99-9. Revision of HHS National Environmental Policy Act Compliance Procedures and Procedures for Environmental Protection  

  • [Federal Register Volume 64, Number 6 (Monday, January 11, 1999)]
    [Notices]
    [Pages 1656-1710]
    From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
    [FR Doc No: 99-9]
    
    
    
    [[Page 1655]]
    
    _______________________________________________________________________
    
    Part II
    
    
    
    
    
    Department of Health and Human Services
    
    
    
    
    
    _______________________________________________________________________
    
    
    
    Revision of HHS National Environmental Policy Act Compliance Procedures 
    and Procedures for Environmental Protection; Notice
    
    Federal Register / Vol. 64, No. 6 / Monday, January 11, 1999 / 
    Notices
    
    [[Page 1656]]
    
    
    
    DEPARTMENT OF HEALTH AND HUMAN SERVICES
    
    
    Revision of HHS National Environmental Policy Act Compliance 
    Procedures and Procedures for Environmental Protection
    
    AGENCY: Department of Health and Human Services, Office of the 
    Secretary.
    
    ACTION: Notice of proposed revision of HHS NEPA Procedures.
    
    -----------------------------------------------------------------------
    
    DATES: Written comments must be received on or before February 10, 
    1999.
    
    SUMMARY: In accordance with the provisions of the National 
    Environmental Policy Act of 1969 (NEPA), as amended, and other related 
    environmental laws, executive orders, and regulations, the Department 
    of Health and Human Services published procedures in 1980 for 
    conducting environmental reviews, preparing necessary documentation and 
    making program decisions to ensure that environmental protection is an 
    integral part of HHS operations. These procedures have recently been 
    revised and updated. Comments from interested parties are solicited.
    
    FOR FURTHER INFORMATION CONTACT: Dick Green, Office of Facilities 
    Services, Department of Health and Human Services, Hubert H. Humphrey 
    Building, Room 729D, 200 Independence Avenue, SW, Washington, DC, 
    20201. Telephone (202) 619-1994, FAX (202) 619-2692, E-mail Address: 
    [email protected]
    
        Dated: December 23, 1998.
    John J. Callahan,
    Assistant Secretary for Management and Budget.
    
    HHS Chapter 30--General Administration Manual; HHS Transmittal 98.2
    
    PART 30--ENVIRONMENTAL PROTECTION
    
    Contents
    
    Chapter and Title
    
    30-00  Environmental Protection
    30-10  Policy
    30-20  Administrative Requirements
    30-30  General Environmental Review Procedures
    30-40  Natural Asset Review
    30-50  National Environmental Policy Act (NEPA) Review
    30-60  Energency Planning and Community Right-To-Know Act of 1986 
    (EPCRA) Requirements
    30-70  Pollution Prevention Act of 1990 (PPA) Requirements
    30-80  Executive Order 12856, Federal Compliance with Right-To-Know 
    Laws and Pollution Prevention Requirements
    30-90  Executive Order 13101, Greening the Government Through Waste 
    Prevention, Recycling, and Federal Acquisition
    
    HHS Chapter 30-00--General Administration Manual; HHS Transmittal 
    98.2
    
    Subject: Environmental Protection
    
    30-00-00.......................................                  Purpose
          10.......................................     Chapter Organization
                                                                 and Content
          20.......................................   Environmental Statutes
                                                        and Executive Orders
          30.......................................              Definitions
     
    
    30-00-00  Purpose
    
        This Chapter summarizes and provides guidance on many current 
    statutory, regulatory and Executive Order environmental authorities. It 
    does not create or confer any rights on any person and it is not 
    intended to be used as the sole source of information for any of the 
    referenced environmental compliance requirements. The Department 
    recognizes that any of the authorities described herein may be revised 
    after the issuance of the Chapter. The current specific environmental 
    statute, regulation or Executive Order should be reviewed when 
    questions arise. To the extent that any statement in this chapter 
    should conflict with a current applicable statutory, regulatory or 
    Executive Order requirement, that statutory, regulatory or Executive 
    Order requirement shall supersede any inconsistent provision of this 
    GAM Chapter. Additional questions should be referred to the OPDIV 
    environmental officer, the Departmental environmental program manager, 
    and/or the Office of the General Counsel.
        Part 30 of the General Administration Manual establishes 
    Departmental policy and procedures with respect to protection of the 
    environment and the preservation of natural resources. Under Federal 
    statutes, regulations, and Executive Orders, all Federal Departments 
    and agencies are required to comply with all applicable Federal, State 
    and local environmental statutes, laws and regulations and must take 
    into account the environmental consequences of their activities. In 
    many cases, the activities of non-Federal organizations which operate 
    under the authority or with the support of Federal Departments or 
    agencies are also included.
        This Part supersedes Part 30, Environmental Protection, 1980, with 
    the exception that Part 30, Chapter 30-40, Cultural Asset Review 
    (Historical Preservation) remains in effect until a separate revised 
    Chapter dealing with this subject is published.
    
    30-00-10  Chapter Organization and Content
    
        The chapters of Part 30 are organized as follows:
         Chapter 30-00 provides a list and summary descriptions of 
    certain environmental laws and Executive Orders, and a list of 
    definitions.
         Chapter 30-10 and 30-20 provide overall Departmental 
    policy with respect to environmental protection and a summary of 
    internal administrative procedures which Departmental organizations 
    must implement.
         Chapter 30-30 provides a general summary of the 
    environmental review process for Departmental activities under the 
    National Environmental Policy Act and statutes and Executive Orders 
    that require protection and preservation of natural and cultural 
    assets.
         Chapters 30-40 through 30-90 provide detailed requirements 
    for certain environmental statutes and Executive Orders covered by Part 
    30.
    
    30-00-20  Environmental Statutes and Executive Orders
    
        Federal agencies are potentially subject to more than 150 Federal 
    statutes and Executive Orders governing the environment. Many of these 
    laws are noted in Table 1.
        Environmental laws and implementing regulations that significantly 
    impact the Department are summarized in the following subsections. 
    Detailed guidance is contained in other chapters of Part 30 for certain 
    environmental statutes and Executive Orders. Table 1, as follows, 
    indicated the location of statutes or Executive Orders that are 
    discussed in Part 30.
    
                                         Table 1.--Statutes and Executive Orders
    ----------------------------------------------------------------------------------------------------------------
       Environmental statute or executive order             Citation                     Part 30 location
    ----------------------------------------------------------------------------------------------------------------
    Acid Precipitation Act of 1980...............  42 U.S.C. Secs.  8901 to   ......................................
                                                    8912.
    Act to Prevent Pollution From Ships..........  33 U.S.C. Secs.  1901 to   ......................................
                                                    1912.
    Agricultural Act of 1970.....................  16 U.S.C. Secs.  1501 to   ......................................
                                                    1510.
    American Indian Religious Freedom Act........  42 U.S.C. Sec.  1996.....  ......................................
    
    [[Page 1657]]
    
     
    Antarctic Protection Act of 1990.............  16 U.S.C. Secs.  2461 to   ......................................
                                                    2466.
    Antiquities Act of 1906......................  16 U.S.C. Secs.  431 to    30-00-20K
                                                    433.
    Archeological and Historic Preservation Act    16 U.S.C. Secs.  469 to    30-00-20K
     of 1974.                                       469c-1.
    Archeological Resources Protection Act of      16 U.S.C. Secs.  470aa to  ......................................
     1979.                                          470mm.
    Asbestos Hazard Emergency Response Act of      15 U.S.C. Secs.  2641 to   ......................................
     1986.                                          2656.
    Atomic Energy Act of 1954....................  42 U.S.C. Secs.  2011 to   ......................................
                                                    2297g-4.
    Aviation Safety and Noise Abatement Act of     49 U.S.C. app. Secs.       ......................................
     1979.                                          2101 to 2125.
    Clean Air Act................................  42 U.S.C. Secs.  7401 to   30-00-20A
                                                    7671q.
    Clean Vessel Act of 1992.....................  33 U.S.C. Sec.  1322 note  ......................................
    Clean Water Act [Federal Water Pollution       33 U.S.C. Secs.  1251 to   30-00-20B
     Control Act].                                  1387.
    Coastal Barrier Resources Act................  16 U.S.C. Secs.  3501 to   ......................................
                                                    3510.
    Coastal Wetlands Planning Protection, and      16 U.S.C. Secs.  3951 to   ......................................
     Restoration Act.                               3956.
    Coastal Zone Management Act of 1972..........  16 U.S.C. Secs.  1451 to   30-00-20C; Ch. 30-40
                                                    1464.
    Community Environmental Response Facilitation  42 U.S.C. Secs.  9620      ......................................
     Act.                                           note.
    Comprehensive Environmental Response,          42 U.S.C. Secs.  9601 to   30-00-20D
     Compensation, and Liability Act of 1980        9675.
     [``Superfund''].
    Emergency Planning and Community Right-to-     42 U.S.C. Secs.  11001 to  30-00-20E; Ch. 30-60
     Know Act of 1986.                              11050.
    Emergency Wetlands Resources Act of 1986.....  16 U.S.C. Secs.  3901 to   ......................................
                                                    3932.
    Endangered Species Act of 1973...............  16 U.S.C. Secs.  1531 to   30-00-20F; Ch. 30-40
                                                    1544.
    Energy Policy Act of 1992....................  42 U.S.C. Secs.  13201 to  30-00-20G
                                                    13556.
    Energy Policy and Conservation Act...........  42 U.S.C. Secs.  6201 to   ......................................
                                                    6422.
    Energy Reorganization Act of 1974............  42 U.S.C. Secs.  5801 to   ......................................
                                                    5891.
    Energy Supply and Environmental Coordination   15 U.S.C. Secs.  791 to    ......................................
     Act of 1974.                                   798.
    Environmental Programs Assistance Act of 1984  42 U.S.C. Sec.  4368a....  ......................................
    Environmental Quality Improvement Act of 1970  42 U.S.C. Secs.  4371 to   ......................................
                                                    4375.
    Farmland Protection Policy Act...............  7 U.S.C. Secs.  4201 to    ......................................
                                                    4209.
    Federal Facility Compliance Act of 1992......  42 U.S.C. Secs.  6903,     ......................................
                                                    6908, 6924, 6927, 6939c,
                                                    6939d, 6961, 6965.
    Federal Food, Drug, and Cosmetic Act.........  21 U.S.C. Secs.  301 to    ......................................
                                                    397.
    Federal Insecticide, Fungicide, and            7 U.S.C. Secs.  136 to     30-00-20H
     Rodenticide Act.                               136y.
    Federal Land Policy and Management Act of      43 U.S.C. Secs.  1701 to   ......................................
     1976.                                          1784.
    Federal Oil and Gas Royalty Management Act of  30 U.S.C. Secs.  1701 to   ......................................
     1982.                                          1757.
    Fish and Wildlife Act of 1956................  16 U.S.C. Secs.  742a to   ......................................
                                                    742d, 742e to 742j-2.
    Fish and Wildlife Coordination Act...........  16 U.S.C. Secs.  661 to    30-00-20I; Ch. 30-40
                                                    666c.
    Flood Disaster Protection Act of 1973........  42 U.S.C. Secs.  2414,     ......................................
                                                    4001 to 4129.
    Forest and Rangeland Renewable Resources       16 U.S.C. Secs.  1600 to   ......................................
     Planning Act of 1974.                          1614.
    Forest and Rangeland Renewable Resources       16 U.S.C. Secs.  1641 to   ......................................
     Research Act of 1978.                          1649.
    Forest Ecosystems and Atmospheric Pollution    16 U.S.C. Secs.  1642,
     Research Act of 1988.                          1642 note.
    Geothermal Energy Research, Development and    30 U.S.C. Secs.  1101 to
     Demonstration Act of 1974.                     1164.
    Global Change Research Act of 1990...........  15 U.S.C. Secs.  2921 to
                                                    2961.
    Global Climate Protection Act of 1987........  15 U.S.C. Sec.  2901 note
    Hazardous Substance Response Revenue Act of    26 U.S.C. Secs.  4611-
     1980.                                          4612, 4661-4662.
    Historic Sites Act of 1935 [Historic Sites,    16 U.S.C. Secs.  461 to    30-00-20J
     Buildings, and Antiquities Act].               467.
    Indian Environmental General Assistance        42 U.S.C. Sec.  4368b....
     Program Act of 1992.
    Lead-Based Paint Exposure Reduction Act......  15 U.S.C. Secs.  2681 to
                                                    2692.
    Lead-Based Paint Poisoning Prevention Act....  42 U.S.C. Secs.  4821 to
                                                    4846.
    Lead Contamination Control Act of 1988.......  42 U.S.C. Secs.  300j-21
                                                    to 300j-26.
    Low-Level Radioactive Waste Policy Act.......  42 U.S.C. Secs.  2021b to
                                                    2021j.
    Marine Mammal Protection Act of 1972.........  16 U.S.C. Secs.  1361 to
                                                    1421h.
    Marine Protection, Research, and Sanctuaries   16 U.S.C. Secs.  1431 to   30-00-20K; Ch. 30-40
     Act of 1972.                                   1445a; 33 U.S.C. Secs.
                                                    1401 to 1445.
    Medical Waste Tracking Act of 1988...........  42 U.S.C. Secs.  6992 to
                                                    6992K.
    Migratory Bird Treaty Act....................  16 U.S.C. Secs.  703 to
                                                    712.
    Mining and Mineral Resources Research          30 U.S.C. Secs.  1221 to
     Institute Act of 1984.                         1230a.
    Multiple-Use Sustained-Yield Act of 1960.....  16 U.S.C. Secs.  528 to
                                                    531.
    National Climate Program Act.................  15 U.S.C. Secs.  2901 to
                                                    2908.
    National Contaminated Sediment Assessment and  33 U.S.C. Sec.  1271 note
     Management Act.
    National Environmental Policy Act of 1969....  42 U.S.C. Secs.  4321 to   30-00-20L; Ch. 30-50
                                                    4370d.
    National Forest Management Act of 1976.......  16 U.S.C. Secs.  472a,
                                                    521b, 1600, 1611 to 1614.
    National Environmental Education Act.........  20 U.S.C. Secs.  5501 to
                                                    5510.
    National Historic Preservation Act...........  16 U.S.C. Secs.  470 to    30-00-20J
                                                    470x-6.
    Native American Graves Protection &            25 U.S.C. Secs.  3001 to   ......................................
     Repatriation Act.                              3013.
    Noise Control Act of 1972....................  42 U.S.C. Secs.  4901 to   ......................................
                                                    4918.
    Nonindigenous Aquatic Nuisance Prevention and  16 U.S.C. Secs.  4701 to   ......................................
     Control Act of 1990.                           4751.
    Nuclear Waste Policy Act of 1982.............  42 U.S.C. Secs.  10101 to  ......................................
                                                    10270.
    Occupational Safety and Health Act of 1970...  29 U.S.C. Secs.  651 to    30-00-20M
                                                    678.
    Ocean Dumping Ban Act of 1988................  33 U.S.C. Secs.  1412a,    ......................................
                                                    1414a to 1414c.
    Oil Pollution Act of 1990....................  33 U.S.C. Secs.  2701 to   ......................................
                                                    2761.
    Organotin Antifouling Paint Control Act of     33 U.S.C. Secs.  2401 to   ......................................
     1988.                                          2410.
    
    [[Page 1658]]
    
     
    Outer Continental Shelf Lands Act............  43 U.S.C. Secs.  1331 to   ......................................
                                                    1356.
    Outer Continental Shelf Lands Act Amendments   43 U.S.C. Secs.  1344 to   ......................................
     of 1978.                                       1356, 1801 to 1866; 30
                                                    U.S.C. Sec.  237.
    Pollution Prevention Act of 1990.............  42 U.S.C. Secs.  13101 to  30-00-20N; Ch. 30-70
                                                    13109.
    Pollution Prosecution Act of 1990............  42 U.S.C. Sec.  4321 note  ......................................
    Powerplant and Industrial Fuel Use Act of      42 U.S.C. Secs.  8301 to   ......................................
     1978.                                          8483.
    Refuse Act of 1899...........................  33 U.S.C. Sec.  407......  ......................................
    Renewable Resources Extension Act of 1978....  16 U.S.C. Secs.  1671 to   ......................................
                                                    1676.
    Residential Lead-Based Paint Hazard Reduction  42 U.S.C. Secs.  4851 to   ......................................
     Act of 1992.                                   4856.
    Resource Conservation and Recovery Act of      42 U.S.C. Secs.  6901 to   30-00-20O
     1976 [Solid Waste Disposal Act].               6991i.
    Rivers and Harbors Appropriation Acts          33 U.S.C. Secs.  401 to
     (Selected sections).                           426p and 441 to 454.
    Safe Drinking Water Act......................  42 U.S.C. Secs.  300F to   30-00-20P; Ch. 30-40
                                                    300j-26.
    Shore Protection Act of 1988.................  33 U.S.C. Secs.  2601 to   ......................................
                                                    2609, 2621 to 2623.
    Soil and Water Resources Conservation Act of   16 U.S.C. Secs.  2001 to   ......................................
     1977.                                          2009.
    Surface Mining Control and Reclamation Act of  30 U.S.C. Secs.  1201 to
     1977.                                          1328.
    Toxic Substances Control Act.................  15 U.S.C. Secs.  2601 to   30-00-20Q
                                                    2692.
    United States Public Vessel Medical Waste      33 U.S.C. Secs.  2501 to   ......................................
     Antidumping Act of 1988.                       2504.
    Uranium Mill Tailings Radiation Control Act    42 U.S.C. Secs.  7901 to   ......................................
     of 1978.                                       7942.
    Water Resources Research Act of 1984.........  42 U.S.C. Secs.  10301 to  ......................................
                                                    10309.
    Wild and Scenic Rivers Act...................  16 U.S.C. Secs.  1271 to   30-00-20R; Ch. 30-40
                                                    1287.
    Wild Bird Conservation Act of 1992...........  16 U.S.C. Secs.  4901 to   ......................................
                                                    4916.
    Wild Free-Roaming Horses and Burros Act......  16 U.S.C. Secs.  1331 to   ......................................
                                                    1340.
    Wilderness Act...............................  16 U.S.C. Secs.  1131 to   ......................................
                                                    1136.
    Wood Residue Utilization Act of 1980.........  16 U.S.C. Secs.  1681 to   ......................................
                                                    1687.
    Executive Order 13007, Indian Sacred Sites...  61 FR 26771 (1996).......  ......................................
    Executive Order 12902, Energy Efficiency and   59 FR 11463 (1994).......  ......................................
     Water Conservation at Federal Facilities.
    Executive Order 12898, Federal Actions To      59 FR 7629 (1994)........  30-00-20S
     Address Environmental Justice in Minority
     Populations and Low-Income Populations.
    Executive Order 13101, Greening the            63 FR 49644 (1998).......  30-00-20N; Ch. 30-90
     Government Through Waste Prevention,
     Recycling, and Federal Acquisition.
    Executive Order 12866, Regulatory Planning     58 FR 51735 (1993).......  ......................................
     and Review.
    Executive Order 12856, Federal Compliance      58 FR 41981 (1993).......  30-00-20E; Ch. 30-80
     With Right-to-Know Law and Pollution
     Prevention Requirements.
    Executive Order 12852, President's Council on  58 FR 35841 (1993), as     ......................................
     Sustainable Development.                       amended by E.O. 12855,
                                                    58 FR 39107 (1993); 42
                                                    U.S.C. Sec.  4321 note.
    Executive Order 12845, Requiring Agencies To   58 FR 21887 (1993).......  ......................................
     Purchase Energy-Efficient Computer Equipment.
    Executive Order 12844, Federal Use of          58 FR 21885 (1993).......  ......................................
     Alternative Fueled Vehicles.
    Executive Order 12843, Procurement             58 FR 21881 (1993).......  ......................................
     Requirements and Policies for Agencies for
     Ozone-Depleting Substances.
    Executive Order 12778, Civil Justice Reform..  56 FR 55195 (1991); 28     ......................................
                                                    U.S.C. Sec.  519 note.
    Executive Order 12777, Implementation of       56 FR 54757 (1991); 33     ......................................
     Section 311 of the Federal Water Pollution     U.S.C. Sec.  1321 note.
     Control Act of October 18, 1972, As Amended,
     and the Oil Pollution Act of 1990.
    Executive Order 12761, Establishment of        56 FR 23645 (1991); 42     ......................................
     President's Environment and Conservation       U.S.C. Sec.  4321 note.
     Challenge Awards.
    Executive Order 12759, Federal Energy          56 FR 16256 (1991); 42     ......................................
     Management.                                    U.S.C. Sec.  6201 note.
    Executive Order 12630, Governmental Actions    53 FR 8859 (1988); 5       ......................................
     and Interference With Constitutionally         U.S.C. Sec.  601 note.
     Protected Property Rights.
    Executive Order 12612, Federalism              54 FR 41685 (1987); 5      ......................................
     Considerations in Policy Formulation and       U.S.C. Sec.  601 note.
     Implementation.
    Executive Order 12580, Superfund               52 FR 2923 (1987), as      30-00-20D
     Implementation.                                amended by E.O. 12777,
                                                    56 FR 54757 (1991); 42
                                                    U.S.C. Secs.  9615 note.
    Executvie Order 12114, Environmental Affects   44 FR 1957 (1979); 42      30-00-20M; Ch. 30-50
     Abroad of Major Federal Actions.               U.S.C. Sec.  4321 note.
    Executive Order 12088, Federal Compliance      43 FR 47707 (1978), as     30-00-20T
     With Pollution Control Standards.              amended by E.O. 12580,
                                                    52 FR 2923 (1987); 42
                                                    U.S.C. Sec.  4321 note.
    Executive Order 11990, Protection of Wetlands  42 FR 26961 (1977), as     30-00-20L; Ch. 30-40
                                                    amended by E.O. 12608,
                                                    52 FR 34617 (1987); 42
                                                    U.S.C. Sec.  4321 note.
    Executive Order 11988, Floodplain Management.  42 FR 26951 (1977), as     30-00-20L; Ch. 30-40
                                                    amended by E.O. 12148,
                                                    44 FR 43239 (1979); 42
                                                    U.S.C. Sec.  4321 note.
    
    [[Page 1659]]
    
     
    Executive Order 11987, Exotic Organisms......  42 FR 26949 (1977); 42     30-00-20L
                                                    U.S.C. Sec.  4321 note.
    Executive Order 11912, Delegation of           41 FR 15825 (1976), as     ......................................
     Authorities Relating to Energy Policy and      amended by E.O. 12003,
     Conservation.                                  42 FR 37523 (1977), E.O.
                                                    12038, 43 FR 4957
                                                    (1978), E.O. 12148, 44
                                                    FR 43239 (1979), E.O.
                                                    12375, 47 FR 34105
                                                    (1982); 42 U.S.C. Sec.
                                                    6201 note.
    Executive Order 11738, Administration of the   38 FR 25161 (1973); 42
     Clean Air Act and the Federal Water            U.S.C. Sec.  7606 note.
     Pollution Control Act with Respect to
     Federal Contracts, Grants or Loans.
    Executive Order 11644, Use of Off-Road         37 FR 2877 (1972), as
     Vehicles on Public Lands.                      amended by E.O. 11989,
                                                    42 FR 26959 (1977), E.O.
                                                    12608, 52 FR 34617
                                                    (1987); 42 U.S.C. Sec.
                                                    4321 note.
    Executive Order 11593, Protection and          36 FR 8921 (1971); 16      30-00-20J
     Enhancement of the Cultural Environment.       U.S.C. Sec.  470 note.
    Executive Order 11514, Protection and          35 FR 4247 (1970), as      30-00-20L
     Enhancement of Environmental Quality.          amended by E.O. 11991,
                                                    42 FR 26967 (1977); 42
                                                    U.S.C. Sec.  4321 note.
    ----------------------------------------------------------------------------------------------------------------
    
        A. Clean Air Act (CAA). The CAA of 1970, 42 U.S.C. Secs. 7401-
    7671q, as amended, establishes five major programs that cover (1) The 
    attainment and maintenance of air quality standards; (2) reduction of 
    hazardous air pollutants; (3) development of emission standards for 
    motor vehicles and fuels; (4) protection of the stratospheric ozone; 
    and (5) reduction of acid rain deposition.
        1. National Ambient Air Quality Standards Program (NAAQS). All new 
    and existing sources of air pollution are subject to ambient air 
    quality regulation. The Clean Air Act directs the Environmental 
    Protection Agency (EPA) Administrator to identify pollutants which 
    ``may reasonably be anticipated to endanger public health and welfare'' 
    and to issue air quality criteria for them. EPA is also required to 
    publish primary and secondary NAAQS for the identified pollutants. 
    Primary NAAQS are designed to protect public health with an adequate 
    margin of safety, and secondary NAAQS are designed to protect the 
    public welfare. In 40 CFR Part 50, EPA has promulgated NAAQS for six 
    pollutants: sulfur dioxide (SO2), particulate matter, 
    nitrogen dioxide (NO2), carbon monoxide, ozone, and lead.
        Each State is given primary responsibility for assuring that air 
    quality within its borders is maintained at a level consistent with the 
    NAAQS. The NAAQs's are implemented through source-specific emission 
    limitations established by States in State Implementation Plans (SIPs). 
    SIPs must meet minimum criteria set forth in the Clean Air Act and are 
    reviewed by EPA. A SIP may be enforced by the State or EPA. EPA must 
    promulgate a Federal Implementation Plan (FIP) if a State fails to make 
    a required submission or if a SIP submission is disapproved and the 
    State does not remedy the deficiency within a specified period.
        (a) Nonattainment Areas. SIPs must adopt, at a minimum, reasonably 
    available control technology (RACT) for existing sources and provide 
    for annual incremental reductions in emissions of nonattainment 
    pollutants. The CAA also contains additional requirements for SIPs in 
    areas that do not attain the NAAQS, including specific requirements for 
    certain pollutants.
        (b) New Source Performance Standards (NSPS). New sources of 
    pollution are subject to more stringent control technology and 
    permitting requirements than existing sources. EPA is authorized to 
    establish new source performance standards, which impose Federal 
    technology-based requirements on emissions from new or modified major 
    stationary sources of pollution. The Clean Air Act directs EPA to 
    establish standards for new sources that reflect the degree of emission 
    limitation achievable through the application of the best system of 
    emission reduction which the EPA Administrator determines has been 
    adequately demonstrated to be the best. These standards may be 
    promulgated as design, equipment, work practice, or operational 
    standards where numerical emission limitations are not feasible. EPA 
    has developed NSPS standards for a number of industry categories which 
    are published at 40 CFR part 60. Each NSPS identifies the types of 
    facilities to which the standards apply.
        (c) Prevention of Significant Deterioration Program (PSD). A permit 
    must be obtained under the PSD program before a ``major'' new source 
    may be constructed or ``major modification'' made to an existing major 
    source in an area that attains the NAAQS or is designed unclassifiable. 
    The CAA requires each SIP to ``contain emission limitations and such 
    other measures as may be necessary * * * to prevent significant 
    deterioration of air quality'' in each region of the state in which the 
    air quality exceeds national standards. EPA's PSD regulations are 
    codified at 40 CFR part 51.
        (d) Nonattainment Program. Regions that have failed to meet the 
    NAAQS for one or more criteria pollutants are designated as 
    ``nonattainment'' areas. New or modified major stationary sources 
    proposed for nonattainment areas are required to comply with stringent 
    permitting requirements, including a showing that the decrease in 
    emissions from existing sources in the area is sufficient to offset the 
    increase in emissions from the new or modified source and achievement 
    of the ``lowest achievable emission rate'' (LAER).
        2. National Emission Standards for Hazardous Air Pollutants 
    (NESHAP). The 1970 Clean Air Act authorized EPA to establish health-
    based national emission standards for hazardous air pollutants (NESHAP) 
    to protect the public from these pollutants. EPA has established 
    standards for seven hazardous substances. EPA's NESHAP regulations are 
    published at 40 CFR part 61. The 1990 CAA amendments directed EPA to 
    establish technology-based standards for 189 hazardous substances
    
    [[Page 1660]]
    
    based on the use of ``maximum achievable control technology'' (MACT).
        3. Emission Standards for Mobile Sources and Fuel-Related Programs. 
    EPA is authorized to establish allowable levels of auto emissions and 
    to control fuels and fuel additives. The 1990 CAA amendments establish 
    lower emission standards for automobiles and other vehicles and provide 
    for the use of ``clean'' alternative fuels and ``clean fuel'' vehicles.
        4. Stratospheric Ozone Protection. Title VI of the Act, added in 
    1990, addresses scientific concerns related to stratospheric ozone 
    depletion and global warming by providing for the phase-out of ozone-
    depleting substances. Title VI calls for the phase-out of most ozone-
    depleting substances by the year 2000 and the imposition of other 
    controls designed to minimize the emissions of such substances prior to 
    their elimination.
        5. Acidic Deposition. The 1990 CAA amendments added Title IV of the 
    Act which authorizes EPA to establish an acid rain program to reduce 
    the adverse effects of acidic deposition. The program imposes sulphur 
    dioxide (SO2) and nitrogen oxide (NOX) controls 
    on existing and new electric utility plants.
        6. Permits. The 1990 CAA amendments added Title V which establishes 
    an operating permit program for existing stationary sources. The permit 
    program is modeled on the Clean Water Act permit program (NPDES 
    program--see 30-00-20B). Each State must develop and implement a Clean 
    Air Act operating permit program. EPA is required to issue permit 
    program regulations that are to be followed by the States in 
    establishing their programs; approve each State's permit program; and 
    establish a Federal permit program if a State fails to implement an 
    approved program. EPA is also authorized to review each permit issued 
    by a State. EPA regulations addressing the minimum requirements for 
    State operating permit programs are contained in 40 CFR part 70.
        7. Civil and Criminal Penalties. EPA is authorized to seek 
    compliance with the Act's provisions through administrative, civil, and 
    criminal enforcement sanctions. The maximum penalties that may be 
    imposed for violation of the CAA are contained in Table 2.
    
    ----------------------------------------------------------------------------------------------------------------
                  Violation                 Administrative penalty       Civil penalty           Criminal penalty
    ----------------------------------------------------------------------------------------------------------------
    Violation of CAA requirement.........  $25,000 per day          $25,000 per violation..  Up to $250,000 per day
                                            (maximum $200,000 may                             and/or up to 5 yrs.
                                            be waived by EPA and                              imprisonment.
                                            DOJ jointly).                                    Corporations subject to
                                           Alternative: recovery                              $500,000 per
                                            of projected economic                             violation.
                                            value of noncompliance.                          Penalty doubled after
                                                                                              first offense.
    ``Field citation'' for minor           $5,000 per day
     violations.
    False statement or failure to file or  .......................  .......................  Up to $250,000 and/or
     maintain records or reports.                                                             up to 2 yrs.
                                                                                              imprisonment; $500,000
                                                                                              for corporation.
                                                                                              Penalty doubled after
                                                                                              first offense.
    Knowing failure to pay fee...........  .......................  .......................  Up to $250,000 and/or
                                                                                              up to 1 yr.
                                                                                              imprisonment; $1
                                                                                              million per day for
                                                                                              corporations. Penalty
                                                                                              doubled after first
                                                                                              offense.
    Knowing release of HAP or ``extremely  .......................  .......................  Up to $25,000 per day
     hazardous substance'' placing                                                            and/or up to 15 yrs.
     another in ``imminent danger of                                                          imprisonment; $1
     death or serious bodily injury''.                                                        million per day for
                                                                                              corporations. Penalty
                                                                                              doubled after first
                                                                                              offense.
    Negligent release of air toxic         .......................  .......................  Up to $100,000 and/or
     placing another in ``imminent danger                                                     up to 1 yr.
     of death or serious bodily injury''.                                                     imprisonment;
                                                                                              corporations subject
                                                                                              to $200,000. Penalty
                                                                                              doubled after first
                                                                                              offense.
    ----------------------------------------------------------------------------------------------------------------
    
        B. Clean Water Act (CWA). The Clean Water Act, 33 U.S.C. 1251-1387, 
    was originally enacted as the Federal Water Pollution Control Act of 
    1972. The Act was substantially amended in 1977 and became the Clean 
    Water Act. The objective of the CWA is to ``restore and maintain the 
    chemical, physical and biological integrity of the Nation's waters.'' 
    The Act establishes as a national policy ``that the discharge of toxic 
    pollutants in toxic amounts be prohibited.'' Among the goals 
    established by the Act are achievement of a level of water quality 
    which ``provides for the protection and propagation of fish, shellfish 
    and wildlife * * * [and] * * * for recreation in and on the water'' and 
    elimination of the discharge of pollutants into navigable waters.
        1. Water Quality Standards. A water quality standard defines the 
    water quality goals of a water body by designating the uses to be made 
    of the water and by setting criteria necessary to protect the uses. 
    States are responsible for establishing water quality standards. The 
    standards are designed to protect public health or welfare, enhance the 
    quality of water, and serve the other purposes of the Clean Water Act. 
    States are required to review their water quality standards at least 
    once every three years. EPA reviews and approves or disapproves State-
    adopted water quality standards in accordance with regulations codified 
    at 40 CFR part 131.
        (a) Water Uses. Each State must specify appropriate water uses to 
    be achieved and protected. The classification of the waters of the 
    State, must take into consideration the use and value of waters for 
    public water supplies, protection and propagation of fish, shellfish 
    and wildlife, recreation in and on the water, agricultural, industrial, 
    and other purposes including navigation. In no case shall a State adopt 
    waste transport or waste assimilation as a designated use for any 
    waters of the United States.
        (b) Water Quality Criteria. States must adopt those water quality 
    criteria that protect the designated uses. Criteria are elements of 
    State water quality standards, expressed as constituent concentrations, 
    levels, or narrative statements, representing a quality of water that 
    supports a particular use.
        (c) Toxic Pollutants. The Water Quality Act of 1987 amended the CWA
    
    [[Page 1661]]
    
    to require States to identify those waters that are adversely affected 
    by toxic, conventional, and nonconventional pollutants; to identify 
    where additional controls are needed; and to prepare individual control 
    strategies. States must review water quality data and information on 
    discharges to identify specific water bodies where toxic pollutants may 
    be adversely affecting water quality or the attainment of the 
    designated water use, or where the levels of toxic pollutants are at a 
    level to warrant concern, and must adopt criteria for such toxic 
    pollutants applicable to the water body sufficient to protect the 
    designated use.
        2. Effluent Limitations. The CWA directs EPA to issue effluent 
    limitation guidelines, pretreatment standards, and new source 
    performance standards for industrial discharges. The EPA implementing 
    regulations are based principally on the degree of effluent reduction 
    attainable through the application of control technologies. To ensure 
    that effluent guidelines remain current with the state of the industry 
    and with available control technologies, EPA is required to revise the 
    effluent guidelines at least annually if appropriate.
        (a) Direct Dischargers. The effluent guidelines promulgated by EPA 
    reflect the several levels of regulatory stringency specified in the 
    Act, and they also focus on different types of pollutants.
        (i) Best Practicable Control Technology (BPT). The CWA directs the 
    achievement of effluent limitations requiring applications of Best 
    Practicable Control Technology (BPT). In general, effluent limitations 
    that are based on Best Practicable Control Technology (BPT) represent 
    the average of the best treatment performance for an industrial 
    category.
        (ii) Conventional Pollutants--Best Conventional Pollutant Control 
    Practical Technology (BCT). For conventional pollutants listed in the 
    Act, the CWA directs the achievement of effluent limitations based on 
    the performance of best conventional pollutant control technology 
    (BCT).
        (iii) Toxic Pollutants--Best Available Technology (BAT). For the 
    toxic pollutants listed in the CWA and for nonconventional pollutants, 
    the Act directs the achievement of effluent limitations requiring 
    application of Best Available Technology Economically Achievable (BAT). 
    Effluent limitations based on BAT are to represent at a minimum the 
    best control technology performance in the industrial category that is 
    technologically and economically achievable.
        (iv) New Source Performance Standards (NSPS). In addition to 
    limitations for existing direct dischargers, EPA has established New 
    Source Performance Standards (NSPS) for new direct dischargers. NSPS 
    limitations must be as stringent, or more stringent, than BAT 
    limitations for existing sources within the industry category or 
    subcategory.
        (v) National Pollutant Discharge Elimination (NPDES) Permit. The 
    limitations and standards for direct dischargers are implemented in 
    permits issued through the National Pollutant Discharge Elimination 
    System (NPDES).
        (b) Indirect Dischargers
        (I) Conventional Pollutants. In general, EPA does not develop 
    regulations to control conventional pollutants discharged by indirect 
    dischargers because the publicly-owned treatment works (POTWs) 
    receiving those wastes normally provide adequate treatment of these 
    types of pollutants or they can be adequately controlled through local 
    pretreatment limits.
        (ii) Pretreatment Standards. Indirect dischargers are regulated by 
    the general pretreatment regulations (40 CFR Part 403), local discharge 
    limits developed pursuant to Part 403, and categorical pretreatment 
    standards for new and existing sources covering specific industrial 
    categories. These categorical standards apply to the discharge of 
    pollutants from non-domestic sources which interfere with or pass 
    through POTWs, and are enforced by POTWs or by State or Federal 
    authorities. The categorical pretreatment standards for existing 
    sources covering specific industries are generally analogous to the BAT 
    limitations imposed on direct dischargers. The standards for new 
    sources are generally analogous to NSPS.
        3. National Pollutant Discharge Elimination System (NPDES) Permit.
        (a) Requirement. The CWA states that a permit is required for the 
    discharge of pollutants from a point source into waters of the United 
    States. Under the NPDES, permits are required whenever a pollutant is: 
    (1) discharged (2) by a person (3) from a point source (4) into 
    navigable waters of the United States.
        (b) Waters of the United States. The Clean Water Act applies to 
    ``navigable water'', which are in turn defined as ``waters of the 
    United States, including the territorial seas.'' (33 U.S.C. 1362(7)). 
    Navigable waters are broadly defined and are not limited to 
    ``navigability in fact''. Waters of the United States include 
    interstate waters and wetlands; all other waters such as intrastate 
    lakes, rivers, streams (including intermittent steams), mudflats, 
    sandflats, wetlands, sloughs, prairie potholes, wet meadows, playa 
    lakes, or natural ponds, the use, degradation or destruction of which 
    could affect interstate or foreign commerce; all impoundments of 
    waters; tributaries; the territorial seas; and wetlands adjacent to 
    other waters of the United States. (33 CFR 328.3(a)).
        (c) Storm Water Discharges. Section 402(p) of the CWA clarifies 
    that storm water discharges associated with industrial activity, 
    including construction activity, to waters of the United States must be 
    authorized by a NPDES permit. The CWA requires EPA to issue regulations 
    establishing general permit standards for industrial storm water 
    dischargers. Facility operators have to file notices of intent to be 
    covered by the general permit and are required to develop pollution 
    prevention plans to keep contaminants out of storm water. The general 
    permits also establish special requirements for facilities that are 
    subject to the Emergency Planning and Community Right-To-Know Act 
    (EPCRA) section 313 reporting (see Chapters 30-60 and 30-80). The 
    regulations are codified at 40 CFR 122.26.
        (d) Recordkeeping and Monitoring. The NPDES permits require holders 
    to keep updated records and to install and maintain monitoring 
    equipment, to take samples of effluents, and to report their findings 
    to the EPA. The results must be in the form of a discharge monitoring 
    report, which is a uniform method devised by the EPA for the self-
    monitoring of permitted facilities.
        4. Spills of Oil and Hazardous Substances. Under section 311, 
    spills of listed hazardous substances in ``Reportable Quantities'' 
    established by regulation must be reported to the National Response 
    Center and promptly cleaned up. See 40 CFR parts 116-117 for 
    designations of hazardous substances and reportable quantities. Spill 
    Prevention Control and Countermeasure (SPCC) Plans must be adopted so 
    as to prevent discharge of oil from onshore and offshore facilities 
    into the navigable waters or adjoining shores. Requirements are set 
    forth at 40 CFR part 112.
        5. Civil and Criminal Penalties. Administrative, civil, or criminal 
    penalties may be imposed by EPA or a federal court for violation of the 
    Act.
        C. Coastal Zone and Management Act (CZMA). The Coastal Zone 
    Management Act, 16 U.S.C. 1451 to 1464, requires that Federal 
    activities in coastal areas be consistent with approved State Coastal 
    Zone Management Programs, to the maximum extent possible. Procedures 
    for consistency determinations under the CZMA requirements are codified 
    at
    
    [[Page 1662]]
    
    15 CFR part 930 and are described in Chapter 30-40.
        D. Comprehensive Environmental, Response, Compensation and 
    Liability Act (CERCLA). The Comprehensive Environmental, Response, 
    Compensation and Liability Act (``CERCLA''), 42 U.S.C. 9601 to 9675, is 
    popularly known as the ``Superfund'' Act. The statute provides for a 
    fund to address the problems of ``cleaning up'' abandoned or leaking 
    hazardous waste sites. The 1980 statute was substantially revised in 
    1986 by the Superfund Amendments and Reauthorization Act of 1986 
    (SARA). It is implemented for federal agencies by Executive Order 
    12580.
        CERCLA authorizes the Environmental Protection Agency (EPA) to:
         Utilize the Hazardous Substance Superfund (``Superfund'') 
    to study and clean up sites that are listed on the National Priorities 
    List (NPL);
         To recover costs expended from parties responsible; and,
         To order such parties to perform work.
        1. Hazardous Substance Superfund. The Hazardous Substance Superfund 
    is established through the imposition of taxes on certain industries 
    and from general tax revenues. The Superfund is used to pay EPA's 
    clean-up and enforcement costs, natural resource damage, and claims of 
    private parties. Federal agencies are not eligible for funds from the 
    Superfund.
        2. National Contingency Plan (NCP). The National Oil and Hazardous 
    Substances Pollution Contingency Plan (NCP) provides the organizational 
    structure and procedures for preparing for and responding to discharges 
    of oil and releases of hazardous substances, pollutants, and 
    contaminants. The NCP is required by CERCLA section 105 and section 
    311(c)(2) of the CWA. In Executive Order 12580, 52 FR 2923 (1987), the 
    President delegated to EPA the responsibility for the amendment of the 
    NCP.
        National Priorities List (NPL). CERCLA requires that the NCP 
    include a list of national priorities among the known releases or 
    threatened releases of hazardous substances, pollutants, or 
    contaminants throughout the United States. The National Priorities List 
    (NPL) constitutes this list. The identification of a site for the NPL 
    is intended primarily to guide the Environmental Protection Agency 
    (EPA) in determining which sites warrant further investigation to 
    assess the nature and extent of public health and environmental risks 
    associated with the site and to determine what CERCLA-financed remedial 
    action(s), if any, may be appropriate. Pursuant to section 105(a)(8)(B) 
    of CERCLA, as amended by SARA, EPA has promulgated a list of national 
    priorities among the known or threatened releases of hazardous 
    substances, pollutants, or contaminants throughout the United States. 
    That list which is Appendix B of 40 CFR part 300, is the National 
    Priorities List (``NPL'').
        The NPL includes two sections, one of sites that are evaluated and 
    cleaned up by EPA (the ``General Superfund Section''), and one of sites 
    being addressed by other Federal agencies (the ``Federal Facilities 
    Section'').
        Federal Facilities. Under Executive Order 12580 (52 FR 2923, 
    January 29, 1987) and CERCLA section 120, each Federal agency is 
    responsible for carrying out most response actions at facilities under 
    its own jurisdiction, custody, or control, although EPA is responsible 
    for preparing a Hazard Ranking System (HRS) score and determining 
    whether the facility is placed on the NPL. The HRS is a screening tool 
    used by the EPA to evaluate risks associated with abandoned or 
    uncontrolled or hazardous waste sites. EPA is not the lead agency at 
    these sites, and its role at such sites is accordingly less extensive 
    than at other sites. The Federal Facilities Section includes those 
    facilities at which EPA is not the lead agency.
        3. Response and Remediation. Sections 106 and 107 provide the 
    primary authority for EPA, States, and private parties to recover the 
    costs of cleanup or to abate an endangerment to public health, welfare, 
    or the environment. Section 106 authorizes EPA to seek judicial relief 
    requiring a responsible party to abate an imminent and substantial 
    endangerment to the public health or welfare or the environment because 
    of an actual or threatened release of a hazardous substance from a 
    facility. Section 107 imposes liability for cleanup and other response 
    costs [costs incurred in responding to a release or a threatened 
    release of a hazardous substance] upon (1) a ``responsible party'' for 
    the (2) release or ``threatened release'' of (3) a hazardous substance 
    from (4) a facility or vessel.
        (a) Potentially Responsible Party. Section 107(a) of CERCLA, 42 
    U.S.C. 9607(a), sets forth four categories of parties that are 
    potentially subject to liability:
        (1) Current owner or operator: owner or operator of a facility from 
    which there is a release of a hazardous substance, or is the operator 
    or owner when cleanup is performed or litigation initiated;
        (2) fomer owner or operator: a person who operated or owned a 
    facility when the hazardous substance was disposed of at the facility;
        (3) arranger: any person who ``arranged for disposal or treatment'' 
    at a facility; and
        (4) transporter: a person who accepted hazardous substances for 
    transport to a disposal or treatment facility or site that was selected 
    by the transporter ``from which there is a release or threatened 
    release.'' (107(a)(4)).
    
