design life.
proval of the information required (b) The grantee shall provide the ar-
under § 35.2202 under a Step 2 + 3 grant chitectural and engineering services
or, for a Step 7 project, after com- and other services necessary to fulfill
pleting the facilities plan and the prep- the obligation in paragraph (a) of this
aration of a pre-bid package that is suf- section.
ficiently detailed to insure that the
bids received form the design/build § 35.2216 Notice of building completion
work will be complete, accurate, com- and final inspection.
parable and will result in a cost-effec- The grantee shall notify the Regional
tive operable facility. Public notice of Administrator when the building of the
proposed procurement action should be project is complete. Final inspection
made promptly after Step 3 award or shall be made by the Regional Admin-
after final approvals for a Step 2 + 3 istrator after receipt of the notice of
grant under § 35.2202, or after com- building completion.
pleting the pre-bid package for the
Step 7 award. The grantee shall award (Approved by the Office of Management and
the subagreement(s) and issue notice(s) Budget under control number 2040–0027)
to proceed, where required, for building
§ 35.2218 Project performance.
all significant elements of the project
within twelve months of the Step 3 (a) The grantee shall notify the Re-
award or final Step 2 + 3 approvals. gional Administrator in writing of the
(c) Failure to promptly award all actual date of initiation of operation.

subagreement(s) for building the (b) Subject to the provisions of 40
project will result in a limitation on CFR part 33, the grantee shall select
456
the engineer or engineering firm prin- from any party performing project
cipally responsible for either super- work; or
vising construction or providing archi- (2) Affects EPA’s right to take reme-
tectural and engineering services dur- dial action, including enforcement,
ing construction as the prime engineer against a grantee that fails to carry
to provide the following services during out its obligations under § 35.2214.
the first year following the initiation (Approved by the Office of Management and
of operation: Budget under control number 2040–0027)
(1) Direct the operation of the project
and revise the operation and mainte-
FR 27098, June 29, 1990]
nance manual as necessary to accom-
modate actual operating experience; § 35.2250 Determination of allowable
(2) Train or provide for training of costs.
operating personnel and prepare cur- The Regional Administrator will de-
ricula and training material for oper- termine the allowable costs of the
ating personnel; and project based on applicable provisions
(3) Advise the grantee whether the of laws and regulations, the scope of
project is meeting the project perform- the approved project, 2 CFR part 200,
ance standards. subpart E—Cost Principles and appen-
(c) On the date one year after the ini- dix A of this subpart.
tiation of operation of the project, the
grantee shall certify to the Regional [79 FR 76056, Dec. 19, 2014]
Administrator whether the project
meets the project performance stand- § 35.2260 Advance purchase of eligible
land.
ards. If the Regional Administrator or
the grantee concludes that the project In the case of grant assistance award-
does not meet the project performance ed solely for the acquisition of eligible
standards, the grantee shall submit the land, the following provisions are de-
following: ferred until the award of the ensuing
(1) A corrective action report which Step 3 assistance for the building of fa-
includes an analysis of the cause of the cilities: §§ 35.2105, 35.2130, 35.2140, 35.2206
project’s failure to meet the perform- and 35.2208.
ance standards (including the quantity
of infiltration/inflow proposed to be § 35.2262 Funding of field testing.
eliminated), and an estimate of the na- In the case of grant assistance for
ture, scope and cost of the corrective field testing of innovative or alter-
action necessary to bring the project native wastewater process and tech-
into compliance; niques, the following provisions are de-
(2) The schedule for undertaking in a ferred until the award of assistance for
timely manner the corrective action building the approved facilities:
necessary to bring the project into §§ 35.2105, 35.2106, 35.2122, 35.2130, 35.2140,
compliance; and 35.2206, and 35.2208.
(3) The scheduled date for certifying
to the Regional Administrator that the § 35.2300 Grant payments.
project is meeting the project perform- Except as provided in § 35.2206, the
ance standards. Regional Administrator shall pay the
(d) Except as provided in § 35.2032(c) Federal share of the allowance under
the grantee shall take corrective ac- § 35.2025 and the allowable project costs
tion necessary to bring a project into incurred to date and currently due and
compliance with the project perform- payable by the grantee, as certified in
ance standards at its own expense. This the grantee’s most recent payment re-
limitation on Federal funding for cor- quest.
rective actions does not apply to train- (a) Adjustment. The Regional Admin-
ing funds under section 104(g)(1) of the istrator may at any time review and
Act. audit request for payment and pay-
(e) Nothing in this section: ments and make appropriate adjust-
(1) Prohibits a grantee from requiring ments as provided in 2 CFR 200.305.

more assurances, guarantees, or indem- (b) Refunds, rebates and credits. The
nity or other contractual requirements Federal share of any refunds, rebates,
457
§ 35.2350 40 CFR Ch. I (7–1–21 Edition)
credits, or other amounts (including provide a copy of the agreement to

any interest) that accrue to or are re- EPA.
ceived by the grantee for the project, (f) Design/build projects. For design/
and that are properly allocable to costs build projects, the Regional Adminis-
for which the grantee has been paid trator shall not pay more than 95 per-
under a grant, must be credited to the cent of the grant amount until comple-
current State allotment or paid to the tion of building and the RA’s final
United States. Examples include re- project approval (see § 35.2036(a)(6)).
bates for prompt payment and sales tax (Approved by the Office of Management and
refunds. Reasonable expenses incurred Budget under control number 2040–0027)
by the grantee securing such refunds,
rebates, credits, or other amounts shall
FR 27098, June 29, 1990; 79 FR 76057, Dec. 19,
be allowable under the grant when ap- 2014]
proved by the Regional Administrator.
(c) Release. By its acceptance of final § 35.2350 Subagreement enforcement.
payment, the grantee releases and dis- (a) Regional Administrator authority.
charges the United States, its officers, At the grantee’s request the Regional
agents, and employees from all liabil- Administrator may provide technical
ities, obligations, and claims arising and legal assistance in the administra-
out of the project work or under the tion and enforcement of any subagree-
grant, subject only to exceptions pre- ment related to treatment works for
viously specified in writing between which an EPA grant was made and to
the Regional Administrator and the intervene in any civil action involving
grantee. the enforcement of such subagree-
(d) Payment of costs incurred under the ments, including subagreement dis-
Uniform Relocation Assistance and Real putes which are the subject of either
Property Acquisition Policies Act. Not- arbitration or court action.
withstanding the provisions of the in- (b) Privity of subagreement. The Re-
troductory paragraph of this section, if gional Administrator’s technical or
the Regional Administrator determines legal involvement in any subagreement
it is necessary for the expeditious com- dispute will not make EPA a party to
pletion of a project, he may make ad- any subagreement entered into by the
vance payment after grant award for grantee.
the Federal share of the eligible cost of (c) Grantee responsibilities. The provi-
any payment of relocation assistance sion of technical or legal assistance
under § 4.502(c) of this chapter by the under this section in no way releases
grantee. The requirements in 2 CFR the grantee from its obligations under
200.305 apply to any advances of funds § 35.2214, or affects EPA’s right to take
for assistance payments. remedial action, including enforce-
(e) Payment under grants to States for ment, against a grantee that fails to
advances of allowance—(1) Advance pay- carry out those obligations.
ment to State. Notwithstanding the pro-
visions of the introductory paragraph APPENDIX A TO SUBPART I OF PART 35—
of this section, the Regional Adminis- DETERMINATION OF ALLOWABLE COSTS
trator, under a State grant for ad-
vances of allowance (see § 35.2025), may (a) Purpose. The information in this appen-
dix represents Agency policies and proce-
make payments on an advance or let-
dures for determining the allowability of
ter-of-credit payment method in ac- project costs based on the Clean Water Act,
cordance with the requirements under EPA policy, appropriate Federal cost prin-
part 30 of this chapter. The State and ciples of 2 CFR part 200 and reasonableness.
the Regional Administrator shall agree (b) Applicability. This cost information ap-
to the payment terms. plies to grant assistance awarded on or after
(2) Assignment. If the State chooses to the effective date of this regulation. Project
assign its payments to a potential cost determinations under this subpart are
not limited to the items listed in this appen-
grant applicant, it shall execute an
dix. Additional cost determinations based on
agreement with the potential grant ap- applicable law and regulations must of
plicant authorizing direct payment course be made on a project-by-project basis.

from EPA and establishing appropriate Those cost items not previously included in
terms for payment. The State shall program requirements are not mandatory for
458
Environmental Protection Agency Pt. 35, Subpt. I, App. A
decisions under grants awarded before the ef- (3) Settlements, arbitration awards, and
fective date. They are only to be used as court judgments which resolve contractor
guidance in those cases. claims shall be reviewed by the grant award
official and shall be allowable only to the ex-
A. Costs Related to Subagreements tent that they meet the requirements of
1. Allowable costs related to subagree- paragraph g(1), are reasonable, and do not at-
ments include: tempt to pass on to EPA the cost of events
a. The costs of subagreements for building that were the responsibility of the grantee,
the project. the contractor, or others.
b. The costs of complying with the pro- h. The costs of the services of the prime
curement standards in 2 CFR 200.317 through engineer required by § 35.2218 during the first
200.326 and 2 CFR 1500.9 and 1500.10. year following initiation of operation of the
c. The cost of legal and engineering serv- project.
ices incurred by grantees in deciding pro- i. The cost of development of a plan of op-
curement protests and defending their deci- eration including an operation and mainte-
sions in protest appeals in 2 CFR 200.318. nance manual required by § 35.2106.
d. The costs for establishing or using mi- j. Start-up services for onsite training of
nority and women’s business liaison services. operating personnel in operation and control
e. The costs of services incurred during the of specific treatment processes, laboratory
building of a project to ensure that it is built procedures, and maintenance and records
in conformance with the design drawings and management.
specifications. k. The specific and unique costs of field
f. The costs (including legal, technical, and testing an innovative or alternative process
administrative costs) of assessing the merits or technique, which may include equipment
of or negotiating the settlement of a claim leasing costs, personnel costs, and utility
by or against a grantee under a subagree- costs necessary for constructing, conducting,
ment provided: and reporting the results of the field test.
(1) The claim arises from work within the 2. Unallowable costs related to subagree-
scope of the grant; ments include:
(2) A formal grant amendment is executed a. The costs of architectural or engineering
specifically covering the costs before they services incurred in preparing a facilities
are incurred; plan and the design drawings and specifica-
(3) The costs are not incurred to prepare tions for a project. This provision does not
documentation that should be prepared by
apply to planning and design costs incurred
the contractor to support a claim against
in the modification or replacement of an in-
the grantee; and
novative or alternative project funded under
(4) The Regional Administrator determines
§ 35.2032(c).
that there is a significant Federal interest in
b. Except as provided in 1.g. above, archi-
the issues involved in the claim.
g. Change orders and the costs of meri- tectural or engineering services or other
torious contractor claims for increased costs services necessary to correct defects in a fa-
under subagreements as follows: cilities plan, design drawings and specifica-
(1) Change orders and the costs of meri- tions, or other subagreement documents.
torious contractor claims provided the costs c. The costs (including legal, technical and
are: administrative) of defending against a con-
(i) Within the scope of the project; tractor claim for increased costs under a
(ii) Not caused by the grantee’s mis- subagreement or of prosecuting a claim to
management; and enforce any subagreement unless:
(iii) Not caused by the grantee’s vicarious (1) The claim arises from work within the
liability for the improper actions of others. scope of the grant;
(2) Provided the requirements of paragraph (2) A formal grant amendment is executed
g(1) are met, the following are examples of specifically covering the costs before they
allowable change orders and contractor are incurred;
claim costs: (3) The claim cannot be settled without ar-
(i) Building costs resulting from defects in bitration or litigation;
the plans, design drawings and specifica- (4) The claim does not result from the
tions, or other subagreement documents grantee’s mismanagement;
only to the extent that the costs would have (5) The Regional Administrator determines
been incurred if the subagreement docu- that there is a significant Federal interest in
ments on which the bids were based had been the issues involved in the claim; and
free of the defects, and excluding the costs of (6) In the case of defending against a con-
any rework, delay, acceleration, or disrup- tractor claim, the claim does not result from
tion caused by such defects; the grantee’s responsibility for the improper
(ii) Costs of equitable adjustments under action of others.
Clause 4, Differing Site Conditions, of the d. Bonus payments, not legally required,
model subagreement clauses required under for completion of building before a contrac-
§ 33.1030 of this subchapter. tual completion date.
459
Pt. 35, Subpt. I, App. A 40 CFR Ch. I (7–1–21 Edition)
e. All incremental costs due to the award 2. Unallowable costs for small and onsite
of any subagreements for building signifi- systems include:
cant elements of the project more than 12 a. Modification to physical structure of
months after the Step 3 grant award or final homes or commercial establishments.
Step 2 + 3 approvals unless specified in the b. Conveyance pipes from the house to the
project schedule approved by the Regional treatment unit located on user’s property or
Administrator at the time of grant award. from the house to the property line if the
treatment unit is not located on that user’s
B. Mitigation property.
c. Wastewater generating fixtures such as
1. Allowable costs include:
commodes, sinks, tubs, and drains.
a. Costs necessary to mitigate only direct,
adverse, physical impacts resulting from D. Real Property
building of the treatment works.
1. Allowable costs for land and rights-of-
b. The costs of site screening necessary to
way include:
comply with NEPA related studies and facili-
a. The cost (including associated legal, ad-
ties plans, or necessary to screen adjacent
ministrative and engineering costs) of land
properties.
acquired in fee simple or by lease or ease-
c. The cost of groundwater monitoring fa- ment under grants awarded after October 17,
cilities necessary to determine the possi- 1972, that will be an integral part of the
bility of groundwater deterioration, deple- treatment process or that will be used for
tion or modification resulting from building the ultimate disposal of residues resulting
the project. from such treatment provided the Regional
2. Unallowable costs include: Administrator approves it in the grant
a. The costs of solutions to aesthetic prob- agreement. These costs include:
lems, including design details which require (1) The cost of a reasonable amount of
expensive building techniques and architec- land, considering irregularities in applica-
tural features and hardware, that are unrea- tion patterns, and the need for buffer areas,
sonable or substantially higher in cost than berms, and dikes;
approvable alternatives and that neither en- (2) The cost of land acquired for a soil ab-
hance the function or appearance of the sorption system for a group of two or more
treatment works nor reflect regional archi- homes;
tectural tradition. (3) The cost of land acquired for
b. The cost of land acquired for the mitiga- composting or temporary storage of compost
tion of adverse environmental effects identi- residues which result from wastewater treat-
fied pursuant to an environmental review ment;
under NEPA. (4) The cost of land acquired for storage of
treated wastewater in land treatment sys-
C. Privately or Publicly Owned Small and tems before land application. The total land
Onsite Systems area for construction of a pond for both
treatment and storage of wastewater is al-
1. Allowable costs for small and onsite sys-
lowable if the volume necessary for storage
tems serving residences and small commer-
is greater then the volume necessary for
cial establishments inhabited on or before
treatment. Otherwise, the allowable cost will
December 27, 1977, include a. through e.
be determined by the ratio of the storage
below. Alternatively, the two-thirds rule at
volume to the total volume of the pond.
40 CFR 35.2116(b) may be used to determine b. The cost of complying with the require-
allowable residential flows to be served by ments of the Uniform Relocation Assistance
publicly owned small and alternative waste- and Real Property Acquisition Policies Act
water systems, including a. through e. below: of 1970 (42 U.S.C. 4621 et seq., 4651 et seq.),
a. The cost of major rehabilitation, up- under part 4 of this chapter for land nec-
grading, enlarging and installing small and essary for the building of treatment works.
onsite systems, but in the case of privately c. The cost of contracting with another
owned systems, only for principal residences. public agency or qualified private contractor
b. Conveyance pipes from property line to for part or all of the required acquisition
offsite treatment unit which serves a cluster and/or relocation services.
of buildings. d. The cost associated with the preparation
c. Treatment and treatment residue dis- of the treatment works site before, during
posal portions of toilets with composting and, to the extent agreed on in the grant
tanks, oil flush mechanisms, or similar in- agreement, after building. These costs in-
house devices. clude:
d. Treatment or pumping units from the (1) The cost of demolition of existing struc-
incoming flange when located on private tures on the treatment works site (including
property and conveyance pipes, if any, to the rights-of-way) if building cannot be under-
collector sewer. taken without such demolition;