        Note: A current owner or operator may be liable even if it did 
    not handle, dispose of, or treat hazardous wastes at the facility, 
    and without regard to whether hazardous substances were disposed of 
    at the facility during the period of ownership or operation.
    
        (b) Release or ``Substantial Threat of Release.'' The term 
    ``release'' is defined broadly in the Act. A ``release'' includes ``any 
    spilling, leaking, pumping, pouring, emitting, emptying, discharging, 
    injecting, escaping, leaching, dumping, or disposing into the 
    environment * * *'' The release of any quantity of a hazardous 
    substance qualifies as a release under CERCLA. Certain types of 
    releases are excluded from the definition: engine exhaust, nuclear 
    material and fertilizer application. 42 U.S.C. 9601(22).
        (c) Hazardous Substance. ``Hazardous substances'' are defined in 
    CERCLA section 101(14). A list of these substances can be found at 40 
    CFR part 302. The definition of ``hazardous substances'' incorporates 
    lists of hazardous pollutants that have been developed under other 
    Federal environmental statues and wastes that exhibit characteristics 
    of a hazardous waste under the Resource Conservation and Recovery Act 
    (``RCRA''). Table 3, following, outlines hazardous pollutants 
    considered to be hazardous substances under CERCLA.
    
    ------------------------------------------------------------------------
                 Type of pollutant                  Statutory definition
    ------------------------------------------------------------------------
    Hazardous Air Pollutants..................  CAA, Section 112
    Hazardous Substances......................  CWA, Section 311
    Toxic Pollutants..........................  CWA, Section 307
    Substances which ``may present substantial  CERCLA, Section 102
     danger to public health or welfare or the
     environment''.
    Listed Hazardous Wastes; Characteristic     RCRA, Section 3001
     hazardous wastes.
    
    [[Page 1663]]
    
     
    Imminently Hazardous Chemical Substances    TSCA, Section 7
     or Mixtures.
    ------------------------------------------------------------------------
    
        (1) Petroleum Exclusion. Petroleum, ``including crude oil or any 
    fraction thereof,'' is excluded from the definition of ``hazardous 
    substance.''
        (2) Pollutants or Contaminants. EPA may clean up a site polluted by 
    either a ``hazardous substance'' or a ``pollutant or contaminant,'' but 
    CERCLA does not authorize EPA to recover its cleanup costs from private 
    parties or to issue an order directing the parties to perform a cleanup 
    when the substance involved is only a ``pollutant or contaminant.''
        (d) Response Costs. CERCLA permits the recovery of ``response 
    costs'', which includes the costs of removal, remedial action, and 
    enforcement activities related thereto. In addition to liability for 
    costs and damages related to response actions stemming from a release 
    of a hazardous substance, liability may also be imposed for costs 
    associated with the loss of a contaminated area's natural resources.
        (e) Application of Liability. The statute does not set forth 
    liability standards. The courts have consistently applied the following 
    standards.
        (1) Strict liability;
        (2) Joint and Several Liability; and
        (3) Retroactive Liability.
        (f) Defense to Liability. The statute permits liability to be 
    defended when the release was caused by:
        (1) an act of God;
        (2) an act of war; or
        (3) the act or omission of a third party other than an employee or 
    agent or one in a contractual relationship with the party being sought 
    to be held liable.
        4. Penalties. A party that refuses or fails to comply with a 
    Section 106 order from EPA may be assessed up to $25,000 per day of the 
    violation of the order. Additional penalties may also be imposed.
        5. Executive Order 12580. Executive Order 12580, Superfund 
    Implementation, 52 FR 2923 (1987), as amended by Executive Order 12777, 
    56 FR 54757 (1991), 42 U.S.C. 9615 note, implements CERCLA by 
    delegating functions under the Act vested in the President to Federal 
    agencies.
        E. Emergency Planning and Community Right-To-Know (EPCRA)
        1. EPCRA. The Emergency Planning and Community Right-To-Know Act of 
    1986 (EPCRA), 42 U.S.C. 11001-11050, establishes a mechanism for 
    providing the public with important information on the hazardous and 
    toxic chemicals in their communities, and it creates emergency planning 
    and notification requirements to protect the public in the event of a 
    release of extremely hazardous substances. The Act requires owners and 
    operators of certain facilities to annually submit toxic chemical 
    release inventories to EPA, affected States, and Indian tribes. EPCRA 
    requirements are set forth in chapter 30-60. Because it was enacted as 
    Title III of the Superfund Amendments and Reauthorization Act of 1986 
    (SARA), the statue is sometimes referred to as ``SARA, Title III''.
        2. Executive Order 12856. Executive Order 12856, Federal Compliance 
    With Right-to-Know Law and Pollution Prevention Requirements, 58 FR 
    41981 (1993), applies the requirements of EPCRA to Federal agencies. 
    The requirements of the Order are described in chapter 30-80.
        F. Endangered Species Act (ESA). The Endangered Species Act, 16 
    U.S.C. 1531-1543, directs Federal agencies to conserve endangered and 
    threatened species and their critical habitats. Federal agencies must 
    insure, in consultation with the Secretary of the Interior or the 
    Secretary of Commerce, that any action authorized, funded, or carried 
    out by the agency is not likely to jeopardize the continued existence 
    of any endangered species or threatened species, or result in the 
    destruction or adverse modification of critical habitat unless the 
    agency has been granted an exemption under ESA. Environmental review 
    requirements under ESA are covered in chapter 30-40.
    
    G. Energy Conservation
    
        1. Energy Policy Act. The Energy Policy Act of 1992, 42 U.S.C. 
    13201 to 13556, requires the Secretary of Energy to work with other 
    Federal agencies to significantly reduce the use of energy and reduce 
    the related environmental impacts by promoting use of energy efficient 
    and renewable energy technologies.
        2. Energy Policy and Conservation Act. The Energy Policy and 
    Conservation Act, 42 U.S.C. 6201-6422, authorizes the Secretary of 
    Energy to promote energy efficiency and encourage conservation.
        3. Executive Order 12902. Executive Order 12902, Energy Efficiency 
    and Water Conservation at Federal Facilities, 59 FR 11463 (1994), 
    requires each federal agency to develop and implement a program with 
    the intent of reducing energy consumption by 30 percent by the year 
    2005. Each agency must develop and implement a program for its 
    industrial facilities with the intent of increasing energy efficiency 
    by at least 20 percent by the year 2005 and shall implement all cost-
    effective water conservation projects.
        The Order directs each agency responsible for managing Federal 
    facilities to develop and begin implementing a 10-year plan to conduct 
    or obtain comprehensive facility audits, based on prioritization 
    surveys on each of the facilities the agency manages. All agencies are 
    to develop and implement programs to reduce the use of petroleum in 
    their buildings and facilities by switching to a less-polluting and 
    nonpetroleum-based energy source, such as natural gas or solar and 
    other renewable energy sources. The head of each agency shall report 
    annually to the Secretary of Energy and OMB in achieving the goals of 
    this order. Each agency head shall designate a senior official, at the 
    Assistant Secretary level or above, to be responsible for achieving the 
    requirements of Executive Order 12902. The agency senior official must 
    coordinate implementation of the Order with the Federal Environmental 
    Executive and Agency Environmental Executives established under 
    Executive Order No. 12873 (see chapter 30-90).
        H. Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA). The 
    Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA), 7 U.S.C. 
    136 to 136y, requires the registration of a pesticide before it may be 
    sold and authorizes the EPA Administrator to limit the distribution, 
    sale or use of unregistered pesticides. EPA is prohibited from 
    registering a pesticide that will clause ``unreasonable adverse effects 
    on the environment.'' Regulations implementing FIFRA govern the use, 
    storage, and disposal of registered pesticides. Additionally, these 
    regulations govern the requirements for training and certification of 
    applicators, container labeling, and worker protection.
        1. Fish and Wildlife Coordination Act. The Fish and Wildlife 
    Coordination Act, 16 U.S.C. 661-666c, requires Federal agencies to 
    protect fish and wildlife resources which may be affected by an agency 
    plan to control or modify a natural stream or body of water for any 
    purpose. The agency also must provide for the development and 
    improvement of wildlife resources that will be affected by its action. 
    Before taking action, the agency must consult with the United States 
    Fish and Wildlife Service, Department of the Interior, and with the 
    head of the State agency exercising administration over the wildlife 
    resources that will be affected to determine means and measures that 
    should be adopted to prevent the loss of or damage to such wildlife 
    resources, as well as to provide concurrently for the
    
    [[Page 1664]]
    
    development and improvement of such resources. Consultation 
    requirements under the Fish and Wildlife Coordination Act are described 
    in chapter 30-40.
    
    J. Historic Preservation
    
        1. Antiquities Act of 1906. The Antiquities Act of 1906, 16 U.S.C. 
    431-433, authorizes the President to declare historic landmarks, 
    historic and pre-historic structures, and other objects of historic and 
    scientific interest that are located on Federal lands to be national 
    monuments.
        2. Archeological and Historic Preservation Act of 1974. The 
    Archaeological and Historic Preservation Act of 1974, 16 U.S.C. 469 to 
    469c-1, directs Federal agencies to preserve significant scientific, 
    prehistorical, historical and archaeological data.
        3. Historic Sites Act of 1935. The Historic Sites Act of 1935, 16 
    U.S.C. 461 to 467, states that it is a national policy to preserve for 
    public use historic sites, buildings, and objects of national 
    significance for the inspiration and benefit of the public. The Act is 
    also popularly called ``The Historic Sites, Buildings, and Antiquities 
    Act.''
        4. National Historic Preservation Act. The National Historic 
    Preservation Act, 16 U.S.C. 470 to 470x-6, directs heads of Federal 
    agencies to assume responsibility for the preservation of historic 
    properties which are owned or controlled by such agencies.
        5. Executive Order 11593. Executive Order 11593, Protection and 
    Enhancement of the Cultural Environment, 36 FR 8921 (1971), 16 U.S.C. 
    470 note, requires Federal agencies to initiate measures and procedures 
    to provide for the maintenance, through preservation, rehabilitation, 
    or restoration of Federally-owned sites that are listed on the National 
    Register of Historic Places.
        K. Marine Protection, Research and Sanctuaries Act. The Marine 
    Protection, Research and Sanctuaries Act of 1972, 16 U.S.C. 1431 to 
    1445a, 33 U.S.C. 1401 to 1445, provides for establishment of marine 
    sanctuaries and directs Federal agencies to ensure that their actions 
    are consistent with the intended use of such areas.
        L. National Environmental Policy (NEPA).
        1. NEPA. The National Environmental Policy Act of 1969 (NEPA), 42 
    U.S.C. 4321-4306d, establishes a comprehensive policy for protection 
    and enhancement of the environment by the Federal government; creates 
    the Council on Environmental Quality; and directs Federal agencies to 
    carry out the policies and procedures of the act. NEPA is covered in 
    chapter 30-50.
        2. Executive Order 12114. Executive Order 12114, Environmental 
    Effects Abroad of Major Federal Actions, 44 FR 1957 (1979), enables 
    responsible officials of Federal agencies having ultimate 
    responsibility for authorizing and approving certain Federal activities 
    significantly affecting the environment of the global commons, or a 
    foreign nation, or certain major Federal actions outside the United 
    States which significantly affect natural or ecological resources of 
    global importance, to be informed of pertinent environmental 
    considerations and to take such considerations into account in making 
    decisions regarding such actions. Executive Order 12114 is implemented 
    for HHS in chapter 30-50.
        3. Executive Order 11990. Executive Order 11990, Protection of 
    Wetlands, 42 FR 26961 (1977), as amended by Executive Order 12608, 52 
    FR 34617 (1987) 42 U.S.C. 4321 note, directs Federal agencies to avoid, 
    to the extent possible, the long and short term adverse impacts 
    associated with the destruction or modification of wetlands and direct 
    or indirect support of new construction in wetlands wherever there is a 
    practical alternative. Executive Order 11990 is covered in chapter 30-
    40.
        4. Executive Order 11988. Executive Order 11988, Floodplain 
    Management, 42 FR 26951 (1977), as amended by Executive Order 12148, 44 
    FR 43239 (1979), 42 U.S.C. 4321 note, directs Federal agencies to take 
    action to avoid, to the extent possible, the long and short term 
    adverse impacts associated with the occupancy and modification of 
    floodplains and to avoid direct or indirect support of floodplain 
    development whenever there is a practical alternative. Executive Order 
    11988 is implemented for HHS in chapter 30-40.
        5. Executiver Order 11514. Executive Order 11514, Protection and 
    Enhancement of Environmental Quality, 35 FR 4247 (1970), as amended by 
    Executive Order 11991, 42 FR 26967 (1977), 42 U.S.C. note, requires 
    Federal agencies to initiate measures needed to direct their policies, 
    plans, and programs to meet national environmental goals. Federal 
    agencies must develop procedures to ensure the fullest practicable 
    provision of timely public information and understanding of Federal 
    plans and programs with environmental impact in order to obtain the 
    views of interested parties. In carrying out their responsibilities 
    under NEPA and Executive Order 11514, Federal agencies are to comply 
    with regulations issued by the Council on Environmental Quality, except 
    where compliance would be inconsistent with statutory requirements.
        M. Occupational Safety and Health Act (OSHA). The Occupational 
    Safety and Health Act of 1970, 29 U.S.C. 651 to 658, regulates the use, 
    storage, and handling of hazardous materials in the workplace and 
    provides for the Department of Labor to establish standards governing 
    workplace safety and health requirements.
    
    N. Pollution Prevention and Recycling
    
        1. Pollution Prevention Act (PPA). The Pollution Prevention Act of 
    1990, 42 U.S.C. 13101-13109, requires the reporting of efforts to 
    reduce toxic chemical releases through source reduction and recycling. 
    The PPA establishes national policy that pollution is to be prevented 
    or reduced at the source, and the Act requires the Environmental 
    Protection Agency (EPA) to submit biennial reports to Congress that 
    analyze the source reduction and recycling date submitted to it and 
    provide other pollution prevention information that has been gathered 
    from private businesses and Federal agencies. The Act also requires the 
    Administrator of EPA to develop a strategy to promote source reduction; 
    to make matching grants to States to promote the use of source 
    reduction techniques by businesses; and to establish a Source Reduction 
    Clearinghouse. The requirements of the PPA are described in more detail 
    in chapter 30-70.
        2. Executiver Order 13101. Executive Order 13101, Greening the 
    Government Through Waste Prevention, Recycling, and Federal 
    Acquisition, Sep 1998, requires Federal agencies to strive to increase 
    the procurement of productions that are environmentally preferable or 
    that are made wit recovered materials and to set annual goals to 
    maximize the number of recycled products purchased, relative to non-
    recycled alternatives. Each agency is to establish goals for solid 
    waste prevention and for recycling to be achieved by the years 2000, 
    2005 and 2010 and to annually report progress in attaining the goals. 
    Executive Order 13101 is implemented for HHS in chapter 30-90.
        O. Resource Conservation and Recovery Act (RCRA) The Resource 
    Conservation ad Recovery Act of 1976, 42 U.S.C. 6901 to 6991i, governs 
    the generation, storage, and disposal of hazardous waste, and amends 
    the Solid Waste Disposal Act.
        P. Safe Drinking Water Act (SDWA). The Safe Drinking Water Act, 42 
    U.S.C. 300f to 33j-26, is intended to protect drinking water sources. 
    The statute
    
    [[Page 1665]]
    
    authorizes EPA to determine if an action which will have an 
    environmental effect on a sole or principal drinking water source would 
    also constitute a significant hazard to a human population and, if so, 
    to prohibit such an action.
        Q. Toxic Substances Control Act (TSCA). The Toxic Substances 
    Control Act of 1976 (TSCA), 15 U.S.C. 2601 to 2692, provides controls 
    over the manufacture process, use, distribution and disposal of certain 
    toxic materials e.g., polychlorinated biphenyls, lead-based paint, 
    asbestos containing materials and radon.
        R. Wild and Scenic Rivers Act. The Wild and Scenic Rivers Act, 16 
    U.S.C. 1271 to 1287, directs Federal agencies to consider and preserve 
    the values of wild and scenic areas in the use and development of water 
    and land resources.
    
    S. Executive Orders
    
        1. Executive Order 12898. Executive Order 12898, Federal Actions to 
    Address Environmental Justice in Minority Populations and Low-Income 
    Populations, 59 FR 7629 (1994), requires each Federal agency to make 
    achieving environmental justice part of its mission by identifying and 
    addressing, as appropriate, disproportionately high and adverse human 
    health or environmental effects of its programs, policies, and 
    activities on minority populations and low-income populations. Each 
    Federal agency must develop an agency-wide environmental justice 
    strategy that identifies and addresses disproportionately high and 
    adverse human health or environmental effects of its programs, 
    policies, and activities on minority populations and low-income 
    populations.
        The environmental justice strategy must list programs, policies, 
    planning and public participation processes, enforcement, and/or 
    rulemakings related to human health or the environment that should be 
    revised to, at a minimum: (a) promote enforcement of all health and 
    environmental statutes in areas with minority populations and low-
    income populations; (b) ensure greater public participation; (c) 
    improve research and data collection relating to the health of and 
    environment of minority populations and low-income populations; and (b) 
    identify differential patterns of consumption of natural resources 
    among minority populations and low-income populations. In addition, the 
    environmental justice strategy must include, where appropriate, a 
    timetable for undertaking identified revisions and consideration of 
    economic and social implications of the revisions.
        2. Executive Order 12088. Executive Order 12088, Federal Compliance 
    with Pollution Control Standards, 43 FR 47707 (1978), as amended by 
    Executive Order 12580, 52 FR 2923 (1987), 42 U.S.C. 4321 note, makes 
    the head of each Federal agency responsible for ensuring that all 
    necessary actions are taken for the prevention, control, and abatement 
    of environmental pollution with respect to Federal facilities and 
    activities under the control of the agency.
        3. Executive Order 11987. Executive Order 11987, Exotic Organisms, 
    42 FR 26949, 42 U.S.C. 4321 note, directs Federal agencies, to the 
    extent permitted by law, to restrict the introduction of exotic species 
    into the natural ecosystems on lands and waters which they own, lease, 
    or administer.
    
    30-00-30  Definitions
    
        The following terms are defined solely for the purpose of 
    implementing the supplemental procedures provided by this chapter and 
    are not necessarily applicable to any statutory or regulatory 
    requirements. To the extent that a definition of one of these terms 
    should conflict with a definition in an applicable statute, regulation 
    or Executive Order, that statute, regulation or Executive Order 
    definition shall supersede the GAM definition.
        A. Action--a signed decision by a responsible Department official 
    resulting in:
        1. Approval, award, modification, cancellation, termination, use or 
    commitment of Federal funds or property by means of a grant, contract, 
    purchase, loan, guarantee, deed, lease, license or by any other means;
        2. Approval, amendment or revocation of any official policy, 
    procedures or regulations including the establishment or elimination of 
    a Department program; or
        3. Submission to Congress of proposed legislation which, if 
    enacted, the Department would administer.
        B. Asset--an entity, group of entities or specific environment as 
    defined in the individual related acts and which the individual related 
    acts seek to protect or preserve. Assets include cultural assets (e.g., 
    historic properties) and natural assets (e.g., wild and scenic rivers, 
    and endangered species).
        C. Environmental Acts--all authorities listed in Section 30-00-20 
    or authorities that might be designated under other statutes or 
    Executive Orders.
        D. Environmental Assessment--a concise public document, as defined 
    in the regulations implementing NEPA, that serves to provide sufficient 
    evidence and analysis for determining whether to prepare an 
    environmental impact statement of a finding of no significant impact.
        E. Environmental Effects--effects, as defined under NEPA, include 
    direct effects, which are caused by the action and occur at the same 
    time and place and indirect effects, which are caused by the action and 
    are later in time or farther removed in distance, but are still 
    reasonably foreseeable.
        F. Environmental Impact Statement--a detailed written statement, as 
    required under NEPA, on: (i) the environmental impact of the proposed 
    action, ii) any adverse environmental effects which cannot be avoided 
    if the action is implemented, (iii) alternatives to the proposed 
    action, (iv) the relationship between local short-term uses of man's 
    environment and the maintenance and enhancement of long-term 
    productivity and (v) any irreversible and irretrievable commitments of 
    resources which would be involved in the proposed action should it be 
    implemented.
        G. Environmental Review--the process, including necessary 
    documentation, which a Departmental organization uses to determine 
    whether a proposed action will cause an environmental effect.
        H. Finding of No Significant Impact--a document by a federal 
    agency, as required under NEPA, briefly presenting the reasons why an 
    action will not have a significant effect on the human environment and 
    for which an environmental impact statement therefore will not be 
    prepared.
        I. Major Federal Action--includes actions, as defined by NEPA, with 
    effects that may be major and which are potentially subject to federal 
    control and responsibility.
        J. OPDIV--HHS Operating Division. The following is a current 
    listing (which may change at some future date) of OPDIVs: 
    Administration on Aging (AoA), Administration for Children and Families 
    (ACF), Agency for Health Care Policy and Research (AHCPR), Centers for 
    Disease Control and Agency for Toxic Substances and Disease Registry 
    (CDC/ATSDR), Food and Drug Administration (FDA), Health Care Financing 
    Administration (HCFA), Health Resources and Services Administration 
    (HRSA), Indian Health Service (IHS), National Institutes of Health 
    (NIH), Office of the Secretary (OS), Program Support Center (PSC), and 
    Substance Abuse and Mental Health Services Administration (SAMHSA),
        K. STAFFDIV--HHS Staff Division. The following is a current listing 
    (which
    
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    may change at some future date) of STAFFDIVs: Office of the Assistant 
    Secretary for Legislation (ASL), Office of the Assistant Secretary for 
    Management and Budget (ASMB), Office of the Assistant Secretary for 
    Planning and Evaluation (ASPE), Office of the Assistant Secretary for 
    Public Affairs (ASPA), Departmental Appeals Board (DAB), Office for 
    Civil Rights (OCR), Office of General Counsel (OGC), Office of 
    Inspector General (OIG), and Office of Public Health and Sciences 
    (OPHS).
        L. Program Review--a review by OPDIVs/STAFFDIVs of all their 
    actions to determine:
        1. Those categories of actions which normally do not individually 
    or cumulatively cause significant environmental effects and therefore 
    may be categorically excluded from further environmental review; and
        2. Those categories of actions which require an environmental 
    review because they may cause significant environmental effects under 
    NEPA; and
        3. Those categories of actions which require an environmental 
    review because they normally do cause significant environmental effects 
    under NEPA.
    
    HHS Chapter 30-10--General Administration Manual; HHS Transmittal 
    98.2
    
    Subject: Department of Health and Human Services Environmental Policy
    
    30-10-00....  Policy Statement
          10....  Vision Statement
          20....  Goal and Objectives
          30....  Strategy
     
    
    30-10-00  Policy Statement
    
        The Department of Health and Human Services is committed to 
    complying with all applicable Federal, state and local environmental 
    laws, statutes and regulations, protecting the environment, and 
    conserving our environmental resources by being proactive and cost 
    effective in our environmental stewardship. It is HHS policy that 
    pollution be prevented or reduced at the source. All HHS organizations 
    shall give first priority to avoiding or reducing the generation of 
    hazardous substances, pollutants, and contaminants at the source. 
    Pollution that cannot be prevented or recycled must be treated in an 
    environmentally safe manner to reduce volume, toxicity, and/or 
    mobility. Only as a last resort should disposal or other release into 
    the environment be employed, and such disposal or release must be 
    conducted in accordance with all applicable authorities and in an 
    environmentally safe manner. Managers and employees are expected to 
    execute their responsibilities in a way that is proactive and cost 
    effective in the protection and conservation of our environmental 
    resources and in a manner that complies with all applicable Federal, 
    state, and local environmental laws, statutes and regulations.
    
    30-10-10  Vision Statement
    
        All HHS managers and employees are guardians of the environment 
    when carrying out their responsibilities. Proactive efforts at all 
    organizational levels must be focused on managing environmental risks 
    to ensure that the environment is always protected and our 
    environmental resources are conserved.
        OPDIVs/STAFFDIVs must give weight to preservation of the 
    environment and protection of historic or cultural assets in reaching 
    substantive program decisions. All HHS organizations shall assess 
    environmental costs and benefits as well as program goals and 
    objectives in determining a particular course of action. In conducting 
    this assessment, OPDIVs/STAFFDIVs should devote reasonable time, 
    effort, and resources to consideration of enviormental risks associated 
    with a program-related course of action.
    
    30-10-20  Goal and Objectives
    
        The goal of our environmental efforts is to prevent harm to the 
    environment, and enhance the quality of human health by conserving our 
    environmental resources.
        This goal is satisfied by meeting the following objectives:
        1. Compliance--To comply with all applicable Federal, State, and 
    local environmental laws, statutes and regulations;
        2. Conservation--To protect and conserve our environmental 
    resources through pollution prevention, waste reduction and recycling;
        3. Pollution Prevention--To protect and conserve our environmental 
    resources through source reduction in facility management and 
    acquisition, where practicable, as the primary means of achieving and 
    maintaining compliance with applicable Federal, State and local 
    environmental laws, statutes and regulations; and
        4. Restoration--To restore, when possible, facilities, land, and 
    waters damaged through past practices.
    
    30-10-30  Strategy
    
        HHS has adopted and will adhere to a Code of Environmental 
    Management Principles (CEMP) to help achieve the goals of the HHS 
    environmental protection program. As part of the effort to implement 
    these principles throughout HHS, all OPDIVS/STAFFDIVS will integrate 
    the following principles into their environmental protection programs:
        1. Management Commitment--Written top management commitment to 
    improve environmental performance by establishing policies which 
    emphasize pollution prevention and the need to ensure compliance with 
    environmental requirements.
        2. Compliance Assurance and Pollution Prevention--Proactive 
    programs that aggressively identify and address potential compliance 
    problem areas and utilize pollution prevention approaches to correct 
    deficiencies and improve environmental performance.
        3. Enabling Systems--Necessary systems to enable personnel to 
    perform their functions consistent with regulatory requirements, HHS 
    environmental policies, and the HHS overall mission.
        4. Performance and Accountability--Measures to address employee 
    environmental performance and ensure full accountability of 
    environmental functions.
        5. Measurement and Improvement--A program to assess progress toward 
    meeting organization environmental goals, and which uses the results of 
    that assessment to improve environmental performance.
    
    HHS Chapter 30-20--General Administration Manual; HHS Transmittal 
    98.2
    
    Subject: Administrative Requirements
    
    30-20-00....  Background
          10....  Responsibilities
          20....  Approval Authority and Delegations of Authority
          30....  Process for Establishing Categorical Exclusions
          40....  Categories of Exclusion
          50....  Environmental Review Procedures
     
    
    30-20-00  Background
    
        This chapter establishes an administrative framework in the 
    Department for environmentally-related activities. Specifically, this 
    chapter (1) describes the assignment of relative responsibilities in 
    the Department regarding environmental activities; (2) establishes 
    procedures for program reviews; and (3) establishes other on-going 
    administrative requirements.
    
    30-20-10  Responsibilities
    
        A. Office of the Secretary. The Secretary shall designate an 
    official as the Department Environmental Officer, who will be 
    responsible for:
        1. Preparing Departmental guidelines and other policy documents for 
    issuance
    
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    by the Secretary or other appropriate Department official pertaining to 
    environmental protection and preservation of natural or cultural 
    assets;
        2. Approving lead agency agreements having Department-wide 
    applicability;
        3. Providing training to HHS program officials with respect to 
    carrying out the requirements of environmental statutes and Executive 
    Orders;
        4. Maintaining liaison with the Council on Environmental Quality 
    (CEQ), Environmental Protection Agency (EPA), and other Federal 
    agencies charged with direct responsibility for administering 
    environmental statutes and Executive Orders;
        5. Coordinating the review of environmental statements originating 
    from outside of HHS. This responsibility is delegated to the Centers 
    for Disease Control and Prevention, National Center for Environmental 
    Health (FR, Vol. 43 no. 164, Aug. 23, 1978); and
        6. Reviewing and making recommendations to the Assistant Secretary 
    for Management and Budget with respect to determinations by OPDIVs/
    STAFFDIVs that certain activities are categorically excluded from 
    environmental review.
        B. OPDIVs/STAFFDIVs. Heads of OPDIVs/STAFFDIVs are responsible for 
    ensuring that organizational units under their authority comply with 
    all provisions of all applicable Federal, State, and local 
    environmental laws, statues, regulations and Executive Orders and with 
    the procedures of part 30. An OPDIV/STAFFDIV head may designate an 
    environmental officer, who may act in either a full-time capacity or in 
    addition to other duties, to assist in fulfilling these 
    responsibilities.
        C. Regional Offices. Regional Directors are responsible for 
    complying with all provisions of all applicable Federal, State, and 
    local environmental laws, statutes, regulations and Executive Orders 
    and the policies in part 30 for those specific program responsibilities 
    delegated to them. In addition, the Regional Director shall:
        1. Serve as principal HHS regional liaison official with other 
    Federal, State, and local agencies on matters pertaining to 
    environmental preservation or protecting environmental, cultural, or 
    natural assets;
        2. Coordinate the timely review by regional program personnel of 
    environmental impact statements forwarded to HHS by other agencies; and
        3. Periodically verify that their regional program staff are aware 
    of and are complying with the requirements of part 30.
    
    30-20-20  Approval Authority and Delegations of Authority
    
        A. Delegation of Authority. The OPDIV/STAFFDIV head and Regional 
    Director may redelegate all of their environmental responsibilities to 
    subordinate program managers except for the authority of an OPDIV/
    STAFFDIV head to approve the designation of actions as categorically 
    excluded. OPDIV/STAFFDIV heads shall obtain concurrence from the 
    Assistant Secretary for Management and Budget with respect to 
    activities designated to be categorically excluded from environmental 
    reviews.
        B. Excluded Material. The exclusion of material from environmental 
    impact statements on the basis of national security and trade secrets 
    requires approval by the HHS General Counsel. (See Section 30-30-40.)
        C. Natural Assets. Proposed actions which will have an effect on 
    certain natural assets may require concurrence or approval from other 
    Federal agencies and/or entities prior to taking the action. (See 
    chapter 30-40.)
        D. Floodplains/Wetlands. OPDIV/STAFFDIV heads shall sign 
    determinations pursuant to Executive Order 11988, Floodplain 
    Management, and Executive Order 11990, Protection of Wetlands, except:
        1. The Secretary shall approve proposed actions requiring 
    environmental impact statements on projects affecting floodplains; and
        2. The Secretary shall approve proposed actions requiring 
    environmental assessments or environmental impact statements for new 
    construction in wetlands.
    
    30-20-30  Program Reviews
    
        A. Actions Requiring Environmental Review. All HHS activities will 
    be evaluated to determine whether such activities are actions that 
    require environmental review.
        In a program review, an OPDIV/STAFFDIV evaluates actions it will be 
    taking in order to determine the potential of these actions to cause an 
    environmental effect under an applicable environmental statute or 
    Executive Order. OPDIVs/STAFFDIVs should have already completed an 
    initial review. OPDIVs/STAFFDIVs may undertake additional program 
    reviews subsequently whenever they deem it appropriate.
        As a result of program review, an OPDIV/STAFFDIV shall divide each 
    of its actions in one of three groups:
        Group 1 (categorically excluded)--Those actions which do not 
    individually or cumulatively have a significant effect on the human 
    environment or affect a natural or cultural asset protected by an 
    environmental statute or Executive Order
        Group 2--Those actions which require an environmental review 
    because they may cause a significant environmental effect under NEPA or 
    may affect a protected cultural or natural asset protected by an 
    environmental statute or Executive Order.
        Group 3--Those actions which normally do cause a significant 
    environmental effect under NEPA or affect a cultural or natural asset 
    protected by an environmental statute or Executive Order.
        In grouping each of its actions, OPDIVs/STAFFDIVs shall use the 
    exclusion categories described in Section 30-20-40. If an action falls 
    within one of these exclusion categories, then it may be included in 
    Group 1. Such actions do not require environmental reviews, except in 
    circumstances described in 30-20-40. If an action does not fall within 
    one of these exclusion categories, then an OPDIV/STAFFDIV must perform 
    an environmental review prior to taking the action. Chapters 30-30 and 
    30-50 describe the procedures for conducting an environmental review.
        Each OPDIV/STAFFDIV shall maintain as part of its organizational 
    guidance documents lists of those actions which it has determined fall 
    under Groups 1, 2, and 3 or shall have regulations that address such 
    actions. These lists shall supplement other internal directives or 
    instructions relating to environment-related responsibilities.
        B. Approval. A determination by an OPDIV/STAFFDIV that an action 
    falls within Group 1 (Categorically Excluded) is effective upon 
    approval by the OPDIV/STAFFDIV head or, as required, after the issuance 
    of a regulation. However, OPDIVs/STAFFDIVs must forward these 
    determinations to the Assistant Secretary for Management and Budget for 
    concurrence. Determination that an action falls within Group 1 
    (Categorically Excluded) is effective until rendered inapplicable 
    because of changes in the underlying program authority or regulation.
        C. Publication of Additional Categorical Exclusions by OPDIVs/
    STAFFDIVs. An OPDIV/STAFFDIV may establish additional categorical 
    exclusions that pertain to the actions of that OPDIV/STAFFDIV after 
    approval
    
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    by the Assistant Secretary for Management and Budget and publication 
    for public comment in the Federal Register, in accordance with the 
    procedures established by that OPDIV/STAFFDIV. All categorical 
    exclusions not covered by the general listing in Section 30-20-40(B)(2) 
    must be published in the Federal Register.
    
    30-30-40  Categories of Exclusion
    
        A. Application of Categorical Exclusions
        1. Required Determinations. To find that a proposal is 
    categorically excluded, an OPDIV/STAFFDIV shall determine the 
    following:
        (a) Falls Within Exclusion Category. The proposed action falls 
    within one of the four exclusion categories described in this section. 
    This determination may take place as the result of a program review of 
    an OPDIV's/STAFFDIV's actions, in which case the action is listed in 
    the OPDIV's/STAFFDIV's administrative issuance system as being 
    categorically excluded from further environmental reviews.
        (b) Absence of Extraordinary Circumstances. There are no 
    extraordinary circumstances related to the proposal that may affect the 
    significance of the environmental effects of the proposal. 
    Extraordinary circumstances are unique situations presented by specific 
    proposals, such as scientific controversy about the environmental 
    effects of the proposal; uncertain effects or effects involving unique 
    or unknown risks; or unresolved conflicts concerning alternate uses of 
    available resources within the meaning of section 102(2)(E) of NEPA; 
    and where it is reasonable to anticipate a cumulatively significant 
    impact on the environment. See 40 CFR 1508.27 for examples.
        2. All categorical exclusions in this Part may be applied by any 
    organizational element of HHS.
        3. A class of actions includes activities foreseeably necessary to 
    proposals encompassed within the class of actions (such as associated 
    transportation activities and award of implementing grants and 
    contracts).
        B. Categories of Actions Which May Be Excluded From Environmental 
    Review. Categories of actions which may be excluded from environmental 
    review include, but are not limited to the following:
        1. Category No. 1--General Exclusions:
        (a) When a law or regulation grants an exception, unless precluded 
    by an OPDIV/STAFFDIV regulation.
        (b) When the courts have found that the action does not require 
    environmental review; and
        (c) When an action implements actions outside the territorial 
    jurisdiction of the United States and such actions are excluded from 
    review by Executive Order 12114.
        2. Category No. 2--Functional Exclusions:
        (a) Routine administrative and management support, including legal 
    counsel, public affairs, program evaluation, monitoring and individual 
    personnel actions;
        (b) Appellate reviews when HHS was the plaintiff in the lower court 
    decision (e.g., a case involving failure by a nursing home to comply 
    with fire and safety regulations);
        (c) Data processing and systems analysis;
        (d) Education and training grants and contracts (e.g., grants for 
    remedial training programs or teacher training) except projects 
    involving construction, renovation, or changes in land use;
        (e) Grants for administrative overhead support (e.g., regional 
    health or income maintenance program administration);
        (f) Grants for social services (e.g., support for Head Start, 
    senior citizen programs or drug treatment programs) except projects 
    involving construction, renovation, or changes in land use;
        (g) Liaison functions (e.g., serving on task forces, ad hoc 
    committees or representing HHS interests in specific functional areas 
    in relationship with other governmental and non-governmental entities);
        (h) Maintenance (e.g., undertaking repairs necessary to ensure the 
    functioning of an existing facility), except for properties on or 
    eligible for listing on the National Register of Historic Places;
        (i) Statistics and information collection and dissemination (e.g., 
    collection of health and demographic data and publication of 
    compilations and summaries);
        (j) Technical assistance by HHS program personnel, e.g., providing 
    assistance in methods for reducing error rates in State public 
    assistance programs or in determining the cause of a disease outbreak); 
    and
        (k) Adoption of regulations and guidelines pertaining to the above 
    activities (except technical assistance and those resulting in 
    population changes).
        3. Category 3--Program Exclusions. These exclusions, when 
    applicable, result from a substantive review and determination by an 
    OPDIV/STAFFDIV that certain programs or certain activities within a 
    program will not normally (a) significantly affect the human 
    environment (as defined by NEPA) or (b) affect an asset (as defined in 
    an applicable environmental statute or Executive Order) regardless of 
    the location or magnitude of the action. For example, an OPDIV/
    STAFFDIV, following its review, might determine that the following are 
    unlikely to cause an environmental effect: assigning a member of the 
    Health Service Corps to a locality to supplemental existing medical 
    personnel or providing funds to support expansion of emergency medical 
    services in existing hospitals.
    
    30-20-50  Environmental Review Procedures
    
        An OPDIV/STAFFDIV must conduct environmental reviews with respect 
    to all proposed actions that are subject to an environmental statute or 
    Executive Order which do not fall under categorical exclusions 1, 2, or 
    3. Chapters 30-30 and 30-50 discuss the process for conducting an 
    environmental review with respect to a specific proposed action and for 
    fulfilling documentation and other requirements. Each OPDIV/STAFFDIV 
    shall ensure that its programs have appropriate procedures for 
    conducting environmental reviews, for completing required 
    documentation, and for ensuring public involvement and 
    intergovernmental consultation. These procedures must be in writing and 
    be included in the internal organizational guidance documents or 
    regulations. These procedures must, at a minimum, address the 
    following:
        A. A list of those actions which the OPDIV/STAFFDIV has 
    categorically excluded from further environmental review requirements.
        B. A list of those actions or circumstances when actions require an 
    environmental review prior to taking the action.
        C. Designation of officials responsible for environment-related 
    activities including determinations as to whether to prepare an 
    environmental impact statement or an environmental assessment, if one 
    is required.
        D. Procedures for preparing and circulating environmental 
    statements (including data required by the applicable environmental 
    statute or Executive Order for the type of action covered).
        E. Procedures for ensuring the coordination of environmental review 
    with program decision-making, including concurrent development and 
    circulation of environmental documents with program documents and the 
    identification of key decision-making points.
    
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        F. Procedures for consulting with other Federal agencies 
    responsible for the environmental statutes or Executive Orders, if 
    necessary.
        G. Procedures for developing lead agency agreements (as described 
    in 30-30-20B and 30-50).
        H. A prohibition against precluding or prejudicing selection of 
    alternatives in an environmental impact statement without regard to 
    environmental risks.
        I. Procedures for establishing a reviewable record, including 
    making environmental statements and related decision-making materials 
    part of the record of formal rule-making and adjudicatory proceedings.
        J. Provisions for early consultation and assistance to potential 
    applicants and non-Federal entities in planning actions and developing 
    information necessary for later Federal involvement (as described in 
    30-30-20C and 30-50).
        K. Descriptions of circumstances which preclude completion of 
    environmental reviews within reasonable time frames because of public 
    health and safety considerations and procedures for after-the-fact 
    completion.
        L. Provision for ensuring that applications and other materials 
    from potential grantees or other recipients of Departmental funds, on a 
    program-by-program basis, include information necessary to conduct an 
    environmental review. Such information shall include the identification 
    of any properties which may be eligible for listing on the National 
    Register of Historic Places.
        M. Provision for identifying cultural assets which a program 
    controls through leases or Federal ownership, and for nominating such 
    historic properties to the National Register of Historic Places.
    
    HHS Chapter 30-30--General Administration Manual; HHS Transmittal 
    98.2
    
    Subject: General Environmental Review Procedures
    
    30-30-00....  Overview
          10....  Summary Description
          20....  Environmental Review
          30....  Environmental Statements
          40....  Intergovernmental Consultation and Document Review.
     
    
    30-30-00  Overview
    
        Certain environmental statutes and Executive orders require an 
    environmental review of proposed Federal actions to determine whether 
    such actions will have environmental effects.
        The purpose of this chapter is to describe overall the steps which 
    Department officials must take in conducting environmental reviews of 
    specific proposed actions. Within these general steps, the individual 
    environmental acts differ significantly with respect to public 
    involvement, intergovernmental consultation, and documentation 
    required. The chapters at 30-40 and 30-50 following (entitled Natural 
    Asset Review and NEPA Review) discuss these specific requirements in 
    greater detail.
    
        Note: The procedures and requirements in chapters 30-40 and 30-
    50 take precedence over the general statements in this chapter and 
    must be consulted before determining the steps that must be taken 
    with regard to a specific action. The discussion in this chapter 
    generally does not apply to chapters 30-60 to 30-90.
    
    30-30-10  Summary Description
    
        The following is a summary description of the general types and 
    sequence of activities which Departmental officials should carry out in 
    reviewing specific proposed actions under this Part.
        A. Determine that a proposed activity constitutes an action as 
    defined under Section 30-00-30 (Definitions) that is subject to an 
    environmental statute or Executive Order.
        B. Determine whether the proposed action is categorically excluded 
    from all environmental review requirements. If it is excluded, no 
    further environmental review is necessary.
        C. For proposed actions not categorically excluded, conduct an 
    environmental review in accordance with applicable program 
    environmental review procedures to determine whether the proposed 
    action will cause an environmental effect under one or more of the 
    environmental statutes or Executive Orders.
        D. Determine whether it is necessary to prepare an environmental 
    document, e.g., an environmental assessment, and if necessary, an 
    environmental impact statement under NEPA. Circulate the environmental 
    document among the public, Federal, State and local agencies, and other 
    interested parties, as appropriate.
        E. Carry out the requirements for public involvement and 
    intergovernmental consultation as required under the applicable 
    environmental statutes or Executive Orders, including any necessary 
    approvals.
        F. Prepare the necessary environmental documentation and proceed 
    with the program decision-making process.
    
    30-30-20  Environmental Review
    
        A. General. OPDIVs/STAFFDIVs must perform an environmental review 
    for each proposed action not categorically excluded in accordance with 
    the OPDIV's/STAFFDIV's environmental procedures. The purpose of an 
    environmental review is to answer the following general questions: 
    (Individual environmental acts differ with respect to the specific 
    scope and methodology required in conducting an environmental review.)
        1. Which environmental statutes or Executive Orders apply to the 
    proposed action?
        2. Will a proposed action have an environmental effect under any of 
    the environmental statutes or Executive Orders, as defined in 
    regulation or by court interpretation?
        3. Should the HHS OPDIV/STAFFDIV prepare an environmental 
    assessment or an environmental impact statement, given the 
    environmental statutes and Executive Orders involved and the kinds and 
    degree of environmental effects anticipated?
        B. Agreements with Other Agencies. When two or more agencies are 
    engaged in the same action, a lead agency agreement provides one agency 
    with the authority to conduct the environmental review. These 
    agreements determine the content and type of statement and specify 
    which Federal agency will prepare it. The agreement includes a schedule 
    for the preparation and circulation of the document, as well as an 
    assignment of important tasks among the agencies involved. Lead agency 
    agreements may be signed with other agencies for individual actions or 
    for a particular type of action.
        C. Non-Federal Agencies. Whenever an HHS program requests or 
    permits a non-Federal agency to perform an environmental review, the 
    program shall outline the type of information required, perform an 
    independent evaluation, and assume responsibility for the scope and 
    content of the material.
    
    30-30-30  Environmental Documents
    
        A. On the basis of the environmental review, OPDIVs/STAFFDIVs shall 
    determine what type of environmental document to prepare. Under NEPA, 
    either an environmental assessment and finding of no significant impact 
    or an environmental impact statement would generally be required. 
    Environmental impact statements are prepared in two stages: draft and 
    final. A final statement includes a consideration of comments submitted 
    by persons or organizations reviewing the draft statement. Under some 
    laws covered by this Part, an environmental assessment may also have to 
    be prepared in draft for review and comment before being finalized.
    
    [[Page 1670]]
    
        The chapters at 30-40 and 30-50 following (Natural Asset Review and 
    NEPA Review) discuss these different requirements in greater detail and 
    must be consulted to ascertain the specific requirements of NEPA and 
    each of the related statutes and Executive Orders.
    
    B. Description
    
        1. Environmental Impact Statements. An environmental impact 
    statement is a detailed written statement on (i) The environmental 
    impact of the proposed action, (ii) any adverse environmental effects 
    which cannot be avoided, (iii) alternatives to the proposed action, 
    (iv) the relationship between local short-term uses of man's 
    environment and the maintenance and enhancement of long-term 
    productivity and (v) any irreversible and irretrievable commitments of 
    resources which would be involved in the proposed action should it be 
    implemented. Draft environmental impact statements shall not exhibit 
    biases in favor of the proposed action. A final statement may include a 
    recommendation with a rationale for a preferred action (see chapter 30-
    50 for correct NEPA terminology and process).
        2. Environmental Assessments. An environmental assessment is 
    generally a concise document which provides sufficient evidence and 
    analysis for determining whether to prepare an environmental impact 
    statement or a finding of no significant impact. It shall include, in 
    detail, the environmental impact of reasonable alternatives. OPDIVs/
    STAFFDIVs generally can use an environmental assessment in order to 
    satisfy any review, consultation, and public notice requirements of the 
    applicable environmental statutes and Executive Orders and to otherwise 
    inform individuals and organizations who may be interested in or 
    affected by the proposed action (see chapter 30-50 for correct NEPA 
    terminology and process).
        C. Alternatives. Environmental impact statements must explore and 
    evaluate reasonable alternatives to the proposed action in terms of 
    their environmental consequences, benefits and costs, and contribution 
    to the underlying purpose or goal. Discussion of alternatives must be 
    sufficiently in-depth to permit a meaningful comparison of alternative 
    courses of action.
        Environmental impact statements shall consider the following 
    categories of alternatives, as appropriate:
        1. No Action by Any Organization. This alternative serves as a 
    baseline against which to measure the environmental consequences, 
    costs, and benefits of the proposed action and other alternatives.
        2. Action Alternatives. One or more alternative courses of action 
    directed at achieving the underlying purpose or goal. The environmental 
    impact statement cannot automatically exclude actions.
         Outside the expertise or jurisdiction of Departmental 
    organizations, e.g., examining the possible use of other real 
    properties other than that proposed for transfer by HHS; or
         Which only partially achieve an underlying goal or 
    objective, e.g., funding a health care facility at a lower capacity for 
    patient care. However, action alternatives considered must be 
    reasonably available, practicable, and be related to the underlying 
    purpose or goal. An environmental impact statement must include all 
    reasonable alternatives.
        3. Alternative Safeguards. These are alternative actions which 
    could mitigate the adverse environmental consequences of one or more of 
    the action alternatives.
        4. Delayed Action Alternative. This alternative is to postpone or 
    delay a proposed action in order to conduct more research or for other 
    reasons.
        5. Alternative Uses. When a proposed action would affect a scarce 
    or valuable resource (e.g., prime agricultural farmland), the potential 
    alternative uses of the resource must be identified so that they may be 
    compared with the value of the proposed action.
    
    30-30-40  Intergovernmental Consultation and Document Review
    
        OPDIVs/STAFFDIVs are responsible for meeting the various 
    requirements under environmental statutes and Executive Orders for 
    intergovernmental consultation and public involvement. These 
    requirements differ significantly. OPDIVs/STAFFDIVs must refer to the 
    more detailed descriptions in 30-40 and 30-50 and should consult an 
    environmental officer for guidance.
        As required, OPDIVs/STAFFDIVs shall circulate draft environmental 
    impact statements for review and comment, and otherwise make then 
    available to the public upon request to the extent such statements are 
    not protected from disclosure by existing law applicable to the 
    agency's operation. Statements should be circulated to the Federal 
    agency responsible for administering the applicable environmental act, 
    involved non-Federal agencies at the State or local level, and 
    interested public persons or groups within the geographic area of the 
    environment affected. The review period is generally no less than 30 
    days for a draft environmental assessment and no less than 60 days for 
    a draft environmental impact statement. Whenever a draft environmental 
    impact statement is significantly revised because of comments received 
    or because the nature or scope of the proposed action changes 
    significantly, OPDIVs/STAFFDIVs shall prepare a new draft environmental 
    impact statement for circulation. Circulation of certain portions of 
    the document is not necessary when it involves the following:
        A. National Security. Circulation of classified sections of 
    environmental documents is subject to regulations pertaining to matters 
    of national security.
        B. Trade Secrets. Circulation of sections of environmental 
    documents that disclose a trade secret is subject to 18 U.S.C. 1905 or 
    21 U.S.C. 331(j) governing the protection and disclosure of trade 
    secrets.
    
    HHS Chapter 30-40--General Administration Manual; HHS Transmittal 
    98.2
    
    Subject: Natural Asset Review
    
    30-40-00....  Applicability of Consultation Requirements
          05....  Integration with NEPA Review Process
          10....  Coastal Zone Management Act of 1972
          20....  Endangered Species Act of 1973
          30....  Fish and Wildlife Coordination Act
          40....  Floodplain Management
          50....  Marine Protection, Research, and Sanctuaries Act of 1972
          60....  Safe Drinking Water Act (Sole Source Aquifers)
          70....  Wetlands Protection
          80....  Wild and Scenic Rivers Act
     
    
    30-40-00  Applicability of Consultation Requirements
    
        The environmental statutes and Executive Orders described in this 
    chapter require consideration of the effects of a proposed action on 
    specific types of places or species. Generally, they prohibit further 
    action until the Federal agency proposing to take action has consulted 
    with the Federal or State agency responsible for administering the law. 
    The species requiring consideration are listed by the Department of the 
    Interior. The places requiring consideration are:
        A. Coastal Zones (as identified in a State coastal zone management 
    plan);
        B. Habitats of Endangered Species (as identified by the Department 
    of the Interior);
        C. Streams and other bodies of water;
    
    [[Page 1671]]
    
        D. Floodplains (as identified on HUD floodplain maps);
        E. Marine Sanctuaries (as identified by the Secretary of Commerce);
        F. Sole Source Aquifers (as identified by the Environmental 
    Protection Agency);
        G. Wetlands (all); and
        H. Wild and Scenic Rivers (as identified by the Departments of the 
    Interior and Agriculture).
        Tables 1 indicates whether the administering agency has published 
    regulations implementing the consultation requirement. OPDIVs/STAFFDIVs 
    are responsible for consulting with the appropriate Federal or State 
    agency before taking action in accordance with the procedures in this 
    chapter and in the applicable statute, Executive Order, or implementing 
    regulation.
    
                    Table 1.--Agency Consultation Procedures
    ------------------------------------------------------------------------
      Natural asset statute or                              Consultation
           executive order              Citation             procedures
    ------------------------------------------------------------------------
    Coastal Zone Management Act   16 U.S.C. Secs.       15 CFR Part 930.
     of 1972.                      1451-1464.
    Endangered Species Act of     16 U.S.C. Secs.       50 CFR Part 402.
     1973.                         1531-1544.
    Fish and Wildlife             16 U.S.C. Secs.  661- 16 U.S.C. Sec.  662.
     Coordination Act.             666c.
    Executive Order 11988,        42 FR 26951 (1977),   Floodplain
     Floodplain Management.        as amended by E.O.    Management
                                   12148, 44 FR 43239    Guidelines, U.S.
                                   (1979); 16 U.S.C.     Water Resources
                                   Sec.  4321 note.      Council, 43 FR 6030
                                                         (1978).
    Marine Protection, Research,  16 U.S.C. Secs.       ....................
     and Sanctuaries Act of 1972.  1431-1445a, 33
                                   U.S.C. Secs.  1401-
                                   1445..
    Safe Drinking Water Act.....  42 U.S.C. Secs.       42 U.S.C. Sec.  300h-
                                   300F-300J-26.         3, 40 CFR Part 149.
    Executive Order 11990,        42 FR 26961 (1977),   ....................
     Protection of Wetlands.       as amended by E.O.
                                   12608, 52 FR 34617
                                   (1987), 42 U.S.C.
                                   Sec.  4321 note.
    Wild and Scenic Rivers Act..  16 U.S.C. Secs.       36 CFR Part 297.
                                   1271-1287.
    ------------------------------------------------------------------------
    
    30-40-05  Integration With NEPA Review Process
    
        OPDIVs/STAFFDIVs are responsible for reviewing all proposed actions 
    to determine whether they will affect places and species described in 
    this chapter. OPDIVs/STAFFDIVs are to evaluate the potential effects of 
    a proposed action in accordance with the procedures for National 
    Environmental Policy Act (NEPA) review in chapter 30-50. If an 
    environmental assessment (EA) or environmental impact statement (EIS) 
    is required to be prepared for the proposed action, the documentation 
    required by the applicable statute or Executive Order and the 
    administrating agency regulations are to be included in the EA or EIS. 
    In addition, the consultation procedures required by the environmental 
    statute or Executive Orders shall be followed.
    
    30-40-10  Coastal Zone Management Act of 1972
    
        A. Purpose. The Coastal Zone Management Act of 1972 (CZMA), 16 
    U.S.C 1451-1464, declares that it is the national policy ``to preserve, 
    protect, develop, and where possible, to restore or enhance, the 
    resources of the Nation's coastal zone...'' In furtherance of this 
    policy, the Act provides Federal assistance to State for developing and 
    implementing coastal zone management programs. Section 307(c)(1)(A) of 
    the CZMA (16 U.S.C. 1456(c)(1)(A)) provides that ``[e]ach Federal 
    agency activity within or outside the coastal zone that affects any 
    land or water use or natural resource of the coastal zone shall be 
    carried out in a manner which is consistent to the maximum extent 
    practicable with the enforceable policies of approved State management 
    programs.''
        National Oceanic and Atmospheric Administration (NOAA) regulations 
    codified at 15 CFR Part 930, Subpart C--Consistency for Federal 
    Activities, implements section 307 of the CZMA. These ``consistency'' 
    regulations are designed to assure that all Federally conducted or 
    supported activities, including development projects, directly 
    affecting the coastal zone are undertaken in a manner consistent to the 
    maximum extent practicable with approved State coastal management 
    programs.
    
    B. Definitions
    
        1. Federal activity. The term ``Federal activity'' means any 
    functions performed by or on behalf of a Federal agency in the exercise 
    of its statutory responsibilities. The term ``Federal activity'' does 
    not include the issuance of a Federal license or permit to an applicant 
    or person or the granting of Federal assistance to an applicant agency.
        2. Federal development project. The term ``Federal development 
    project'' means a Federal activity involving the planning, 
    construction, modification, or removal of public works, facilities, or 
    other structures, and the acquisition, utilization, or disposal of land 
    or water resources.
        3. Coastal Zone. The CZMA defines the term ``coastal zone'' as 
    ``the coastal waters (including the lands therein and thereunder) and 
    the adjacent shorelands (including the waters therein and thereunder), 
    strongly influenced by each other and in proximity to the shorelines of 
    the several coastal states, and includes islands, transitional and 
    intertidal areas, salt marshes, wetlands, and beaches.'' Zone 
    boundaries are described in 16 U.S.C. 1453(1). The CZMA excludes from 
    the definition of coastal zone lands the use of which is by law subject 
    solely to the discretion of or which is held in trust by the Federal 
    Government, its officers, or agents (e.g., nonterminated California 
    Indian rancherias).
        4. ``Consistent to the maximum extent practicable.'' The term 
    ``consistent to the maximum extent practicable'' describes the 
    requirement for Federal activities, including development projects, 
    directly affecting the coastal zone of States with approved management 
    programs to be fully consistent with such programs unless compliance is 
    prohibited based upon the requirements of existing law applicable to 
    the Federal agency's operations.
        C. Requirement. An OPDIV/STAFFDIV undertaking any development 
    project in the coastal zone of a State shall ensure that the project 
    is, to the maximum extent practicable, consistent with the enforceable 
    policies of approved State management programs.
        OPDIVs/STAFFDIVs shall determine which of their activities directly 
    affect the coastal zone of States with approved management programs. 
    OPDIVs/STAFFDIVs shall consider all development projects within the 
    coastal
    
    [[Page 1672]]
    
    zone to be activities directly affecting the coastal zone. All other 
    types of activities within the coastal zone are subject to OPDIV/
    STAFFDIV review to determine whether they directly affect the coastal 
    zone. Federal activities outside of the coastal zone are subject to 
    OPDIV/STAFFDIV review to determine whether they directly affect the 
    coastal zone.
        D. Integration with NEPA. OPDIVs/STAFFDIVs are to evaluate the 
    potential effects of a proposed action affecting a coastal zone in 
    accordance with the procedures for National Environmental Policy Act 
    (NEPA) review in Chapter 30-50. If an environmental assessment (EA) or 
    environmental impact statement (EIS) is required to be prepared for the 
    proposed action, a consistency determination, described in 30-40-10E, 
    shall be included in the EA or EIS.
        E. Consistency Determination. OPDIVs/STAFFDIVs shall provide State 
    agencies with consistency determinations for all Federal activities 
    directly affecting the coastal zone. OPDIVs/STAFFDIVs are encouraged to 
    consult with State agencies during their efforts to assess whether an 
    action will be consistent to the maximum extent practicable with a 
    State management program.
        A consistency determination should be prepared following 
    development of sufficient information to determine reasonably the 
    consistency of the activity with the State's management program, but 
    before the OPDIV/STAFFDIV reaches a significant point of decision-
    making in its review process. An OPDIV/STAFFDIV shall provide a 
    consistency determination to the relevant State agency designated under 
    section 306(d)(6) of the CZMA (16 U.S.C. 1455(d)(6)) at the earliest 
    practicable time in the planning or reassessment of the activity, but 
    in no case later than 90 days before final approval of the Federal 
    activity, unless both the OPDIV/STAFFDIV and the State agency agree to 
    a different schedule.
        OPDIVs/STAFFDIVs must ensure that their activities are consistent 
    to the maximum extent practicable with the enforceable, mandatory 
    policies of the management program. However, OPDIVs/STAFFDIVs need only 
    give adequate consideration to management program provisions which are 
    in the nature of recommendations. Finally, OPDIVs/STAFFDIVs do not have 
    to evaluate coastal zone effects for which the management program does 
    not contain mandatory or recommended policies because, in the absence 
    of such provisions, there is no basis for making a consistency 
    determination with respect to such effects.
        F. Negative Determination. If a OPDIV/STAFFDIV asserts that 
    compliance with the management program is prohibited, it must clearly 
    describe to the State agency the statutory provisions, legislative 
    history, or other legal authority which limits the OPDIV's/STAFFDIV's 
    discretion to comply with the provisions of the management program.
        If a OPDIV/STAFFDIV decides that a consistency determination is not 
    required for a Federal activity (1) identified by a State agency on its 
    list or through case-by-case monitoring, (2) which is the same as or 
    similar to activities for which consistency determinations have been 
    prepared in the past, or (3) for which the OPDIV/STAFFDIV undertook a 
    thorough consistency assessment and developed initial findings on the 
    effects of the activity on the coastal zone, the OPDIV/STAFFDIV shall 
    provide the State agency with a notification, at the earliest 
    practicable time in the planning of the activity, briefly setting forth 
    the reasons for its negative determination. A negative determination 
    shall be provided to the State agency at least 90 days before final 
    approval of the activity, unless both the OPDIV/STAFFDIV and the State 
    agency agree to an alternative notification schedule.
        G.  Content of a consistency determination. The consistency 
    determination shall include a brief statement indicating whether or not 
    the proposed activity will be undertaken in a manner consistent to the 
    maximum extent practicable with the management program. The statement 
    must be based upon an evaluation of the relevant provisions of the 
    management program. The consistency determination shall also include a 
    detailed description of the activity, its associated facilities, and 
    their coastal zone effects, and comprehensive data and information 
    sufficient to support the consistency statement. The amount of detail 
    in the statement evaluation, activity description, and supporting 
    information shall be commensurate with the expected effects of the 
    activity on the coastal zone.
        If HHS standards are more restrictive than standards or 
    requirements contained in the State's management program, the State 
    should be informed in the consistency determination of the statutory, 
    regulatory, or other basis for the application of the stricter 
    standards.
        If an OPDIV/STAFFDIV asserts that compliance with the management 
    program is prohibited, it must clearly describe to the State agency the 
    statutory provisions, legislative history, or other legal authority 
    which limits the OPDIV's/STAFFDIV's discretion to comply with the 
    provisions of the management program.
        H. State Review Period. A state agency is required to inform the 
    OPDIV/STAFFDIV of its agreement or disagreement with the consistency 
    determination at the earliest practicable time. OPDIVs/STAFFDIVs may 
    presume State agency agreement if the State agency fails to provide a 
    response within 45 days from receipt of the consistency determination. 
    State agency agreements shall not be presumed in cases where the State 
    agency, within the 45 day period, requests an extension of time to 
    review the matter.
        OPDIVs/STAFFDIVs shall approve one request for an extension period 
    of 15 days or less. In considering whether a longer or additional 
    extension period is appropriate, consideration should be given by the 
    OPDIV/STAFFDIV to the magnitude and complexity of the information 
    contained in the consistency determination.
        1.  Final Action. An OPDIV/STAFFDIV shall not undertake final 
    action sooner than 90 days from the issuance of the consistency or 
    negative determination to the State agency unless both the OPDIV/
    STAFFDIV and the State agency agree to an alternative period.
        J. Mediation by Secretary of Commerce. In the event of a serious 
    disagreement between an OPDIV/STAFFDIV and a State agency regarding a 
    determination related to whether a proposed activity directly affects 
    the coastal zone, either party may seek the Secretarial mediation 
    services provided for in Subpart G of 15 CFR Part 930.
        K. Licenses, permits. OPDIVs/STAFFDIVs shall follow the procedures 
    in 15 CFR part 930 when the action involves an applicant for a 
    Departmental license or permit.
        L. Excluded Actions. The requirements in this section shall not 
    apply to those types of actions which are specifically excluded by the 
    approved CZM plan.
    
    30-40-20  Endangered Species Act of 1973
    
        A. Purpose. The Endangered Species Act of 1973, 16 U.S.C. 1531-
    1544, directs Federal agencies, in consultation with either the 
    Secretary of the Interior or of Commerce, as appropriate, to carry out 
    conservation programs for endangered or threatened species of fish, 
    wildlife, or plants (``listed species'') and habitat of such species 
    that has been designated as critical (``critical habitat'').
    
    [[Page 1673]]
    
        Such affirmative conservation programs must comply with applicable 
    permit requirements for listed species and should be coordinated with 
    the appropriate Secretary.
        Section 7(a)(2) of the Act (16 U.S.C. 1536(a)(2)) requires every 
    Federal agency, in consultation with the assistance of the appropriate 
    Secretary, to ensure that any action it authorizes, funds, or carries 
    out, is not likely to jeopardize the continued existence of any listed 
    species or result in the destruction or adverse modification of 
    critical habitat. The Act also requires Federal agencies to confer with 
    the Secretary of the Interior or of Commerce on any action that is 
    likely to jeopardize the continued existence of a proposed species or 
    result in the destruction or adverse modification of a proposed 
    critical habitat. The Act prohibits Federal agencies from making any 
    irreversible or irretrievable commitment of resources which has the 
    effect of foreclosing the formulation or implementation of reasonable 
    and prudent alternatives which would avoid jeopardizing the continued 
    existence of listed species or the destruction or adverse modification 
    of critical habitat. The U.S. Fish and Wildlife Service (FWS) and the 
    National Marine Fisheries Service (NMFS) share responsibilities for 
    administering the Act.
        B. Governing Regulations and Organization Responsible for 
    Consultation. Interagency consultation procedures under the Endangered 
    Species Act are codified at 50 CFR part 402. The Lists of Endangered 
    and Threatened Wildlife and Plants are found in 50 CFR 17.11 and 17.12. 
    The designated critical habitats are found in 50 CFR 17.95 and 17.96 
    and 50 CFR part 226. Endangered or threatened species under the 
    jurisdiction of the NMFS are located in 50 CFR 222.23(a) and 227.4. If 
    the subject species is cited in 50 CFR 222.23(a) or 227.4, an OPDIV/
    STAFFDIV shall contact the NMFS. For all other listed species, an 
    OPDIV/STAFFDIV shall contact the FWS.
        C. Definitions. The regulations governing interagency cooperation 
    and consultation under the ESA in 50 CFR part 402 define many of the 
    terms and phrases that are used in the regulations and this section.
        1. Biological Assessment. A biological assessment is a document, 
    prepared by or under the direction of a Federal agency, concerning 
    listed and proposed species and designated and proposed critical 
    habitat that may be present in the action area and the evaluation of 
    potential effects of the action on such species and habitat.
        2. Biological Opinion. A biological opinion is the document that 
    states the Service's opinion as to whether or not a proposed Federal 
    agency action is likely to jeopardize the continued existence of listed 
    species or result in the destruction or adverse modification of 
    critical habitat. The Service may issue one of two types of opinions:
        (a) Jeopardy Biological Opinion. An opinion by the Service that the 
    proposed Federal agency action is likely to jeopardize the continued 
    existence of a listed species or result in the destruction or adverse 
    modification of critical habitat is called a ``jeopardy biological 
    opinion''.
        (b) No Jeopardy Biological Opinion. An opinion by the Service that 
    the proposed Federal agency action is not likely to jeopardize the 
    continued existence of a listed species or result in the destruction or 
    adverse modification of critical habitat is called a ``no jeopardy'' 
    biological opinion.
        3. Director. The term ``Director'' refers to, as appropriate, the:
        (a) Assistant Administrator for Fisheries for the National Oceanic 
    and Atmospheric Administration or an authorized representative; or
        (b) Fish and Wildlife Service Regional Director, or authorized 
    representative, for the region where the action would be carried out.
        4. Listed Species. Listed species means any species of fish, 
    wildlife, or plant which has been determined to be endangered or 
    threatened under Section 4 of the Act. Listed species are found in 50 
    CFR 17.11-17.12.
        5. Service. The term ``Service'' means the U.S. Fish and Wildlife 
    Service or the National Marine Fisheries Service, as appropriate.
        D. Integration with NEPA. The consultation, conference, and 
    biological assessment procedures required by section 7 of ESA that are 
    summarized in this section may be consolidated with interagency 
    cooperation procedures required by other statutes, such as the National 
    Environmental Policy Act (NEPA) (Chapter 30-50) or the Fish and 
    Wildlife Coordination Act (FWCA) (Chapter 30-40). Satisfying the 
    requirements of these other statutes, however, does not in itself 
    relieve an OPDIV/STAFFDIV of its obligations to comply with the 
    procedures set forth in 50 CFR part 402 or the substantive requirements 
    of section 7 of ESA. Where the consultation or conference has been 
    consolidated with the interagency cooperation procedures required by 
    other statutes such as NEPA or FWCA, the results should be included in 
    the documents required by those statutes.
        E. Conference Regarding Proposed Species or Critical Habitat. An 
    OPDIV/STAFFDIV shall confer with the Director of the Service on any 
    action which is likely to jeopardize the continued existence of any 
    proposed species or result in the destruction or adverse modification 
    of proposed critical habitat. The conference is an informal process 
    that is designed to assist in identifying and resolving potential 
    conflicts at an early stage in the planning process and can result in 
    advisory recommendations from the Service regarding ways to minimize or 
    avoid adverse effects from the proposed action. If the proposed species 
    is subsequently listed or the proposed critical habitat is designated 
    prior to completion of an HHS action, the responsible OPDIV/STAFFDIV 
    shall review the action to determine whether formal consultation is 
    required. An OPDIV/STAFFDIV may request that a conference be conducted 
    in accordance with the formal consultation procedures in 50 CFR 402.14.
        The conclusions reached during a conference and any recommendations 
    will be documented by the Service and provided to the OPDIV/STAFFDIV. 
    The results of the conference shall be included in the HHS 
    organization's appropriate documentation if the proposed action is 
    being reviewed in accordance with NEPA procedures in Chapter 30-50.
        F. Biological Assessment.
        1. Purpose. An OPDIV/STAFFDIV shall use the biological assessment 
    in determining whether a conference is required with the Service. If 
    the biological assessment indicates that the action is not likely to 
    jeopardize the continued existence of proposed species or result in the 
    destruction or adverse modification of proposed critical habitat, and 
    the Director concurs, then a conference is not required. The Director 
    may use the results of the biological assessment in (1) determining 
    whether to request the OPDIV/STAFFDIV to initiate a conference, (2) 
    formulating a biological opinion, or (3) formulating a preliminary 
    biological opinion.
        2. Requirement. A biological assessment shall be prepared for all 
    major construction activities. The biological assessment shall be 
    completed before any contract for construction is entered into and 
    before construction is begun.
        3. Request for information. The OPDIV/STAFFDIV shall convey to the 
    Director either (1) a written request for a list of any listed or 
    proposed species or designated or proposed critical habitat that may be 
    present in the action
    
    [[Page 1674]]
    
    area; or (2) a written notification of the species and critical habitat 
    that are being included in the biological assessment. Within 30 days of 
    receipt of the notification of, or the request for, a species list, the 
    Director shall either concur with or revise the list. If the Director 
    advises that no listed species or critical habitat may be present, a 
    biological assessment and further consultation is not required. If only 
    proposed species or proposed critical habitat may be present in the 
    action area, the OPDIV/STAFFDIV must confer with the Service if 
    required under 50 CFR 402.10, but preparation of a biological 
    assessment is not required unless the proposed listing and/or 
    designation becomes final.
        4. Contents. The contents of a biological assessment are at the 
    discretion of the submitter and will depend on the nature of the 
    Federal action. The following may be considered for inclusion:
        (a) The results of an on-site inspection of the area affected by 
    the action to determine if listed or proposed species are present or 
    occur seasonally;
        (b) The views of recognized experts on the species at issue;
        (c) A review of the literature and other information;
        (d) An analysis of the effects of the action on the species and 
    habitat, including consideration of cumulative effects, and the results 
    of any related studies;
        (e) An analysis of alternate actions considered by the Federal 
    agency for the proposed action.
        5. Submission of Biological Assessment. The OPDIV/STAFFDIV shall 
    submit the completed biological assessment to the Director for review 
    within 180 days after its initiation. The Director will respond in 
    writing within 30 days as to whether or not the Director concurs with 
    the findings of the biological assessment. An OPDIV/STAFFDIV, at its 
    option, may request that formal consultation be initiated concurrently 
    with the submission of the assessment.
        G. Formal Consultation Process for Listed Species and Critical 
    Habitat.
        1. Consultation Requirement. An OPDIV/STAFFDIV shall review its 
    actions at the earliest possible time to determine whether any action 
    may affect listed species or critical habitat. If such a determination 
    is made, formal consultation is required, except as noted in this 
    subsection. An OPDIV/STAFFDIV need not initiate formal consultation if, 
    as a result of the preparation of a biological assessment under 50 CFR 
    402.12 or as a result of information consultation with the Service 
    under 50 CFR 402.13, the OPDIV/STAFFDIV determines, with the written 
    concurrence of the Director of the Service, that the proposed action is 
    not likely to adversely affect any listed species or critical habitat. 
    Formal consultation shall not be initiated by an OPDIV/STAFFDIV until 
    any required biological assessment has been completed and submitted to 
    the Director in accordance with 50 CFR 402.12.
        2. Contents of Request. A written request to initiate formal 
    consultation shall be submitted to the Director of the Service and 
    shall include:
        (a) A description of the action to be considered;
        (b) A description of the specific area that may be affected by the 
    action;
        (c) A description of any listed species or critical habitat that 
    may be affected by the action;
        (d) A description of the manner in which the action may affect any 
    listed species or critical habitat and an analysis of any cumulative 
    effects;
        (e) Relevant reports, including any environmental impact statement, 
    environmental assessment, or biological assessment prepared; and
        (f) Any other relevant available information on the action, the 
    affected listed species, or critical habitat.
        An OPDIV/STAFFDIV that requests formal consultation shall provide 
    the Service with the best scientific and commercial data available or 
    which can be obtained during the consultation for an adequate review of 
    the effects that an action may have upon listed species or critical 
    habitat.
        H. Irreversible or Irretrievable Commitment of Resources. After 
    initiation or reinitiation of consultation required under ESA, an 
    OPDIV/STAFFDIV shall make no irreversible or irretrievable commitment 
    of resources with respect to the proposed action which has the effect 
    of foreclosing the formulation or implementation of any reasonable and 
    prudent alternatives which would avoid violating ESA. This prohibition 
    remains in force during the consultation process and continues until 
    the requirements of section 7(a)(2) of ESA are satisfied.
    
        Note: The prohibition in this subsection does not apply to the 
    conference requirement for proposed species or proposed critical 
    habitat under Section 7(a)(4) of the Act.
    
        I. Duration and Extension of Formal Consultation. Formal 
    consultation concludes within 90 days after its initiation unless 
    extended in accordance with 50 CFR 402.14(e). If the Service does not 
    respond within 90 days, the Department may reach its own conclusion 
    with respect to whether the proposed action will jeopardize the 
    continued existence of a species or result in the destruction or 
    adverse modification of a critical habitat.
        J. Issuance of Biological Opinion. The Service will provide a 
    biological opinion to the OPDIV/STAFFDIV at the end of the consultation 
    process as to whether the proposed action, taken together with 
    cumulative effects, would be likely to jeopardize the continued 
    existence of a listed species or result in the destruction or adverse 
    modification of a critical habitat. A ``jeopardy'' biological opinion 
    by the Service will include reasonable and prudent alternatives, if 
    any, to the proposed agency action that can be taken by the OPDIV/
    STAFFDIV to avoid violation of ESA. If the Service is unable to develop 
    such alternatives, it will indicate that to the best of its knowledge, 
    there are no reasonable and prudent alternatives. The Service may also 
    formulate discretionary conservation recommendations, if any, which 
    will assist the OPDIV/STAFFDIV in reducing or eliminating the impacts 
    that its proposed action may have on listed species or critical 
    habitat.
        The Service's ``no jeopardy'' or ``jeopardy'' biological opinion 
    shall be included in any documentation required under NEPA procedures 
    if the proposed action is being assessed in accordance with NEPA and 
    the procedures in Chapter 30-50.
        K. Termination of Consultation Process. Formal consultation is 
    terminated with the issuance of the biological opinion or if, during 
    any stage of consultation, an OPDIV/STAFFDIV determines, with the 
    concurrence of the Director, that its proposed action is not likely to 
    adversely affect any listed species or critical habitat. If an OPDIV/
    STAFFDIV determines that its proposed action is not likely to occur, it 
    may terminate the consultation process by written notice to the 
    Service.
        L. Responsibilities After Issuance of Biological Opinion. Following 
    the issuance of a biological opinion, an OPDIV/STAFFDIV shall determine 
    whether and in what manner to proceed with the action in light of its 
    ESA Section 7 obligations and the Service's biological opinion.
        If a jeopardy biological opinion is issued, the OPDIV/STAFFDIV 
    shall notify the Service of its final decision on the action. If the 
    OPDIV/STAFFDIV determines that it cannot comply with the requirements 
    of section 7(a)(2) of ESA after consultation with the Service, it may 
    apply for an exemption. Procedures for exemption applications by 
    Federal agencies and others are found in 50 CFR part 451. No action
    
    [[Page 1675]]
    
     shall occur unless or until the OPDIV/STAFFDIV has received approval 
    of the exemption.
        M. Emergencies. The interagency cooperation regulation in 50 CFR 
    part 402 provides that where emergency circumstances mandate the need 
    to consult in an expedited manner, consultation may be conducted 
    informally through alternative procedures that the Director determines 
    to be consistent with the requirements of sections 7(a)-(d) of the Act. 
    This provision applies to situations involving acts of God, disasters, 
    casualties, national defense or security emergencies. An OPDIV/STAFFDIV 
    may request expedited consultation by submitting information on the 
    nature of the emergency action(s), the justification for the expedited 
    consultation, and the impacts to endangered or threatened species and 
    their habitats. Formal consultation is to be initiated as soon as 
    practicable after the emergency is under control.
        N. Exemptions. ESA provides procedures for granting exemptions from 
    the requirements of section 7(a)(2). Regulations governing the 
    submission of exemption applications are found at 50 CFR part 451, and 
    regulations governing the exemption process are found at 50 CFR parts 
    450, 452, and 453.
        O. Applicant Procedures. ESA and the implementing procedures in 50 
    CFR part 402 provide for participation in the conference and 
    consultation processes by any person (as defined in Section 3 (13) of 
    the Act) who requires formal approval or authorization from HHS as a 
    prerequisite to conducting the action.
    