e. The cost of restoring individual system (2) The cost (considering such factors as
building sites to their original condition. betterment, cost of contracting and useful
460
Environmental Protection Agency Pt. 35, Subpt. I, App. A
life) of removal, relocation or replacement of cost less the cost attributable to the equip-
utilities, provided the grantee is legally obli- ment’s anticipated use on existing collection
gated to pay under state or local law; and sewers not funded on the grant. This calcula-
(3) The cost of restoring streets and rights- tion shall be based on: (1) The portion of the
of-way to their original condition. The need total collection system paid for by the grant,
for such restoration must result directly (2) a demonstrable frequency of need, and (3)
from the construction and is generally lim- the need for the equipment to preclude the
ited to repaving the width of trench. discharge or bypassing of untreated waste-
e. The cost of acquiring all or part of an water.
existing publicly or privately owned waste- f. The cost of mobile equipment necessary
water treatment works provided all the fol- for the operation of the overall wastewater
lowing criteria are met: treatment facility, transmission of waste-
(1) The acquisition, in and of itself, consid- water or sludge, or for the maintenance of
ered apart from any upgrade, expansion or equipment. These items include:
rehabilitation, provides new pollution con- (1) Portable stand-by generators;
trol benefits;
(2) Large portable emergency pumps to
(2) The acquired treatment works was not
provide ‘‘pump-around’’ capability in the
built with previous Federal or State finan-
event of pump station failure or pipeline
cial assistance;
breaks; and
(3) The primary purpose of the acquisition
is not the reduction, elimination, or redis- (3) Sludge or septage tankers, trailers, and
tribution of public or private debt; and other vehicles having as their sole purpose
(4) The acquisition does not circumvent the transportation of liquid or dewatered
the requirements of the Act, these regula- wastes from the collector point (including
tions, or other Federal, State or local re- individual or on-site systems) to the treat-
quirements. ment facility or disposal site.
2. Unallowable costs for land and rights-of- g. Replacement parts identified and ap-
way include: proved in advance by the Regional Adminis-
a. The costs of acquisition (including asso- trator as necessary to assure uninterrupted
ciated legal, administrative and engineering operation of the facility, provided they are
etc.) of sewer rights-of-way, waste treatment critical parts or major systems components
plant sites (including small system sites), which are:
sanitary landfill sites and sludge disposal (1) Not immediately available and/or whose
areas except as provided in paragraphs 1. a. procurement involves an extended ‘‘lead-
and b. of this section. time;’’
b. Any amount paid by the grantee for eli- (2) Identified as critical by the equipment
gible land in excess of just compensation, supplier(s); or
based on the appraised value, the grantee’s (3) Critical but not included in the inven-
record of negotiation or any condemnation tory provided by the equipment supplier(s).
proceeding, as determined by the Regional 2. Unallowable costs of equipment, mate-
Administrator. rials and supplies include:
c. Removal, relocation or replacement of a. The costs of equipment or material pro-
utilities located on land by privilege, such as cured in violation of the procurement stand-
franchise. ards in 2 CFR 200.317 through 2 CFR 200.326
E. Equipment, Materials and Supplies and 2 CFR 1500.9 and 1500.10.
b. The cost of furnishings including drap-
1. Allowable costs of equipment, materials eries, furniture and office equipment.
and supplies include: c. The cost of ordinary site and building
a. The cost of a reasonable inventory of maintenance equipment such as lawnmowers
laboratory chemicals and supplies necessary and snowblowers.
to initiate plant operations and laboratory
d. The cost of vehicles for the transpor-
items necessary to conduct tests required for
tation of the grantees’ employees.
plant operation.
e. Items of routine ‘‘programmed’’ mainte-
b. The costs for purchase and/or transpor-
nance such as ordinary piping, air filters,
tation of biological seeding materials re-
couplings, hose, bolts, etc.
quired for expeditiously initiating the treat-
ment process operation. F. Industrial and Federal Users
c. Cost of shop equipment installed at the
treatment works necessary to the operation 1. Except as provided in paragraph F.2.a.,
of the works. allowable costs for treatment works serving
d. The costs of necessary safety equipment, industrial and Federal facilities include de-
provided the equipment meets applicable velopment of a municipal pretreatment pro-
Federal, State, local or industry safety re- gram approvable under part 403 of this chap-
quirements. ter, and purchase of monitoring equipment
e. A portion of the costs of collection sys- and construction of facilities to be used by

tem maintenance equipment. The portion of the municipal treatment works in the
allowable costs shall be the total equipment pretreatment program.
461
Pt. 35, Subpt. I, App. A 40 CFR Ch. I (7–1–21 Edition)
2. Unallowable costs for treatment works (3) The additions could have been included
serving industrial and Federal facilities in- in the original grant award and:
clude: (a) Are the result of one of the following:
a. The cost of developing an approvable (i) A change in the project performance
municipal pretreatment program when per- standards required by EPA or the State;
formed solely for the purpose of seeking an (ii) A written understanding between the
allowance for removal of pollutants under Regional Administrator and grantee prior to
part 403 of this chapter. or included in the original grant award;
b. The cost of monitoring equipment used (iii) A written direction by the Regional
by industry for sampling and analysis of in- Administrator to delay building part of the
dustrial discharges to municipal treatment treatment works; or
works. (iv) A major change in the treatment
c. All incremental costs for sludge manage-
works’ design criteria that the grantee can-
ment incurred as a result of the grantee pro-
not control; or
viding removal credits to industrial users
(b) Meet all the following conditions:
under 40 CFR 403.7 beyond those sludge man-
agement costs that would otherwise be in- (i) If the original grant award was made
curred in the absence of such removal cred- after December 28, 1981, the treatment works
its. has not completed its first full year of oper-
ation;
G. Infiltration/Inflow (ii) The additions are not caused by the
grantee’s mismanagement or the improper
actions of others;
a. The cost of treatment works capacity
(iii) The costs of rework, delay, accelera-
adequate to transport and treat nonexcessive
tion or disruption that are a result of build-
infiltration/inflow under § 35.2120.
ing the additions are not included in the
b. The costs of sewer system rehabilitation
grant; and
necessary to eliminate excessive infiltration/
inflow as determined in a sewer system (iv) The grant does not include an allow-
study under § 35.2120. ance for facilities planning or design of the
2. Unallowable costs include: additions.
a. When the Regional Administrator deter- (4) This provision applies to failures that
mines that the flow rate is not significantly occur either before or after the initiation of
more than 120 gallons per capita per day operation. This provision does not cover a
under § 35.2120(c)(2)(ii), the incremental cost treatment works that fails at the end of its
of treatment works capacity which is more design life.
than 120 gallons per capita per day. e. Costs of royalties for the use of or rights
in a patented process or product with the
H. Miscellaneous Costs prior approval of the Regional Adminis-
trator.
a. The costs of salaries, benefits and ex- f. Costs allocable to the water pollution
pendable materials the grantee incurs for the control purpose of multiple purpose projects
project. as determined by applying the Alternative
b. Unless otherwise specified in this regula- Justifiable Expenditure (AJE) method de-
tion, the costs of meeting specific Federal scribed in the CG series. Multiple purpose
statutory procedures. projects that combine wastewater treatment
c. Costs for necessary travel directly re- with recreation do not need to use the AJE
lated to accomplishment of project objec- method, but can be funded at the level of the
tives. Travel not directly related to a spe- most cost-effective single-purpose alter-
cific project, such as travel to professional native.
meetings, symposia, technology transfer g. Costs of grantee employees attending
seminars, lectures, etc., may be recovered training workshops/seminars that are nec-
only under an indirect cost agreement. essary to provide instruction in administra-
d. The costs of additions to a treatment tive, fiscal or contracting procedures re-
works that was assisted under the Federal quired to complete the construction of the
Water Pollution Control Act of 1956 (Pub. L. treatment works, if approved in advance by
84–660), or its amendments, and that fails to the Regional Administrator.
meet its project performance standards pro- 2. Unallowable costs include:
vided: a. Ordinary operating expenses of the
(1) The project is identified on the State grantee including salaries and expenses of
priority list as a project for additions to a elected and appointed officials and prepara-
treatment works that has received previous tion of routine financial reports and studies.
Federal funds; b. Preparation of applications and permits
(2) The grant application for the additions required by Federal, State or local regula-
includes an analysis of why the treatment tions or procedures.