    30-40-30  Fish and Wildlife Coordination Act
    
        A. Purpose. The Fish and Wildlife Coordination Act, 16 U.S.C. 661-
    666c, provides for equal consideration of wildlife with other features 
    of water resource development programs with a view toward conservation 
    of wildlife resources. The Act requires Federal agencies involved in 
    actions that will result in the control or modification of any natural 
    stream or body of water, for any purpose, to take action to protect the 
    fish and wildlife resources which may be affected by the action and to 
    affirmatively provide development and improvement of the wildlife 
    resources in connection with the proposed action.
        B. Responsibilities and Consultation Requirements.
        1. An OPDIV/STAFFDIV shall consult, in accordance with 16 U.S.C. 
    662, with the United States Fish and Wildlife Service, Department of 
    the Interior, and with the head of the State agency exercising 
    administration over wildlife resources, before taking or approving an 
    action that would control or modify any natural stream or other body of 
    water for any purpose.
        2. As part of the consultative process, OPDIVs/STAFFDIVs shall 
    submit to the United States Fish and Wildlife Service and the State 
    wildlife agency the appropriate environmental documentation, if needed 
    for the consultation, that describes the possible effects of the 
    proposed action on a natural stream or body of water.
        3. An OPDIV/STAFFDIV shall determine, through the consultative 
    process, the means and measures necessary to conserve wildlife 
    resources by preventing loss of and damage to such resources, as well 
    as providing for the development and improvement of the wildlife 
    resources in connection with the proposed action.
        4. OPDIVs/STAFFDIVs shall give full consideration to the report and 
    recommendations of the U.S. Fish and Wildlife Service and to any report 
    of the State agency on the wildlife aspects of a proposed action. Any 
    plans for the proposed action shall include such justifiable means and 
    measures for wildlife purposes as the OPDIV/STAFFDIV finds should be 
    adopted to obtain maximum overall project benefits. All reports and 
    recommendations of the U.S. Fish and Wildlife Service wildlife agencies 
    shall constitute an integral part of any environmental report prepared 
    pursuant to the action.
        5. Reports and recommendations of the Secretary of Interior or 
    State wildlife agencies shall be incorporated into any environmental 
    documents that may be associated with the proposed action. 16 U.S.C. 
    662(b).
        6. No further action shall take place pending receipt of a report 
    from the U.S. Fish and Wildlife Service and State wildlife agency.
    
    30-40-40  Floodplains Management
    
        A. Purpose. Executive Order 11988, Floodplain Management, 42 FR 
    26951 (1977), as amended by Executive Order 12148, 44 FR 43239 (1979), 
    42 U.S.C. 4321 note, directs each Federal agency to avoid the long and 
    short term adverse impacts associated with the occupancy and 
    modification of floodplains, including the direct and indirect support 
    of floodplain development, whenever there is a practicable alternative. 
    Floodplains are those areas identified as such according to a Federal 
    Emergency Management Agency (FEMA) floodplain map. Guidance for 
    implementation of Executive Order 11988 is provided in the U.S. Water 
    Resources Council Floodplain Management Guidelines, 43 FR 6030. See 
    also FEMA's ``Further Advice on Executive Order 11988 Floodplain 
    Management'' (GPO 1987).
    
    B. Definitions
    
        1. Base Flood. ``Base Flood'' means that flood which has a one 
    percent of greater chance of occurrence in any given year.
        2. Floodplain. ``Floodplain'' means the lowland and relatively flat 
    areas adjoining inland and coastal waters, including flood-prone areas 
    of offshore islands, including at a minimum, that area subject to a one 
    percent or greater chance of flooding in any given year.
        3. Critical Action. ``Critical Action'' means any activity for 
    which even a slight chance of flooding is too great, e.g. elderly 
    housing proposals.
        C. Responsibilities. Each OPDIV/STAFFDIV has the responsibility 
    under Executive Order 11988 to take action to reduce the risk of flood 
    loss, to minimize the impact of floods on human safety, health, and 
    welfare, and to restore and preserve the natural and beneficial values 
    served by floodplains in carrying out its responsibilities for:
        1. Acquiring, managing, and disposing of Federal lands and 
    facilities;
        2. Providing Federally undertaken, financed, or assisted 
    construction and improvements; and
        3. Conducting Federal activities and programs affected land use, 
    including but not limited to, water and related land resources 
    planning, regulating, and licensing activities.
        Each OPDIV/STAFFDIV shall evaluate the potential effects of any 
    actions it may take in a floodplain in accordance with the procedures 
    in this section. It must also ensure that its planning programs and 
    budget requests reflect consideration of flood hazards and floodplain 
    management.
        D. Floodplain Determination. Before taking an action, each OPDIV/
    STAFFDIV shall determine whether the proposed action will occur in a 
    floodplain. OPDIVs/STAFFDIVs shall utilize the Flood Insurance Rate 
    Maps (FIRMs) or the Flood Hazard Boundary Maps (FHBMs) prepared by the 
    Federal Insurance Administration of FEMA to determine if a proposed 
    action is located in a base or critical action floodplain. When a 
    proposed action would be located in an area of predominantly Federal or 
    State land holdings, and FIRM or FHBM maps are not available, OPDIVs/
    STAFFDIVs shall obtain information from the land administering agency 
    (e.g., Bureau of Land Management or Soil Conservation Service) or from 
    agencies with floodplain analysis expertise.
    
    [[Page 1676]]
    
        E. Integration with NEPA. OPDIVs/STAFFDIVs are to evaluate the 
    potential effects of a proposed action in a floodplain in accordance 
    with the procedures for National Environmental Policy Act (NEPA) review 
    in Chapter 30-50. If an environmental assessment (EA) or environmental 
    impact statement (EIS) is required to be prepared for the proposed 
    action, a floodplain assessment, described in 30-40-40D, shall be 
    included in the EA or EIS.
        F. Floodplain Assessment (Executive Order 11988).
        1. Proposed Action. The floodplain assessment shall describe the 
    nature and purpose of the proposed action and the reasons for locating 
    the action in the floodplain.
        2. Floodplain Map. A map of the affected floodplain indicating the 
    location of the proposed action shall be included in the assessment.
        3. High Hazard Areas. High hazard areas in the floodplain shall be 
    delineated and the nature and extent of the proposed hazard shall be 
    discussed.
        4. Floodplain Effects. The effects of the proposed action on the 
    floodplain shall be discussed in the assessment. The discussion shall 
    include an evaluation of the long- and short-term effects of the 
    proposed action on people, property, natural and beneficial floodplain 
    values, and any other relevant direct or indirect effects.
        5. Alternatives and Mitigation Measures. The floodplain assessment 
    shall discuss alternatives to the proposed action that may avoid 
    adverse effects and incompatible development in the floodplain, 
    including the alternatives of no action or location at an alternate 
    site. The assessment shall also discuss measures that mitigate the 
    adverse effects of the proposed action.
        6. Conformity to Applicable State or Local Standards. The 
    floodplain assessment shall include a statement indicating whether the 
    proposed action conforms to applicable State or local floodplain 
    protection standards.
        7. Flood Insurance Program Standards. An action taken in a 
    floodplain must incorporate design features consistent with the 
    standards in the Flood Insurance Program of the Federal Insurance 
    Administration to minimize substantial harm to the floodplain.
        G. Public Review. Circulation of draft environmental impact 
    statements shall include the public and other interested individuals, 
    including concerned Federal, non-Federal and private organizations. 
    Interested parties shall have a period of 60 days for review and 
    comment on draft environmental impact statements.
        H. Secretarial Approval. No action shall take place without a 
    finding by the HHS Secretary that the only practicable alternative 
    consistent with the law and with the policy set forth in Executive 
    Order 11988 requires siting in a floodplain. The action proposed for 
    Secretarial approval shall be designed to minimize potential harm to or 
    within the floodplain. The Secretary shall approve proposed actions 
    requiring environmental impact statements on projects affecting 
    floodplains.
        I. Notice of Finding.
        1. Contents. After Secretarial approval and prior to taking action, 
    an OPDIV/STAFFDIV shall prepare and circulate a notice of finding 
    containing an explanation of why the action is proposed to be located 
    in a floodplain. The notice shall not exceed three pages and shall 
    include a location map. The notice shall include (a) the reasons why 
    the action is proposed to be located in a floodplain; (b) a statement 
    indicating whether the action conforms to applicable State or local 
    floodplain protection standards; and (c) a list of the alternatives 
    considered.
        2. Public Review. For programs subject to Executive Order 12372, 
    the notice of finding shall be sent to the appropriate state and local 
    reviewing agencies the geographic areas affected. A public review 
    period of 30 days after the issuance of notice of finding shall be 
    allotted before any action is taken.
        J. Licenses, permits, loans, or grants. Each OPDIV/STAFFDIV shall 
    take floodplain management into account when formulating or evaluating 
    any water and land use plans and shall require land and water resources 
    use appropriate to the degree of hazard involved. Adequate provision 
    shall be made for the evaluation and consideration of flood hazards in 
    the regulations and operating procedures for the licenses, permits, 
    loan, or grant-in-aid programs that an OPDIV/STAFFDIV administers. 
    OPDIVs/STAFFDIVs shall also encourage and provide appropriate guidance 
    to applicants to evaluate the effects of their proposal in floodplains 
    prior to submitting applications for Federal licenses, permits, loans, 
    or grants.
        K. Authorization or Appropriation Requests. OPDIVs/STAFFDIVs shall 
    indicate in any requests for new authorizations or appropriations 
    whether the proposed action is in accord with Executive Order 11988 if 
    the proposed action will be located in a floodplain.
    
    30-40-50  Marine Protection, Research, and Sanctuaries Act of 1972
    
        A. Purpose. Title III of the Marine Protection, Research and 
    Sanctuaries Act prohibits Federal Departments from taking actions which 
    will affect a Marine Sanctuary unless the Secretary of Commerce 
    certifies that the activity is consistent with the purposes of the Act. 
    Listings of sanctuaries are designated by the Secretary of Commerce and 
    maps of sanctuaries appear in the Federal Register.
        B. Responsibilities and Consultation Requirements.
        1. If the proposed action will create an environmental effect on a 
    marine sanctuary, OPDIVs/STAFFDIVs shall prepare an appropriate 
    environmental document and forward it to the Secretary of Commerce.
        2. No further action shall take place unless and until the 
    Secretary certifies that the action is consistent with the purposes of 
    the Act.
    
    30-40-60  Safe Drinking Water Act (Sole Source Aquifers)
    
        A. Requirement. Section 1424(e) of the Safe Drinking Water Act (42 
    U.S.C. 300h-3(e)), provides for the protection of those aquifers which 
    have been designated by the Administrator of the EPA as the sole or 
    principal source of drinking water for an area. No commitment for 
    Federal financial assistance (through a grant, contract, loan 
    guarantee, or otherwise) may be entered into for any project which the 
    Administrator determines may contaminate such aquifer through a 
    recharge zone so as to create a significant hazard to public health. A 
    commitment for Federal financial assistance may, if authorized under 
    another provision of law, be entered into to plan or design the project 
    to assure that it will not so contaminate the aquifer.
        B. Responsibilities and Consultation Requirements.
        1. OPDIVs/STAFFDIVs shall determine if a proposed action will 
    directly or indirectly affect a sole or principal source aquifer 
    designated by the Administrator of EPA in accordance with section 
    1424(e) of the Safe Drinking Water Act (42 U.S.C. 300h-3(e)).
        2. If the action will affect a designated aquifer, OPDIVs/STAFFDIVs 
    shall send the appropriate environmental document to the EPA Regional 
    Administrator for a determination as to whether the proposed action may 
    potentially contaminate the aquifer through its recharge zone so as to 
    create a significant hazard to public health.
    
    [[Page 1677]]
    
        3. The action shall not proceed unless and until the Administrator 
    of the Environmental Protection Agency determines that the proposed 
    action will not contaminate the designated aquifer so as to create a 
    significant hazard to public health.
    
    30-40-70  Wetlands Protection
    
        A. Purpose. Executive Order 11990, Protection of Wetlands, 42 FR 
    26961 (1977), as amended by Executive Order 12608, 52 F 34617 (1987), 
    42 U.S.C. 4321 note, directs each Federal agency to minimize the 
    destruction, loss, or degradation of wetlands and to preserve and 
    enhance such wetlands in carrying out their program responsibilities. 
    Consideration must include a variety of factors, such as water supply, 
    erosion and flood prevention, maintenance of natural systems, and 
    potential scientific benefits.
    
    B. Definitions
    
        Wetlands. The term ``wetlands'' means those areas that are 
    inundated or saturated by surface or ground water at a frequency and 
    duration sufficient to support, and that under normal circumstances do 
    support, a prevalence of vegetation or aquatic life that requires 
    saturated or seasonally saturated soil conditions for growth and 
    reproduction. Wetlands generally include swamps, marshes, bogs, and 
    similar areas.
        C. Wetlands Determination. OPDIVs/STAFFDIVs shall utilize 
    information available from the following sources when appropriate to 
    determine the applicability of the wetlands protection requirements of 
    this section:
        1. U.S. Department of Agriculture Soil Conservation Service Local 
    Identification Maps;
        2. U.S. Fish and Wildlife Service National Wetlands Inventory;
        3. U.S. Geological Survey Topographic Maps;
        4. State wetlands inventories; and
        5. Regional or local government-sponsored wetland or land use 
    inventories.
        D. Responsibilities. OPDIVs/STAFFDIVs are to evaluate the potential 
    effects of a proposed action in wetlands in accordance with the 
    procedures for National Environmental Policy Act (NEPA) review in 
    Chapter 30-50. If an environmental assessment (EA) or environmental 
    impact statement (EIS) is required to be prepared for the proposed 
    action, a wetlands assessment, described in 30-40-70E, shall be 
    included in the EA or EIS.
        E. Wetlands Assessment (Executive Order 11990)
        1. Proposed Action. The wetlands assessment shall describe the 
    nature and purpose of the proposed action and the reasons for locating 
    the action in the wetlands.
        2. Wetlands Map. A map of the affected wetlands indicating the 
    location of the proposed action shall be included in the assessment.
        3. Wetlands Effects. The effects of the proposed action on the 
    wetlands shall be discussed in the assessment. The discussion shall 
    include an evaluation of the long- and short-term effects of the 
    proposed action on the survival, quality, and natural and beneficial 
    values of the wetlands, and any other relevant direct or indirect 
    effects.
        4. Alternatives and Mitigation Measures. The wetlands assessment 
    shall discuss alternatives to the proposed action that may avoid 
    adverse effects and incompatible development in the wetlands, including 
    the alternatives of no action or location at an alternate site. The 
    assessment shall also discuss measures that mitigate the adverse 
    effects of the proposed action. No further action shall take place 
    until the OPDIV/STAFFDIV makes a decision that the proposed action 
    includes all reasonable measures to minimize harm to the wetlands as a 
    result of the proposed action.
        5. Conformity to Applicable State or Local Standards. The wetlands 
    assessment shall include a statement indicating whether the proposed 
    action conforms to applicable State or local wetlands protection 
    standards.
        F. Public Review. Circulation of draft environmental impact 
    statements shall include the public and other interested individuals, 
    including concerned Federal, non-Federal and private organizations. 
    Interested parties shall have a period of 60 days for review and 
    comment on daft environmental impact statements.
        G. Secretarial Review. No further action shall take place until the 
    Secretary of HHS determines that there is no practicable alternative to 
    construction in wetlands and that the proposed action includes all 
    practicable measures to minimize harm to the wetlands. The Secretary 
    shall approve proposed actions requiring environmental impact 
    statements for new construction in wetlands.
        H. Licenses and Permits. These requirements do not apply to the 
    issuance to individuals of permits and licenses and the allocation of 
    funds made to individuals.
    
    30-40-80  Wild and Scenic Rivers Act
    
        A. Purpose. The purpose of the Act is to preserve selected free-
    flowing rivers, along with their immediate environments, for the 
    benefit of immediate and future generations. These include river 
    components and potential components of the National Wild and Scenic 
    River System and study areas designated by the Secretaries of 
    Agriculture and Interior. (Environmental officers keep a list of these 
    rivers and related study areas). Designations used to describe these 
    components, or parts thereof, include the following: (1) wild; (2) 
    scenic; and (3) recreational.
        B. Requirement. Section 7 of the Wild and Scenic Rivers Act (16 
    U.S.C. 1278), provides for the protection of the free-flowing, scenic, 
    and natural values of rivers designated as components or potential 
    components of the National Wild and Scenic Rivers Systems from the 
    effects of construction of any water resources project. The Wild and 
    Scenic Rivers Act provides that no license, permit, or other 
    authorization can be issued for a Federally assisted water resources 
    project on any portion of a Wild and Scenic River or Study River (nor 
    can appropriations be requested to begin construction of such projects) 
    without prior notice to the Secretary of Agriculture and the Secretary 
    of the Interior, and a determination in accordance with section 7 of 
    the Act. The Secretary of Agriculture and the Secretary of the Interior 
    have issued Federal agency consultation procedures that are codified at 
    36 CFR part 297.
    
    C. Definitions
    
        1. Free-flowing. ``Free-flowing'' is defined by section 16(b) of 
    the Act as ``existing or flowing in natural condition without 
    impoundment, diversion, straightening, riprapping, or other 
    modification of the waterway'' (16 U.S.C. 1286(b)).
        2. Study Period. ``Study period'' means the time during which a 
    river is being studied as a potential component of the Wild and Scenic 
    Rivers System and such additional time as provided in section 7(b)(ii) 
    of the Act not to exceed 3 additional years during which a report 
    recommending designation is before Congress, or such additional time as 
    may be provided by statute.
        3. Study River. ``Study river'' means a river and the adjacent area 
    within one quarter mile of the banks of the river which is designated 
    for study as a potential addition to the National Wild and Scenic 
    Rivers System pursuant to section 5(a) of the Act.
        4. Water Resources Project. ``Water resources project'' means any 
    dam, water conduit, reservoir, powerhouse, transmission line, or other 
    project works under the Federal Power Act (41 Stat. 1063) as amended, 
    or other construction of developments which would affect the
    
    [[Page 1678]]
    
    free-flowing characteristics of a Wild and Scenic River or Study River.
        5. Wild and Scenic River. ``Wild and scenic river'' means a river 
    and the adjacent area within the boundaries of a component of the 
    National Wild and Scenic Rivers System pursuant to section 3(a) or 
    2(a)(ii) of the Act.
        D. Responsibilities and Consultation Requirements. When a proposed 
    action will have an effect upon an environment within or including a 
    portion of a component, potential component, or study area, program 
    personnel shall send a notice to the Secretary of the Interior for 
    review.
        E. Contents of Notice. The notice shall include the following 
    information:
        1. Name and location of affected river;
        2. Location of the project;
        3. Nature of the permit or other authorization proposed for 
    issuance;
        4. A description of the proposed activity; and
        5. Any relevant information; such as plans, maps, and environmental 
    studies, assessments, or environmental impact statements.
        6. The notice shall also provide any additional factual information 
    that will assist the Secretary in determining whether:
        (a) the water resources project will have a direct and adverse 
    effect on the values for which a Wild and Scenic River or Study River 
    was designated, when any portion of the project is within the 
    boundaries of said river; or,
        (b) The effects of the water resources project will invade or 
    unreasonably diminish the scenic, recreational, and fish and wildlife 
    values of a Wild and Scenic River, when any portion of the project is 
    located above, below, or outside the Wild and Scenic River; or,
        (c) whether the effects of the water resources project will invade 
    or diminish the scenic, recreational, and fish and wildlife values of a 
    Study River when the project is located above, below, or outside the 
    Study River during the study period.
        F. Examples. The following are examples of circumstances which can 
    affect a river component or study area;
        1. Destruction or alteration to all or part of the free-flowing 
    nature of the river;
        2. Introduction of visual, audible, or other sensory intrusions 
    which are out of character with the river or alter its setting;
        3. Deterioration of water quality; or
        4. Transfer of sale of property adjacent to an inventories river 
    without adequate conditions or restrictions for protecting the river 
    and its surrounding environment.
        G. Response. If the Department of the Interior does not respond 
    within 30 calendar days or states that the proposed action will not 
    directly or adversely affect the area, the Department is in compliance 
    with the review requirements of the Act. However, in those instances 
    where the Department of the Interior does not respond, programs shall 
    take care to always avoid or mitigate adverse effects on river 
    components and study areas.
        If the Department of the Interior determines that the proposed 
    action will directly and adversely affect the area, no further action 
    shall take place whenever the proposed action involves the construction 
    of a water resources project.
        The above requirements do not apply to types of actions excluded 
    from the review process by appropriate Department of Interior or 
    Agriculture regulations.
        H. Integration with NEPA. The determination of the effects of a 
    proposed water resources project shall be made in compliance with the 
    National Environmental Policy Act (NEPA). To the extent possible, 
    OPDIVs/STAFFDIVs should ensure that any environmental studies, 
    assessments, or environmental impact statements prepared for a water 
    resources project adequately address the environmental effects on 
    resources protected by the Wild and Scenic Rivers Act, and that the 
    Department of Agriculture is apprised of ongoing analyses so as to 
    facilitate coordination and identification of Wild and Scenic River 
    related issues.
        To the extent practicable, impacts on Wild and Scenic River values 
    will be considered in the context of other review procedures as 
    provided by law. OPDIVs/STAFFDIVs are encouraged to consult with the 
    Forest Service in order to identify measures which could eliminate any 
    direct and adverse effects, thereby increasing the likelihood of 
    securing consent.
    
    HHS Chapter 30-50--General Administration Manual; HHS Transmittal 
    98.2
    
    Subject: National Environmental Policy Act (NEPA) Review
    
    30-50-00....  Background
       05.......  Definitions and Acronyms
       10.......  Applicability
       15.......  Responsibilities
       20.......  Purpose, Content, and Availability of Environmental
                   Documents
       25.......  Actions That Are Excluded from the Requirement to Prepare
                   an Environmental Assessment
       30.......  Actions Requiring Preparation of an Environmental
                   Assessment
       35.......  Categories of Actions Requiring Preparation of an
                   Environmental Impact Statement
       40.......  Environmental Assessments
       45.......  Findings of No Significant Impact
       50.......  Public Availability of Environmental Assessments and
                   Findings of No Significant Impact
       55.......  Notice of Intent and Scooping
       60.......  Environmental Impact Statements
     
    
    
    65..........  Contents of an Environmental Impact Statement
    70..........  Public Involvement and Circulation of Environmental Impact
                   Statements
    75..........  Environmental Effects Abroad of Major Agency Actions
    80..........  Reviewing External Environmental Impact Statements
     
    
    30-50-00  Background
    
        The National Environmental Policy Act of 1969 (NEPA), 42 U.S.C. 
    4321-4370d, establishes policy and requirements governing all Federal 
    Departments and agencies with respect to protecting the environment. 
    This chapter supplements specific requirements established by NEPA and 
    by the associated implementing regulations promulgated by the Council 
    on Environmental Quality (CEQ) (40 CFR 1500-1508). This chapter also 
    establishes Department policy and procedures with respect to the 
    implementation of NEPA and provides guidance to HHS Staff Divisions 
    (STAFFDIVs) and Operating Divisions (OPDIVs) in establishing additional 
    regulations for implementing NEPA that are unique to each OPDIV/
    STAFFDIV.
        NEPA requires all Federal Departments and agencies to assess, as an 
    integral part of their decision making process, the potential 
    environmental impacts of their actions prior to initiation of those 
    actions. NEPA establishes environmental policy, sets goals (Section 
    101), and provides procedures (Section 102) for carrying out the 
    policy. Specifically, section 102(2)(C) of NEPA requires all agencies 
    of the Federal Government to include an environmental statement ``in 
    every recommendation or report on proposals for legislation and other 
    major Federal actions significantly affecting the quality of the human 
    environment * * *.'' The purpose of this and other requirements is to 
    ensure that environmental information is available to public officials 
    and citizens before Federal agencies make decisions to take actions 
    which could significantly affect the quality of the human environment.
    
    [[Page 1679]]
    
    30-50-05  Definitions and Acronyms
    
        A. CEQ Regulations Definitions. Definitions that apply to the terms 
    used in this chapter are set forth in the CEQ regulations under 40 CFR 
    part 1508. The terms and the sections of 40 CFR part 1508 in which they 
    are defined follow:
    
    Categorical Exclusion (40 CFR 1508.4)
    Cooperating Agency (40 CFR 1508.5)
    Cumulative Impact (40 CFR 1508.7)
    Effects (40 CFR 1508.8)
    Environmental Assessment (EA) (40 CFR 1508.9)
    Environmental Document (40 CFR 1508.10)
    Environmental Impact Statement (EIS) (40 CFR 1508.11)
    Federal Agency (40 CFR 1508.12)
    Finding of No Significant Impact (FONSI) (40 CFR 1508.13)
    Human Environment (40 CFR 1508.14)
    Jurisdiction by Law (40 CFR 1508.15)
    Lead Agency (40 CFR 1508.16)
    Legislation (40 CFR 1508.17)
    Major Federal Action (40 CFR 1508.18)
    Mitigation (40 CFR 1508.20)
    NEPA Process (40 CFR 1508.21)
    Notice of Intent (40 CFR 1508.22)
    Proposal (40 CFR 1508.23)
    Scope (40 CFR 1508.25)
    Significantly (40 CFR 1508.27)
    
        B. Chapter 30-50 Definitions. The following terms are defined 
    solely for the purpose of implementing the supplemental procedures 
    provided by this chapter and are not necessarily applicable to any 
    other statutory or regulatory requirements. To the extent that a 
    definition of one of these terms should conflict with a definition in 
    an applicable statute, regulation or Executive Order, that statute, 
    regulation or Executive Order definition shall supersede the GAM 
    definition.
        ``Department'' means the U.S. Department of Health and Human 
    Services (HHS).
        ``Pollution Prevention'' includes, but is not limited to, reducing 
    or eliminating hazardous or other polluting inputs, which can 
    contribute to both point and non-point source pollution, modifying 
    manufacturing, maintenance, or other industrial practices; modifying 
    product designs; recycling (especially in-process, closed loop 
    recycling); preventing the disposal and transfer of pollution from one 
    media to another; and increasing energy efficiency and conservation. 
    Pollution prevention can be implemented at any stage--input, use or 
    generation, and treatment--and may involve any technique--process 
    modification, waste stream segregation, inventory control, good 
    housekeeping or best management practices, employee training, 
    recycling, and substitution. Any reasonable mechanism which 
    successfully avoids, prevents, or reduces pollutant discharges or 
    emissions other than by the traditional method of treating pollution at 
    the discharge end of a pipe or stack should, for purposes of this 
    chapter, be considered pollution prevention. (This definition of 
    ``pollution prevention'' has been adopted by CEQ. See Council on 
    Environmental Quality, ``Memorandum to Heads of Federal Departments and 
    Agencies Regarding Pollution Prevention and the National Environmental 
    Policy Act,'' 58 FR 6478 (1993).)
    
        Note: A definition of ``pollution prevention'' that has been 
    developed by the U.S. Environmental Protection Agency is used in 
    Chapters 30-60 through 30-90.
    
        ``Responsible official'' means the Secretary, the Departmental 
    decisionmaker designated by the Secretary of Health and Human Services 
    or the Secretary's designated representative, or the Head of an OPDIV/
    STAFF or the Head of an OPDIV/STAFFDIV, or an official designated by 
    the Head of an OPDIV/STAFFDIV, or the Federal agency official who makes 
    the decision to irreversibly and irretrievably commit the agency's 
    resources to execute the proposed action.
        C. Acronyms: The following acronyms are used in this chapter:
    
    CEQ--Council on Environmental Quality
    CFR--Code of Federal Regulations
    EA--Environmental Assessment
    EIS--Environmental Impact Statement
    EPA--Environmental Protection Agency
    FONSI--Finding of No Significant Impact
    HHS--U.S. Department of Health and Human Services
    NEPA--National Environmental Policy Act of 1969
    NOI--Notice of Intent
    OPDIV--HHS Operating Division
    ROD--Record of Decision
    STAFFDIV--HHS Staff Division
    U.S.C.--United States Code
    
    30-50-10  Applicability
    
        This chapter applies to all organizational elements of HHS. This 
    chapter applies to any HHS action affecting the quality of the 
    environment of the United States, its territories, or possessions. HHS 
    actions having environmental effects outside of the United States, its 
    territories or possessions are subject to the provisions of Executive 
    Order 12114, Environmental Effects Abroad of Major Federal Actions, 44 
    FR 1957 (1979), 42 U.S.C. 4321 note. HHS guidelines implementing 
    Executive Order 12114 are located at Section 30-50-75.
    
    30-50-15  Responsibilities
    
        All HHS policies and programs will be planned, developed, and 
    implemented so as to achieve the policies declared by NEPA and required 
    by the CEQ regulations to ensure responsible stewardship of the 
    environment for present and future generations.
        Environmental impact consideration is an integral part of HHS's 
    planning and decisionmaking process. For actions initiated by the 
    Department of one of its OPDIVs/STAFFDIVs, the process begins when an 
    issue is identified that requires action under the statutes it 
    administers. The identifying organization also may issue a public call 
    for environmental data or otherwise consult with affected individuals 
    or groups when a contemplated action in which it is or may be involved 
    poses potentially significant environmental impacts.
        Assessment of environmental factors continues throughout planning 
    and is integrated with other program planning at the earliest possible 
    time. Assessment of environmental factors includes the identification 
    of the parts of the environment that may be affected by the action, the 
    evaluation of pertinent environmental data, and the consideration of 
    alternatives consistent with 40 CFR 1502.14.
        NEPA and the CEQ regulations establish a mechanism for building 
    environmental considerations into federal agency decision-making. This 
    mechanism will be used to incorporate pollution prevention into the 
    early planning stages of a proposal.
        OPDIVs/STAFFDIVs shall determine, utilizing the procedures in the 
    CEQ regulations and this chapter, whether any HHS proposal:
        1. Is categorically excluded from preparation of an EIS or an EA 
    (30-50-25; 30-20-40);
        2. Requires preparation of an EA (30-50-30);
        3. Requires preparation of an EIS (30-50-35);
        OPDIVs/STAFFDIVs may choose to prepare a NEPA document for any HHS 
    action at any time to further the purposes of NEPA.
        OPDIVs/STAFFDIVs shall determine for each major federal action 
    (hereinafter ``action'') not categorically excluded, the data needed 
    for an environmental assessment and a system for acquiring such data. 
    OPDIVs/STAFFDIVs shall prepare an environmental assessment for each 
    proposed action not categorically excluded and, as a result of its 
    findings prepare a Finding of No Significant Impact (FONSI) or an 
    Environmental Impact Statement (EIS).
    
    [[Page 1680]]
    
    30-50-20  Purpose, Content, and Availability of Environmental 
    Documents
    
        Sections 30-50-40 through 30-50-65 describe the environmental 
    documents that may be required during the process of considering the 
    environmental aspects of an action. These sections describe the various 
    types of NEPA documents including their purposes and contents. OPDIVs/
    STAFFDIVs may publish in the Federal Register additional requirements 
    for the preparation of environmental documents under their 
    responsibility.
        Data and information that are protected from disclosure by 18 
    U.S.C. 1905 or 21 U.S.C. 331(j) or 360j(c) or other applicable laws 
    shall not be included in environmental documents prepared under this 
    chapter. When such data and information are pertinent to the 
    environmental review of a proposed action, an applicant or petitioner 
    shall submit such data and information separately as a confidential 
    section of the application or petition, but shall summarize the 
    confidential data and information in the environmental document to the 
    extent possible.
    
    30-50-25  Actions That May Be Excluded From the Requirement To 
    Prepare an Environmental Assessment or an Environmental Impact 
    Statement
    
        Categorical Exclusions. Actions within a class that individually or 
    cumulatively have been determined under Section 30-20-40 not to 
    significantly affect the quality of the human environment ordinarily 
    are excluded from the preparation of an EA or EIS. To find that a 
    proposed action is categorically excluded, OPDIVs/STAFFDIVs shall 
    determine if:
        1. The proposal fits within a class of actions described in 30-20-
    40 or a categorical exclusion developed by the OPDIV/STAFFDIV in 
    accordance with 30-20-30; and
        2. No extraordinary circumstances are related to the proposed 
    action that may affect the significance of the environmental effects of 
    the proposal.
    
    30-50-30  Other Actions Requiring Preparation of an Environmental 
    Assessment (EA) or an Environmental Impact Statement (EIS)
    
        Any proposed action of a type specified in this section ordinarily 
    requires the preparation of an EA, unless it qualifies for exclusion 
    under section 30-20-40. Such actions include:
        1. Major recommendations or reports made to Congress on proposals 
    for legislation in instances where the Department or OPDIV/STAFFDIV has 
    primary responsibility for the subject matter involved; and
        2. Actions Involving Extraordinary Circumstances. As provided by 40 
    CFR 1508.4, an EA will be required for any specific action that 
    ordinarily is excluded if the OPVID/STAFFDIV has sufficient evidence to 
    establish that the specific proposed action may significantly affect 
    the quality of the human environment. OPDIVs/STAFFDIVs shall prepare an 
    EA when there are extraordinary circumstances in which a normally 
    excluded action may have a significant environmental effect. 
    Extraordinary circumstances include the following:
        (a) Unique situations presented by specific proposals, such as 
    scientific controversy about the environmental effects of the proposal;
        (b) Uncertain effects or effects involving unique or unknown risks; 
    or
        (c) Unresolved conflicts concerning alternate uses of available 
    resources within the meaning of Section 102(2)(E) of NEPA.
        3. Actions Involving Cumulative Impacts. The CEQ regulations 
    require consideration of three types of actions when determining the 
    scope of environmental impact statements. These actions are: (1) 
    Connected actions; (2) cumulative actions; and (3) similar actions. An 
    action may have three types of impacts: (1) direct; (2) indirect; or 
    (3) cumulative. A determination that an action is categorically 
    excluded will be precluded if the action is connected to another action 
    that may require an environmental impact statement or when viewed with 
    other proposed actions may have cumulatively significant impacts. CEQ 
    defines ``connected actions'' and ``cumulative actions'', at 40 CFR 
    1508.25, as follows:
        (a) Connected Actions. ``Connected'' actions means actions that are 
    closely related and therefore should be discussed in the same impact 
    statement. Actions are connected if they:
        (i) Automatically trigger other actions which may require 
    environmental impact statements;
        (ii) Cannot or will not proceed unless other actions are taken 
    previously or simultaneously; or
        (iii) Are interdependent parts of a larger action and depend on the 
    larger action for their justification.
        (b) Cumulative Actions. ``Cumulative actions'' are actions which, 
    when viewed with other proposed actions, have cumulatively significant 
    impacts and should therefore be discussed in the same impact statement.
    
    30-50-35  Categories of Actions Requiring Preparation of an 
    Environmental Impact Statement (EIS)
    
        EIS's are prepared for HHS organization actions when:
        1. Evaluation of data in an Environmental Assessment (EA) leads to 
    a finding by the responsible official that a proposed action may 
    significantly affect the quality of the human environment under the 
    criteria in 40 CFR 1508.14 and 1508.27; or
        2. Initial evaluation by the responsible official of any action, 
    including any action for which an EA would otherwise be required, 
    establishes that significant environmental effects may be associated 
    with one or more of the probable courses of action being considered.
    
    30-50-40  Environmental Assessments
    
        A. Purpose. As defined by CEQ in 40 CFR 1508.9, an Environmental 
    Assessment (EA) is the public document in which environmental and other 
    pertinent information on a proposed action are presented, providing a 
    basis for a determination whether to prepare an Environmental Impact 
    Statement (EIS) or a Finding of No Significant Impact (FONSI).
        An EA shall be prepared for each action not excluded pursuant to 
    Section 30-20-40. The EA shall be a complete, objective, and well-
    balanced document that allows the public to understand the HHS 
    organization's decision.
        B. Contents. The EA shall:
        1. Briefly provide sufficient evidence and analysis for determining 
    whether to prepare an EIS or FONSI;
        2. Briefly discuss the need for the proposed action;
        3. Describe the potential environmental impacts of the proposed 
    action;
        4. Describe measures, including suitable pollution prevention 
    techniques, which would be taken to avoid or mitigate potential 
    environmental impacts associated with the proposed action;
        5. Describe in detail the environmental impact of reasonable 
    alternatives to the proposed action (including no action), particularly 
    those that will enhance the quality of the environment and avoid some 
    or all of the adverse environmental effects of the proposed action;
        6. Include a comparative analysis of environmental benefits and 
    risks of the proposed action and alternatives, identifying the 
    preferred action based on environmental factors;
        7. Include, if appropriate, a floodplain/wetlands assessment 
    prepared under Sections 30-40-40 or
    
    [[Page 1681]]
    
    30-40-70 and analyses needed for other environmental determinations;
        8. List those persons preparing the assessment and their areas of 
    expertise and persons and agencies consulted; and
        9. List complete citations for all referenced documents and include 
    copies of referenced articles that are not generally available.
        Consistent with 40 CFR 1500.4(j) and 1502.21, EAs may incorporate 
    by reference information presented in other documents that are 
    reasonably available to HHS and to the public within the time to 
    comment.
        OPDIVs/STAFFDIVs may specify formats and additional content of EAs 
    that are required to be prepared for proposed actions within their 
    responsibility. A notice of the availability of OPDIV/STAFFDIV formats 
    and instructions for preparation of environmental assessments shall be 
    published in the Federal Register.
        C. Criteria. In determining whether a proposed action will or will 
    not ``significantly affect the quality of the human environment,'' 
    OPDIVs/STAFFDIVs should evaluate the expected environmental 
    consequences of a proposed action by means of the following steps, 
    utilizing the guidance provided in 40 CFR 1508.27:
        Step One--Identify those things that will happen as a result of the 
    proposed action. An action normally produces a number of consequences. 
    For example, a grant to construct a hospital may terminate human 
    services; will involve destruction and construction; will provide a 
    service. Actions may be connected, cumulative, or similar (see 40 CFR 
    1508.25(a)).
        Step Two--Identify the ``human environments'' that the proposed 
    action will affect. In accordance with 40 CFR 1508.27, the significance 
    of an action must be analyzed in several contexts, such as society as a 
    whole (human, national), the affected region, the affected interests, 
    and the locality. The significance of an action will vary with the 
    setting of the proposed action. Environments may include terrestrial, 
    aquatic, subterranean, and aerial environments, such as islands, 
    cities, rivers or parts thereof.
        Step Three--Identify the kinds of effects that the proposed action 
    will cause on these ``human environments.'' A change occurs when a 
    proposed action causes the ``human environment'' to be different in the 
    future than it would have been, absent the proposed action. These 
    changes involve the introduction of various ``resources'' (including 
    those often characterized as waste).
    
        Example: A decrease in the amount of soil entering a stream; the 
    introduction of a new chemical compound to natural environments.
    
        In addition to organisms, substances, and compounds, the term 
    ``resources'' include energy (in various forms), elements, structures, 
    and systems (such as a trash collection service in a city). Present 
    environmental impacts and reasonably foreseeable future environmental 
    impacts must be considered.
        In identifying changes caused by the proposed action, OPDIVs/
    STAFFDIVs should identify the magnitude of the changes likely to be 
    caused within smaller and larger ``human environments'' affected (e.g., 
    part of a city, the whole city, the metropolitan area).
        The impacts resulting from the proposed action may be direct, 
    indirect, or cumulative (see 40 CFR 1508.25(c)).
        Step Four--Identify whether these changes are significant. The 
    following points should be considered in conjunction with 40 CFR 1508.8 
    (effects), 40 CFR 1508.14 (human environment), and 40 CFR 1508.27 
    (``significantly'') in making a decision concerning significance:
         A change in the characterization of an environment is 
    significant (e.g., from terrestrial to aquatic);
         The establishment of a species in or removal of a species 
    from an environment may be significant;
         The more dependent an environment becomes on external 
    resources, the larger the magnitude of change (and the more likely it 
    is to be significant);
         The larger the environment under consideration, the lower 
    the amount of change needed before the change may be significant.
        The CEQ regulations in 40 CFR 1508.27 describe a number of factors 
    that should be considered in evaluating severity (intensity) of an 
    impact. OPCIVs/STAFFDIVs should consider the cumulative effect of the 
    proposed action. An action may be individually insignificant but 
    cumulatively significant when the action is related to other actions. 
    Significance exists if it is reasonable to anticipate a cumulatively 
    significant impact on the environment. Significance cannot be avoided 
    by terming an action temporary or by breaking it down into small 
    component parts.
        Step Five--Consider alternatives to the proposed action. 
    Alternatives to the proposed action include:
         No action alternative;
         Other reasonable courses of action; and
         Mitigation measures.
    
    30-50-45  Findings of No Significant Impact
    
        A. Purpose. A Finding of No Significant Impact (FONS) is a document 
    prepared by an OPDIV/STAFF that briefly presents the reasons why an 
    action, no otherwise excluded (see 30-20-40), will not have a 
    significant effect on the human environment and or which, therefore, an 
    EIS will not be prepared (40 CFR 1508.13).
        B. Responsible. The responsible official will evaluate the 
    information contained in the EA to determine whether it is accurate and 
    objective, whether the proposed action may significantly affect the 
    quality of the human environment, and whether an EIS will be prepared. 
    The responsible official will examine the environmental effects of the 
    proposed action and the alternative courses of action, select a course 
    of action, and ensure that any necessary mitigating measures are 
    implemented as a condition for approving the selected course of action. 
    When the responsible official has determined that the proposed action 
    will not have a significant effect on the human environment, the 
    responsible official will sign the FONSI, thereby establishing that the 
    official approves the conclusion not to prepare an EIS for the action 
    under consideration.
        A FONSI shall be prepared only if the related EA supports the 
    finding that the proposed action will not have a significant effect on 
    the quality of the human environment. The environmental assessment (or 
    a summary of the EA) shall be included as a part of the FONSI.
        If significant effects requiring the preparation of an EIS are 
    identified, a Notice of Intent (NOI) to prepare an EIS will be 
    published in the Federal Register in accordance with Sec. 30-50-55. If 
    an EA does not support a FONSI, an EIS shall be prepared and a Record 
    of Decision (ROD) issued before action is taken on the proposal 
    addressed by the EA, except as permitted under 40 CFR 1506.1.
        C. Contents. The FONSI shall include the following:
        1. The supporting EA or a summary of it (including a brief 
    description of the proposed action and alternatives considered in the 
    EA, environmental factors considered, projected impacts);
        2. References to any other related environmental documents (40 CFR 
    1501.7(a)(5));
        3. Any mitigation measures that will render the impacts of the 
    proposed action not significant;
        4. Any findings required by Sections 30-40-40 or 30-40-70 in 
    connection
    
    [[Page 1682]]
    
    with floodplain or wetlands environmental reviews;
        5. The date of issuance; and
        6. The signature of the approving official.
        If the assessment is included, the FONSI need not repeat any of the 
    discussion in the assessment but may incorporate it by reference.
        D. Proposed Action. An OPDIV/STAFFDIV may proceed with the proposed 
    action after the FONSI is issued, subject to any mitigation measures 
    identified in the FONSI that are essential to render the impacts of the 
    proposed action not significant.
    
    30-50-50  Public Availability of Environmental Assessments and 
    Findings of No Significant Impact
    
        A. Public Availability of FONSI and EA. OPDIVs/STAFFDIVs shall make 
    a FONSI and its related EA available to the public as provided in the 
    CEQ regulation at 40 CFR 1500.6, 1501.4(e)(1) and 1506.6, including 
    making copies available for inspection in public reading rooms or other 
    appropriate locations for a reasonable time.
        B. Public Availability of FONSI. For a limited number of actions, 
    the proposed FONSI and its related EA will be made available for public 
    review (including review by state and area-wide information 
    clearinghouses) for 30 days before a final determination is made 
    whether to prepare an EIS and before the action may begin. This 
    procedure will be followed when the proposed action is, or is closely 
    similar to, one that normally requires an EIS or when the proposed 
    action is one without precedent (40 CFR 1501.4(e)). OPDIVs/STAFFDIVs 
    may issue a proposed FONSI for public review and comment in other 
    situations as well.
        C. Revised FONSI. If a FONSI is revised, it is subject to the 
    public availability requirements of this section.
    
    30-50-55  Notice of Intent and Scoping
    
        A. Purpose. The Notice of Intent (NOI) notifies the public that an 
    EIS will be prepared and considered (40 CFR 1508.22). This 
    determination may be based on information contained in an EA or on 
    other available information which indicates that potentially 
    significant effects may be associated with a proposed action.
        B. Responsibilities. When an environmental assessment indicates 
    that a significant environmental impact may occur and significant 
    adverse impacts cannot be eliminated by making changes in the project, 
    an NOI will be published in the Federal Register as soon as practicable 
    after the responsible official has made a decision to prepare an EIS 
    and before the scoping process. When the responsible official finds 
    that there will be a lengthy period between the decision to prepare an 
    EIS and the time of actual preparation, the NOI may be published at a 
    reasonable time in advance of preparation of the draft EIS.
        C. Contents. As required by 40 CFR 1508.22, the NOI will:
        1. Describe the proposed action and possible alternatives;
        2. Describe the proposed scoping process, which may include a 
    request for information or suggestions regarding the scope of the EIS;
        3. State whether a public scoping meeting will be held, and the 
    location, date, and time of such meeting; and
        4. State the identification of persons within the HHS organization 
    to contact for information about the proposed action and the EIS.
        D. Scoping. Publication of the NOI in the Federal Register beings 
    the scoping process. Scoping is an early and open process for 
    determining the scope of issues to be addressed and for identifying the 
    significant issues related to a proposed action (40 CFR 1501.7). The 
    scoping process for an EIS shall be undertaken in accordance with the 
    procedures in 40 CFR 1501.7. An NOI shall be made available to the 
    public in accordance with 40 CFR 1500.6 and 1506.6. OPDIVs/STAFFDIVs 
    shall allow a minimum of 30 days for the receipt of public comments 
    during the scoping process.
        E. Public Scoping Meetings. A public scoping meeting normally will 
    be conducted whenever an NOI has been published, except that a public 
    scoping process is optional for supplemental EISs (40 CFR 
    1502.9(c)(4)). Public scoping meetings shall not be held until at least 
    15 days after public notification. 40 CFR 1506.6(c)(2).
        F. Scoping Issues. Pollution prevention should be considered an 
    issue in the scoping process because it will encourage those outside 
    the HHS organization to provide insights into pollution prevention 
    technologies that might be available for use in connection with the 
    proposal or its possible alternatives.
    
    30-50-60  Environmental Impact Statements
    
        A. General. OPDIV/STAFFDIV responsible for carrying out a specific 
    action is responsible for preparation of an EIS, if one is required. 
    The final text of an EIS will be prepared by the responsible official 
    after comments on the draft statement have been addressed and received 
    full consideration in the OPDIV/STAFFDIV's decision-making process.
        B. Cooperation With Other Federal Agencies. In cases in which HHS 
    participates with other Federal agencies in a proposed action, one 
    agency will be the lead agency and will supervise preparation of an EIS 
    is one is required. A Memorandum of Understanding among all involved 
    agencies may be useful in summarizing the relative responsibilities of 
    all involved agencies. Lead agency responsibility should be determined 
    in accordance with 40 CFR 1501.5.
        HHS will act as a cooperating agency if requested. HHS may request 
    to be designated as a cooperating agency if proposed actions may affect 
    areas of HHS responsibility. As a cooperating agency, HHS will comply 
    with the procedures in 40 CFR 1501.6(b) to the extent possible, 
    depending on program commitments and the availability of funds and 
    personnel.
        Within the Department, lead or cooperating agency responsibility 
    will be exercised by the OPDIV/STAFFDIV that is responsible for the 
    subject matter of the proposed action. If a proposed action affects 
    more than one OPDIVs/STAFFDIV, the Secretary will designate one of the 
    OPDIV/STAFFDIVs to be responsible for coordinating the preparation of 
    required environmental documentation.
        C. Cooperation With States. In cases in which an OPDIV/STAFFDIV 
    participates with state and local governments in a proposed action, the 
    OPDIV/STAFFDIV is responsible for preparing an EIS. However, a state 
    agency may jointly prepare the statement if it has state-wide 
    jurisdiction and HHS participates in its preparation, including 
    soliciting the views of other state or Federal agencies affected by the 
    statement.
        D. Proposals for Legislation. A legislative EIS must be prepared 
    for any legislative proposal developed by HHS which would significantly 
    affect the quality of the human environment. A legislative EIS shall be 
    submitted to Congress at the time the legislation is proposed to 
    Congress or up to 30 days afterwards. Except as provided in 40 CFR 
    1506.8, a draft EIS accompany a legislative proposal. A scoping process 
    is not required for a legislative EIS.
        E. Responsibilities. Except for proposals for legislation, OPDIVs/
    STAFFDIVs shall prepare EISs in two stages: draft and final. The 
    responsible official will ensure that:
        1. All reasonable alternatives (including no action) are rigorously 
    explored and objectively evaluated,
    
    [[Page 1683]]
    
        2. There is balancing of environmental impacts with the OPDIV's/
    STAFFDIV's objective in choosing an appropriate course of action;
        3. Appropriate mitigation measures are included in the proposed 
    action or alternatives;
        4. Diligent efforts are made to provide an opportunity for the 
    public to participate in the environmental review process;
        5. Comments on a draft EIS are carefully assessed and considered; 
    and
        6. The preferred alternative is the alternative which the OPDIV/
    STAFFDIV believes would fulfill its statutory mission and 
    responsibilities giving consideration to economic, environmental, 
    technical and other factors.
        F. OPDIV/STAFFDIV Action. Except as provided at 40 CFR 1506.1 and 
    1506.10(b) and this section, no HHS OPDIV/STAFFDIV decision on the 
    proposed action shall be made or recorded until at least 30 days after 
    the publication by EPA of notice that the particular EIS has been filed 
    with EPA. If the subject of a final statement is also the subject of a 
    regulation published in the Federal Register, this requirement may be 
    met by simultaneous publication of the regulation and of a Notice of 
    Availability of the final statement and the Record of Decision, 
    provided that the regulation becomes effective no sooner than 30 days 
    after the date of publication, unless such regulation is subject to 
    formal internal appeal. For regulations subject to formal internal 
    appeal, the period for formal appeal of the decision and the 30 day 
    period may run concurrently.
        G. Record of Decision. A Record of Decision (ROD) shall be prepared 
    by the responsible official when an HHS organization decides to take 
    action on a proposal covered by an EIS. See 40 CFR 1505.2. No action 
    shall be taken until the decision has been made public, except as 
    provided at 40 CFR 1500.6 and 1506.1. The contents of a ROD are 
    specified in 30-50-65. (See further discussion in 30-50-65)
        H. Emergency Actions. There are certain HHS organization actions 
    which, because of their immediate importance to the public health, make 
    adherence to the requirements of the CEQ regulations and this section 
    concerning minimum periods of public review impractical. Compliance 
    with the requirements for environmental analysis under NEPA is 
    impossible where emergency circumstances require immediate action to 
    safeguard the public health. For such actions, the responsible official 
    shall consult with the CEQ about alternative arrangements before the 
    action is taken, or after the action is taken if time does not permit 
    prior consultation with CEQ. OPDIVs/STAFFDIVs shall, in accordance with 
    40 CFR 1506.11, limit such arrangements to actions necessary to control 
    the immediate impacts of the emergency. Other actions remain subject to 
    NEPA review. An OPDIV/STAFFDIV shall document, including publishing a 
    notice in the Federal Register, an emergency action covered by this 
    paragraph within 30 days after such action occurs. The documentation 
    shall identify any adverse impacts from the actions taken; further 
    mitigation that is necessary; and any NEPA documents that may be 
    required.
        I. Monitoring. As described in 40 CFR 1505.3, an OPDIVSTAFFDIV may 
    provide for monitoring to ensure that its decisions, any mitigating 
    measures, and other conditions are carried out.
    
    30-50-65  Contents of an EIS
    
        A. Format. The format used for an EIS shall encourage good analysis 
    and clear presentation of the proposed action, alternatives to the 
    proposed action, their environmental effects and, when there is an 
    interrelationship between economic or social and natural or physical 
    environmental effects, their economic, and social impacts. See 40 CFR 
    1508.14. The CEQ regulations (40 CFR part 1502) provide detailed 
    requirements for the preparation of an EIS.
        The following CEQ recommended standard format for EIS's (40 CFR 
    1502.10) shall be used unless the responsible official determines that 
    there is a compelling reason to do otherwise:
        1. Cover Sheet;
        2. Summary;
        3. Table of Contents;
        4. Purpose of and need for action;
        5. Alternatives including proposed action;
        6. Affected environment;
        7. Environmental consequences;
        8. List of preparers;
        9. List of Agencies, organizations, and persons to whom copies of 
    the EIS are sent;
        10. Index; and
        11. Appendices (if any).
        If a different format is used, it shall include paragraphs 1-3, 8-
    10, and shall include the substance of paragraphs 4-7 and 11, in any 
    appropriate format.
        B. Cultural or Natural Assets. If a proposed action will also 
    affect a cultural or natural asset, the EIS shall incorporate the 
    material required by the applicable statute or Executive Order.
        C. Pollution Prevention. Pollution prevention should be an 
    important component of mitigation of the adverse impacts of a Federal 
    action. To the extent practicable, pollution prevention considerations 
    should be included in the proposed action and in the reasonable 
    alternatives to the proposal, and should be addressed in the 
    environmental consequences section of the EIS (40 CFR 1502.14(f), 
    1502.16(h), and 1508.20).
        D. Draft EIS. Draft environmental impact statements shall be 
    prepared in accordance with the scope decided upon in the scoping 
    process and shall satisfy to the fullest extent possible the 
    requirements established for final EISs. All substantive comments 
    received during the comment period held as part of the public scoping 
    process shall be considered in determining the scope of the EIS. The 
    draft statement should discuss all major points of view on the 
    environmental impacts of the alternatives, including the proposed 
    action.
        E. Final EIS. A final EIS shall be prepared following the public 
    comment period and hearing on the draft EIS. The HHS organization's 
    responses to comments shall be made in accordance with 40 CFR 1503.4. A 
    final EIS shall contain any additional relevant information gathered 
    after the publication of the draft EIS, a copy of or a summary of oral 
    and written comments received during the public review of the draft 
    EIS, and the HHS organization's responses to the comments. Any 
    responsible opposing view that was not adequately discussed in the 
    draft statement shall be addressed in the final EIS. A final EIS shall 
    also include any mitigation measures necessary to make the recommended 
    alternative environmentally acceptable and any findings required by 
    Sections 30-40-40 or 30-40-70 in connection with floodplain or wetlands 
    environmental reviews.
        F. Consideration of Comments on the Draft EIS. Comments received on 
    the draft EIS shall be carefully assessed and considered. The final EIS 
    shall respond to oral and written comments received during public 
    review of the draft EIS, as provided by 40 CFR 1503.4.
        G. Supplemental Statement. OPDIVs/STAFFDIVs shall prepare 
    supplements to either draft or final statements if there are 
    substantial changes in the proposed action which are relevant to 
    environmental concerns bearing on the proposed action, if significant 
    new information becomes available, or new circumstances occur. 
    Preparation and circulation of supplements is the same as that for 
    draft and final EISs.
        H. Record of Decision. When an OPDIV/STAFFDIV reaches a decision
    
    [[Page 1684]]
    
    on a proposed action after preparing an EIS, the responsible official 
    shall prepare a concise public record of decision which includes:
        1. The decision;
        2. All alternatives considered, specifying the alternative or 
    alternatives which were considered to be environmentally preferable;
        3. A discussion of factors which were involved in the decision, 
    including any essential considerations of national policy which were 
    balanced by the organization in making its decision and a statement of 
    how those considerations entered into its decision;
        4. A statement of whether all practicable means to avoid or 
    minimize potential environmental harm from the alternative selected 
    have been adopted, and if not, why they were not;
        5. A description of mitigation measures that will be undertaken to 
    make the selected alternative environmentally acceptable;
        6. A discussion of the extent to which pollution prevention is 
    included in the decision and how pollution prevention measures will be 
    implemented; and
        7. A summary of any monitoring and enforcement program adopted for 
    any mitigation measures.
    
    30-50-70  Public involvement and Circulation of Environmental 
    Impact Statements
    
        A. Public Notice. The public has the opportunity to offer comments 
    and otherwise participate in the NEPA process as set forth in 40 CFR 
    1506.6 from the time the decision is made to prepare an EIS. A Notice 
    of Intent (30-50-55) to prepare an EIS is published in the Federal 
    Register and serves as the first public notification that an EIS will 
    be prepared. The scoping process (30-50-55), as announced in the Notice 
    of Intent, allows the public, Indian tribes, Federal agencies, States, 
    and local governments to participate in determining the issues to be 
    considered in the EIS.
        OPDIVs/STAFFDIVs shall make diligent efforts to involve the public 
    in the environmental review process by providing public notice of NEPA-
    related hearings, public meetings, and the availability of 
    environmental documents so as to inform those persons and agencies who 
    may be interested or affected. The responsible official shall ensure 
    that public notice is provided for in accordance with 40 CFR 1500.6 and 
    1506.6(b). Notice shall be made through direct mail, the Federal 
    Register, local media, or other means appropriate to the scope, issues, 
    and extent of public concern. In all cases, notice shall be given to 
    those who have requested it on an individual action. Public notice 
    shall include the name and location of a contact official through whom 
    additional material may be obtained. EPA will publish in the Federal 
    Register a Notice of Availability of HHS draft and final EISs.
        OPDIVs/STAFFDIVs must give public notice in the following 
    instances:
        1. Prior to preparing a draft statement in order to solicit public 
    participation; and
        2. Prior to any public hearings.
        B. Public Hearings. OPDIVs/STAFFDIVs shall hold public hearings as 
    part of the NEPA environmental review process when hearings will assist 
    substantially in forming environmental judgments. The hearings shall be 
    conducted in a manner that is consistent with OPDIV/STAFFDIV program 
    requirements. The responsible official shall conduct a public hearing 
    on a draft EIS and shall ensure that the draft EIS is made available to 
    the public and the hearing announced at least 15 days in advance of the 
    hearing. The announcement shall identify the subject of the draft EIS 
    and include the location, date, and time of the public hearing.
        C. Availability of Draft EIS. Draft EISs will be prepared, 
    forwarded to EPA for filing, and made available to the public early 
    enough in the consideration of the proposed action to permit meaningful 
    review of the environmental issues involved. A draft EIS will be sent 
    to any party having an interest in the document, and will be available 
    to the public upon request for the purpose of receiving substantive 
    comment, corrections, and additional information on the issues covered 
    by the statement. Copies of draft statements shall be provided to:
        1. U.S. Environmental Protection Agency;
        2. Council on Environmental Quality;
        3. Other Federal agencies having related special expertise or 
    jurisdiction by law;
        4. Appropriate local and national organizations;
        5. Appropriate State and local agencies; including those authorized 
    to develop and enforce environmental standards;
        6. Indian tribes, as appropriate, and
        7. Others requesting a copy of the draft statement.
        D. Comments on Draft EIS. After preparing a draft EIS and before 
    preparing a final EIS, the responsible official shall obtain the 
    comments of Federal agencies, Indian tribes, State and local government 
    agencies, and the public in accordance with 40 CFR 1503.1. The 
    responsible official shall respond to comments in the final EIS in 
    accordance with 40 CFR 1503.4. There shall be a 45-day minimum comment 
    period for a draft EIS after EPA publishes a Notice of Availability of 
    the document in the Federal Register (40 CFR 1506.10(c)). Procedures 
    for the preparation and circulation of a supplemental statement are 
    contained in 30-50-65G.
        E. Proposed Rulemaking. If the subject of a draft EIS is also the 
    subject of a notice of proposed rulemaking, the Federal Register notice 
    of proposed rulemaking will state that the draft EIS is available upon 
    request, and will solicit comments from all interested persons.
        F. Final EIS. Copies of final statements shall be provided in 
    accordance with the list in subsection C and to all agencies, persons, 
    or organizations who submitted comments regarding the draft statement. 
    Copies of each final EIS will be available upon request, and the 
    responsible HHS organization will make copies of the final statement 
    available for public inspection in public reading room(s).
        G. Record of Decision. The responsible official shall publish the 
    ROD in the Federal Register and disseminate the ROD to the public as 
    provided in 40 CFR 1506.6, except as provided in 40 CFR 1507.3(c).
    
    30-50-70  Environmental Effects Abroad of Major Agency Actions
    
        A. Consideration of Environmental Effects. In accordance with 
    Executive Order 12114, Environmental Effects Abroad of Major Federal 
    Actions, 44 FR 1957 (1979), 42 U.S.C. 4321 note, the responsible 
    official shall consider the environmental effects abroad of a major 
    action by the Department or one of its OPDIVs/STAFFDIVs, including 
    whether the action involves:
        1. Potential environmental effects on the global commons and areas 
    outside the jurisdiction of any nation, e.g., oceans, Antarctica, and 
    the upper atmosphere;
        2. Potential environmental effects on a foreign nation not 
    participating with or otherwise involved with the United States and not 
    otherwise involved in an HHS organization activity;
        3. The export of products (or emissions or effluent) that in the 
    United States are prohibited or strictly regulated because their 
    effects on the environment create a serious public health risk; or
        4. Potential environmental effects on natural and ecological 
    resources of global importance designated under the Executive Order.
        Before deciding on any action falling into the categories specified 
    in
    
    [[Page 1685]]
    
    subsection A of this section, the responsible official shall determine 
    in accordance with Section 2-3 of the Executive Order whether such 
    actions may have a significant environmental effect abroad.
        B. Type of Environmental Review. If the responsible official 
    determines that an action may have a significant environmental effect 
    abroad, the responsible official shall determine in accordance with 
    Section 2-4(a) and (b) of the Executive Order whether the subject 
    action calls for:
        1. An EIS;
        2. A bilateral or multilateral environmental study; or
        3. A concise environmental review.
        C. Preparation of Environmental Documents. In preparing 
    environmental documents under this section, the responsible official 
    shall:
        1. Determine, as provided in Section 2-5 of the Executive Order, 
    whether proposed actions are subject to the exemptions, exclusions, and 
    modification in contents, timing, and availability of documents; and
        2. Coordinate all communications with foreign governments 
    concerning environmental agreements and other arrangements in 
    implementing the Executive Order.
    
    30-50-80  Reviewing External Environmental Impact Statements
    
        HHS has a responsibility under section 102(2)C of NEPA to review 
    and comment on draft EISs developed by other Federal agencies. In 
    accordance with 40 CFR 1503.2, HHS must comment on each EIS on issues 
    for which it has ``jurisdiction by law or special expertise.''
        A. Jurisidction by Law. An OPDIV/STAFFDIV reviewing a draft EIS 
    should review each alternative action discussed in an EIS in terms of 
    the Departments statutory responsibilities. For example, the reviewer 
    should examine:
        1. Potential effects on the delivery or quality of health, social, 
    or welfare services;
        2. Potential effects associated with the manufacture, 
    transportation, use, storage, and disposal of chemicals or other 
    hazardous or radioactive materials;
        3. Potential changes in plant or animal populations. (This includes 
    examination of the potential effects the proposed action may have on 
    human health. Changes in natural predator populations may upset the 
    ecological balance to the extent that an increased incidence of 
    morbidity or mortality will occur unless offsetting safeguards are 
    instituted); and
        4. Potential changes in the physical environment that could affect 
    human health or welfare (e.g., air pollution, change in land use). 
    (This shall also include an examination of the availability and quality 
    of water, sewage, and solid waste disposal facilities.)
        B. Jurisdiction by Special Expertise. Individuals reviewing EISs 
    may comment, in addition, in areas beyond their immediate job 
    responsibilities when they have special expertise which may be 
    appropriate. For example, a veterinarian employed in a disease 
    prevention program can comment on an EIS discussion about the effects 
    of a forestry project on animal populations.
        C. Types of Comments. Comments on an EIS or on a proposed action 
    shall be as specific as possible and may address either the adequacy of 
    the statement or the merits of the alternatives discussed or both. A 
    reviewer's comment on an external EIS can address one or more of the 
    following:
        1. That data are missing or inaccurate;
        2. That the organization of the EIS precludes a valid review;
        3. That the projections or descriptions of effects are not complete 
    or are inaccurate;
        4. That the reviewer does not concur with the projections (stating 
    reasons);
        5. That certain safeguards will lessen the extent of an effect or 
    the magnitude of an impact;
        6. A preference for an action alternative (or no action); or
        7. An objection to a federal agency's preferred alternative (if one 
    is identified in the draft EIS) and recommend adoption of new or 
    existing alternatives.
        Objections to a federal agency's alternative should be lodged on 
    the basis of the direct or indirect effects on HHS programs or mission. 
    When an objection or reservation about the proposal is made on grounds 
    of environmental impacts, an OPDIV/STAFFDIV shall specify the 
    mitigation measures it considers necessary to allow it to grant or 
    approve applicable permit, license, or related requirements or 
    concurrences (40 CFR 1503.3).
        If a lead federal agency's predictive methodology is criticized, 
    the OPDIV/STAFFDIV should describe the alternative methodology which it 
    prefers and the rationale for its preference. An OPDIV/STAFFDIV shall 
    specify in its comments whether it needs additional information to 
    fulfill other applicable environmental reviews or consultation 
    requirements and what information it needs. In particular, an OPDIV/
    STAFFDIV shall specify any additional information it needs to comment 
    adequately on the draft statements analysis of significant site-
    specific effects associated with the granting or approving of necessary 
    Federal permits, licenses, or entitlements.
        D. Resolution of Comments. If an OPDIV/STAFFDIV objects to all or 
    part of a Federal agency's proposed action and, after consultation with 
    the agency, is unable to resolve its differences, it shall determine if 
    the proposed action meets the criteria for referral in 40 CFR 1504.2. 
    If the criteria are met, the OPDIV/STAFFDIV head shall refer the 
    objection to CEQ within 25 days of the date that the final EIS is made 
    available to EPA in accordance with 40 CFR 1504.3.
    
    HHS Chapter 30-60--General Administration Manual; HHS Transmittal 
    98.2
    
    Subject: Emergency Planning and Community Right-To-Know Act of 1986 
    (EPCRA) Requirements
    
    30-60-00....  Background
          05....  Applicability
          10....  Responsibilities
          20....  Emergency Planning
          30....  Notification of Release of Extremely Hazardous Substance
          40....  Material Safety Data Sheet Reporting
          50....  Emergency and Hazardous Chemical Inventory Reporting
          60....  Treatment of Mixtures in MSDS and Inventory Reporting
          70....  Toxic Chemical Release Inventory Reporting
          80....  Public Availability of Information; Withholding and
                   Disclosure of Trade Secrets
          90....  Compliance
          100...  Civil and Criminal Penalties
     
    
    30-60-00  Background
    
        EPCRA was enacted in 1986 as Title III of the Superfund Amendments 
    and Reauthorization Act (SARA), Pub. L. No. 99-499, 100 Stat. 1729 
    (codified at 42 U.S.C. 11001-11050(1988)). Although they are sometimes 
    connected by their emergency notification and reporting requirements, 
    EPCRA is a separate act from the ``Superfund'' law or, as it is 
    officially titled, the Comprehensive Environmental Response, 
    Compensation, and Liability Act of 1980 (CERCLA).
        EPCRA's provisions form two primary programs: (1) emergency 
    planning, and (2) community right-to-know. EPCRA establishes a 
    mechanism for providing the public with important information on the 
    hazardous and toxic chemicals in their communities, and it creates 
    emergency planning and notification requirements to protect the public 
    in the
    
    [[Page 1686]]
    
    event of a release of extremely hazardous substances. The law requires 
    local communities to prepare plans for dealing with emergencies 
    relating to the release of extremely hazardous substances from 
    facilities within those communities. EPCRA also provides the public and 
    local and state governments with the right to obtain information 
    concerning the types, amount, location, storage, use, disposition, and 
    possible health effects from the release of hazardous and extremely 
    hazardous substances from facilities that are in their communities.
        Facilities that are subject to EPCRA are required to provide 
    information and reports to EPA and state and local groups. Five 
    distinct reporting requirements are contained in EPCRA:
        1. Emergency planning (30-60-20);
        2. Notification of release (30-60-30);
        3. Material safety data sheet submission (30-60-40);
        4. Emergency and hazardous chemical inventory reporting (30-60-50), 
    and
        5. Toxic chemical release reports (30-60-70).
        Each of these reporting requirements and other facility 
    responsibilities are described in the following sections.
    
    30-60-05  Applicability
    
        A. Executive Order 12856. EPCRA applies to ``persons''. The term 
    ``person'' is defined in the act to include individuals, partnerships, 
    corporations, states, and municipalities. The definition does not cover 
    most United States government agencies. EPCRA is made applicable to 
    federal agencies by Executive Order 12856. E.O. 12856 incorporates by 
    reference all definitions found in EPCRA and EPA implementing 
    regulations, except that it modifies the term ``person'' to include 
    Federal executive agencies as defined in 5 U.S.C. 105 (1988). Executive 
    agencies are Executive Departments, government corporations, and 
    independent establishments of the United States. HHS is an Executive 
    Department and is subject to EPCRA because of Executive Order 12856.
        B. Agency Facilities. Executive Order 12856 provides that EPCRA 
    applies to all Federal executive agencies that either own or operate a 
    ``facility'' as that term is defined in EPCRA, if such facility meets 
    the statute's threshold requirements for compliance. The statutory 
    definition of facility is:
        All buildings, equipment, structures, and other stationary items 
    which are located on a single site or on contiguous or adjacent sites 
    and which are owned or operated by the same person (or by any person 
    which controls, is controlled by, or under common control with, such 
    person). For purposes of [emergency release notification], the term 
    includes motor vehicles, rolling stock, and aircraft (42 U.S.C. 
    11049(4)).
        EPA regulations revise the statutory definition of facility to 
    include ``manmade structures in which chemicals are purposefully placed 
    or removed through human means such that it functions as a containment 
    structure for human use.'' (40 CFR 3550.20, 370.2). The purpose of the 
    revision was to clarify that the definition applies to certain 
    subsurface structures.
        C. Covered Facilities. Each Federal agency must apply all of the 
    provisions of Executive Order 12856 to each of its covered facilities, 
    including those facilities which are subject, independent of the 
    Executive order, to the provisions of EPCRA (e.g., certain Government-
    owned/contractor-operated facilities (GOCO's), for chemicals meeting 
    EPCRA thresholds). Executive Order 12856 does not apply to Federal 
    agency facilities outside the customs territory of the United States, 
    such as United States diplomatic and consular missions abroad. EPA may 
    be consulted to determine the applicability of Executive Order 12586 to 
    particular OPDIV/STAFFDIV facilities.
        D. Preliminary List of Covered Facilities. The Secretary was 
    required by Executive Order 12856 to provide the EPA Administrator by 
    December 31, 1993, with a preliminary list of facilities that 
    potentially meet the requirements for reporting under the threshold 
    provisions of EPCRA.
    
    30-60-10  Responsibilities
    
        A. HHS. Executive Order 12856 makes the Secretary responsible for 
    ensuring HHS compliance with emergency planning and community right-to-
    know provisions established pursuant to all implementing regulations 
    issued pursuant to EPCRA. The Order requires Federal agencies to report 
    in a public manner toxic chemicals entering any wastestream from their 
    facilities, including any releases to the environment, and to improve 
    local emergency planning, response, and accident notification. The 
    objective of Executive Order 12856 is to make the Federal Government a 
    good neighbor to local communities by becoming a leader in providing 
    information to the public concerning toxic and hazardous chemicals and 
    extremely hazardous substances at Federal facilities, and in planning 
    for and preventing harm to the public through the planned or unplanned 
    releases of chemicals.
        B. OPDIVs/STAFFDIVs. The head of each OPDIV/STAFFDIV is responsible 
    for compliance with the provisions of EPCRA as described in this 
    chapter and Executive Order 12856. An OPDIV/STAFFDIV must comply with 
    provisions set forth in sections 301 through 312 of EPCRA, all 
    implementing regulations, and future amendments to these authorities, 
    in light of any applicable guidance as provided by EPA. Dates for 
    compliance with individual sections of EPCRA vary and are set forth in 
    the appropriate sections below. Executive Order 12856 provides that the 
    compliance dates are not intended to delay implementation of earlier 
    timetables already agreed to by Federal agencies and are inapplicable 
    to the extent they interfere with those timetables. Compliance with 
    EPCRA means compliance with the same substantive, procedural, and other 
    statutory and regulatory requirements that would apply to a private 
    person.
        C. Agency Contractors. Executive Order 12856 requires each Federal 
    agency to provide, in all appropriate future contracts, for the 
    contractor to supply all information the Federal agency deems necessary 
    for it to comply with the order. To the extent that compliance with the 
    Executive Order is made more difficult due to lack of information from 
    existing contractors, OPDIVs/STAFFDIVs must take practical steps to 
    obtain the information needed to comply with the Executive Order from 
    such contractors. Nothing in Executive Order 12856 alters the 
    obligations which GOCO's and Government corporation facilities have 
    under EPCRA independent of the Executive Order or subjects such 
    facilities to EPCRA if they are otherwise excluded. However, each 
    OPDIV/STAFFDIV shall include the releases and transfers from all such 
    facilities when meeting all of the organization's responsibilities 
    under Executive Order 12856.
    
    30-60-20  Emergency Planning (EPCRA Secs. 301-30; 42 U.S.C. 11001-
    30)
    
        A. Basic Requirement. Facilities that are covered by EPCRA must 
    notify the State emergency response commission that they are subject to 
    the Act's emergency planning provisions. A local emergency planning 
    committee, comprised of state and local officials, community 
    organizations, and facility representatives, must prepare an emergency 
    plan for responding to the release of extremely hazardous substances in 
    the local community. A covered facility must provide any information 
    that is necessary for developing the local emergency plan.
    
    [[Page 1687]]
    
    The facility must also notify the local committee of relevant changes 
    at the facility that may affect the emergency plan and designate an 
    emergency planning coordinator who will participate in the emergency 
    planning process. EPA regulations governing emergency planning and 
    notification under EPCRA are contained in 40 CFR part 355.
        B. Applicability of Requirement. A facility is subject to the EPCRA 
    emergency planning requirements if an amount of any extremely hazardous 
    substance equal to or in excess of the threshold planning quantity 
    (TPQ) established for that substance is present at the facility. An 
    ``amount of an extremely hazardous substance'' means the total amount 
    of an extremely hazardous substance present at any one time at a 
    facility at concentrations greater than one percent by weight, 
    regardless of location, number of containers, or method of storage.
        E.O. 12856 makes the EPCRA emergency planning requirements in 
    Sections 302 and 303 of the Act applicable to Federal agencies. A 
    Governor or a State commission may designate additional facilities in 
    the State which shall be subject to the EPCRA emergency planning 
    requirements. The authority of a Governor or a State commission to 
    designate additional facilities does not extend to Federal executive 
    agencies (except government corporations).
        C. Extremely Hazardous Substances and Threshold Planning 
    Quantities. An ``extremely hazardous substance'' is defined in EPA 
    regulations to mean a substance that is listed in Appendices A (in 
    alphabetical order) and B (by CAS number) of 40 CFR part 355. The 
    Appendices contain tables which indicate the threshold planning 
    quantity (TPQ) for each extremely hazardous substance.
        EPCRA authorizes EPA to modify the list and TPQ of extremely 
    hazardous substances from time to time based on the toxicity, 
    reactivity, volatility, dispersability, combustibility, and 
    flammability of a substance. Because extremely hazardous substances are 
    periodically removed or added to the list, and threshold quantities may 
    be revised, facilities must be sure that the list of extremely 
    hazardous substances they consult is current. EPA regulations in 40 CFR 
    355.30(e) (1992) set forth the rules and techniques for calculating the 
    TPQ of extremely hazardous substances that are solids or present in 
    mixtures, solutions, and molten materials.
        D. State and Local Planning Groups. EPCRA requires the Governor of 
    each State or Chief Executive Officer of an Indian Tribe to appoint an 
    Emergency Response Commission (``commission''). The commission must 
    designate emergency planning districts in order to facilitate 
    preparation and implementation of an emergency plan. The commission 
    must also appoint local emergency planning committees (``committee'') 
    in each emergency planning district and supervise and coordinate the 
    activities of such committees.
        Local committees include, at a minimum, representatives from each 
    of the following groups or organizations: elected State and local 
    officials; law enforcement, civil defense, firefighting, first aid, 
    health, local environmental, hospital, and transportation personnel; 
    broadcast and print media; community groups; and owners and operators 
    of facilities subject to EPCAR.
        E. Local Emergency Plan. Each local emergency planning committee 
    was to have completed preparation of a local emergency plan not later 
    than October 17, 1988. The committee must review such plan once a year, 
    or more frequently as changed circumstances in the community or at any 
    facility may require. The rules of committee must include provisions 
    for public notification of committee activities, public meetings to 
    discuss the emergency plan developed by the committee, public comments 
    on the emergency plan and response to such comments by the committee, 
    and distribution of the emergency plan. EPCRA requires that each local 
    emergency plan prepared by a local committee shall include (but is not 
    limited to) each of the following:
        1. Identification of facilities subject to the EPCRA's requirements 
    that are within the emergency planning district, identification of 
    routes likely to be used for the transportation of substances on the 
    list of extremely hazardous substances, and identification of 
    additional facilities contributing or subjected to additional risk due 
    to their proximity to facilities subject to EPCRA requirements, such as 
    hospitals or natural gas facilities.
        2. Methods and procedures to be followed by facility owners and 
    operators and local emergency and medical personnel to respond to any 
    release of such substances;
        3. Designation of a community emergency coordinator and facility 
    emergency coordinators, who shall make determinations necessary to 
    implement the plan;
        4. Procedures providing reliable, effective, and timely 
    notification by the facility emergency coordinators and the community 
    emergency coordinator to persons designated in the emergency plan, and 
    to the public, that a release has occurred (consistent with the 
    emergency notification requirements of EPCRA Section 11004);
        5. Methods for determining the occurrence of a release, and the 
    area or population likely to be affected by such release;
        6. A description of emergency equipment and facilities in the 
    community and at each facility in the community subject to EPCRA 
    requirements, and an identification of the person responsible for such 
    equipment and facilities;
        7. Evacuation plans, including provisions for a precautionary 
    evacuation and alternative traffic routes;
        8. Training programs, including schedules for training of local 
    emergency response and medical personnel; and
        9. Methods and schedules for exercising the emergency plan.
        F. Review of Emergency Plans. After completion of an emergency plan 
    for an emergency planning district, the local emergency planning 
    committee must submit a copy of the plan to the State emergency 
    response commission of each State in which such district is located. 
    The commission must review the plan and make recommendations to the 
    committee on revisions of the plan that may be necessary to ensure 
    coordination of such plan with emergency response plans of other 
    emergency planning districts.
        Regional response teams, as established pursuant to CERCLA's 
    National Contingency Plan (42 U.S.C. 9605), may review and comment upon 
    an emergency plan or other issues related to preparation, 
    implementation, or exercise of such a plan upon request of a local 
    emergency planning committee. Such review may not delay implementation 
    of the plan. The national response team must publish guidance documents 
    for preparation and implementation of emergency plans.
        G. Emergency Planning Notification. Each covered facility small 
    notify the commission for the state in which the facility is located 
    that the facility is subject to EPCRA emergency planning requirements.
        Thereafter, if a substance on the list of extremely hazardous 
    substances first becomes present at the facility in excess of the TPQ 
    established for such substance, or if there is a revision of the list 
    of extremely hazardous substances and the facility has present a 
    substance on the revised list in excess of the TPQ established for such 
    substance, the covered facility shall notify the state emergency 
    response commission and
    
    [[Page 1688]]
    
    the local emergency planning committee within 60 days after such 
    acquisition or revision that the facility is subject to the EPCRA 
    emergency planning requirements. (EPCRA, Sec. 302(c)).
        H. Facility Emergency Response Coordinator. A facility 
    representative shall be designated for each facility who will 
    participate in the local emergency planning process as a facility 
    emergency response coordinator. The name of the facility emergency 
    response coordinator shall be provided to the local emergency planning 
    committee of the State (or the Governor if there is no committee) in 
    which the facility is located.
        I. Provision of Information and Technical Assistance
        1. Provision of Information. Upon request of the local committee, 
    the facility must promptly provide to the committee any information 
    necessary for development or implementation of the local emergency 
    plan. Executive Order 12856 provides that all information necessary for 
    the applicable local committee to prepare or revise the local emergency 
    plan must also be provided. A covered facility shall inform the local 
    emergency planning committee of any changes occurring at the facility 
    which may be relevant to emergency planning.
        EPCRA section 322 (42 U.S.C. 11042) provides for the withholding of 
    certain trade secret information, provided the claim of trade secrecy 
    is substantiated in accordance with EPA regulations. Withholding and 
    disclosure of trade secret information is discussed in section 30-60-
    80.
        2. Technical Assistance. OPDIVs/STAFFDIVs, to the extent 
    practicable, shall provide technical assistance, if requested, to local 
    emergency planning committees in the development of emergency plans and 
    in fulfillment of their community right-to-know and risk reduction 
    responsibilities.
    
    30-60-30  Notification of Release of Extremely Hazardous Substance 
    (EPCRA Sec. 304; 42 U.S.C. 11004)
    
        A. Basic Requirement. A facility must immediately notify the local 
    committee for any area likely to be affected, and the commission of any 
    state likely to be affected, of all-site spills or any releases from 
    the facility of a ``reportable quantity'' (RQ) of an EPCRA ``extremely 
    hazardous substance'' or a CERCLA ``hazardous substance''. The initial 
    report must be made by such means as telephone, radio, or in person. A 
    follow-up written report must be furnished to the committee and 
    commission. EPA regulations governing notification of release of an 
    extremely hazardous substance are contained in 40 CFR Part 355.
        B. Applicability. The EPCRA emergency release notification 
    requirements apply to any facility:
        1. At which a hazardous chemical is produced, used, or stored; and
        2. At which there is release of a reportable quantity of any 
    extremely hazardous substances or CERCLA hazardous substance.
        Executive Order 12856 provides that the release notification 
    requirements in EPCRA section 304 (42 U.S.C. 11004) shall be effective 
    beginning January 1, 1994.
        OPDIVs/STAFFDIVs should be aware that the release notification 
    requirements of EPCRA section 304 covers more facilities than the 
    emergency planning requirements of EPCRA sections 301-303. An OPDIV/
    STAFFDIV facility must notify the local emergency planning committee of 
    a release under section 304 even if a section 302(b) ``threshold 
    planning quantity'' of a substance is not present. Furthermore, section 
    304 is the only section of EPCRA that applies to ``transportation 
    facilities.''
        C. Reportable Quantities. EPA regulations in 40 CFR part 355 
    establish the list of extremely hazardous substances, threshold 
    planning quantities, and facility notification responsibilities 
    necessary for the development and implementation of state and local 
    emergency response plans. The reportable quantities for extremely 
    hazardous substances are set out in 40 CFR part 355, Appendices A 
    (alphabetical order) and B (by CAS number).
        D. CERCLA Release Reporting. The EPCRA notification of release 
    requirements are in addition to the release reporting requirements 
    imposed by CERCLA section 103 (42 U.S.C. 9603). Under CERCLA section 
    103(a), the person in charge of a vessel or facility from which a 
    hazardous substance has been released in a quantity that equals or 
    exceeds its reportable quantity must immediately notify the National 
    Response Center of the release. The purpose of the CERCLA notification 
    requirement is to inform the government of a release so that Federal 
    personnel can evaluate the need for a Federal removal or remedial 
    action and undertake any necessary action in a timely manner. Under 
    section 104 of CERCLA, the Federal government may respond whenever 
    there is a release or substantial threat of a release of a hazardous 
    substance into the environment. Response activities are to be taken, to 
    the extent practicable, in accordance with the National Oil and 
    Hazardous Substances Pollution Contingency Plan (40 CFR part 300).
        Releases of CERCLA hazardous substances are subject to the release 
    reporting requirements that are codified at 40 CFR part 302. The list 
    of CERCLA hazardous substances and their reportable quantities is found 
    at 40 CFR 302.4. The National Response Center telephone number for 
    release reporting is (800) 424-8802.
    