works cannot meet its project performance c. Administrative, engineering and legal
standards; and activities associated with the establishment
462
Environmental Protection Agency Pt. 35, Subpt. I, App. B
of special departments, agencies, commis- ual and of user charge and sewer use ordi-
sions, regions, districts or other units of gov- nance systems.
ernment. (3) Any adjustments to reflect the actual
d. Approval, preparation, issuance and sale reasonable and necessary costs for preparing
of bonds or other forms of indebtedness re- the pre-bid package.
quired to finance the project and the interest (4) Post-construction activities required by
on them. project performance certification require-
e. The costs of replacing, through recon- ments.
struction or substitution, a treatment works (5) Contract and project administration ac-
that was assisted under the Federal Water tivities including the review of contractor
Pollution Control Act of 1956 (Pub. L. 84–660), vouchers and payment requests, preparation
or its amendments, and that fails to meet its of monitoring reports, grant administration
project performance standards. This provi- and accounting services, routine legal costs,
sion applies to failures that occur either be- cost of eligible real property.
fore or after the initiation of operation. This
(6) Contingencies.
provision does not apply to an innovative
and alternative treatment works eligible for 2. Unallowable costs include:
funding under § 35.2032(c) or a treatment a. All costs in excess of the maximum
works that fails at the end of its design life agreed Federal share.
or to a failed rotating biological contactor b. Costs of facilities planning where the
eligible for funding under § 35.2035. grantee has received a Step 1 grant.
f. Personal injury compensation or dam- [49 FR 6234, Feb. 17, 1984, as amended at 50
ages arising out of the project. FR 45896, Nov. 4, 1985; 55 FR 27098, June 29,
g. Fines and penalties due to violations of, 1990; 79 FR 76057, Dec. 19, 2014]
or failure to comply with, Federal, State or
local laws, regulations or procedures.
h. Costs outside the scope of the approved
APPENDIX B TO SUBPART I OF PART 35—
project. ALLOWANCE FOR FACILITIES PLAN-
i. Costs for which grant payment has been NING AND DESIGN
or will be received from another Federal
agency. 1. This appendix provides the method EPA
j. Costs of treatment works for control of will use to determine both the estimated and
pollutant discharges from a separate storm the final allowance under § 35.2025 for facili-
sewer system. ties planning and design. The Step 2 + 3, Step
k. The cost of treatment works that would 3 and Step 7 grant agreements will include
provide capacity for new habitation or other an estimate of the allowance.
establishments to be located on environ- 2. The Federal share of the allowance is de-
mentally sensitive land such as wetlands or termined by applying the applicable grant
floodplains. percentage in § 35.2152 to the allowance.
l. The costs of preparing a corrective ac- 3. The allowance is not intended to reim-
tion report required by § 35.2218(c). burse the grantee for costs actually incurred
for facilities planning or design. Rather, the
I. Design/Build Project Grants allowance is intended to assist in defraying
1. Allowable costs include: those costs. Under this procedure, questions
a. The costs of supplementing the facilities of equity (i.e., reimbursement on a dollar-
plan to prepare the pre-bid package includ- for-dollar basis) will not be appropriate.
ing the cost of preliminary boring and site 4. The estimated and final allowance will
plans, concept and layout drawings, sche- be determined in accordance with this ap-
matic, general material and major equip- pendix and tables 1, 2 and 3. Table 2 is to be
ment lists and specifications, instructions to used in the event the grantee received a
builders, general and special conditions, grant for facilities planning. Table 3 is to be
project performance standards and permit used to determine the facilities planning al-
limits, applicable State or other design lowance for a Step 7 grant if the grantee did
standards, any requirements to go into bid not receive a Step 1 grant. The amount of
analyses, and other contract documents, the allowance is computed by applying the
schedules, forms and certificates. resulting allowance percentage to the initial
b. The costs for building the project, in- allowable building cost.
cluding: 5. The initial allowable building cost is the
(1) Project costs based on the lowest re- initial allowable cost of erecting, altering,
sponsive, responsible competitive design/ remodeling, improving, or extending a treat-
build project bid. ment works, whether accomplished through
(2) Construction management services in- subagreement or force account. Specifically,
cluding detailed plans and specifications re- the initial allowable building cost is the al-
view and approval, change order review and lowable cost of the following:
approval, resident inspection, shop drawing a. The initial award amount of all prime
approval and preparation of an O & M man- subagreements for building the project.
463
Pt. 35, Subpt. I, App. B 40 CFR Ch. I (7–1–21 Edition)
b. The initial amounts approved for force TABLE 1—ALLOWANCE FOR FACILITIES PLANNING
account work performed in lieu of awarding AND DESIGN—Continued
a subagreement for building the project.
c. The purchase price of eligible real prop- Allowance as a
erty. Building cost percentage of
building cost*
6. The estimated allowance is to be based
on the estimate of the initial allowable 120,000 .................................................... 14.1146
building cost. 150,000 .................................................... 13.6631
7. The final allowance will be determined 175,000 .................................................... 13.3597
one time only for each project, based on the 200,000 .................................................... 13.1023
initial allowable building cost, and will not 250,000 .................................................... 12.6832
be adjusted for subsequent cost increases or 300,000 .................................................... 12.3507
350,000 .................................................... 12.0764
decreases. 400,000 .................................................... 11.8438
8. For a Step 3 or Step 7 project, the grant- 500,000 .................................................... 11.4649
ee may request payment of 50 percent of the 600,000 .................................................... 11.1644
Federal share of the estimated allowance im- 700,000 .................................................... 10.9165
mediately after grant award. Final payment 800,000 .................................................... 10.7062
of the Federal share of the allowance may be 900,000 .................................................... 10.5240
requested in the first payment after the 1,000,000 ................................................. 10.3637
grantee has awarded all prime subagree- 1,200,000 ................................................. 10.0920
1,500,000 ................................................. 9.7692
ments for building the project, received the 1,750,000 ................................................. 9.5523
Regional Administrator’s approval for force 2,000,000 ................................................. 9.3682
account work, and completed the acquisition 2,500,000 ................................................. 9.0686
of all eligible real property. 3,000,000 ................................................. 8.8309
9. For a Step 2 + 3 project, if the grantee 3,500,000 ................................................. 8.6348
has not received a grant for facilities plan- 4,000,000 ................................................. 8.4684
ning, the grantee may request payment of 30 5,000,000 ................................................. 8.1975
percent of the Federal share of the estimated 6,000,000 ................................................. 7.9827
7,000,000 ................................................. 7.8054
allowance immediately after the grant 8,000,000 ................................................. 7.6550
award. Half of the remaining estimated al- 9,000,000 ................................................. 7.5248
lowance may be requested when design of the 10,000,000 ............................................... 7.4101
project is 50 percent complete. If the grantee 12,000,000 ............................................... 7.2159
has received a grant for facilities planning, 15,000,000 ............................................... 6.9851
the grantee may request half of the Federal 17,500,000 ............................................... 6.8300
share of the estimated allowance when de- 20,000,000 ............................................... 6.6984
25,000,000 ............................................... 6.4841
sign of the project is 50 percent complete.
30,000,000 ............................................... 6.3142
Final payment of the Federal share of the al- 35,000,000 ............................................... 6.1739
lowance may be requested in the first pay- 40,000,000 ............................................... 6.0550
ment after the grantee has awarded all prime 50,000,000 ............................................... 5.8613
subagreements for building the project, re- 60,000,000 ............................................... 5.7077
ceived the Regional Administrator’s ap- 70,000,000 ............................................... 5.5809
proval for force account work, and completed 80,000,000 ............................................... 5.4734
the acquisition of all eligible real property. 90,000,000 ............................................... 5.3803
100,000,000 ............................................. 5.2983
10. The allowance does not include archi-
120,000,000 ............................................. 5.1594
tect or engineering services provided during 150,000,000 ............................................. 4.9944
the building of the project, e.g., reviewing 175,000,000 ............................................. 4.8835
bids, checking shop drawings, reviewing 200,000,000 ............................................. 4.7894
change orders, making periodic visits to job
NOTE: The allowance does not reimburse for costs incurred.
sites, etc. Architect or engineering services Accordingly, the allowance tables shall not be used to deter-
during the building of the project are allow- mine the compensation for facilities planning or design serv-
able costs subject to this regulation and 40 ices. The compensation for facilities planning or design serv-
ices should be based upon the nature, scope and complexity
CFR part 33. of the services required by the community.
11. The State will determine the amount *Interpolate between values.
and conditions of any advance under
§ 35.2025(b), not to exceed the Federal share of TABLE 2—ALLOWANCE FOR DESIGN ONLY
the estimated allowance.
12. EPA will reduce the Federal share of Allowance as a
Building cost percentage of
the allowance by the amount of any ad- building cost*
vances the grantee received under § 35.2025(b).
$100,000 or less ...................................... 8.5683
TABLE 1—ALLOWANCE FOR FACILITIES PLANNING 120,000 .................................................... 8.3808
150,000 .................................................... 8.1570
AND DESIGN
175,000 .................................................... 8.0059
200,000 .................................................... 7.8772
Allowance as a
Building cost percentage of 250,000 .................................................... 7.6668

building cost* 300,000 .................................................... 7.4991
350,000 .................................................... 7.3602
$100,000 or less ...................................... 14.4945 400,000 .................................................... 7.2419
464
TABLE 2—ALLOWANCE FOR DESIGN ONLY— TABLE 3—ALLOWANCE FOR FACILITIES PLANNING
Continued FOR DESIGN/BUILD PROJECTS—Continued
Allowance as a Allowance as a
Building cost percentage of Building cost (dollars) percentage of
building cost* building cost*
500,000 .................................................... 7.0485 1,500,000 ................................................. 3.6003

600,000 .................................................... 6.8943 1,750,000 ................................................. 3.4976
700,000 .................................................... 6.7666 2,000,000 ................................................. 3.4109
800,000 .................................................... 6.6578 2,500,000 ................................................. 3.2703
900,000 .................................................... 6.5634 3,000,000 ................................................. 3.1595
1,000,000 ................................................. 6.4300 3,500,000 ................................................. 3.0684
1,200,000 ................................................. 6.3383 4,000,000 ................................................. 2.9915
1,500,000 ................................................. 6.1690
5,000,000 ................................................. 2.8669
1,750,000 ................................................. 6.0547
6,000,000 ................................................. 2.7686
2,000,000 ................................................. 5.9574
2,500,000 ................................................. 5.7983 7,000,000 ................................................. 2.6880
3,000,000 ................................................. 5.6714 8,000,000 ................................................. 2.6198
3,500,000 ................................................. 5.5664 NOTE: Building cost is the sum of the allowable cost of (1)
4,000,000 ................................................. 5.4769 the initial award amount of the prime subagreement for build-
5,000,000 ................................................. 5.3306 ing and designing the project; and (2) the purchase price of
6,000,000 ................................................. 5.2140 eligible real property.
7,000,000 ................................................. 5.1174 *Interpolate between values.
8,000,000 ................................................. 5.0352
9,000,000 ................................................. 4.9637 [49 FR 6234, Feb. 17, 1984, as amended at 55
10,000,000 ............................................... 4.9007 FR 27098, June 29, 1990]
12,000,000 ............................................... 4.7935
15,000,000 ............................................... 4.6655
17,500,000 ............................................... 4.5790 Subpart J—Construction Grants
20,000,000 ............................................... 4.5054
25,000,000 ............................................... 4.3851 Program Delegation to States
30,000,000 ............................................... 4.2892
35,000,000 ............................................... 4.2097
40,000,000 ............................................... 4.1421
AUTHORITY: Sections 205(g) and 518(e) of the
50,000,000 ............................................... 4.0314 Clean Water Act, as amended, 33 U.S.C. 1251
60,000,000 ............................................... 3.9432 et. seq.
70,000,000 ............................................... 3.8702
80,000,000 ............................................... 3.8080 SOURCE: 48 FR 37818, Aug. 19, 1983, unless
90,000,000 ............................................... 3.7540 otherwise noted.
100,000,000 ............................................. 3.7063
120,000,000 ............................................. 3.6252 § 35.3000 Purpose.
150,000,000 ............................................. 3.5284
175,000,000 ............................................. 3.4630 (a) This regulation establishes poli-
200,000,000 ............................................. 3.4074 cies and procedures for the develop-
NOTE: The allowance does not reimburse for costs incurred. ment, management, and EPA overview
Accordingly, the allowance tables shall not be used to deter- of State administration of the waste-
mine the compensation for facilities planning or design serv-
ices. The compensation for facilities planning or design serv- water treatment works construction
ices should be based upon the nature, scope and complexity grants program under section 205(g) of
of the services required by the community.
*Interpolate between values. the Clean Water Act, as amended. The
delegation agreement between EPA
TABLE 3—ALLOWANCE FOR FACILITIES PLANNING and the State is a precondition for con-
FOR DESIGN/BUILD PROJECTS struction management assistance
under section 205(g). Program require-
Allowance as a
Building cost (dollars) percentage of ments for other assistance agreements
building cost* authorized by section 205(g) for activi-
100,000 or less ........................................ 5.9262 ties under sections 402 and 404 and sec-
120,000 .................................................... 5.7337 tion 208(b)(4) are provided in part 130.
150,000 .................................................... 5.5061 Administration of all section 205(g) as-
175,000 .................................................... 5.3538
200,000 .................................................... 5.2250
sistance agreements follows the proce-
250,000 .................................................... 5.0163 dures established in subpart A of this
300,000 .................................................... 4.8516 part.
350,000 .................................................... 4.7162 (b) A State, for purposes of receiving
400,000 .................................................... 4.6019
500,000 .................................................... 4.4164 delegation of construction grant pro-
600,000 .................................................... 4.2701 gram responsibilities under this sub-
700,000 .................................................... 4.1499 part, shall include a State, the District
800,000 .................................................... 4.0483

900,000 .................................................... 3.9606
of Columbia, the Commonwealth of
1,000,000 ................................................. 3.8837 Puerto Rico, the Virgin Islands, Guam,
1,200,000 ................................................. 3.7538 American Samoa, the Trust Territories
465
§ 35.3005 40 CFR Ch. I (7–1–21 Edition)
of the Pacific Islands (Palau), the Com- the States that includes consultation
monwealth of the Northern Marianas, with the States in formulation of pol-
and any Indian Tribe, band, group, or icy and guidance by EPA. EPA expects
community recognized by the Sec- States to undertake full delegation of
retary of the Interior and exercising all project level activities, including
governmental authority over a Federal preliminary determinations of non-del-
Indian reservation, provided that the egable requirements. The objective of
Tribe satisfies the following criteria: delegation is to eliminate duplication
(1) The Indian Tribe has a governing of Federal and State effort in the man-
body carrying out substantial govern- agement of the construction grant pro-
mental duties and powers. The Tribe gram, to increase State participation
must submit a narrative statement to in the construction grant program, and
the Regional Administrator describing to improve operating efficiency.
the form of the Tribal government, de- (b) Program delegation is to be ac-
scribing the types of essential govern- complished through a formal delega-
mental functions currently performed tion agreement between the Regional
and identifying the source of the au- Administrator and the State. The dele-
thority to perform these functions.
gation agreement will specify the func-
(2) The functions to be exercised by
tions which the State will perform and
the Indian Tribe pertain to the man-
procedures for State certification to
agement and protection of water re-
EPA.
sources which are held by an Indian
Tribe, held by the United States in (c) EPA will overview the perform-
trust for Indians, held by a member of ance of the program under delegation
an Indian Tribe if such property is sub- to ensure that progress is being made
ject to a trust restriction on alien- toward meeting the construction grant
ation, or otherwise within the borders program objectives and that the State
of an Indian reservation. Assertions by is continuing to employ administra-
the Indian Tribe with respect to this tive, fiscal, and program controls to
criterion will be provided by EPA to guard against fraud, misuse, and mis-
adjacent governmental entities in ac- management of public funds. Overview
cordance with 40 CFR 130.15. will also include review of the State
(3) The Indian Tribe is reasonably ex- management process to ensure it is ef-
pected to be capable, in the Regional ficient, effective and assures timely
Administrator’s judgment, of carrying State reviews.
out the functions to be exercised in a
manner consistent with the terms and § 35.3010 Delegation agreement.
purposes of the Clean Water Act and (a) Before execution of the delegation
applicable regulations. agreement, the Regional Administrator
(c) Where a Tribe has previously must determine that the unit of the
qualified for treatment as a State State agency designated to implement
under a Clean Water Act or Safe Drink- the agreement is capable of carrying
ing Water Act program, the Tribe need out the delegated functions. The Re-
only provide the required information gional Administrator will evaluate
which had not been submitted in a pre- those aspects of the unit which directly
vious treatment as a State application. affect the State’s capability to imple-
[48 FR 37818, Aug. 19, 1983, as amended at 55 ment the agreement.
FR 27098, June 29, 1990] (b) In the delegation agreement, the
State agency will assure the Regional
§ 35.3005 Policy. Administrator that it will execute its
(a) EPA’s policy is to delegate man- responsibilities under the delegation
agement of the wastewater treatment agreement in conformance with all ap-
works construction grant program to plicable Federal laws, regulations, or-
the maximum extent possible con- ders, and policies.
sistent with the objectives of the Act, (c) The delegation agreement will:
prudent fiscal management, and EPA’s (1) Designate the organizational unit
overall national responsibility for the within the State responsible for the
program. The policy is premised on an implementation of the delegation
on-going partnership between EPA and agreement;
466
(2) List the functions delegated and nical assistance, and assisting the com-
functions to be delegated, with a sched- munity in exercising its resident engi-
ule for their assumption by the State; neering responsibility. In this capacity,
(3) Identify procedures to be followed the State is in the same position as a
and records to be kept by the State and private entity and cannot require a
EPA in carrying out each delegated small community to hold the State
function; harmless from negligent acts or omis-
(4) Identify the staffing, hiring, train- sions. The State may also execute an
ing, and funding necessary to carry out agreement with any organization with-
the delegated functions; in the State government, other than
(5) Estimate program costs by year the State agency, which is capable of
for the term of the delegation agree- performing these services. The terms of
ment; the agreement to provide these services
(6) Identify an accounting system, ac- to small communities must be ap-
ceptable to the Regional Adminis- proved by the Regional Administrator
trator, which will properly identify and before execution of the agreement.
relate State costs to the conduct of (c) The Regional Administrator shall
delegated functions; and retain overall responsibility for the
(7) Identify the form and content of construction grant program and exer-
the system for EPA overview of State cise direct authority for the following:
performance consistent with the re- (1) Construction grant assistance
quirements in § 35.3025 of this subpart, awards, grant amendments, payments,
including the frequency, method, and and terminations;
extent of monitoring, evaluation, and (2) Projects where an overriding Fed-
reporting. eral interest requires greater Federal
(d) The term of the delegation agree- involvement;
ment shall generally be five years. As (3) Final determinations under Fed-
subsequent construction management eral statutes and Executive Orders
assistance is awarded, the delegation (e.g., the National Environmental Pol-
agreement may be amended to main- icy Act of 1969, 42 U.S.C. 4321 et seq.,
tain a five-year period. Title VI of the Civil Rights Act of 1964,
(e) The delegation agreement will be 42 U.S.C. 2000d et seq.), except for sec-
revised, as necessary, to reflect sub- tions 201, 203, 204, and 212 of the Clean
stantial program or procedural Water Act;
changes, as determined by the Regional (4) Final resolution of construction
Administrator. grant audit exceptions; and
(Approved by the Office of Management and (5) Procurement determinations list-
Budget under control number 2000–0417) ed under 40 CFR 33.001(g).
§ 35.3015 Extent of State responsibil- § 35.3020 Certification procedures.