        Note:  Currently, only releases of those extremely hazardous 
    substances that are also CERCLA hazardous substances are required to 
    be reported to the National Response Center under CERCLA section 
    103. Discrepancies exist between the substances on the list of EPCRA 
    extremely hazardous substances and those on the list of CERCLA 
    hazardous substances. Moreover, the reportable quantity of the same 
    substance may differ between lists. EPA has published a proposed 
    rule to designate 226 non-CERCLA extremely hazardous substances as 
    CERCLA hazardous substances (54 FR 3388 (1989)). The purpose of the 
    proposed rule is to eliminate potential confusion concerning the 
    different EPCRA (notification to state and local officials only) and 
    CERCLA (notification to the National Response Center in addition to 
    notification to state and local officials) requirements. EPA has 
    also published a proposed rule to adjust the reportable quantities 
    for 225 substances on the EPCRA extremely hazardous substances list, 
    which EPA has proposed for designation as CERCLA hazardous 
    substances, and 19 substances that are CERCLA hazardous substances 
    (54 FR 35988 (1989)).
    
        E. Comparison of EPCRA and CERCLA Release Reporting Requirements. 
    Table 1 indicates the differences in reporting a release of a 
    reportable quantity of a CERCLA hazardous substance or an EPCRA 
    extremely hazardous substance.
    
        Note: A petroleum release that contains a reportable quantity of 
    an extremely hazardous substance as a constituent is exempt under 
    CERCLA but not under EPCRA section 304. The petroleum exclusion 
    under CERCLA does not apply to EPCRA (52 FR 13378, 13385 (1987)).
    
    [[Page 1689]]
    
    
    
                       Table 1.--Comparison of CERCLA and EPCRA Release Notification Requirements
    ----------------------------------------------------------------------------------------------------------------
                                                               Substance only on EPCRA
                                         Substance only on        list of extremely
          Reporting requirement            CERCLA list of        hazardous substances      Substance on CERCLA and
                                        hazardous substances    (40 CFR Part 355, Appx           EPCRA lists
                                           (40 CFR 302.4)               A & B)
    ----------------------------------------------------------------------------------------------------------------
    Notify State and Local Officials  Yes....................  Yes (unless release      Yes
                                                                results in exposure
                                                                only to persons solely
                                                                within the boundaries
                                                                of the facility).
    Notify National Response Center.  Yes....................  No.....................  Yes
    Does the petroleum exclusion      Yes....................  No.....................  Yes--CERCLA Report
     apply?.                                                                            No--EPCRA Report
    ----------------------------------------------------------------------------------------------------------------
    
        F. Notice Requirements. A facility shall immediately notify the 
    community emergency coordinator for the local emergency planning 
    committee of any area likely to be affected by the release and the 
    state emergency response commission of any state likely to be affected 
    by the release. If there is no local emergency planning committee, 
    notification shall be provided to relevant local emergency response 
    personnel.
        Emergency release notice requirements for a transportation-related 
    release may be satisfied by providing the information indicated in 
    subsection G. Notice Contents by telephone to the 911 operator, or in 
    the absence of a 911 emergency telephone number, to the operator. A 
    ``transportation-related release'' means a release during 
    transportation, or storage incident to transportation if the stored 
    substance is moving under active shipping papers and has not reached 
    the ultimate consignee.
        G. Notice Contents. The emergency release notice shall include the 
    following to the extent known at the time of notice and so long as no 
    delay in notice or emergency response results:
        1. The chemical name or identity of any substance involved in the 
    release.
        2. An indication of whether the substance is an extremely hazardous 
    substance.
        3. An estimate of the quantity of any such substance that was 
    released into the environment.
        4. The time and duration of the release.
        5. The medium or media into which the release occurred.
        6. Any known or anticipated acute or chronic health risks 
    associated with the emergency and, where appropriate, advice regarding 
    medical attention necessary for exposed individuals.
        7. Proper precautions to take as a result of the release, including 
    evacuation (unless such information is readily available to the 
    community emergency coordinator pursuant to the emergency plan).
        8. The names and telephone number of the person or persons to be 
    contacted for further information.
        H. Following Emergency Notice. As soon as practicable after a 
    release which requires notice under subsection F. Notice Requirements, 
    a written follow-up emergency notice (or notices, as more information 
    becomes available) setting forth and updating the information required 
    in subsection G. Notice Contents and including additional information 
    with respect to:
        1. Actions taken to respond to and contain the release;
        2. Any known or anticipated acute or chronic health risks 
    associated with the release; and
        3. Where appropriate, advice regarding medical attention necessary 
    for exposed individuals.
        I. Transportation Exemption Not Applicable. EPCRA generally exempts 
    from its requirements the transportation, including the storage 
    incident to such transportation, of any substance or chemical subject 
    to EPCRA. This transportation exemption does not apply to this section 
    (30-60-30) or EPCRA's requirements for notification of the release of 
    an extremely hazardous substance (EPCRA Sec. 304; 42 U.S.C. 11004).
        Refer to subsection F. Notice Requirements for requirements 
    pertaining to transportation-related releases.
        J. Exempted Releases. The notification requirements of this section 
    (30-60-30) do not apply to:
        1. Any release which results in exposure to persons solely within 
    the boundaries of the facility. (Note: CERCLA does not contain a 
    similar exemption);
        2. Any release which is a ``Federally permitted release'' as 
    defined in section 101 (10) of CERCLA (42 U.S.C. 9601 (10));
        3. Any release that is continuous and stable in quantity and rate 
    under the definitions in 40 CFR 302.8(b).* Exemption from notification 
    under this subsection does not include exemption from:
        (a) Initial telephone or written notifications of a continuous 
    release as defined in 40 CFR 302.8(d) and (e);
        (b) Notification of a ``statistically significant increase,'' 
    defined in 40 CFR 302.8(b) as any increase above the upper bound of the 
    reported normal range, which is to be submitted to the community 
    emergency coordinator for the local emergency planning committee for 
    any area likely to be affected by the release and to the State 
    emergency response commission of any State likely to be affected by the 
    release;
        (c) Notification of a ``new release'', defined in 40 CFR 
    302.8(g)(1) as any change in the composition or source(s) of the 
    release; or
        (d) Notification of a change in the normal range of the release as 
    required under 40 CFR 302.8(g)(2).
    
        *The referenced definitions that apply to the notification of a 
    continuous release state: ``A continuous release is a release that 
    occurs without interruption or abatement or that is routine, 
    anticipated, and intermittent and incidental to normal operations or 
    treatment processes * * *. A routine release is a release that 
    occurs during normal operating procedures or processes * * *. A 
    release that is stable in quantity and rate is a release that is 
    predictable and regular in amount and rate of emission.'' (40 CFR 
    302.8(b)).
        **``The normal range of a release is all releases (in pounds or 
    kilograms) of a hazardous substance reported or occurring over any 
    24-hour period under normal operating conditions during the 
    preceding year. Only releases that are both continuous and stable in 
    quantity and rate may be included in the normal range.'' (40 CFR 
    302.8(b)).
    
        4. Any release of a pesticide product exempt from CERCLA section 
    103(a) (42 U.S.C. 9603(a)) reporting under CERCLA section 103(e) (42 
    U.S.C. 9603(e)) (CERCLA exempts from its notification requirements the 
    application of a pesticide product registered under FIFRA or the 
    handling and storage of such a pesticide product by an agricultural 
    producer);
        5. Any release not meeting the definition of release under section 
    101 (22) of CERCLA (42 U.S.C. 9601(22)), and therefore exempt from 
    CERCLA
    
    [[Page 1690]]
    
    section 103(a) reporting (42 U.S.C. 9603(a)) (e.g., engine exhaust 
    emissions, certain nuclear material releases, the normal application of 
    fertilizer); and
        6. Any radionuclide release which occurs:
        (a) Naturally in soil from land holdings such as parks, golf 
    courses, or other large tracts of land;
        (b) Naturally from the disturbance of land for purposes other than 
    mining, such as for agricultural or construction activities;
        (c) From the dumping of coal and coal ash at utility and industrial 
    facilities with coal-fired boilers; and
        (d) From coal and coal ash piles at utility and industrial 
    facilities with coal-fired boilers.
    
    30-60-40  Material Safety Data Sheet Reporting (EPCRA Sec. 311; 42 
    U.S.C. 11021)
    
        A. Basic Requirement. A material safety data sheet (MSDS) or a list 
    of hazardous chemicals shall be provided to the local emergency 
    planning committee, the State emergency planning commission, and the 
    fire department with jurisdiction over the facility for each hazardous 
    chemical present at the facility according to the minimum threshold 
    schedule provided in 40 CFR 370.20(b) (see subsection D. Minimum 
    Thresholds for Reporting). An MSDS must include such information as the 
    hazardous chemical's common and chemical names, physical and chemical 
    characteristics, physical and health hazards, primary routes of entry, 
    exposure limits, possible carcinogenic effects, safe handling and use 
    precautions, control measures, and emergency and first aid procedures 
    (29 CFR 1910.1200(g)(2)). EPA regulations governing MSDS reporting are 
    contained in 40 CFR part 370.
    
        Note: Requirements for the reporting of mixtures is contained in 
    section 30-60-60.
        B. Applicability. The requirement in section 311 of EPCRA to submit 
    a MSDS or list of hazardous chemicals applies to each facility that is 
    required to prepare or have available a MSDS for a hazardous chemical 
    under the Occupational Safety and Health Act of 1970 (29 U.S.C. 651 et 
    seq.) and regulations promulgated under that Act (see 29 CFR 
    1910.1200(g)). The Act requires a facility to have a MSDS for each 
    hazardous chemical it uses, produces or imports (29 CFR 
    1910.1200(g)(1)).
        C. Alternative Reporting. In lieu of the submission of an MSDS for 
    each hazardous chemical, the following may be submitted:
        1. A list of the hazardous chemicals for which an MSDS is required, 
    grouped by hazard category as defined by 40 CFR 370.2 (e.g., 
    ``immediate (acute) health hazard'' or ``delayed (chronic) health 
    hazard'');
        2. The chemical or common name of each hazardous chemical as 
    provided on the MSDS; and
        3. Except for reporting of mixtures under 40 CFR 370.28(a)(2) (see 
    section 30-60-60, subsection A.2.), any hazardous component of each 
    hazardous chemical as provided on the MSDS.
        D. Minimum Threshold Levels for MSDS Reporting. Except in response 
    to certain requests for submission of an MSDS, an MSDS shall be 
    submitted:
        1. For all hazardous chemicals present at the facility at any one 
    time in amounts equal to or greater than 10,000 pounds (or 4,540 kgs.); 
    and
        2. For all extremely hazardous substances present at the facility 
    in an amount greater than or equal to 500 pounds (or 227 kgs. 
    approximately 55 gallons) of the TPQ, whichever is lower.
        The minimum threshold for reporting in response to a request for 
    submission of an MSDS by a local emergency planning committee (see 
    subsection H. Submission of MSDS Upon Committee Request) shall be zero.
        E. Definition of ``Hazardous Chemical''. The term ``hazardous 
    chemical'', as defined in 29 CFR 1910.1200(c), means any chemical which 
    is a physical hazard or a health hazard, except that such term does not 
    include the following substances:
        1. Any food, food additive, color additive, drug, or cosmetic 
    regulated by the Food and Drug Administration;
        2. Any substance present as a solid in any manufactured item to the 
    extent exposure to the substance does not occur under normal conditions 
    of use;
        3. Any substance to the extent it is used for personal, family, or 
    household purposes, or is present in the same form and concentration as 
    a product packaged for distribution and use by the general public;
        4. Any substance to the extent it is used in a research laboratory 
    or a hospital or other medical facility under the direct supervision of 
    a technically qualified individual; and
        5. Any substance to the extent it is used in routing agricultural 
    operations or is a fertilizer held for sale by a retailer to the 
    ultimate customer.
    
        Note: The definition of ``hazardous chemical'' in this section 
    (30-60-40) is broader than ``hazardous substance'' under CERCLA or 
    ``extremely hazardous substance'' under EPCRA (see sections 30-60-
    20, 30-60-30).
    
        F. Reporting Period. Executive Order 12856 provides that to the 
    extent that a facility is required to maintain MSDSs under any 
    provisions of law or Executive order, information required under 
    section 311 of EPCRA shall be submitted no later than August 3, 1994. 
    Thereafter, a facility shall submit an MSDS for a hazardous chemical or 
    a list within three months after a hazardous chemical requiring an MSDS 
    becomes present in an amount exceeding the threshold established in 40 
    CFR 370.20(b) (see subsection D. Minimum Threshold Levels for 
    Reporting).
        G. Supplemental Reporting. A revised MSDS shall be provided to the 
    local emergency planning committee, the State emergency planning 
    commission, and the fire department with jurisdiction over the facility 
    within three months after discovery of significant new information 
    concerning the hazardous chemical for which the MSDS was submitted.
        H. Submission of MSDS Upon Committee Request. A facility that has 
    not submitted the MSDS for a hazardous chemical present at the facility 
    shall submit the MSDS for any such hazardous chemical to the local 
    emergency planning committee upon its request. The MSDS shall be 
    submitted within 30 days of the receipt of such request. The minimum 
    threshold for reporting in response to a request for submission of an 
    MSDS by a local committee shall be zero.
        I. Public Request for MSDS Information. EPA regulations permit any 
    person to obtain an MSDS with respect to a specific facility by 
    submitting a written request to the local emergency planning committee. 
    If the committee does not have the MSDS in its possession, the EPA 
    regulations authorize the committee to request a submission of the MSDS 
    from the owner or operator of the facility that is the subject of the 
    request and make the sheet available to the requester.
        J. Withholding of Trade Secret Information. EPCRA section 322 (42 
    U.S.C. 11042) provides that any person may withhold from the submittal 
    of an MSDS the specific chemical identity (including the chemical name 
    and other specific identification) of a hazardous chemical when such 
    information is a trade secret and the claim of trade secrecy is 
    substantiated in accordance with EPA regulations. Withholding and 
    disclosure of trade secret information is discussed in section 30-60-
    80.
    
    30-60-50  Emergency and Hazardous Chemical Inventory Reporting 
    (EPCRA Sec. 312; 42 U.S.C. Sec. 1022)
    
        A. Basic Requirement. A facility shall submit annually an Emergency 
    and Hazardous Chemical Inventory
    
    [[Page 1691]]
    
    Reporting Inventory Form (Tier I form) to the local emergency planning 
    committee, the State emergency response commission, and the fire 
    department with jurisdiction over the facility for hazardous chemicals 
    present at the facility during the preceding calendar year that are 
    above the minimum threshold levels established for those chemicals (see 
    subsection D. Minimum Threshold Levels for Tier I or Tier II Form 
    Reporting). The Tier I form provides aggregate information on the 
    categories, amounts, and general location of the hazardous chemicals at 
    the facility. EPA regulations governing annual inventory reporting are 
    contained in 40 CFR part 370.
    
        Note: Requirements for the reporting of mixtures is contained in 
    section 30-60-60.
    
        B. Alternative Reporting. With respect to any specific hazardous 
    chemical at the facility, a Tier II form (see subsection G. Contents of 
    Tier II Form) may be submitted in lieu of the Tier I information.
        C. Applicability of the Requirement. The requirement in section 312 
    of EPCRA to submit an emergency and hazardous chemical inventory form 
    applies to each facility that is required to prepare or have available 
    an MSDS for a hazardous chemical under OSHA and regulations promulgated 
    under that Act. OSHA requires facilities that use, distribute, produce, 
    or import chemicals to have a material safety data sheet for each 
    hazardous chemical which they use (29 CFR 1910.1200(g)(1)).
        D. Minimum Threshold Levels for Tier I or Tier II Form Reporting. 
    Except in response to certain requests for submission of a Tier II 
    form, a Tier I (or Tier II) form shall be submitted covering:
        1. All hazardous chemicals present at the facility at any one time 
    during the preceding calendar year in amounts equal to or greater than 
    10,000 pounds (or 4,540 kgs.); and
        2. Extremely hazardous substances present at the facility in an 
    amount greater than or equal to 500 pounds (or 227 kgs.--approximately 
    55 gallons) or the TPQ, whichever is lower.
        The minimum threshold for reporting in response to a request for 
    submission of a Tier II form by a State emergency response commission, 
    local emergency planning committee, or fire department having 
    jurisdiction over the facility (see subsection H. Submission of Tier II 
    Information to State Commissions, Local Committees, or Fire 
    Departments) shall be zero.
        E. Annual Reporting Period. An inventory form containing Tier I (or 
    Tier II) information on hazardous chemicals present at the facility 
    during the preceding calendar year above the threshold levels 
    established in 40 CFR 370.20(b) (see subsection D. Minimum Threshold 
    Levels for Tier I or Tier II Form Reporting) shall be submitted on or 
    before March 1 of each year. Executive Order 12856 provides that the 
    first year of compliance with this reporting requirement for federal 
    agencies shall be no later than the 1994 calendar year, with reports 
    due on ore before March 1, 1995.
        F. Content of Tier I Form. The Tier I Emergency and Hazardous 
    Chemical Inventory Form (with instructions) is set out in 40 CFR 
    370.40(b). In lieu of the form, a facility may submit a State or local 
    form that contains identical content. The Tier I Inventory Form 
    requires a facility to provide the following information in aggregate 
    terms for hazardous chemicals in categories of health and physical 
    hazards as set forth under OSHA and regulations promulgated under that 
    Act.
        1. An estimate (in ranges) of the maximum amount of hazardous 
    chemicals in each category present at the facility at any time during 
    the preceding calendar year.
        2. An estimate (in ranges) of the average daily amount of hazardous 
    chemicals in each category present at the facility during the preceding 
    calendar year.
        3. The general location of hazardous chemicals in each category.
        The EPA regulations consolidate 23 hazard categories defined in the 
    OSHA Hazard Communication Standard, 29 CFR 1910.1200, into two health 
    hazard and three physical hazard categories. The five Tier 1 Form 
    hazard categories are: fire hazards; sudden release of pressure 
    hazards; reactivity hazards; immediate (acute) health hazards; and 
    delayed (chronic) health hazards.
        G. Contents of Tier II Form. Tier II Emergency and Hazardous 
    Chemical Inventory Forms (with instructions) is set out in 40 CFR 
    370.41(b). In lieu of the form contained in the EPA regulations, a 
    facility may submit a state or local form that contains identical 
    content. The Tier II Inventory Form requires the following additional 
    information for each hazardous chemical present at the facility:
        1. The chemical name or the common name of the chemical as provided 
    on the MSDS.
        2. An estimate (in ranges) of the maximum amount of the hazardous 
    chemical present at the facility at any time during the preceding 
    calendar year.
        3. An estimate (in ranges) of the average daily amount of the 
    hazardous chemical present at the facility during the preceding 
    calendar year.
        4. A brief description of the manner of storage of the hazardous 
    chemical.
        5. The location at the facility of the hazardous chemical.
        6. An indication of whether the facility elects to withhold 
    information regarding the location of the hazardous chemical from 
    disclosure to the public under 42 U.S.C. 11044 (see subsection L. 
    Withholding Certain Information From Public Disclosure.
        H. Submission of Tier II information to State Commissions, Local 
    Committees, or Fire Departments. Upon request by a State emergency 
    response commission, a local emergency planning committee, or a fire 
    department with jurisdiction over the facility, a facility shall 
    provide Tier II information to the person making the request. Any such 
    request shall be with respect to a specific facility. The Tier II Form 
    shall be submitted within 30 days of the receipt of each request. The 
    minimum threshold for reporting in response to a request for submission 
    of a Tier II form by a State commission, local committee, or fire 
    department shall be zero.
        I. Availability of Tier II Information to Other State and Local 
    Officials. A State or local official acting in his or her official 
    capacity may have access to Tier II information by submitting a request 
    to the State emergency response commission or the local emergency 
    planning committee. Upon receipt of a request for Tier II information, 
    the State commission or local committee is authorized by EPA 
    regulations to request the facility for the Tier II information and 
    make available such information to the official.
        J. Availability of Tier II Information to General Public. Any 
    person may request Tier II information with respect to a specific 
    facility by submitting a written request to the State commission or 
    local committee in accordance with EPA requirements in 40 CFR 
    370.30(b). If the committee or commission does not have the Tier II 
    information in its possession, EPA regulations authorize it to request 
    a submission of the Tier II form from the facility that is the subject 
    of the request, provided that the request is limited to hazardous 
    chemicals stored at the facility in an amount in excess of 10,000 
    pounds. If the request is for Tier II information on chemicals present 
    at a facility in an amount less than 10,000 pounds, the requestor must 
    include a general statement of need in the request. The location of any 
    chemical shall be withheld by the State commission or local committee 
    upon request of the facility (see subsection L. Withholding
    
    [[Page 1692]]
    
    Certain Information From Public Disclosure).
        EPCRA requires a State commission or local committee to respond to 
    a request for Tier II information no later than 45 days after the date 
    of receipt of the request.
        K. Fire Department Inspection. A facility that has submitted an 
    inventory form shall allow on-site inspection by the fire department 
    having jurisdiction over the facility upon request of the department, 
    and shall provide to the department specific location information on 
    hazardous chemicals at the facility.
        L. Withholding Certain Information From Public Disclosure.
        1. Physical Location of Hazardous Chemical. All information 
    obtained from a facility in response to a public request to a State 
    commission or local committee for a Tier II form must be made available 
    to the person submitting the request, provided, upon request of the 
    facility, the commission or committee shall withhold from disclosure 
    the location of any specific chemical identified in the Tier II form.
        2. Trade Secret Information. EPCRA section 322 (42 U.S.C. 11042) 
    provides that any person may withhold from a submittal of an emergency 
    and hazardous chemical inventory reporting form the specific chemical 
    identity (including the chemical name and other specific 
    identification) of a hazardous chemical when such information is a 
    trade secret and the claim of trade secrecy is substantiated in 
    accordance with EPA regulations. Withholding and disclosure of trade 
    secret information is discussed in section 30-60-80.
    
    30-60-60  Treatment of Mixtures in MSDS and Inventory Reporting
    
        A. Basic Reporting. A facility may meet the MSDS reporting 
    requirements of 40 CFR 370.21 (see 30-60-40) and the inventory 
    reporting requirements of 40 CFR 370.25 (see 30-60-50) for a hazardous 
    chemical that is a mixture of hazardous chemicals by:
        1. Providing the required information on each component in the 
    mixture which is a hazardous chemical*; or
        2. Providing the required information on the mixture itself.
    
        *Note: If more than one mixture has the same component, only 
    MSDS or listing on the inventory form for the component is 
    necessary.
    
        B. Same Manner of Reporting. Where practicable, the reporting of 
    mixtures by a facility shall be in the same manner for MSDS (see 30-60-
    40) and inventory (see 30-60-50) reporting.
        C. Calculation of the Quantity. If the reporting is on each 
    component of the mixture which is a hazardous chemical, then the 
    concentration of the hazardous chemical, in weight percent (greater 
    than 1% or 0.1% if carcinogenic) shall be multiplied by the mass (in 
    pounds) of the mixture to determine the quantity of the hazardous 
    chemical in the mixture. If the reporting is on the mixture itself, the 
    total quantity of the mixture shall be reported.
        D. Aggregation of Extremely Hazardous Substances. To determine 
    whether the reporting threshold for an extremely hazardous substance 
    has been equaled or exceeded, the owner or operator of a facility shall 
    aggregate the following:
        1. The quantity of the extremely hazardous substance present as a 
    component in all mixtures at the facility, and
        All other quantities of the extremely hazardous substance present 
    at the facility.
        If the aggregate quantity of an extremely hazardous substance 
    equals or exceeds the reporting threshold, the substance shall be 
    reported.
        If extremely hazardous substances are being reported and are 
    components of a mixture at a facility, the owner or operator of a 
    facility may report either:
        1. The mixture, as a whole, even if the total quantity of the 
    mixture is below its reporting threshold; or
        2. The extremely hazardous substance component(s) of the mixture.
    
    30-60-70  Toxic Chemical Release Inventory Reporting (EPCRA 
    Sec. 313; 42 U.S.C. 11023)
    
        A. Basic Requirement. A facility that is subject to the EPCRA 
    section 313 reporting requirement shall submit annually a Toxic 
    Chemical Release Inventory Reporting Form (Form R) to EPA and to 
    affected States and Indian tribes. The purpose of this reporting is to 
    inform the general public and the communities surrounding covered 
    facilities about releases of toxic chemicals, to assist research, and 
    to aid in the development of regulations, guidelines, and standards.
        A completed Form R must be submitted for each toxic chemical 
    manufactured, processed, or otherwise used at the facility in excess of 
    the threshold quantity established for that chemical. The facility must 
    report the activities and uses of the toxic chemical at the facility, 
    quantity released to the environment (air, water, or land), maximum 
    amount on-site during the calendar year, and amount contained in wastes 
    transferred off-site. The facility must also provide certain treatment 
    and pollution prevention data. Mandatory source reduction and recycling 
    data reporting requirements were added to Form R after enactment of the 
    Pollution Prevention Act of 1990 (42 U.S.C. 13101-13109). Reporting of 
    source reduction and recycling data is discussed in chapter 30-80.
        Suppliers must also notify persons to whom they distribute mixtures 
    or trade name products containing toxic chemicals that they contain 
    such chemicals.
        EPA regulations governing annual toxic chemical release inventory 
    reporting and supplier notification are contained in 40 CFR part 372.
        B. Applicability of the Reporting Requirement. Section 313 of EPCRA 
    requires that toxic chemical release inventory (TRI) reports be filed 
    by facilities that meet all three of the following criteria during a 
    calendar year:
        1. The facility has ten or more full-time employees;
        2. The facility is included in Standard Industrial Classification 
    (SIC) Codes 20 through 39 (Note: Executive Order 12856 requires Federal 
    facilities to comply with section 313 without regard to standard 
    industrial classification); and
        3. The facility manufactured (including imported), processed, or 
    otherwise used any listed toxic chemical in excess of the established 
    threshold quantity of that chemical (see subsection D. Reporting 
    Threshold).
        Executive Order 12856 provides that the head of each Federal agency 
    shall comply with the provisions set forth in section 313 of EPCRA, all 
    implementing regulations, and future amendments to these authorities, 
    in light of applicable guidance as provided by EPA. The head of each 
    Federal agency shall comply with these provisions without regard to the 
    Standard Industrial Classification (SIC) delineations that apply to the 
    Federal agency's facilities, and such reports shall be for all 
    releases, transfers, and wastes at such Federal agency's facility 
    without regard to the SIC code of the activity leading to the release, 
    transfer, or waste. All other existing statutory or regulatory 
    limitations or exemptions on the application of EPCRA section 313 shall 
    apply to the reporting requirements set forth in section 3-304(a) of 
    the Order.
        40 CFR 372.38(f) addresses reporting where two or more 
    organizations operate establishments within a single facility on leased 
    property without common ownership or control.
    
        Note: The TRI reporting requirement is different from the 
    reporting requirements in the preceding sections, because a section 
    313 report is not triggered by the release of a certain amount of a 
    toxic chemical. The
    
    [[Page 1693]]
    
    criteria for reporting under section 313 is based on the amount of a 
    toxic chemical that a facility uses in a year. If a facility uses 
    more than a certain amount of a listed toxic chemical in a year, all 
    releases of that chemical must be reported (unless the use or 
    release is exempted).
    
        C. Information Required To Be Reported
        1. Toxic Chemical Release Inventory. Information elements that are 
    reportable on EPA Form R or equivalent magnetic media format (see 
    subsection I. Form R. Availability) include the following:
        (a) Name and CAS number (if applicable) of the chemical reported. 
    The toxic chemicals that are subject to EPCRA section 313 reporting are 
    listed in 40 CFR 372.65. The EPA regulations contain three listings of 
    the toxic chemicals: (a) An alphabetical order listing of those 
    chemicals that have an associated Chemical Abstracts Service (CAS) 
    Registry number; (b) a CAS number order list of the same chemicals; and 
    (c) an alphabetical listing of the chemical categories for which 
    reporting is required.
        (b) An indication of the activities and uses of the chemical at the 
    facility.
        (c) An indication of the maximum amount of the chemical on site at 
    any point in time during the reporting year.
        (d) An estimate of total releases in pounds per year from the 
    facility plus an indication of the basis of estimate for the following:
        (1) Fugitive or non-point air emissions.
        (2) Stack or point air emissions.
        (3) Discharges to receiving streams or water bodies including an 
    indication of the percent of releases due to stormwater (and the 
    name(s) of receiving stream(s) or water body to which the chemical is 
    released).
        (4) Underground injection on site.
        (5) Releases to land on site.
        (e) Information on transfers of the chemical in wastes to off-site 
    locations.
        (f) Information relative to waste treatment.
        (g) If the chemical identity is claimed trade secret, a generic 
    name for the chemical.
        (h) A mixture component identity if the chemical identity is not 
    known.
        Within the ``Instructions for Completing EPA Form R'', EPA warns 
    that because a complete Form R consists of at least nine unique pages, 
    and submission containing less than nine unique pages will not be 
    considered a valid submission. A complete report for any listed toxic 
    chemical that is not claimed as a trade secret consists of the 
    following completed parts:
        Part I with an original signature on the certification statement 
    (section 2); and Part 11 (section 8 is now mandatory).
        The instructions to Form R contain guidance for voluntary revision 
    of a previously-submitted Form R.
    
        Note: Reporting requirements for a current calendar year may 
    differ from previous years. Changes from the previous year are 
    described in the instructions for Form R and should be carefully 
    noted. Significant changes to the reporting requirements may occur 
    because chemicals are added to the toxic chemical list for the 
    current reporting year or have been delisted and are not covered for 
    the reporting year. See the Form R Reporting Instructions for the 
    names and CAS number of chemicals that have been delisted from, or 
    added to, the toxic chemical list.
    
        2. Source Reduction and Recycling Data. Section 8 of EPA Form R 
    asks for data related to source reduction and recycling. Reporting 
    requirements for source reduction and recycling data are described in 
    chapter 30-80.
        3. Facility Identifying Information. Certain identifying 
    information about the facility must be reported on Form R, including 
    facility name and address; main business activity; all facility 
    identifiers (I.D.) (e.g., EPA RCRA I.D. Number, NPDES permit number; 
    Underground Injection Well Code (UIC) I.D., TRI facility I.D.); name 
    and telephone number for both a technical contact and a public contact; 
    and latitude and longitude coordinates for the facility.
        4. Certification by Senior Management Official. A senior management 
    official of the facility shall sign the Form R and make the following 
    certification: ``I hereby certify that I have reviewed the attached 
    documents and, to the best of my knowledge and belief, the submitted 
    information is true and complete and that amounts and values in this 
    report are accurate based upon reasonable estimates using data 
    available to the preparer of the report.''
        D. Reporting Threshold. 40 CFR 372.25 contains threshold amounts 
    for reporting chemicals. If more than 25,000 pounds of a listed toxic 
    chemical is manufactured (including imported) or processed at a 
    facility in a calendar year, the chemical must be reported. If more 
    than 10,000 pounds of a listed toxic chemical is not manufactured or 
    processed but is otherwise used at a facility in a given calendar year, 
    the chemical must be reported. When more than one threshold applies to 
    an activity at a facility, the facility must report if it exceeds any 
    applicable threshold and must report on all activities at the facility 
    involving the chemical, unless exempted (see subsection F. Exemptions 
    from Reporting).
        When a facility manufactures, processes, or otherwise uses more 
    than one member of a chemical category listed in 40 CFR 372.65(c), the 
    facility must report if it exceeds any applicable threshold for the 
    total volume of all the members of the category involved in the 
    applicable activity. Any such report must cover all activities at the 
    facility involving members of the category.
        A facility may process or otherwise use a toxic chemical in a 
    recycle/reuse operation. To determine whether the facility has 
    processed or used more than an applicable threshold of the chemical, 
    the facility shall count the amount of the chemical added to the 
    recycle/reuse operation during the calendar year. In particular, if the 
    facility starts up such an operation during a calendar year, or in the 
    event that the contents of the whole recycle/reuse operation are 
    replaced in a calendar year, the facility shall also count the amount 
    of the chemical replaced into the system at these times.
        If a toxic chemical is listed in 40 CFR 372.65 with the notation 
    that only persons who manufacture the chemical, or manufacture it by a 
    certain method, are required to report, a facility that solely 
    processes or uses such a chemical is not required to report for that 
    chemical. Only a facility that manufactures that chemical in excess of 
    the threshold applicable to such manufacture is required to report. In 
    completing the reporting form, the manufacturing facility is only 
    required to account for the quantity of the chemical so manufactured 
    and releases associated with such manufacturing, but not releases 
    associated with subsequent processing or use of the chemical at that 
    facility.
        E. Toxic Chemical Components of a Mixture or Trade Name Product. A 
    report is required on a toxic chemical that is known to be present as a 
    component of a mixture or trade name product which is received from 
    another person, if that chemical is imported, processed, or otherwise 
    used by the receiving facility in excess of an applicable threshold 
    quantity as part of that mixture or trade name product. For purposes of 
    EPA regulations, knowledge that a toxic chemical is present as a 
    component of a mixture or trade name product exists if the operator of 
    the facility:
        1. Knows or has been told the chemical identity or Chemical 
    Abstracts Service Registry Number of the chemical and the identity or 
    Number corresponds to an identity or Number in 40 CFR 372.65, or
        2. Has been told by the supplier of the mixture or trade name 
    product that the
    
    [[Page 1694]]
    
    mixture or trade name product contains a toxic chemical subject to 
    EPCRA section 313.
        Guidance in determining whether a toxic chemical which is a 
    component of a mixture or trade name product has been imported, 
    processed, or otherwise used in excess of an applicable threshold at 
    the facility can be found at 40 CFR 372.30(b)(3).
    
    F. Exemptions from Reporting
    
        1. Laboratory Activities. Toxic chemicals manufactured, processed, 
    or used in a laboratory at a covered facility under the supervision of 
    a technically qualified individual as defined in 40 CFR 720.3(ee)* do 
    not have to be considered in determining whether a threshold has been 
    met unless the laboratory is engaged in:
        (a) Specialty chemical production;
        (b) Manufacture, processing, or use of toxic chemicals in pilot 
    plant-scale operations; or
        (c) Activities conducted outside the laboratory.
    
        *40 CFR 720.3(ee) defines ``technically qualified individual'' 
    as ``a person or persons (1) who, because of education, training, or 
    experience, or a combination of these factors, is capable of 
    understanding the health and environmental risks associated with the 
    chemical substance which is used under his or her supervision; (2) 
    who is responsible for enforcing appropriate methods of conducting a 
    scientific experimentation, analysis, or chemical research to 
    minimize such risks; and (3) who is responsible for the safety 
    assessments and clearances related to the procurement, storage, use, 
    and disposal of the chemical substance as may be appropriate or 
    required within the scope of conducting a research and development 
    activity.''
    
        2. Other Uses. If a toxic chemical is used at a covered facility 
    for one of the following purposes, the facility is not required to 
    consider the quantity of the toxic chemical used for such purpose when 
    determining whether an applicable threshold has been met or determining 
    the amount of releases to be reported:
        (a) use as a structural component of the facility;
        (b) Use of products for routine janitorial or facility grounds 
    maintenance (e.g., use of janitorial cleaning supplies, fertilizers, 
    and pesticides similar in type or concentration to consumer products);
        (c) Personal use by employees or other persons at the facility of 
    foods, drugs, cosmetics, or other personal items containing toxic 
    chemicals, including supplies of such products within the facility such 
    as in a facility operated cafeteria, store, or infirmary;
        (d) Use of products containing toxic chemicals for the purpose of 
    maintaining motor vehicles operated by the facility;
        (e) Use of toxic chemicals present in process water and non-contact 
    cooling water as drawn from the environment or from municipal sources, 
    or toxic chemicals present in air used either as compressed air or as 
    part of combustion.
    
        Note. If the toxic chemical is also manufactured (including 
    imported), processed, or otherwise used at the covered facility 
    other than as described in this subsection, in excess of an 
    applicable threshold quantity, the facility is required to report 
    under 40 CFR 372.30.
    
        3. De Minimis Concentrations of a Toxic Chemical in a Mixture. A 
    facility is not required to consider the quantity of a toxic chemical 
    present in a mixture of chemicals when determining whether an 
    applicable threshold has been met or determining the amount of release 
    to be reported if the toxic chemical is in a concentration in the 
    mixture which is:
        (a) Below 1 percent of the mixture; or
        (b) Below 0.1 percent of the mixture in the case of a toxic 
    chemical which is a carcinogen as defined in 29 CFR 1910.1200(d)(4).
        This exemption applies whether the facility received the mixture 
    from another person or the facility produced the mixture, either by 
    mixing the chemicals involved or by causing a chemical reaction which 
    resulted in the creation of the toxic chemical in the mixture.
    
        Note: If the toxic chemical is also manufactured (including 
    imported), processed, or otherwise used at the covered facility 
    other than as part of the mixture or in a mixture at higher 
    concentrations, in excess of an applicable threshold quantity, the 
    facility is required to submit a Form R.
    
        4. Articles. The quantity of a toxic chemical present in an article 
    at a covered facility need not be considered when determining whether 
    an applicable threshold has been met or determining the amount of 
    release to be reported. ``Article'' means a manufactured item which:
        (a) Is formed to a specific shape or design during manufacture;
        (b) Has end-use functions dependent in whole or in part upon its 
    shape or design during end-use; and
        (c) Does not release a toxic chemical under normal conditions of 
    processing or use of that item at the facility or establishments.
        This exemption applies whether the facility received the article 
    from another person or the facility produced the article. However, this 
    exemption applies only to the quantity of the toxic chemical present in 
    the article. If the toxic chemical is manufactured (including 
    imported), processed, or otherwise used at the covered facility other 
    than as part of the article, in excess of an applicable threshold 
    quantity, the facility is required to submit a Form R. If a release* of 
    a toxic chemical occurs as a result of the processing or use of an item 
    at the facility, that item does not meet the definition of ``article''.
    
        *``Release'' means ``any spilling, leaking, pumping, pouring, 
    emitting, emptying, discharging, injecting, escaping, leaching, 
    dumping, or disposing into the environment (including the 
    abandonment or discarding of barrels, containers, and other closed 
    receptacles) of any toxic chemical.'' (40 CFR 372.3)
    
        5. Ownership of Leased Real Estate. EPA regulations provide that 
    the owner of a covered facility ``is not subject to TRI reporting if 
    such owner's only interest in the facility is ownership of the real 
    estate upon which the facility is operated.'' (40 CFR 372.38(e)). This 
    exemption applies to owners of facilities, such as industrial parks, 
    all or part of which are leased to persons who operate establishments 
    within SIC code 20 through 39 where the owner has no other business 
    interest in the operation of the covered facility.
        G. Annual Reporting Period. Reports are due annually and contain 
    data on releases during the previous calendar year. The report for any 
    calendar year must be submitted on or before July 1 of the following 
    year. Executive Order 12856 provides that the first year of compliance 
    for Federal agencies with the reporting requirements in EPCRA Section 
    313 shall be no later than for the 1994 calendar year, with reports due 
    on or before July 1, 1995.
        H. Reporting for Establishments Within a Facility. For purposes of 
    submitting a Form R, a ``covered facility'' may consist of more than 
    one establishment. A separate Form R may be submitted for each 
    establishment or for each group of establishments within the facility, 
    provided that activities involving the toxic chemical at all the 
    establishments within the covered facility are reported. If each 
    establishment or group of establishments files separate reports, then 
    separate reports must be submitted for all other chemicals subject to 
    reporting at that facility. An establishment or group of establishments 
    does not have to submit a report for a chemical that is not 
    manufactured (including imported), processed, otherwise used, or 
    released at that establishment or group of establishments.
    
    [[Page 1695]]
    
        I. Form R Availability. Reports under section 313 of EPCRA are made 
    on EPA Form R (EPA Form 9350-1), the Toxic Chemical Release Inventory 
    (TRI) Reporting Form. Form R is submitted to EPA, affected States, and 
    Indian tribes. A completed Form R must be submitted for each toxic 
    chemical manufactured, processed, or otherwise used at each covered 
    facility in excess of an applicable threshold.
        EPA encourages facilities to submit the required information to EPA 
    by using magnetic media (computer disk or tape) in lieu of Form R. 
    Instructions for submitting and using magnetic media may also be 
    obtained from the address given in this subsection.
        The most current version of EPA Form R, including instructions for 
    Form R, and related documents may be obtained from: Section 313 
    Document Distribution Center, P.O. Box 12505, Cincinnati, OH 45212.
        EPA Form R and instructions also may be obtained by calling the 
    EPCRA Information Hotline. Questions about completing Form R may be 
    directed to the EPCRA Information Hotline at the following address or 
    telephone numbers: Emergency Planning and Community Right-to-Know 
    (EPCRA) Information Hotline, Environmental Protection Agency, 401 M 
    Street, SW (OS-120), Washington, DC 20460; 800-535-2002 or 703-920-9877 
    from 8:30 a.m. to 7:30 p.m. Eastern Time (Mon-Fri, except Federal 
    holidays.).
        The toll-free number is accessible throughout the United States, 
    including Washington, DC, and Alaska. EPA Regional Staff may also be of 
    assistance.
        EPA has developed a package called the Toxic Chemical Release 
    Inventory Reporting System. The diskette comes with complete 
    instructions for use. It also provides prompts and messages to help 
    report according to EPA instructions. For copies of the diskette, call 
    the EPCRA Hotline.
        J. Where Reports Are To Be Sent. Reports are to be sent to EPA and 
    to the State-designated Sec. 313 contact for the State in which the 
    facility is located or the designated official of an Indian tribe if it 
    is located on Indian land.
        Send reports to EPA by mail to: EPCRA Reporting Center, P.O. Box 
    23779, Washington, DC 20026-3779, Attn: Toxic Chemical Release 
    Inventory.
        To submit a Form R via hand delivery or certified mail, the EPCRA 
    Information Hotline may be called to obtain the street address of the 
    EPCRA Reporting Center. The Form R instructions include appropriate 
    State submission addresses. Note that ``state'' also includes the 
    District of Columbia, the Commonwealth of Puerto Rico, Guam, American 
    Samoa, the U.S.-Virgin Islands, the Northern Mariana Islands, and any 
    other territory or possession over which the United States has 
    jurisdiction. The Form R instructions also include information on 
    sending copies to the applicable Indian tribe and submission of reports 
    in magnetic media and computer-generated facsimile forms.
    
    K. Supplier Notification Requirement
    
        1. Basic Requirement. EPA regulations provide that a facility that 
    manufactures (including imports) or processes a toxic chemical and 
    sells or otherwise distributes a mixture or trade name product 
    containing the toxic chemical to a facility in Standard Industrial 
    Classification Codes 20 through 30 that employs ten or more people, or 
    to a person who in turn may sell or otherwise distribute such mixture 
    or trade name product to such a facility, must provide a notification 
    to each person to whom the mixture or trade name product is sold or 
    otherwise distributed from the facility.
    
        Note: 40 CFR 372.45 states that only those facilities that are 
    in Standard Industrial Classification (SIC) codes 20 through 39 (see 
    40 CFR 372.22(b)) must provide a supplier notification. However, 
    Executive Order 12856 states that each Federal agency is to comply 
    with the provisions set forth in section 313 of EPCRA and all 
    implementing regulations without regard to the SIC delineations that 
    apply to the Federal agency's facilities.
    
        40 CFR 372.45(h) addresses operation of separate establishments 
    within a single facility by two organizations that do not have common 
    ownership or control.
        2. Notification Contents. The notification shall be in writing and 
    shall include:
        (a) A statement that the mixture or trade name product contains a 
    toxic chemical or chemicals subject to the reporting requirements of 
    EPCRA section 313 and 40 CFR part 372.
        (b) The name of each toxic chemical, and the associated Chemical 
    Abstracts Service registry number of each chemical if applicable, as 
    set forth in 40 CFR 372.65.
        (c) The percent by weight of each toxic chemical in the mixture or 
    trade name product.
        3. Notification Procedure. The written notice shall be provided to 
    each recipient of the mixture or trade name product with at least the 
    first shipment of each mixture or trade name product in each calendar 
    year, beginning with the chemical's applicable effective date (see 40 
    CFR 372.65 for effective dates).
        If an MSDS is required to be prepared and distributed for the 
    mixture or trade name product in accordance with 29 CFR 1910.1200, the 
    notification must be attached to or otherwise incorporated into the 
    MSDS. When the notification is attached to the MSDS, the notice must 
    contain clear instructions that the notifications must not be detached 
    from the MSDS and that any copying and redistribution of the MSDS shall 
    include copying and redistribution of the notice attached to copies of 
    the MSDS subsequently redistributed.
        4. Exemption from Notification. Notifications are not required in 
    the following instances:
        (a) If a mixture or trade name product contains no toxic chemical 
    in excess of the applicable de minimis concentration (see subsection F. 
    Exemptions from Reporting).
        (b) If a mixture or trade name product is one of the following:
        (1) An ``article'' (see subsection F. Exemptions from Reporting);
        (2) Foods, drugs, cosmetics, alcoholic beverages, tobacco, or 
    tobacco products packaged for distribution to the general public.
        (3) any consumer product as the term is defined in the Consumer 
    Product Safety Act (15 U.S.C. 1251 et seq.) packaged for distribution 
    to the general public.
    
        Note: EPA regulations also state that a person is not subject to 
    the supplier notification requirement to the extent the person does 
    not know that the facility or establishment(s) is selling or 
    otherwise distributing a toxic chemical to another person in a 
    mixture or trade name product. However * * * a person has such 
    knowledge if the person receives a notice * * * from a supplier of a 
    mixture or trade name product and the person in turn sells or 
    otherwise distributes that mixture or trade name product to another 
    person.'' (40 CFR 372.45(g))
    
        5. Change in Mixture or Trade Name Product. If a facility changes a 
    mixture or trade name product for which notification was previously 
    provided by adding a toxic chemical, removing a toxic chemical, or 
    changing the percent by weight of a toxic chemical in the mixture or 
    trade name product, the facility shall provide each recipient of the 
    changed mixture or trade name product a revised notification reflecting 
    the change with the first shipment of the changed mixture or trade name 
    product to the recipient.
        If a facility discovers:
        (a) That a mixture or trade name product previously sold or 
    otherwise distributed to another person during the calendar year 
    contains one or more toxic chemicals, and
    
    [[Page 1696]]
    
        (b) That any notification provided to such other person in that 
    calendar year either did not properly identify any of the toxic 
    chemicals or did not accurately present the percent by weight of any of 
    the toxic chemicals in the mixture or trade name product.
    
    the facility shall provide a new notification to the recipient within 
    30 days of the discovery and identify the prior shipments of the 
    mixture or product to which the new notification applies.
        6. Trade Secret. If the specific identity of a toxic chemical in a 
    mixture or trade name product is considered to be a trade secret under 
    provisions of 29 CFR 1910.1200, the notice shall contain a generic 
    chemical name that is descriptive of that toxic chemical.
        If the specific percent by weight composition of a toxic chemical 
    in the mixture or trade name product is considered to be a trade secret 
    under applicable state law or under the Restatement of Torts section 
    757, comment b, the notice must contain a statement that the chemical 
    is present at a concentration that does not exceed a specified upper 
    bound concentration value. For example, a mixture contains 12 percent 
    of a toxic chemical. However, the supplier considers the specific 
    concentration of the toxic chemical in the product to be a trade 
    secret. The notice would indicate that the toxic chemical is present in 
    the mixture in a concentration of no more than 15 percent by weight. 
    The upper bound value chosen must be no larger than necessary to 
    adequately protect the trade secret.
    
    L. Recordkeeping
    
        1. Retention of Form R Materials and Documentation. Each facility 
    subject to the reporting requirements of this chapter (30-60) must 
    retain the following records for a period of 3 years from the date of 
    the submission of a Form R:
        (a) A copy of each Form R submitted by the facility;
        (b) All supporting materials and documentation used to make the 
    compliance determination that the facility is a covered facility;
        (c) Documentation supporting a submitted Form R, including:
        (1) Documentation supporting any determination that a claimed 
    allowable exemption from reporting applies.
        (2) Data supporting the determination of whether a threshold 
    applies for each toxic chemical.
        (3) Documentation supporting the calculations of the quantity of 
    each toxic chemical released to the environment or transferred to an 
    off-site location.
        (4) Documentation supporting the use indications and quantity on 
    site reporting for each toxic chemical, including dates of 
    manufacturing, processing, or use.
        (5) Documentation supporting the basis of estimate used in 
    developing any release or off-site transfer estimates for each toxic 
    chemical.
        (6) Receipts or manifests associated with the transfer of each 
    toxic chemical in waste to off-site locations.
        (7) Documentation supporting reported waste treatment methods, 
    estimates of treatment efficiencies, ranges of influent concentration 
    to such treatment, the sequential nature of treatment steps, if 
    applicable, and the actual operating data, if applicable, to support 
    the waste treatment efficiency estimate for each toxic chemical.
        2. Retention of Supplier Notification Materials and Documentation. 
    Each facility subject to the supplier notification requirement (see 
    subsection K. Supplier Notification Requirement) must retain the 
    following records for a period of 3 years from the date of the 
    submission of a notification:
        (a) A copy of each notice.
        (b) All supporting materials and documentation used to make the 
    compliance determination that the facility is a covered facility.
        (c) All supporting materials and documentation used by the facility 
    to determine whether a supplier notification is required.
        (d) All supporting materials and documentation used in developing 
    each required notice.
        3. Availability of Records. Records must be maintained at the 
    facility to which the Form R report applies or from which a 
    notification was provided. Such records must be readily available for 
    purposes of inspection by EPA. According to the Form R instructions, in 
    the event of a problem with data elements on a facility's Form R, EPA 
    may request documentation that supports the information reported from 
    the facility. EPA may conduct data quality reviews of past Form R 
    submissions. An essential component of this process would be to review 
    a facility's records for accuracy and reliability. The Form R 
    instructions include a list of records that a facility should maintain 
    in addition to those that are required to be maintained.
    
    30-60-80  Public Availability of Information; Withholding and 
    Disclosure of Trade Secrets
    
        A. Availability of Information to Public. EPCRA section 324 (42 
    U.S.C. 11044) provides that each emergency response plan, MSDS, list of 
    hazardous chemicals, inventory form, toxic chemical release form, and 
    follow-up emergency notice shall be made available to the general 
    public, subject to trade secret limitations, at locations designated by 
    the Administrator of EPA, Governor, State emergency response 
    commission, or local emergency planning committee. Each local emergency 
    planning committee must annually publish a notice in local newspapers 
    indicating where members of the public may review documents that have 
    been submitted pursuant to EPCRA. EPA also maintains a national toxic 
    chemical inventory, based on TRI reports, in a computer data base that 
    is available to the public on a cost-reimbursable basis.
        The Administrator of EPA, in any case in which the identity of a 
    toxic chemical is claimed as a trade secret, must identify the adverse 
    health and environmental effects associated with the toxic chemical and 
    assure that such information is included in the TRI computer database 
    and is provided to any person requesting information about such toxic 
    chemical. The appropriate Governor or state commission must identify 
    the adverse health effects associated with a hazardous chemical or 
    extremely hazardous substance, when its identity is claimed as a trade 
    secret, and provide such health effects information to any person 
    requesting information about the hazardous chemical or extremely 
    hazardous substance.
        Section 5-508 of Executive Order 12856 also provides that the 
    public shall be afforded ready access to all strategies, plans, and 
    reports required to be prepared by Federal agencies under the order by 
    the agency preparing the strategy, plan, or report (to the extent 
    permitted by law). When the reports are submitted to EPA, EPA is to 
    compile the strategies, plans, and reports and make them publicly 
    available as well. Federal agencies are encouraged by the Executive 
    Order to provide such strategies, plans, and reports to the State and 
    local authorities where their facilities are located for an additional 
    point of access to the public. Section 6-601 of Executive Order 12856 
    authorizes an agency to withhold certain information. (See 30-90)
        B. Trade Secret Procedures. EPCRA section 322 (42 U.S.C. 11042) 
    provides that a claim of trade secrecy may be made for the specific 
    chemical identity of an extremely hazardous substance, a hazardous 
    chemical, or a toxic chemical. Detailed information on how to submit a 
    trade secrecy claim for information submitted pursuant to an EPCRA 
    reporting requirement is
    
    [[Page 1697]]
    
    contained in 40 CFR Part 350. A trade secrecy claim may be submitted 
    only to EPA and must be substantiated by providing specific answers to 
    questions on an EPA form entitled ``Substantiation to Accompany Claims 
    of Trade Secrecy'' (see 40 CFR 350.27). The submitter shall include 
    with its EPCRA report both a sanitized and unsanitized trade secret 
    substantiation form. The unsanitized version must contain all of the 
    information claimed as trade secret or business confidential, properly 
    marked in accordance with EPA regulations. The sanitized version is 
    identical to the unsanitized version in all respects except that all of 
    the information claimed as trade secret or business confidential is 
    deleted, and a generic class or category to describe the trade secret 
    chemical is included. This sanitized version is the one that is 
    submitted to state or local authorities, as appropriate.
        C. Public Petition for Disclosure of Trade Secret Information. The 
    public may request the disclosure of a chemical identity claimed as 
    trade secret by submitting a written petition to EPCRA Reporting 
    Center, Environmental Protection Agency, P.O. Box 3348, Merrifield, Va. 
    22116-3348. The required contents of the petition are described in 40 
    CFR 350.15. This public petition process covers only requests for 
    public disclosure of a chemical identify claimed as trade secret. 
    Requests for disclosure of other types of information must be submitted 
    under EPA's Freedom of Information Act regulations at 40 CFR part 2.
    D. Access by Federal Representatives or State Employees
        1. Authorized Federal Representative Access. Under EPCRA section 
    322(f) (42 U.S.C. 11042(f)), EPA possesses the authority to disclose 
    information to any authorized representative of the United States 
    concerned with carrying out the requirements of EPCRA, even though the 
    information might otherwise be entitled to trade secret or confidential 
    treatment under EPA regulations. Such authority will be exercised by 
    EPA only in accordance with 40 CFR 350.23.
        2. State Employee Access. Any State may request access to trade 
    secrecy claims, substantiations, supplemental substantiations, and 
    additional information submitted to EPA in accordance with 40 CFR 
    350.19. EPA must release this information, even if claimed 
    confidential, to any State in response to its written request is the 
    request is from the Governor of the State and the State agrees to 
    safeguard the information with procedures equivalent to those which EPA 
    uses to safeguard the information. The Governor may disclose such 
    information only to State employees.
        E. Access by Health Professionals. EPCRA section 323 (42 U.S.C. 
    11043) allows health professionals to gain access to chemical 
    identities, including those claimed as trade secret, in the following 
    circumstances:
         For non-emergency treatment and diagnosis of an exposed 
    individual;
         By health professionals employed by a local government to 
    conduct preventive research studies and to render medical treatment; or
         For emergency diagnosis and treatment.
        1. Non-emergency Access. In all circumstances but the medical 
    emergency, the health professional must submit a written request and a 
    statement of need, as well as a confidentiality agreement, to the 
    facility holding the trade secret. The statement of need verifies that 
    the health professional will be using the trade secret information only 
    for the needs permitted in the statute, and the confidentiality 
    agreement ensures that the health professional will not make any 
    unauthorized disclosures of the trade secret. The required contents of 
    the written request for access, including a certification signed by the 
    health professional stating that the information contained in the 
    statement of need is true, and the confidentiality statement are 
    contained in 40 CFR 350.40. Following receipt of a written request, the 
    facility to which such request is made shall provide the requested 
    information to the health professional promptly.
        2. Emergency Access. In the event of medical emergency,* a facility 
    which is subject to the EPCRA reporting requirements must provide a 
    copy of a MSDA, an inventory form, or a toxic chemical release form, 
    including the specific chemical identity, if know, of a hazardous 
    chemical, extremely hazardous substance, or a toxic chemical, to any 
    treating physician or nurse who requests such information. The treating 
    physician or nurse must have first determined that:
        (a) A medical emergency exists as to the individual or individuals 
    being diagnosed or treated;
        (b) The specific chemical identity of the chemical concerned is 
    necessary for or will assist in emergency or first-aid diagnosis or 
    treatment; and
        (c) The individual or individuals being diagnosed or treated have 
    been exposed to the chemical concerned.
        The specific chemical identity must be provided to the requesting 
    treating physician or nurse immediately following the request, without 
    requiring a written statement of need or a confidentiality agreement in 
    advance. A written statement of need and confidentiality agreement may 
    be required from the treating physician or nurse as soon as 
    circumstances permit. The required contents of the statement of need 
    and confidentiality agreement are specified in 40 CFR 350.40.
    
        *``Medical emergency'' means ``any unforeseen condition which a 
    health professional would judge to require urgent and unscheduled 
    medical attention. Such a condition is one which results in sudden 
    and/or serious symptom(s) constituting a threat to a person's 
    physical or psychological well-being and which requires immediate 
    medical attention to prevent possible deterioration, disability, or 
    death.'' (40 CFR 350.40(a)).
    
    30-60-90  Compliance
    
        A. Internal Reviews. OPDIVs/STAFFDIVs shall conduct internal 
    reviews and audits and take such other steps as may be necessary to 
    monitor compliance with the requirements of this chapter (30-60) and 
    Executive Order 12856. Compliance with EPCRA means compliance with the 
    same substantive, procedural, and other statutory and regulatory 
    requirements that would apply to a private person.
        B. Annual Progress Report. The Secretary will submit annual 
    progress reports to the EPA Administrator beginning on October 1, 1995, 
    regarding the progress that has been made in complying with all aspects 
    of Executive Order 12856. This report and OPDIV/STAFFDIV 
    responsibilities are described in chapter 30-09.
        C. Technical Assistance from EPA. OPDIVs/STAFFDIVs are encouraged 
    to request technical advice and assistance from EPA in order to foster 
    full compliance with Executive Order 12856 and this chapter (30-60).
        D. EPA Monitoring. Executive Order 12856 provides that the 
    Administrator of EPA, in consultation with the Secretary, may conduct 
    such reviews and inspections as may be necessary to monitor compliance 
    with the agency's EPCRA responsibilities contained in sections 30-60-20 
    through 30-60-70 of this chapter. OPDIVs/STAFFDIVs are to cooperate 
    fully with the efforts of the Administrator to ensure compliance with 
    Executive Order 12856. Should the Administrator notify an OPDIV/
    STAFFDIV that it is not in compliance with an applicable provision of 
    Executive Order 12856, the OPDIV/STAFFDIV shall achieve compliance as 
    promptly as is practicable.
        E. State and Local Right-to-Know Requirements. OPDIV/STAFFDIVs are
    
    [[Page 1698]]
    
    encouraged to comply with all state and local right-to-know 
    requirements to the extent that compliance with such laws and 
    requirements is not otherwise already mandated.
        F. Prior Agreements for Application of EPCRA. The compliance dates 
    for application of EPCRA set forth in Executive Order 12856 are not 
    intended to delay implementation of earlier timetables already agreed 
    to by an OPDIV/STAFFDIV and are inapplicable to the extent they 
    interfere with those timetables.
    
    30-60-100  Civil and Criminal Penalties
    
        EPCRA section 325 (42 U.S.C. 11045) establishes administrative, 
    civil, and criminal penalties for violation of the Act. Table 2, 
    following, indicates penalties that apply for specific violations. 
    Certain section 325 penalties do not apply to government entities. 
    Moreover, Executive Order 12856 does not make the provisions of section 
    325 applicable to any Federal agency or facility, except to the extent 
    that such Federal agency or facility would independently be subject to 
    such provision.
    
                                          Table 2.--Summary of EPCRA Penalties
    ----------------------------------------------------------------------------------------------------------------
                 Requirement                Administrative penalty       Civil penalty           Criminal penalty
    ----------------------------------------------------------------------------------------------------------------
    Emergency Planning (42 U.S.C. Sec.     .......................  $25,000 per day........
     11002(c); Sec.  11003(d)).
    Emergency Release Notification (42     $25,000 per day........  $25,000 per day........  25,000 or two (2) years
     U.S.C. Sec.  11004).                  Second violation:        Second violation:         imprisonment or both
                                            $75,000 per day.         $75,000 per day.        Second conviction
                                                                                              $50,000 or five (5)
                                                                                              years imprisonment or
                                                                                              both
    MSDS Reporting (42 U.S.C. Sec.         $10,000 per day........  $10,000 per day........
     11021) \1\.
    Inventory Reporting (42 U.S.C. Sec.    $25,000 per day........  $10,000 per day........
     11022) \1\.
    TRI Reporting (42 U.S.C. Sec.  11023)  $25,000 per day........  $25,000 per day........
     \1\.
    Provision of Information to Health     $10,000 per day........  $10,000 per day........
     professionals (42 U.S.C. Sec.
     11043(b)) \1\.
    Failure to Substantiate Trade Secret   $10,000 per day........  $10,000 per day........
     Claim (42 U.S.C. Sec.  11042(a)(2)).
    Frivolous Trade Secret Claim.........  $25,000 per claim......  $25,000 per claim......
    Disclosure Trade Secret Information    .......................  .......................  $20,000 or one year
     (42 U.S.C. Sec.  11042).                                                                 imprisonment or both.
    ----------------------------------------------------------------------------------------------------------------
    \1\ Penalty does not apply to a ``government entity.''
    
    HHS Chapter 30-70--General Administration Manual; HHS Transmittal 
    98.2
    
    Subject: Pollution Prevention Act of 1990 (PPA) Requirements
    
    30-70-00....  Background
          05....  Applicability
          10....  Responsibilities
          20....  Pollution Prevention Policy
          30....  Definitions
          40....  Toxic Chemical Source Reduction and Recycling Reporting
          50....  Public Availability of Source Reduction Information
          60....  Compliance
          70....  Civil and Criminal Penalties
     
    
    30-70-00  Background
    
        The Pollution Prevention Act of 1990, 42 U.S.C. 13101-13109, 
    establishes national policy that pollution is to be prevented or 
    reduced at the source. The Act also requires the reporting of efforts 
    to reduce toxic chemical releases through source reduction and 
    recycling. This reporting requirement affects all facilities required 
    to submit Form R under section 313 of the Emergency Planning and 
    Community Right-to-Know Act of 1986 (EPCRA) (see 30-60).
        The Administrator of EPA is required by the PPA to develop a 
    strategy to promote source reduction and to submit a biennial report to 
    Congress that describes the actions taken to implement the strategy and 
    analyzes the source reduction and recycling data submitted on Form R. 
    EPA must also promote source reduction practices in other federal 
    agencies; review EPA regulations to determine their effect on source 
    reduction; make matching grants to states to promote the use of source 
    reduction techniques by businesses; and establish a Source Reduction 
    Clearinghouse.
    
    30-70-05  Applicability
    
        A. Agency Facilities. Executive Order 12856 provides that EPCRA and 
    the PPA apply to all Federal executive agencies that either own or 
    operate a ``facility'' as that term is defined in EPCRA, if such 
    facility meets the EPCRA's threshold requirements for compliance. The 
    statutory definition of facility is:
    
        All buildings, equipment, structures, and other stationary items 
    which are located on a single site or on contiguous or adjacent 
    sites and which are owned or operated by the same person (or by any 
    person which controls, is controlled by, or under common control 
    with, such person). For purposes of emergency release notification, 
    the term includes motor vehicles, rolling stock, and aircraft (42 
    U.S.C. 11049(4)).
    
        EPA regulations revise the statutory definition of facility to 
    include ``manmade structures in which chemicals are purposefully placed 
    or removed through human means such that it functions as a containment 
    structure for human use.'' (40 CFR 355.20, 370.2). The purpose of the 
    revision was to clarify that the definition applies to certain 
    subsurface structures.
        Executive Order 12856 modifies the statutory definition of facility 
    in one respect. Each OPDIV/STAFFDIV must comply with the reporting 
    provisions of the PPA without regard to the Standard Industrial 
    Classification (SIC) delineations that apply to the organization's 
    facilities, and such reports shall be for all releases, transfers, and 
    wastes at such facilities without regard to the SIC code of the 
    activity leading to the release, transfer, or waste. All other existing 
    statutory or regulatory limitations or exemptions on the application of 
    EPCRA section 313 shall apply to the PPA reporting requirements in this 
    chapter (see 30-60-70).
        B. Covered Facilities. The reporting requirements of this chapter 
    apply to facilities that must submit a Toxic Chemical Release Inventory 
    Report (Form R) under section 313 of EPCRA. A completed Form R must be 
    submitted for each toxic chemical manufactured,
    
    [[Page 1699]]
    
    processed, or otherwise used at a covered facility in excess of the 
    threshold quantity established for that chemical (see 30-60-70). Each 
    OPDIV/STAFFDIV must apply all of the provisions of this chapter to each 
    of its covered facilities, except for a federal agency outside the 
    customs territory of the United States.
        C. GOCO'S. Executive Order 12856 does not alter the obligations 
    which government-owned, contractor-operated facilities (GOCOS) have 
    under EPCRA and the PPA independent of that order or subjects such 
    facilities to EPCRA or PPA if they are otherwise excluded. However, 
    each OPDIV/STAFFDIV shall include the releases and transfers from all 
    such facilities when meeting all of its responsibilities under this 
    chapter.
        D. Preliminary List of Covered Facilities. The Secretary was 
    required by Executive Order 12856 to provide the Administrator of EPA 
    by December 31, 1993, with a preliminary list of facilities that 
    potentially meet the requirements for reporting under the threshold 
    provisions of EPCRA, PPA, and Executive Order 12856.
    
    30-70-10  Responsibilities
    
        A. HHS. An objective of Executive Order 12856 (see 30-80) is to 
    ensure that all Federal agencies conduct their facility management and 
    acquisition activities so that, to the maximum extent practicable, the 
    quantity of toxic chemicals entering any wastestream, including any 
    releases to the environment, is reduced as expeditiously as possible 
    through source reduction; that waste that is generated is recycled to 
    the maximum extent practicable; and that any wastes remaining are 
    stored, treated, or disposed of in a manner protective of public health 
    and the environment.
        Executive Order 12856 requires the Secretary to comply with the 
    reporting provisions set forth in section 6607 of the PPA (42 U.S.C. 
    13106), all implementing regulations, and future amendments to these 
    authorities, in light of applicable guidance as provided by EPA.
        B. OPDIVs/STAFFDIVs. The head of each OPDIV/STAFFDIV is responsible 
    for ensuring that the OPDIV/STAFFDIV takes all necessary actions to 
    prevent pollution in accordance with Executive Order 12856, and for 
    that organization's compliance with the provisions of the PPA. 
    Compliance with the PPA means compliance with the same substantive, 
    procedural, and other statutory and regulatory requirements that would 
    apply to a private person. An OPDIV/STAFFDIV should consult with EPA 
    when a question arises as to the applicability of Executive Order 12856 
    to a particular facility.
    
    30-70-20  Pollution Prevention Policy
    
        A. Pollution Prevention Act. Section 6602(b) (42 U.S.C. 13101(b)) 
    of the PPA states that it is the national policy of the United States 
    that:
    
        Pollution should be prevented or reduced at the source whenever 
    feasible; pollution that cannot be prevented should be recycled in 
    an environmentally safe manner whenever feasible; pollution that 
    cannot be prevented or recycled should be treated in an 
    environmentally safe manner whenever feasible; and disposal or other 
    release into the environment should be employed only as a last 
    resort and should be conducted in an environmentally safe manner.
    
        OPDIVs/STAFFDIVs are to incorporate the environmental management 
    hierarchy stated in this policy into their environmental management 
    practices and procedures.
        Source reduction is fundamentally different and more desirable than 
    waste management and pollution control. Preventing pollution before it 
    is created is preferable to trying to manage, treat, or dispose of 
    pollution after it is generated. OPDIVs/STAFFDIVs are encouraged to 
    take advantage of opportunities to reduce or prevent pollution at the 
    source through cost-effective changes in production, operation, and raw 
    materials use. Such changes can result in substantial savings in 
    reduced raw materials, pollution control, and liability costs as well 
    as help protect the environment and reduce the risks to worker health 
    and safety.
        B. Executive Order 12856. Executive Order 12856 indicates that the 
    Federal government should become a leader in the field of pollution 
    prevention through the management of its facilities, its acquisition 
    practices, and in supporting the development of innovative pollution 
    prevention programs and technologies. Additional policies and 
    requirements that apply to pollution prevention are contained in 
    chapter 30-80.
    
    30-70-30  Definitions
    
        A. Pollution Prevention. Executive Order 12856 defines ``pollution 
    prevention'' in section 2-203 to mean ``source reduction,'' as defined 
    in the PPA, and other practices that reduce or eliminate the creation 
    of pollutants through:
         Increased efficiency in the use of raw materials, energy, 
    water, or other resources; or
         Protection of natural resources by conservation.
        EPA has issued a Statement of Definition of Pollution Prevention 
    that is identical to the definition in section 2-203 of Executive Order 
    12856 (Memorandum from F. Henry Habicht II, Deputy Administrator, 
    Environmental Protection Agency, Subject: EPA Definition of ``Pollution 
    Prevention'', to All EPA Personnel (May 28, 1992)). The Statement of 
    Definition explains that recycling, energy recovery, treatment, and 
    disposal are not included within EPA's definition of pollution 
    prevention. In distinguishing between prevention of pollution and 
    recycling, EPA includes ``in-process recycling'' within the definition 
    of ``pollution prevention.'' ``Out-of-process recycling'' is part of 
    recycling and is not part of the definition. The Statement of 
    Definition also comments that recycling that is conducted in an 
    environmentally sound manner shares many of the advantages of 
    prevention--it can reduce the need for treatment or disposal, and 
    conserve energy and resources.
    
        Note: A different definition of pollution prevention is used in 
    guidance from the Council on Environmental Quality in NEPA matters 
    (see 30-50-50).
    
        B. Source Reduction. ``Source reduction'' is defined in PPA section 
    6603(6) (42 U.S.C. 13102(5)) to mean any practice that:
         Reduces the amount of any hazardous substance, pollutant, 
    or contaminant entering any waste stream or otherwise released into the 
    environment (including fugitive emissions) prior to recycling, 
    treatment or disposal; and
         Reduces the hazards to public health and the environment 
    associated with the release of such substances, pollutants, or 
    contaminants.
        The term includes equipment or technology modifications, process or 
    procedure modifications, reformulation or redesign of products, 
    substitution of raw materials, and improvements in housekeeping, 
    maintenance, training, or inventory control.
        The term ``source reduction'' does not include any practice that 
    alters the physical, chemical, or biological characteristics or the 
    volume of a hazardous substance, pollutant, or contaminant through a 
    process or activity that is not integral to and necessary for producing 
    a product or providing a service.
    
    30-70-40  Toxic Chemical Source Reduction and Recycling Reporting
    
        A. Requirement. Section 6607 of the PPA (42 U.S.C. 13106) directs 
    each facility that is required to file an annual toxic chemical release 
    form (Form R) under Sec. 313 of EPCRA to include a toxic chemical 
    source reduction and
    
    [[Page 1700]]
    
    recycling report with its toxic chemical release filing. The report 
    must cover each toxic chemical required to be reported on Form R. Form 
    R is discussed in 30-60-70. Reporting requirements under the PPA cover 
    releases of toxic chemicals to all media (air, water, and land).
        B. Reporting Period. A facility that is subject to the EPCRA 
    section 313 and PPA section 6607 reporting requirements shall submit 
    annually a Toxic Chemical Release Inventory Reporting Form (Form R) to 
    EPA and to affected States and Indian tribes (see 30-60-70). Executive 
    Order 12856 provides that the first year of compliance for Federal 
    agencies with the PPA's reporting requirements shall be no later than 
    for the 1994 calendar year, with reports due on or before July 1, 1995.
        C. Toxic Chemicals to be Reported. The toxic chemicals that are 
    subject to EPCRA section 313 and PPA section 6607 reporting are listed 
    in 40 CFR 372.65. Additions to, or deletions from, the list are 
    described each year in the EPA Toxic Chemical Release Inventory 
    Reporting Form R and Instructions published in the Federal Register and 
    available booklet form from EPA. A completed Form R must be submitted 
    for each toxic chemical manufactured, processed, or otherwise used at a 
    covered facility in excess of the threshold quantity established for 
    that chemical (see 30-60-70). Form R now includes data elements 
    mandated by section 6607 of the PPA. A facility must provide 
    information about source reduction and recycling activities related to 
    each toxic chemical reported on Form R.
    D. Information to be Reported based on the ``Instructions for 
    Completing EPA Form R''
        1. Chemical Quantities. Facilities must provide the following 
    quantity information (in pounds) for each toxic chemical reported on 
    Form R for the current reporting year, the prior year, and quantities 
    anticipated in both the first year immediately following the reporting 
    year and the second year following the reporting year (future 
    estimates):
        (a) Quantity of the toxic chemical (prior to recycling, treatment 
    or disposal but not including one-time events) entering any waste 
    stream or otherwise released* into the environment.
    
        *Reportable releases include ``any spilling, leaking, pumping, 
    pouring, emitting, emptying, discharging, injecting, escaping, 
    leaching, dumping, or disposing into the environment (including the 
    abandonment of barrels, containers, and other closed receptacles).'' 
    (EPCRA Sec. 329(8); 42 U.S.C. 11049(8)).
    
        (b) Quantity of the toxic chemical or a mixture containing a toxic 
    chemical that is used for energy recovery on-site or is sent off-site 
    for energy recovery, unless it is a commercially available fuel;
    
        Note: Reportable on-site and off-site energy recovery is the 
    combustion of a residual material containing a TRI toxic chemical 
    when (1) the combustion unit is integrated into an energy recovery 
    system (i.e., industrial furnaces, industrial kilns, and boilers); 
    and (ii) the toxic chemical is combustible and has a heating value 
    high enough to sustain combustion.
    
        (c) Quantity of the toxic chemical or a mixture containing a toxic 
    chemical that is recycled on-site or is sent off-site for recycling;
        (d) Quantity of the toxic chemical or a mixture containing a toxic 
    chemical that is treated on-site or is sent to an off-site location for 
    waste treatment; and
        (e) Total quantity of toxic chemical released directly into the 
    environment or sent off-site for recycling, waste treatment, energy 
    recovery, or disposal during the reporting year due to any of the 
    following events:
        (1) Remedial actions.
        (2) Catastrophic events, such as earthquakes, fires, or floods; or
        (3) One-time events not associated with normal or routine 
    production processes.
    
        Note: The PPA separates the reporting of quantities of toxic 
    chemical recycled, used for energy recovery, treated, or disposed 
    that are associated with normal or routine production operations 
    from those that are not. Other sections of Form R dealing with 
    releases to the environment and off-site transfers must include all 
    releases and transfers as appropriate, regardless of whether they 
    arise from catastrophic, remedial, or routine process operations.
    
        Information available at the facility that may be used to estimate 
    the prior year's quantities include the prior year's Form R submission, 
    supporting documentation, and recycling, energy recovery, or treatment 
    operating logs or invoices. However, for the first year of reporting 
    these data elements, prior year quantities are required only to the 
    extent such information is available. EPA expects reasonable future 
    quantity estimates using a logical basis. Reporting facilities should 
    take into account protections available for trade secrets as provided 
    in EPCRA section 322 (42 U.S.C. 11042) (see 30-60-80).
        2. Production Ratio or Activity Index. The facility must report a 
    ratio of reporting year production to prior year production, or an 
    ``activity index'' based on a variable other than production that is 
    the primary influence on the quantity of the reported toxic chemical 
    recycled, used for energy recovery, treated, or disposed.
        3. Source Reduction Activities. If a facility engaged in any source 
    reduction activity for the reported toxic chemical during the reporting 
    year, the facility shall report the activity that was implemented. This 
    information is to be reported only if a source reduction activity was 
    newly implemented specifically (in whole or in part) for the reported 
    toxic chemical during the reporting year. ``Source reduction 
    activities'' are those actions that are taken to reduce or eliminate 
    the amount of the reported toxic chemical released, used for energy 
    recovery, recycled, or treated. Actions taken to recycle treat or 
    dispose of the toxic chemical are not considered source reduction 
    activities. Form R provides for the reporting of source reduction 
    activities by category. The categories include:
         Good Operating Practices
         Inventory Control
         Spill and Leak Prevention
         Raw Material Modifications
         Process Modifications
         Cleaning and Degreasing
         Modified Containment Procedures for Cleaning Units
         Surface Preparation and Finishing
         Product Modifications
        4. Source Reduction Techniques. If a facility engaged in any source 
    reduction activity for the reported toxic chemical during the reporting 
    year, the facility must also report the method used to identify the 
    opportunity for the activity implemented. Methods to identify source 
    reduction opportunities include:
         Internal or external pollution prevention opportunity 
    audits(s)
         Materials balance audits
         Participative team management
         Employee recommendations (under a formal OPDIV/STAFFDIV 
    Program or independent of a formal program)
         Federal or state government technical assistance program
         Trade association/industry technical assistance program
         Vendor assistance
        5. Additional Source Reduction, Recycling, or Pollution Control 
    Information. Form R provides an opportunity for a reporting facility to 
    indicate any additional information on source reduction, recycling, or 
    pollution control activities implemented at the facility in the 
    reporting year or in prior years for the reported toxic chemical.
        E. Relationship to RCRA Reporting. The reporting categories for 
    quantities recycled, treated, used for energy recovery, and disposed 
    apply to completing the source reduction section
    
    [[Page 1701]]
    
    as well as to the rest of Form R. According to EPA, these categories 
    are to be used only for TRI reporting. They are not intended for use in 
    determining, under the Resource Conservation and Recovery Act (RCRA) 
    Subtitle C regulations, whether a secondary material is a waste when 
    recycled. These categories (and their definitions) also do not apply to 
    the information that may be submitted in a Hazardous Waste Report by 
    hazardous waste generators and treatment, storage, and disposal (TSD) 
    facilities to EPA or an authorized state under RCRA sections 3002 and 
    3004 (42 U.S.C. 6922, 6924). Differences in terminology and reporting 
    requirements for toxic chemicals reported on Form R and for hazardous 
    wastes regulated under RCRA occur because EPCRA and the PPA focus on 
    specific chemicals, while the RCRA regulations and the Hazardous Waste 
    Report focus on wastes, including mixtures.
        F. Form R Availability. Reports under EPCRA section 313 and PPA 
    section 6607 are made on EPA Form R (EPA Form 9350-1), the Toxic 
    Chemical Release Inventory (TRI) Reporting Form. EPA encourages 
    facilities to submit the required information to EPA by using magnetic 
    media (computer disk or tape) in lieu of Form R. More complete guidance 
    on obtaining Form R and sources of information regarding, the submittal 
    of Form R is contained in section 30-60-70.
        G. Where Reports Are to be Sent. Form R is submitted to EPA, 
    affected States, and affected Indian tribes.
        Send reports to EPA by mail to: EPCRA Reporting Center, P.O. Box 
    23779, Washington, D.C. 20026-3779, Attn: Toxic Chemical Release 
    Inventory.
        To submit a Form R via hand delivery or certified mail, the EPCRA 
    Hotline (800-535-2002) may be called to obtain the street address of 
    the EPCRA Reporting Center.
        Additional information on submitting a Form R is contained in 
    section 30-60-70.
        H. Trade Secrets. The provisions of EPCRA section 322 (42 U.S.C. 
    11042) dealing with the protection of trade secrets apply to the 
    reporting requirements of this section in the same manner as to the 
    reports required under section 313 of EPCRA (see 30-60-80).
    
    30-70-50  Public Availability of Source Reduction Information
    
        A. OPDIVs/STAFFDIVs. Unless such documentation is withheld pursuant 
    to a statutory requirement or Executive Order, the public shall be 
    afforded ready access to all reports required to be prepared by an 
    OPDIV/STAFFDIV under this chapter. OPDIVs/STAFFDIVs are encouraged to 
    provide such reports to the state and local authorities where their 
    facilities are located for an additional point of access to the public. 
    Public availability of information submitted on Form R is also 
    discussed in section 30-60-80.
        B. EPA. The PPA and Executive Order 12856 require the Administrator 
    of EPA to make available to the public the source reduction information 
    gathered pursuant to the PPA and such other pertinent information and 
    analysis regarding source reduction as may be available to the 
    Administrator. Subject to the trade secret provisions of EPCRA, EPA 
    must make the data collected on Form R, pursuant to section 6607 of the 
    PPA, publicly available in the same manner as the data collected under 
    EPCRA section 313. The Administrator has also established, in 
    accordance with PPA section 6606 (42 U.S.C. 13105), a Source Reduction 
    Clearinghouse to compile information, including a computer data base 
    that contains information on management, technical, and operational 
    approaches to source reduction. The data base permits entry and 
    retrieval of information by any person.
    