ities. (a) The State will furnish a written
(a) Except as provided in paragraph certification to the Regional Adminis-
(c) of this section, the Regional Admin- trator for each construction grant
istrator may delegate to the State project application submitted to EPA
agency authority to review and certify for award. The certification must state
all construction grant documents re- that all Federal requirements, within
quired before and after grant award the scope of authority delegated to the
and to perform all construction grant State under the delegation agreement,
review and management activities nec- have been met. This certification must
essary to administer the construction be supported by documentation speci-
grants program. fied in the delegation agreement. The
(b) The State may also act as the documentation must be made available
manager of waste treatment construc- to the Regional Administrator upon re-
tion grant projects for small commu- quest.
nities. The State, with the approval of (b) Certification that a construction
the community, may serve as the com- grant project application complies
munity contracting agent and under- with all delegable pre-award require-
take responsibilities such as negoti- ments consists of certification of com-
ating subagreements, providing tech- pliance with the following sections of
467
§ 35.3025 40 CFR Ch. I (7–1–21 Edition)
subpart I of this part: § 35.2030 (Facili- will negotiate and agree upon outputs,
ties planning); § 35.2040 (a) and (b) where required by the plan for over-
(Grant application); § 35.2042 (Review of view, to cover priority objectives for
grant applications); and §§ 35.2100 (Lim- the upcoming year. This negotiation
itations on award) through and includ- should also result in development of
ing 35.2125, except for § 35.2101 (Ad- the work program required for the sec-
vanced treatment reviews for projects tion 205(g) assistance application, pur-
with incremental capital advanced suant to subpart A, § 35.130 of this part.
treatment costs of over $3 million), Where the assistance application cov-
§ 35.2112 (Marine waiver discharge appli- ers a budget period beyond the annual
cants), and § 35.2113 (final decisions overview program period, the assist-
under the National Environmental Pol- ance award may be made for the full
icy Act). budget period, contingent on future ne-
gotiation of annual outputs under this
§ 35.3025 Overview of State perform- paragraph for subsequent years of the
ance under delegation. budget period.
The Regional Administrator will re- (c) Monitoring and evaluating program
view the performance of a delegated performance. Monitoring and evaluation
State through an annual overview proof program performance (including
gram, developed in accordance with State reporting) is based on the plan
procedures agreed to in the delegation for overview agreed to in advance, and
agreement (§ 35.3010(c)(7)). The purpose should be appropriate to the delegation
of the overview program is to ensure situation existing between the Region
that both the delegated State and EPA and State. It should take into account
efficiently and effectively execute the past performance of the State and the
fiscal and program responsiblilities extent of State experience in admin-
under the Clean Water Act and related istering the delegated functions. An
legislation. The overview program is on-site evaluation will occur at least
comprised of three steps: annually and will cover, at a minimum,
(a) Developing a plan for overview. The negotiated annual outputs, perform-
plan for overview specifies priority ob- ance expected in the delegation agree-
jectives, key measures of performance, ment and, where applicable, evaluation
and monitoring and evaluation activi- of performance under the assistance
ties (including State reporting to EPA) agreement as provided in 40 CFR 35.150.
for the upcoming year. EPA and the The evaluation will cover performance
State should agree to a plan for over- of both the Region and the State. Upon
view in advance of the upcoming year. completion of the evaluation, the dele-
(1) Priority objectives will include gation agreement may be revised, if
both program and management objec- necessary, to reflect changes resulting
from the evaluation. The Regional Ad-
tives. In developing the State priority
ministrator may terminate or annual
objectives, the national priorities iden-
any section 205(g) financial assistance
tified by the Administrator on an an-
for cause in accordance with 2 CFR
nual basis must, at a minimum, be ad-
200.338 through 2 CFR 200.342 Remedies
dressed and applied as appropriate to
for Noncompliance.
each State. In addition, the Regional
Administrator and the State may iden- (Approved by the Office of Management and
tify other objectives unique to the situ- Budget under control number 2000–0417)
ation in the State. [48 FR 37818, Aug. 19, 1983, as amended at 79
(2) For each priority objective, the FR 76057, Dec. 19, 2014]
plan for overview will specify key
measures of performance (both quan- § 35.3030 Right of review of State deci-
titative and qualitative), identify sion.
which measures will require the nego- (a) Any construction grant applica-
tiation of outputs, and enumerate the tion or grantee who has been adversely
specific monitoring and evaluation ac- affected by a State’s action or omission
tivities and methods planned for the may request Regional review of such
upcoming year. action or omission, but must first sub-

(b) Negotiating annual outputs. Annu- mit a petition for review to the State
ally, the Region and delegated State agency that made the initial decision.
468
The State agency will make a final de- the Act, part 25 of this chapter, and
cision in accordance with procedures this subpart.
set forth in the delegation agreement. (b) The Regional Administrator or
The State must provide, in writing, the State, as mutually agreed, will
normally within 45 days of the date it make the draft delegation agreement,
receives the petition, the basis for its any proposed substantial amendment
decision regarding the disputed action to the delegation agreement, and the
or omission. The final State decision proposed annual overview program,
must be labeled as such and, if adverse available to the public for comment,
to the applicant or grantee, must in- and provide notice of availability, suf-
clude notice of the right to request Re- ficiently in advance of execution to
gional review of the State decision allow for timely comment.
under this section. A State’s failure to (c) If, based on comments received,
address the disputed action or omission the Regional Administrator or State
in a timely fashion, or in writing, will determines that significant interest ex-
not preclude Regional review. ists, the State and EPA will consult
(b) Requests for Regional review with interested and affected groups and
must include: citizens prior to execution of the dele-
gation agreement, substantial amend-
(1) A copy of any written State deci-
ment, or annual overview program. If
sion. the Regional Administrator or State
(2) A statement of the amount in dis- determines that significant interest
pute, and desire for a public meeting exist,
(3) A description of the issues in- the Region or State will hold one or
volved, and more public meetings at least 30 days
(4) A concise statement of the objec- prior to execution.
tions to the State decision.
The request must be filed by registered Subpart K—State Water Pollution
mail, return receipt requested, within Control Revolving Funds
thirty days of the date of the State de-
cision or within a reasonable time if AUTHORITY: Sections 205(m), 501(a) and
the State fails to respond in writing to title VI of the Clean Water Act, as amended,
the request for review. 33 U.S.C. 1285(m), 33 U.S.C. 1361(a), 33 U.S.C.
(c) The Region shall determine 1381–1387.
whether the State’s review is com- SOURCE: 55 FR 10178, Mar. 19, 1990, unless
parable to a dispute decision official’s otherwise noted.
(DDO) review pursuant to 2 CFR part
1500, subpart E. If the State’s review is § 35.3100 Policy and purpose.
comparable, Regional review of the (a) The Agency intends to implement
State’s decision will be conducted by the State water pollution control re-
the Regional Administrator. If the volving fund program in a manner that
State’s review is not comparable, the preserves for States a high degree of
DDO will review the State’s decision flexibility for operating their revolving
and issue a written decision. Review of funds in accordance with each State’s
either a Regional Administrator or unique needs and circumstances. The
DDO decision may be requested pursu- purpose of these regulations is to ad-
ant to 2 CFR part 1500, subpart E. vance the general intent of title VI of
the Clean Water Act, which is to en-
Budget under control number 2040–0095) sure that each State’s program is de-
signed and operated to continue pro-
[50 FR 45896, Nov. 4, 1985, as amended at 79 viding assistance for water pollution
FR 76057, Dec. 19, 2014] control activities in perpetuity.
(b) These regulations reflect statu-
§ 35.3035 Public participation. tory and program requirements that
(a) Public participation during the have been previously published in the
development, review, approval, and Initial Guidance for State Revolving
substantial revision of the delegation Funds, which was signed by the Assist-
agreement will be in accordance with ant Administrator for Water on Janu-
the requirements of section 101(e) of ary 28, 1988, and the supplementary
469
§ 35.3105 40 CFR Ch. I (7–1–21 Edition)
memorandum to the Initial Guidance (h) Payment. An action by the EPA to

for State Revolving Funds, which was increase the amount of capitalization
signed by the Assistant Administrator grant funds available for cash draw
for Water on September 30, 1988. Copies from an LOC.
of both documents can be obtained by (i) SRF. State water pollution control
writing the Office of Municipal Pollu- revolving fund.
tion Control (WH–546), Environmental
Protection Agency, 1200 Pennsylvania
FR 76057, Dec. 19, 2014]
Ave., NW., Washington, DC 20460.
(c) These regulations supplement § 35.3110 Fund establishment.
title VI by codifying all major program
requirements, applicable to the SRF (a) Generally. Before the Regional Ad-
program. EPA will not impose addi- ministrator (RA) may award a capital-
tional major program requirements ization grant, the State must establish
without an opportunity for affected an SRF that complies with section 603
parties to comment. The process for of the Act and this rule.
amending this regulation to incor- (b) SRF accounts. The SRF can be es-
porate these requirements will begin tablished within a multiple-purpose
within three months of their issuance. State financing program. However, the
SRF must be a separate account or se-
§ 35.3105 Definitions. ries of accounts that is dedicated solely
to providing loans and other forms of
Words and terms that are not defined financial assistance, but not grants.
below and that are used in this rule
(c) SRF administration. The SRF must
shall have the same meaning they are
be administered by an instrumentality
given in 2 CFR part 200 Subpart A—
of the State that is empowered to man-
Acronyms and Definitions and 40 CFR
age the Fund in accordance with the
part 35, subpart I.
requirements of the Act. Where more
(a) Act. The Federal Water Pollution than one agency of the State is in-
Control Act, more commonly known as volved in administering the activities
the Clean Water Act (Pub. L. 92–500), as of the State’s program, the functions
amended by the Water Quality Act of and the relationships of those agencies
1987 (Pub. L. 100–4). 33 U.S.C. 1251 et seq. must be established to the satisfaction
(b) Binding Commitment. A legal obli- of the RA.
gation by the State to a local recipient (d) Documentation of the establishment
that defines the terms for assistance of an SRF program. (1) As part of its ini-
under the SRF. tial application for the capitalization
(c) Capitalization Grant. The assist- grant, the State must furnish the RA
ance agreement by which the EPA obli- with documentation of the establish-
gates and awards funds allotted to a ment of an SRF and designation of the
State for purposes of capitalizing that State instrumentality that will admin-
State’s revolving fund. ister the SRF in accordance with the
(d) Cash draw. The transfer of cash Act.
under a letter of credit (LOC) from the (2) With each capitalization grant ap-
Federal Treasury into the State’s SRF. plication, the State’s Attorney General
(e) Disbursement. The transfer of cash (AG), or someone designated by the
from an SRF to an assistance recipi- AG, must sign or concur in a certifi-
ent. cation that the State legislation estab-
(f) Equivalency projects. Those section lishing the SRF and the powers it con-
212 wastewater treatment projects con- fers are consistent with State law, and
structed in whole or in part before Oc- that the State may legally bind itself
tober 1, 1994, with funds ‘‘directly made to the terms of the capitalization grant
available by’’ the capitalization grant. agreement.
These projects must comply with the (3) Where waiting for the AG’s signa-
requirements of section 602(b)(6) of the ture or concurrence would by itself sig-
Act. nificantly delay awarding the first
(g) Funds ‘‘directly made available by’’ grant (i.e., there are no other issues
capitalization grants. Funds equaling holding up the award), the head or
the amount of the grant. chief legal officer of the State agency
470
which has direct responsibility for ad- in which those funds are available. If a
ministering the SRF program may sign State fails to file a Notice of Intent on
the certification at the time of the cap- or before the prescribed date, then the
italization grant award, provided the State may not transfer title II allot-
capitalization grant agreement con- ments into an SRF in the upcoming fis-
tains a special condition requiring the cal year. A timely Notice of Intent
State to submit the AG/designee’s con- may be later withdrawn or amended.
currence to EPA within a reasonable (3) When the capitalization grant is
time, not to exceed 120 days, after the awarded, funds requested under section
grant is awarded. 205(m) of the Act will be obligated
(e) Allotment. (1) Appropriations for under title VI for the activities of the
fiscal years 1987 through 1990 under SRF. If a Notice of Intent anticipates
both title II and title VI programs will transfer of funds under the authority of
be allotted in accordance with the for- section 205(m), but those funds are not
mula contained in section 205(c)(3) of so obligated by the end of the two year
the Act. period of availability, they will be sub-
(2) Title VI funds are available for ject to reallotment as construction
the Agency to obligate to the State grant funds.
during the fiscal year in which they are (g) Reserves and transferred allotments.
allotted and during the following fiscal (1) Funds reserved under section 205(g)
year. The amount of any title VI allot- of the Act can be used to develop SRF
ment not obligated to the State at the programs. However, before any of these
end of this period of availability will be funds may be used for purposes of the
reallotted for title VI purposes in ac- SRF, the State must establish to the
cordance with 40 CFR 35.2010. satisfaction of the RA that adequate
(3) A State that does not receive funds, up to the section 205(g) max-
grants that obligate all the funds allot- imum, will be available from any
ted to it under title VI in the first year source to administer the construction
of its availability will not receive real- grants program.
lotted funds from that appropriation. (2) Funds reserved under sections
(4) Notwithstanding 40 CFR 35.910 and 205(j)(1) and 205(j)(5) of the Act must be
40 CFR 35.2010(a), deobligations and re- calculated based on the State’s full
allotments of title II funds may be title II allotment, and cannot be trans-
transferred to a title VI capitalization ferred to the SRF.
grant regardless of either the year in (3) Funds reserved under sections
which the title II funds were originally 201(l)(2), 205(h), and 205(i) of the Act
allotted or the year in which they are must also be calculated based upon the
deobligated or reallotted. State’s full title II allotment. However,
(f) Transfer of title II allotments. A these reserves may be transferred into
State may exercise the option to trans- an SRF.
fer a portion of its title II allotment (4) The State must reserve from each
for deposit, through a capitalization fiscal year’s title VI allotment the
grant, into an established water pollu- greater of one percent of its allotment
tion control revolving fund, under sec- or $100,000 to carry out planning under
tion 205(m) of the Act. sections 205(j) and 303(e) of the Act.
(1) If the State elects this option, the (Approved by the Office of Management and
Governor of the State must submit a Budget under control number 2040–0118)
Notice of Intent to the RA specifying
the amount of the title II allotment § 35.3115 Eligible activities of the SRF.
the State intends to use for title VI Funds in the SRF shall not be used to
purposes during the fiscal year for provide grants. SRF balances must be
which it is submitted. The Notice may available in perpetuity and must be
also identify anticipated, unobligated used solely to provide loans and other
title II funds from the prior fiscal year, authorized forms of financial assist-
and request transfer of those funds as ance:
well. (a) To municipalities, inter-munic-
(2) Each Notice of Intent must be ipal, interstate, or State agencies for
submitted on or before July 3 of the the construction of publicly owned
year preceding the Federal fiscal year wastewater treatment works as these
471
§ 35.3120 40 CFR Ch. I (7–1–21 Edition)
are defined in section 212 of the Act (iii) After March 19, 1990 must meet
and that appear on the State’s priority the requirements of this rule to be
list developed pursuant to section 216 fully eligible.
of the Act; and (2) Where the original debt for a
(b) For implementation of a nonpoint project was in the form of a multi-pur-
source pollution control management pose bond incurred for purposes in ad-
program under section 319 of the Act; dition to wastewater treatment facility
and construction, an SRF may provide refi-
(c) For development and implementa- nancing only for eligible purposes, and
tion of an estuary conservation and not for the entire debt.
management plan under section 320 of (c) Guarantee or purchase insurance for
the Act. local debt obligations. The SRF may
guarantee local debt obligations where
§ 35.3120 Authorized types of assist- such action would improve credit mar-
ance.
ket access or reduce interest rates. The
The SRF may provide seven general SRF may also purchase or provide bond
types of financial assistance. insurance to guarantee debt service
(a) Loans. The SRF may award loans payment.
at or below market interest rates, or (d) Guarantee SRF debt obligations.
for zero interest. The SRF may be used as security or as
(1) Loans may be awarded only if: a source of revenue for the payment of
(i) All principal and interest pay- principal and interest on revenue or
ments on loans are credited directly to general obligation bonds issued by the
the SRF; State provided that the net proceeds of
(ii) The annual repayment of prin- the sale of such bonds are deposited in
cipal and payment of interest begins the SRF.
not later than one year after project (e) Loan guarantees for ‘‘sub-State re-
completion; volving funds.’’ The SRF may provide
(iii) The loan is fully amortized not loan guarantees for similar revolving
later than twenty years after project funds established by municipal or
completion; and intermunicipal agencies, to finance ac-
(iv) Each loan recipient establishes tivities eligible under title VI.
one or more dedicated sources of rev- (f) Earn interest on fund accounts. The
enue for repayment of the loan. SRF may earn interest on Fund ac-
(2) Where construction of a treat- counts.
ment works has been phased or seg- (g) SRF administrative expenses. (1)
mented, loan repayment requirements Money in the SRF may be used for the
apply to the completion of individual reasonable costs of administering the
phases or segments. SRF, provided that the amount does
(b) Refinancing existing debt obliga- not exceed 4 percent of all grant
tions. The SRF may buy or refinance awards received by the SRF. Expenses
local debt obligations at or below mar- of the SRF in excess of the amount per-
ket rates, where the initial debt was mitted under this section must be paid
incurred after March 7, 1985, and build- for from sources outside the SRF.
ing began after that date. (2) Allowable administrative costs in-
(1) Projects otherwise eligible for re- clude all reasonable costs incurred for
financing under this section on which management of the SRF program and
building began: for management of projects receiving
(i) Before January 28, 1988 (the effec- financial assistance from the SRF.
tive date of the Initial Guidance for Reasonable costs unique to the SRF,
State Revolving Funds) must meet the such as costs of servicing loans and
requirements of title VI to be fully eli- issuing debt, SRF program start-up
gible. costs, financial management, and legal
(ii) After January 28, 1988, but before consulting fees, and reimbursement
the effective date of this rule, must costs for support services from other
meet the requirements of title VI and State agencies are also allowable.
of the Initial Guidance for State Re- (3) Unallowable administrative costs
volving Funds to be fully eligible. include the costs of administering the
472
construction grant program under sec- publicly owned portion of the treat-
tion 205(g), permit programs under sec- ment works.
tions 402 and 404 and Statewide waste- (d) Private operation. Contractual ar-
water management planning programs rangements for the private operation of
under section 208(b)(4). a publicly owned treatment works will
(4) Expenses incurred issuing bonds not affect the eligibility of the treat-
guaranteed by the SRF, including the ment works for SRF financing.
costs of insuring the issue, may be ab- (e) Water quality management plan-
sorbed by the proceeds of the bonds, ning. The SRF may provide assistance
and need not be charged against the 4 only to projects that are consistent
percent administrative costs ceiling. with any plans developed under sec-
The net proceeds of those issues must tions 205(j), 208, 303(e), 319 and 320 of the
be deposited in the Fund. Act.
§ 35.3125 Limitations on SRF assist- § 35.3130 The capitalization grant
ance. agreement.
(a) Prevention of double benefit. If the (a) Contents. The capitalization grant
SRF makes a loan in part to finance agreement must contain or incorporate
the cost of facility planning and prepa- by reference the State’s application,
ration of plans, specifications, and esti- Intended Use Plan, agreed upon pay-
mates for the building of treatment ment schedule, State environmental
works and the recipient subsequently review process and certifications or
receives a grant under section 201(g) for demonstrations of other agreement re-
the building of treatment works and an quirements and, where used, the SRF
allowance under section 201(1)(1), the Operating Agreement.

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Title 40

Revised as of July 1, 2021

Containing a codification of documents

Published by the Office of the Federal Register

Legal Status and Use of Seals and Logos

Use of ISBN Prefix

U.S. GOVERNMENT PUBLISHING OFFICE

U.S. Superintendent of Documents • Washington, DC 20402–0001

Chapter I—Environmental Protection Agency ................................ 3

Table of CFR Titles and Chapters ....................................................... 797

Alphabetical List of Agencies Appearing in the CFR ......................... 817

List of CFR Sections Affected ............................................................. 827

To cite the regulations in

Title 40—PROTECTION OF ENVIRONMENT is composed of thirty-seven volumes.

Chapter I—Environmental Protection Agency appears in all thirty-seven vol-

Chapters IV–IX—Regulations issued by the Environmental Protection Agency

CHAPTER I—Environmental Protection Agency ..................... 1

EDITORIAL NOTE: Nomenclature changes to chapter I appear at 65 FR 47324, 47325, Aug. 2,

17 Implementation of the Equal Access to Justice Act

33 Participation by disadvantaged business enter-

PART 1—STATEMENT OF ORGANI- tematic basis. Reorganization Plan 3 of

Palau.) supervision of the Administrative Law

tinuing evaluations of the Agency’s ministrator coordinates Regional

coordinates Regional responses to spe- with respect to all Agency programs

Agencywide. The major functions of the provisions of Public Law 96–511.

the supervision of a Director, provides cy’s information collection policies and

a system for ensuring that EPA edu- matters pertaining to appropriations

compliance with Agency procedures for Administrator for External Affairs on

vention (OCSPP), serves as the prin- ronment; monitoring of pesticide res-

(2) Research and development on the essing, conversion, and transportation

ods and technologies to: Office of Research and Development for

and development and the control of (7) development and demonstration of

under the supervision of a Director, is institutions in environmental research

eral workforce training programs to be to States and local governments; devel-

with respect to municipal point source oversees implementation of the Agen-

(a) Accomplishing national program 2.206 Advance confidentiality determina-

2.204 Initial action by EPA office. and production of documents.

an official to whom a requester can ceived on that date.

cy determines to grant a request in disclosed in part, or if providing an es-

Administrator on an initial request (a) In general. The Agency will charge

tary or secondary school, an institu- and least expensive manner reasonably

days; paragraph will offer the requester an

The Agency will not aggregate mul- furnished without charge or at a

when the Agency determines, based on nificantly’’ to public understanding of

(iv) The significance of the contribution interest.

regulatory program of general applica- ment of information gathered under

by disclosing data in the form of indus- notice employing language such as

formation, at the time it is submitted is entitled to confidential treatment,

(3) Determines that it is likely that information. If any business is found to

determine which businesses if any, tion shall be treated for purposes of

(d) Preliminary determination. When- be forwarded promptly to the appro-

following points (subject to paragraph to an EPA legal office under paragraph

scribed by § 2.203(a). information covered by a business con-

mination, that it constitutes final this paragraph (f) shall be implemented

the absence of a court order prohib- tion is of questionable validity, it shall

determination was clearly erroneous. If tion under § 2.201(i);

of materials required to be furnished to public may nonetheless be disclosed to

cumstances. business information, EPA will inform

violation of 18 U.S.C. 1905; and shall maintain a record of the fact of

Such a record, which may be in the such information and to protect

in that category without first obtain- (1) Inquiries concerning a business’s

(3) Information will be considered to (ii) Data not otherwise entitled to

determination that the information is (2) In connection with any proceeding

cause of its relevance to a proceeding the circumstances. Information may be