    30-70-60  Compliance
    
        A. Internal Reviews. OPDIVs/STAFFDIVs shall conduct internal 
    reviews and audits, and take such other steps, as may be necessary to 
    monitor compliance with the requirements of this chapter and Executive 
    Order 12856.
        B. Annual Progress Report. The Secretary will submit annual 
    progress reports to the EPA Administrator beginning on October 1, 1995, 
    regarding the progress that has been made in complying with all aspects 
    of Executive Order 12856, including the pollution reduction 
    requirements. This report and OPDIV/STAFFDIV responsibilities are 
    described in Chapter 30-80.
        C. Technical Assistance from EPA. OPDIVs/STAFFDIVs are encouraged 
    to request technical advice and assistance from EPA in order to foster 
    full compliance with Executive Order 12856 and this chapter.
        D. EPA Monitoring. Executive Order 12856 provides that the 
    Administrator of EPA, in consultation with the Secretary, may conduct 
    such reviews and inspections as may be necessary to monitor compliance 
    with the PPA responsibilities contained in this chapter. OPDIVs/
    STAFFDIVs are to cooperate fully with the efforts of the Administrator 
    to ensure compliance with Executive Order 12856. Should the 
    Administrator notify an OPDIV/STAFFDIV that it is not in compliance 
    with an applicable provision of Executive Order 12856, the OPDIV/
    STAFFDIV shall achieve compliance as promptly as is practicable.
        E. State and Local Pollution Prevention Requirements. OPDIVs/
    STAFFDIVs are encouraged to comply with all State and local pollution 
    prevention requirements to the extent that compliance with such laws 
    and requirements is not otherwise already mandated.
        F. Funding Pollution Prevention Programs. In accordance with 
    Executive Order 12856, OPDIVs/STAFFDIVs shall place high priority on 
    obtaining funding and resources needed for implementing pollution 
    prevention strategies, plans, and assessments by identifying, 
    requesting, and allocating funds through line-item or direct funding 
    requests. Funding requests shall be made in accordance with the Federal 
    Agency Pollution Prevention and Abatement Planning Process and through 
    budget requests as outlined in Office of Management and Budget (OMB) 
    Circulars A-106 and A-11, respectively.
        G. Life Cycle Analysis and Total Cost Accounting. OPDIVs/STAFFDIVs 
    should apply, to the maximum extent practicable, life cycle analysis 
    and total cost accounting principles to all projects needed to meet the 
    requirements of this chapter.
        H. Contractors. All OPDIVs/STAFFDIVs shall provide, in all future 
    contracts between the organization and its relevant contractors, for 
    the contractor to supply all information the OPDIV/STAFFDIV deems 
    necessary for it to comply with this chapter. In addition, to the 
    extent that compliance with this chapter and Executive Order 12856 is 
    made more difficult due to lack of information from existing 
    contractors, an OPDIV/STAFFDIV shall take practical steps to obtain the 
    information from such contractors that is needed to comply.
        I. Prior Agreements for Application of EPCRA and PPA. The 
    compliance dates for application of EPCRA and PPA set forth in 
    Executive Order 12856 are not intended to delay implementation of 
    earlier timetables already agreed to by a Federal agency and are 
    inapplicable to the extent they interfere with those timetables.
    
    30-70-70  Civil and Criminal Penalties
    
        EPCRA section 325(c) (42 U.S.C. 11045(c)), which provides civil and 
    administrative penalties for failure to report TRI information, also 
    applies to the PPA's requirement to report toxic chemical source 
    reduction and recycling information on Form R. The penalty for
    
    [[Page 1702]]
    
    failure to file a Form R is $25,000 for each day of violation of the 
    law.
        EPCRA section 325(c) penalties do not apply to a governmental 
    entity. Moreover, Executive Order 12856 does not make the provisions of 
    section 325 applicable to any Federal agency or facility, except to the 
    extent that such Federal agency or facility would independently be 
    subject to such provisions.
    
    HHS Chapter 30-80--General Administration Manual; HHS Transmittal 
    98.2
    
    Subject: Executive Order 12856, Federal Compliance with Right-To-Know 
    Laws and Pollution Prevention Requirements
    
    30-80-00....  Background
          05....  Applicability
          10....  Responsibilities
          15....  Definitions
          20....  Pollution Prevention Strategy
          30....  Toxic Chemical Reduction Goals
          40....  Pollution Prevention Plan
          50....  Acquisition and Procurement Plans and Goals
          60....  EPCRA and Pollution Prevention Act Responsibilities
          70....  Compliance
          80....  Public Availability of Information
          90....  Funding and Resources
     
    
    30-80-00  Background
    
        The objective of Executive Order 12856, August 3, 1993 (58 FR 
    41981), is to foster the Federal government as a good neighbor to local 
    communities by becoming a leader in providing information to the public 
    concerning toxic and hazardous chemicals and extremely hazardous 
    substances at Federal facilities, and in planning for and preventing 
    harm to the public through the planned or unplanned releases of 
    chemicals. The Order also encourages the Federal government to be a 
    leader in the field of pollution prevention through the management of 
    its facilities, its acquisition practices, and in supporting the 
    development of innovative pollution prevention programs and 
    technologies. Executive Order 12856 seeks to ensure that all Federal 
    agencies conduct their facility management and acquisition activities 
    so that, to the maximum extent practicable:
         The quantity of toxic chemicals entering any wastestream, 
    including any releases to the environment, is reduced as expeditiously 
    as possible through source reduction;
         Waste that is generated is recycled to the maximum extent 
    practicable; and
         Any wastes remaining are stored, treated, or disposed of 
    in a manner protective of public health and the environment.
        Executive Order 12856 requires Federal agencies to comply with the 
    requirements of the Emergency Planning and Community Right-to-Know Act 
    of 1986 (EPCRA) (42 U.S.C. 11001-11050) and the Pollution Prevention 
    Act of 1990 (PPA) (42 U.S.C. 13101-13109). EPCRA establishes programs 
    to provide the public with important information on the hazardous and 
    toxic chemicals in their communities and emergency planning and 
    notification requirements to protect the public in the event of release 
    of extremely hazardous substances. The order requires Federal agencies 
    to report in a public manner toxic chemicals entering any wastestream 
    from their facilities, including any releases to the environment, and 
    to improve local emergency planning, response, and accident 
    notification. Facilities that are subject to EPCRA are required to 
    provide information and reports to EPA and state and local groups. Five 
    distinct reporting requirements are contained in EPCRA. Each of these 
    reporting requirements and other facility responsibilities under EPCRA 
    and Executive Order 12856 are described in chapter 30-60.
        The PPA establishes national policy that pollution is to be 
    prevented or reduced at the source. The Act also requires the reporting 
    of efforts to reduce toxic chemical releases through source reduction 
    and recycling. The PPA reporting requirement and other facility 
    responsibilities under the PPA and Executive Order 12856 are described 
    in chapter 30-70
        Executive Order 12856 also places other responsibilities on federal 
    agencies that are not contained in EPCRA or PPA. It requires Federal 
    agencies to develop voluntary goals to reduce total releases of toxic 
    chemicals to the environment and off-site transfers of such toxic 
    chemicals for treatment and disposal; a pollution prevention strategy 
    and plan; a plan and goals for eliminating or reducing the unnecessary 
    acquisition of products containing extremely hazardous substances or 
    toxic chemicals; and a plan and goals for voluntarily reducing agency 
    manufacturing, processing, and use of extremely hazardous substances 
    and toxic chemicals. These additional responsibilities under Executive 
    Order 12856 are described in this chapter.
    
    30-80-05  Applicability
    
        A. Covered Facilities. Executive Order 12856 is applicable to all 
    OPDIVs/STAFFDIVs that either own or operate a ``facility'' as that term 
    is defined in EPCRA section 329(4) (42 U.S.C. Sec. 11049(4)), if such 
    facility meets EPCRA's threshold requirements for compliance. Each of 
    the threshold requirements for EPCRA compliance are discussed in 
    chapter 30-60. The statutory definition of ``facilities'':
    
    all buildings, equipment, structures, and other stationary items 
    which are located on a single site or on contiguous or adjacent 
    sites and which are owned or operated by the same person (or by any 
    person which controls is controlled by, or under common control 
    with, such person). For purposes of emergency release notification, 
    the term includes motor vehicles, rolling stock, and aircraft.
    
        EPA regulations revise the statutory definition of facility to 
    include ``manmade structures in which chemicals are purposefully placed 
    or removed through human means such that it functions as a containment 
    structure for human use.'' (40 CFR 355.20, 370.2). The purpose of the 
    revision was to clarify that the definition applies to certain 
    subsurface structures.
        Each OPDIV/STAFFDIV must apply all of the provisions of Executive 
    Order 12856 to each of its covered facilities, including those 
    facilities which are subject, independent of the Executive Order, to 
    the provisions of EPCRA (e.g., certain government-owned/contractor-
    operated facilities (GOCOS)).
        Executive Order 12856 does not apply to Federal agency facilities 
    outside the customs territory of the United States. EPA may be 
    consulted to determine the applicability of Executive Order 12586 to 
    particular OPDIV/STAFFDIV facilities.
        B. Preliminary List of Covered Facilities. The Secretary was 
    required by Executive Order 12856 to provide the EPA Administrator by 
    December 31, 1993, with a preliminary list of facilities that 
    potentially meet the requirements for reporting under the threshold 
    provisions of EPCRA, PPA, and Executive Order 12856.
    
    30-80-10  Responsibilities
    
        The head of each OPDIV/STAFFDIV is responsible for ensuring that 
    all necessary actions are taken for the prevention of pollution with 
    respect to that organization's activities and facilities, and for 
    ensuring compliance with the appropriate pollution prevention and 
    emergency planning and community right-to-know provisions of the PPA 
    and EPCRA. To the maximum extent practicable, the head of each OPDIV/
    STAFFDIV shall strive to comply with the purposes, goals, and 
    implementation steps set forth in Executive Order 12856.
    
    [[Page 1703]]
    
        HHS Headquarters has developed the Pollution Prevention Strategy. 
    The head of each OPDIV/STAFFDIV with facilities covered by the 
    Executive Order must ensure that the organization develops, consistent 
    with the HHS Pollution Prevention Strategy,:
        1. Voluntary goals to reduce the organization's total releases of 
    toxic chemicals to the environmental and off-site transfers of such 
    toxic chemicals for treatment and disposal from facilities covered by 
    Executive Order 12856;
        2. A written pollution prevention plan;
        3. A plan and goals for eliminating or reducing the unnecessary 
    acquisition of products containing extremely hazardous substances or 
    toxic chemicals;
        4. A plan and goals for voluntarily reducing manufacturing, 
    processing, and use of extremely hazardous substances and toxic 
    chemicals.
        The OPDIV/STAFFDIV shall submit progress reports, conduct internal 
    reviews and audits, and take such other steps as may be necessary to 
    monitor compliance with the requirements of this chapter and Executive 
    Order 12856. The head of each OPDIV/STAFFDIV with facilities covered by 
    the Executive Order shall also place high priority on obtaining funding 
    and resources needed for implementing all aspects of this chapter and 
    Executive Order 12856.
    
    30-80-15  Definitions
    
        Executive Order 12856 incorporates by reference all definitions 
    found in EPCRA and PPA and implementing regulations (except the term 
    ``person'', as defined in section 329(7) (42 U.S.C. 11049(7)) of EPCRA, 
    also includes Federal agencies). The following definitions are used in 
    this chapter and chapters 30-60 and 30-70:
        A. Extremely Hazardous Substance. An ``extremely hazardous 
    substance'' is defined in EPCRA section 329(3) (42 U.S.C. 11049(3)) and 
    EPA regulations in 40 CFR 355.20 to mean a substance that is listed in 
    Appendices A (in alphabetical order) and B (by CAS number) of 40 CFR 
    part 355.
        B. Pollution Prevention. Pollution prevention is defined in section 
    2-203 of Executive Order 12856 to mean ``source reduction,'' as defined 
    in the PPA, and other practices that reduce or eliminate the creation 
    of pollutants through:
         Increased efficiency in the use of raw materials, energy, 
    water, or other resources; or
         Protection of natural resources by conservation.
        EPA has issued a Statement of Definition of Pollution Prevention 
    that is identical to the definition in Executive Order 12856 
    (Memorandum from F. Henry Habicht II, Deputy Administrator, 
    Environmental Protection Agency, Subject: EPA Definition of ``Pollution 
    Prevention'', to All EPA Personnel (May 28, 1992)). The Statement of 
    Definition explains that recycling, energy recovery, treatment, and 
    disposal are not included within EPA's definition of pollution 
    prevention. In distinguishing between prevention of pollution and 
    recycling, EPA includes ``in-process recycling'' within the definition 
    of ``pollution prevention.'' ``Out-of-process recycling'' is part of 
    recycling and is not part of the definition. The Statement of 
    Definition also comments that recycling that is conducted in an 
    environmentally sound manner shares many of the advantages of 
    prevention--it can reduce the need for treatment or disposal, and 
    conserve energy and resources.
    
        Note: A different definition of pollution prevention is used in 
    guidance from the Council on Environmental Quality in NEPA matters 
    (see 30-50-50).
    
        C. Source Reduction. ``Source reduction'' is defined in PPA section 
    6603(5) (42 U.S.C. 13102(5)) to mean any practice that:
         Reduces the amount of any hazardous substance, pollutant 
    or contaminant entering any waste stream or otherwise released into the 
    environment (including fugitive emissions) prior to recycling, 
    treatment, or disposal; and
         Reduces the hazards to public health and the environment 
    associated with the release of such substances, pollutants, or 
    contaminants.
        The term includes equipment or technology modifications, process or 
    procedure modifications, reformulation or redesign of products, 
    substitution of raw materials, and improvements in housekeeping, 
    maintenance, training, or inventory control.
        The term ``source reduction'' does not include any practice that 
    alters the physical, chemical, or biological characteristics or the 
    volume of a hazardous substance, pollutant, or contaminant through a 
    process or activity that is not integral to and necessary for producing 
    a product or providing a service.
        D. Toxic Chemical. Toxic chemical means a substance on the list 
    described in section 313(c) of EPCRA (42 U.S.C. 11023(c)) and contained 
    in 40 CFR 372.65 (see 30-60-70).
        E. Toxic Pollutants. Under the provisions of section 313 of EPCRA 
    as of December 1, 1993 (see 30-60-70), OPDIVs/STAFFDIVs may choose to 
    include releases and transfers of other chemicals, such as:
         An ``extremely hazardous substance'' as defined in section 
    329(3) of EPCRA (42 U.S.C. 11049(3)) and listed in 40 CFR part 355, 
    Appendices A & 8 (see 30-60-20 and -30);
         A ``hazardous waste'' under section 3001 of RCRA (42 
    U.S.C. 6921) as defined in 40 CFR 261.3 (see section 30-00-30); or
         A ``hazardous air pollutant'' listed under section 112(b) 
    of the Clean Air Act (42 U.S.C. 7412(b)) (see 30-00-30).
        For the purposes of establishing the OPDIV/STAFFDIV baseline under 
    subsection C of section 30-80-30, such ``other chemicals'' are in 
    addition to (not instead of the EPCRA section 313 chemicals. The term 
    ``toxic pollutants'' does not include hazardous waste subject to 
    remedial action generated prior to August 3, 1993.
    
    30-80-20  Pollution Prevention Strategy
    
        A. Achievement of Executive Order 12856 Requirements. The HHS 
    Pollution Prevention Strategy was developed to achieve the following 
    requirements specified in sections 3-302 through 3-305 of Executive 
    order 12856:
        1. Toxic Chemical Release Reduction Goals. Voluntary goals to 
    reduce the Department's total releases of toxic chemicals or toxic 
    pollutants to the environment and off-site transfers of such toxic 
    chemicals or toxic pollutants for treatment and disposal from 
    facilities covered under Executive order 12856 by 50 percent by 
    December 31, 1999, utilizing, to the maximum extent practicable, source 
    reduction practices.
        2. Acquisition and Procurement Goals and Plans. Plans and goals for 
    eliminating or reducing the unnecessary acquisition of products 
    containing extremely hazardous substances or toxic chemicals and a plan 
    and goal for voluntarily reducing manufacturing, processing, and use of 
    extremely hazardous substances and toxic chemicals.
        3. Toxic Chemical Release Inventory and Pollution Prevention Act 
    Reporting. Compliance with the provisions in EPCRA section 313 (42 
    U.S.C. 11023) and PPA section 6607 (42 U.S.C. 13106) and all 
    implementing regulations.
        4. Emergency Planning and Community Right-to-Know Reporting 
    Responsibilities. Compliance with the provisions set forth in sections 
    301 through 312 of EPCRA (42 U.S.C. 11001-11022) and all implementing 
    regulations.
    
    [[Page 1704]]
    
        B. Strategy Contents. The Pollution Prevention Strategy includes 
    the following elements.
        1. Pollution Prevention Policy Statement. The HHS Pollution 
    Prevention Strategy contains a Pollution Prevention Policy Statement 
    that reflects the Department's commitment to incorporate pollution 
    prevention through source reduction in facility management and 
    acquisition. The statement designates principal responsibilities for 
    development, implementation, and evaluation of the strategy. The 
    statement also identifies an individual responsible for coordinating 
    the Department's efforts in pollution prevention.
        2. Source Reduction Commitment. The Pollution Prevention Strategy 
    commits the Department to utilize pollution prevention through source 
    reduction, where practicable, as the primary means of achieving and 
    maintaining compliance with all applicable federal, state, and local 
    environmental requirements.
        3. Executive Order 12856 Achievement Plan. The strategy contains 
    plans for achieving the requirements specified in sections 3-302 
    through 3-305 of Executive Order 12856, as summarized in subsection A 
    of this section.
    
    30-80-30  Toxic Chemical Reduction Goals
    
        A. OPDIV/STAFFDIV Toxic Chemical Release Reduction Goals. Each 
    OPDIV/STAFFDIV having facilities covered by Executive Order 12856 shall 
    develop voluntary goals to reduce total releases of toxic chemicals to 
    the environment and off-site transfers of such toxic chemicals for 
    treatment and disposal by 50 percent by December 31, 1999. To the 
    maximum extent practicable, such reductions shall be achieved by 
    implementation of source reduction practices.
        B. Baseline Measurement. The baseline for measuring reductions for 
    purposes of achieve the 50 percent reduction goal in subsection A of 
    this section for each OPDIV/STAFFDIV is the first year in which 
    releases of toxic chemicals to the environment and off-site transfers 
    of such chemicals for treatment and disposal are publicly reported. The 
    baseline amount to which the 50 percent reduction goal applies is the 
    aggregate amount of toxic chemicals reported in the baseline year for 
    all of that OPDIV/STAFFDIV's covered facilities. In no event shall the 
    baseline be later than the 1994 reporting year.
        C. Alternate Toxic Pollutants Reduction Goal. As an alternative to 
    a 50 percent reduction goal for toxic chemicals, an OPDIV/STAFFDIV may 
    choose to achieve a 50 percent reduction goal for toxic pollutants. In 
    such event, the OPDIV/STAFFDIV shall delineate the scope of its 
    reduction program in the written pollution plan that is required by 
    section 30-80-40. The baseline for measuring reductions for purposes of 
    achieving the 50 percent reduction requirement for each OPDIV/STAFFDIV 
    shall be the first year in which releases of toxic pollutants to the 
    environment and off-site transfers of such chemicals for treatment and 
    disposal are publicly reported for each of that OPDIV/STAFFDIV's 
    facilities encompassed by its pollution prevention plan. In no event 
    shall the baseline year be later than the 1994 reporting year. The 
    baseline amount as to which the 50 percent reduction goal applies shall 
    be the aggregate amount of toxic pollutants reported by the OPDIV/
    STAFFDIV in the baseline year. For any toxic pollutants included by the 
    OPDIV/STAFFDIV in determining its baseline under this section, in 
    addition to toxic chemicals under EPCRA, the OPDIV/STAFFDIV shall 
    report on such toxic pollutants annually as part of its toxic chemical 
    release inventory report (see 30-60-70), if practicable, or through a 
    report that is made available to the public.
    
    30-80-40  Pollution Prevention Plan
    
        A. Pollution Prevention Plan. The head of each OPDIV/STAFFDIV shall 
    ensure that each of its covered facilities develops a written Pollution 
    Prevention Plan. Each facility plan shall set forth the facility's 
    contribution to the OPDIV's/STAFFDIV's toxic chemical reduction goals 
    (see 30-90-30).
        B. Facility Assessments. OPDIVs/STAFFDIVs shall conduct assessments 
    of their facilities as necessary to ensure development of facility 
    pollution prevention plans and pollution prevention programs.
    
    30-80-50  Acquisition and Procurement Plans and Goals
    
        A. Plans and Goals
        1. Toxic Chemical Acquisition Reduction Plan and Goals. Each OPDIV/
    STAFFDIV shall establish a plan and goals for eliminating or reducing 
    the unnecessary acquisition of products containing extremely hazardous 
    substances or toxic chemicals.
        2. Toxic Chemical Use Reduction Plan and Goal. Each OPDIV/STAFFDIV 
    shall establish a plan and goal for voluntarily reducing its own 
    manufacturing, processing, and use of extremely hazardous substances 
    and toxic chemicals.
        B. Specifications and Standards Review. OPDIVs/STAFFDIVs shall also 
    review (in coordination with GSA, EPA, and other Federal agencies where 
    appropriate) their standardized documents, including specifications and 
    standards, and identify opportunities to eliminate or reduce the use of 
    extremely hazardous substances and toxic chemicals, consistent with the 
    safety and reliability requirements of their missions. All appropriate 
    revisions to these specifications and standards shall be made by 1999.
        C. Coordination with EPA. Each OPDIV/STAFFDIV shall establish 
    priorities for implementing this section in coordination with EPA.
        D. Innovative Pollution Prevention Technologies. OPDIVs/STAFFDIVs 
    are encouraged to develop and test innovative pollution prevention 
    technologies at their facilities in order to encourage the development 
    of strong markets for such technologies. Partnerships should be 
    encouraged between industry, Federal agencies, Government laboratories, 
    academia, and others to assess and deploy, innovative environmental 
    technologies for domestic use and for markets abroad.
    
    30-80-60  EPCRA and Pollution Prevention Act Responsibilities
    
        A. Emergency Planning and Community Right-to-Know Responsibilities. 
    The head of each OPDIV/STAFFDIV is responsible for assuring compliance 
    with the provisions set forth in sections 301 through 312 of EPCRA (42 
    U.S.C. 11001-11022). Procedures for complying with these requirements 
    are contained in chapter 30-60.
        B. Toxic Chemical Release Inventory and Pollution Prevention Act 
    Reporting. The head of each OPDIV/STAFFDIV is responsible for assuring 
    compliance with the reporting requirements set forth in EPCRA section 
    313 (42 U.S.C. 11023) and PPA section 6607 (42 U.S.C. 13106). 
    Procedures for complying with these reporting requirements are 
    contained in chapters 30-60 and 30-70. In accordance with Executive 
    Order 12856, each OPDIV/STAFFDIV shall comply with these reporting 
    requirements without regard to the Standard Industrial Classification 
    (SIC) delineations that apply to the organization's facilities, and 
    such reports shall be for all releases, transfers, and wastes at such 
    facilities without regard to the SIC code of the activity leading to 
    the release, transfer, or waste.
    
    [[Page 1705]]
    
    30-80-70  Compliance
    
        A. Scope of Compliance. Executive Order 12856 provides that 
    compliance with EPCRA and PPA means compliance with the same 
    substantive, procedural, and other statutory and regulatory 
    requirements that would apply to a private person.
        B. Internal Reviews. OPDIVs/STAFFDIVs shall conduct internal 
    reviews and audits, and take such other steps as may be necessary, to 
    monitor compliance with the requirements of this chapter and Executive 
    Order 12856, including conducting assessments of their facilities to 
    ensure development of facility pollution prevention plans and pollution 
    prevention programs.
        C. Annual Progress Reports
        1. HHS Annual Report to EPA. The Secretary will submit annual 
    progress report to the EPA Administrator beginning on October 1, 1995. 
    These reports will include a description of the progress that has been 
    made in complying with all aspects of Executive Order 12856, including 
    pollution reduction requirements. This reporting requirement expires 
    after the report due on October 1, 2001. All OPDIVs/STAFFDIVs must 
    institute procedures that will permit timely progress reporting by 
    OPDIV/STAFFDIV facilities and the gathering of information for the 
    Secretary's report.
        2. EPA Annual to President. Executive Order 12856 requires EPA to 
    submit an annual report to the President on Federal agency compliance 
    with toxic chemical release inventory reporting under EPCRA section 313 
    and toxic chemical source reduction and recycling reporting under PPA 
    section 6607 (see chapters 30-60 and 30-70). All OPDIVs/STAFFDIVs must 
    institute procedures that will permit timely progress reporting to EPA 
    for its report to the President.
        D. Contractor Reporting Responsibilities. To facilitate compliance 
    with Executive Order 12856, OPDIVs/STAFFDIVs shall provide, in all 
    future contracts between the organization and its relevant contractors, 
    for the contractor to supply to the OPDIV/STAFFDIV all information that 
    the OPDIV/STAFFDIV deems necessary for it to coply with the order. In 
    addition, to the extent that compliance with Executive Order 12856 is 
    made more difficult due to lack of information from existing 
    contractors, OPDIVs/STAFFDIVs shall take practical steps to obtain the 
    information needed to comply with the order from such contractors. 
    Although Executive Order 12856 does not alter the obligations which 
    GOCOs have under EPCRA and PPA independent of the order or subjects 
    such facilities to EPCRA or PPA if they are otherwise excluded, the 
    releases and transfers from all such facilities are to be included when 
    meeting all of the OPDIV's/STAFFDIV's responsibilities under Executive 
    Order 12856.
        E. Technical Assistance for EPA. OPDIVs/STAFFDIVs are encouraged to 
    request technical advice and assistance from EPA in order to foster 
    full compliance with Executive Order 12856 and this chapter.
        F. Technical Assistance to Local Emergency Planning Committees. 
    OPDIVs/STAFFDIVs shall provide technical assistance, if requested, to 
    local emergency planning committees in their development of emergency 
    response plans and in fulfillment of their community right-to-know and 
    risk reduction responsibilities (see 30-60).
        G. EPA Review. Executive Order 12856 provides that the 
    Administrator of EPA, in consultation with the Secretary, may conduct 
    such reviews and inspections as may be necessary to monitor compliance 
    with HHS responsibilities under EPCRA (see 30-60) and the PAA (see 30-
    70). OPDIVs/STAFFDIVs are to cooperate fully with the efforts of the 
    Administrator to ensure compliance with Executive Order 12856. Should 
    the Administrator notify an OPDIV/STAFFDIV that it is not in compliance 
    with an applicable provision of Executive Order 12856, the OPDIV/
    STAFFDIV shall achieve compliance as promptly as is practicable.
        H. State and Local Right-to-Know Requirements. OPDIVs/STAFFDIVs are 
    encouraged to comply with all State and local right-to-know and 
    pollution prevention requirements to the extent that compliance with 
    such laws and requirements is not otherwise already mandated.
        I. Exemption for Particular Federal Facilities. Section 6-601 of 
    Executive Order 12856 provides that the head of a Federal agency may 
    request from the President, in the interest of national security, an 
    exemption from complying with the provisions of any or all aspects of 
    the order for particular Federal agency facilities, provided that the 
    procedures set forth in CERCLA section 1200)(1) (42 U.S.C. 9620(j)(1)) 
    are followed.
    
    30-80-80  Public Availability of Information
    
        To the extent permitted by law, and unless such documentation is 
    withheld pursuant to section 6-601 of Executive Order 12856, the public 
    shall be provided ready access to all strategies, plans, and reports 
    required to be prepared by the Department or an OPDIV/STAFFDIV under 
    Executive Order 12856. OPDIVs/STAFFDIVs are encouraged to provide such 
    strategies, plans, and reports to the State and local authorities where 
    their facilities are located for an additional point of access to the 
    public.
    
    30-80-90  Funding and Resources
    
        Each OPDIV/STAFFDIV shall place high priority on obtaining funding 
    and resources needed for implementing all aspects of this chapter and 
    Executive Order 12856, including the pollution prevention strategies, 
    plans, and assessments required by Executive Order 12856, by 
    identifying, requesting, and allocating funds through line-item or 
    direct funding requests. OPDIVs/STAFFDIVs are to make such budget 
    requests as required in the Federal Agency Pollution Prevention and 
    Abatement Planning Process and through budget requests as outlined in 
    Office of Management and Budget (OMB) Circular A-11. OPDIVs/STAFFDIVs 
    should apply, to the maximum extent practicable, a life cycle analysis 
    and total cost accounting principles to all projects needed to meet the 
    requirements of this chapter and Executive Order 12856.
    
    HHS Chapter 30-90--General Administration Manual; HHS Transmittal 
    98.2
    
    Subject: Greening the Government Through Waste Prevention, Recycling, 
    and Federal Acquisition
    
    30-90-00....  Background
          05....  Applicability
          10....  Responsibilities
          15....  Definitions
          20....  Roles of the Federal Environmental Executive and Agency
                   Environmental Executives
          30....  Acquisition Planning and Affirmative Procurement Programs
          40....  Agency Goals and Reporting Requirements
          50....  Standards, Specifications and Designation of Items
          60....  Recycling and Recycling Awareness Programs
          70....  Real Property Acquisition and Management
          80....  Training
          90....  Compliance
     
    
    30-90-00  Background
    
        A. Executive Order 13101. Executive Order 13101 requires Federal 
    agencies to strive to increase the procurement of products that are 
    environmentally preferable or that are made with recovered materials 
    and to set goals to maximize the number of recycled
    
    [[Page 1706]]
    
    products purchased, relative to non-recycled alternatives. Each agency 
    is to establish either a goal for solid waste prevention and for 
    recycling or a goal for solid waste diversion. It is the national 
    policy to prefer pollution prevention, whenever feasible.
        Each Executive agency is to initiate a program, compatible with 
    State and local requirements, to promote cost-effective waste 
    prevention and recycling of reusable materials in all of its 
    facilities. Federal agencies are also to consider cooperative ventures 
    with State and local governments to promote recycling, and waste 
    reduction in the community. The order directs that in acquisition 
    planning and in the evaluation and award of contracts, agencies are to 
    consider, among other factors, use of recovered materials, life cycle 
    costs, and recyclability. Each Executive department and major procuring 
    agency must establish model facility demonstration programs that 
    include comprehensive waste prevention and recycling programs and 
    emphasize the procurement of recycled and environmentally preferable 
    products and services. A government-wide award will be presented 
    annually by the White House to the best, most innovative program 
    implementing the objectives of Executive Order 13101 to give greater 
    visibility to these efforts so that they can be incorporated 
    government-wide.
        The Executive Order creates a Federal Environmental Executive and 
    establishes high-level Environmental Executive positions within each 
    agency to be responsible for expediting the implementation of the order 
    and statutes that pertain to the Order.
        Executive Order 13101 was effective immediately upon its issuance 
    by the President on September 14, 1998. Executive Order 13101 revokes 
    Executive Order 12873, dated October 20, 1993.
        B. Resource Conservation and Recovery Act of 1976 (RCRA). Executive 
    Order 13101 requires Federal agencies to comply with the sections of 
    RCRA that cover Federal procurement of recycled products. Section 
    6002(c)(1) of RCRA (42 U.S.C. 6962(c)(1)) imposes a duty on Federal 
    agencies to procure items ``composed of the highest percentage of 
    recovered materials practicable * * * consistent with maintaining a 
    satisfactory level of competition. * * *'' The Administrator of the 
    Environmental Protection Agency (EPA) is required by Section 6002 to 
    develop guidelines that designate those items which are or can be 
    produced with recovered materials and set forth recommended practices 
    with respect to the procurement of recovered materials and items 
    containing such materials. To assist procuring agencies in complying 
    with the requirements of section 6002, EPA has issued guidelines for 
    the Federal procurement of building insulation products containing 
    recovered materials, cement and concrete containing fly ash, paper and 
    paper products containing recovered materials, lubricating oils 
    containing re-refined oil, and retread tires (see 40 CFR part 247).
        RCRA 6002 also requires each procuring agency to develop an 
    affirmative procurement program which will assure that items composed 
    of recovered materials will be purchased to the maximum extent 
    practicable and which is consistent with applicable provisions of 
    Federal procurement law.
        C. OFPP Policy Letter 92-4. RCRA section 6002 (42 U.S.C. 6962) 
    requires the Office of Federal Procurement Policy (OFPP) to issue 
    coordinated policies to maximize Federal use of recovered material. 
    Executive Order 13101 requires Federal agencies, consistent with 
    policies established by OFPP Policy Letter 92-4 (57 FR 53362 (1992)), 
    to comply with executive branch policies for the acquisition and use of 
    environmentally preferable products and services and to implement cost-
    effective procurement preference programs favoring the purchase of 
    these products and services. OFPP Policy Letter 92-4, establishes 
    Executive branch policies for the acquisition and use of 
    environmentally-sound, energy-efficient products and services. The OFPP 
    Policy Letter also provides guidance to be followed by Executive 
    agencies in implementing section 6002 of RCRA.
        The OFPP Policy Letter requires the implementation of cost-
    effective procurement preference programs for the purchase of 
    environmentally-sound, energy-efficient products and services. It 
    applies to Federal executive agencies that use appropriated Federal 
    funds for procurement purposes. The Policy Letter provides direction 
    for developing affirmative procurement programs and for the procurement 
    of paper containing post-consumer waste. The letter also implements the 
    Energy Policy and Conservation Act, 42 U.S.C. 6201-6422, and two 
    Executive Orders.
        Policy Letter 92-4 directs executive agencies to consider energy 
    conservation and efficiency factors in the procurement of property and 
    services. It also requires Federal agencies to give preference in their 
    procurement programs to practices and products that conserve natural 
    resources and protect the environment. Energy conservation and 
    efficiency data are to be considered, along with estimated cost and 
    other relevant factors, in the development of purchase requests, 
    invitations for bids and solicitations for offers. In addition, with 
    respect to the procurement of consumer products, as defined under Part 
    B, Title III of the Energy Policy and Conservation Act, agencies shall 
    consider energy use/efficiency labels (42 U.S.C. 6294) and prescribed 
    energy efficiency standards (42 U.S.C. 6295) in making purchasing 
    decisions.
        The Policy Letter is intended to apply to all products and 
    services. There are differing requirements for the guideline items than 
    for other items.
    
    30-90-05  Applicability
    
        A. OPDIV/STAFFDIVs. Consistent with the demands of efficiency and 
    cost effectiveness, the head of each OPDIV/STAFFDIV shall incorporate 
    waste prevention and recycling in the organization's daily operations 
    and work to increase and expand markets for recovered materials through 
    greater Federal Government preference and demand for such products. 
    Consistent with policies established by Office of Federal Procurement 
    Policy (``OFPP'') Policy Letter 92-4, OPDIVs/STAFFDIVs shall comply 
    with executive branch policies for the acquisition and use of 
    environmentally preferable products and services and implement cost-
    effective procurement preference programs favoring the purchase of 
    these products and services.
        B. Contractor Operated Facilities. Contracts that provide for 
    contractor operation of a government-owned or leased facility and/or 
    contracts, awarded after the effective date of Executive Order 13101, 
    shall include provisions that obligate the contractor to comply with 
    the requirements of the order within the scope of its operations. In 
    addition, to the extent permitted by law and where economically 
    feasible, existing contracts should be modified to include provisions 
    that obligate the contractor to comply with the requirements of 
    Executive Order 13101.
        C. Real Property Acquisition and Management. Within 90 days after 
    the date of this order, and to the extent permitted by law and where 
    economically feasible, OPDIVs/STAFFDIVs shall ensure compliance with 
    the provisions of this order in the acquisition and management of 
    Federally owned and leased space. Agencies shall also include 
    environmental and recycling provisions in the acquisition and 
    management of all leased space and in the construction of new Federal 
    buildings.
    
    [[Page 1707]]
    
        D. Retention of Funds. The Administrator of General Services shall 
    continue with the program that retains for the agencies the proceeds 
    from the sale of materials recovered through recycling or waste 
    prevention programs and specifying the eligibility requirements for the 
    materials being recycled.
        E. Agencies in non-GSA Managed Facilities. OPDIVs/STAFFDIVs, to the 
    extent permitted by law, should develop a plan to retain the proceeds 
    from the sale of materials recovered through recycling or waste 
    prevention programs.
        F. Model Facility Programs. Each executive agency shall establish a 
    model demonstration program incorporating some or all of the following 
    elements as appropriate. Agencies are encouraged to demonstrate and 
    test new and innovative approaches such as incorporating 
    environmentally preferable and bio-based products; increasing the 
    quantity and types of products containing recovered materials; 
    expanding collection programs; implementing source reduction programs; 
    composting organic materials when feasible; and exploring public/
    private partnerships to develop markets for recovered materials.
        G. Recycling Programs. Each OPDIV/STAFFDIV shall designate a 
    recycling coordinator for each facility or installation. The recycling 
    coordinator shall implement or maintain waste prevention and recycling 
    programs in the agencies' action plans. Agencies shall also consider 
    cooperative ventures with State and local governments to promote 
    recycling and waste reduction in the community.
    
    30-90-10  Responsibilities
    
        The head of each OPDIV/STAFFDIV shall develop and implement to the 
    maximum extent practicable affirmative procurement programs in 
    accordance with RCRA section 6002 (42 U.S.C. 6962) and Executive Order 
    13101.
        The head of each OPDIV/STAFFDIV shall ensure that the organization 
    meets or exceeds minimum materials content standards when purchasing or 
    causing the purchase of printing and writing paper.
    
    30-90-15  Definitions
    
        A. ``Acquisition'' means the acquiring by contract with 
    appropriated funds for supplies or services (including construction) by 
    and for the use of the Federal Government through purchase or lease, 
    whether the supplies or services are already in existence or must be 
    created, developed, demonstrated, and evaluated. Acquisition begins at 
    the point when HHS organization needs are established and includes the 
    description of requirements to satisfy organization needs, solicitation 
    and selection of sources, award of contracts, contract financing, 
    contract performance, contract administration, and those technical and 
    management functions directly related to the process of fulfilling 
    organization needs by contract
        B. ``Environmentally preferable'' means products or services that 
    have a lesser or reduced effect on human health and the environment 
    when compared with competing products or services that serve the same 
    purpose. This comparison may consider raw materials acquisition, 
    production, manufacturing, packaging, distribution, reuse, operation, 
    maintenance, or disposal of the product or service.
        C. ``Life Cycle Cost'' means the amortized annual cost of a 
    product, including capital costs, installation costs, operating costs, 
    maintenance costs, and disposal costs discounted over the lifetime of 
    the product.
        D. ``Life Cycle Assessment'' means the comprehensive examination of 
    a product's environmental and economic effects throughout its lifetime 
    including new material extraction, transportation, manufacturing, use, 
    and disposal.
        E. ``Postconsumer material'' means a material or finished product 
    that has served its intended use and has been discarded for disposal or 
    recovery, having completed its life as a consumer item. ``Post-consumer 
    material'' is a part of the broader category of ``recovered material''.
        F. ``Recovered materials'' means waste materials and by-products 
    which have been recovered or diverted from solid waste, but such term 
    does not include those materials and by-products generated from, and 
    commonly reused within, an original manufacturing process (42 U.S.C. 
    6903 (19)).
        Manufacturing, forest residues, and other wastes also fit within 
    the definition of ``recovered materials''. Such wastes include dry 
    paper and paperboard waste generated after completion of the paper-
    making process; finished paper and paperboard from obsolete inventories 
    of paper and paperboard manufacturers, merchants, wholesalers, dealers, 
    printers, converters, or others; fibrous byproducts of harvesting, 
    manufacturing, extractive, or wood-cutting processes; wastes generated 
    by the conversion of goods made from fibrous material; and fibers 
    recovered form waste water which otherwise would enter the wastestream.
        G. ``Recyclability'' means the ability of a product or material to 
    be recovered from, or otherwise diverted from, the solid waste stream 
    for the purpose of recycling.
        H. ``Recycling'' means the series of activities, including 
    collection, separation, and processing, by which products or other 
    materials are recovered from the solid waste stream for use in the form 
    of raw materials in the manufacture of new products other than fuel for 
    producing heat or power by combustion.
        I. ``Waste prevention'' means any change in the design, 
    manufacturing, purchase or use of materials or products (including 
    packaging) to reduce their amount or toxicity before they become 
    municipal solid waste. Waste prevention also refers to the reuse of 
    products or materials.
        J. ``Waste reduction'' means preventing or decreasing the amount of 
    waste being generated through waste prevention, recycling, or 
    purchasing recycled and environmentally preferable products.
        K. ``Pollution prevention'' means ``source reduction'' as defined 
    in the Pollution Prevention Act of 1990, and other practices that 
    reduce or eliminate the creation of pollutants through: (a) Increased 
    efficiency in the use of raw materials, energy, water, or other 
    resources; or (b) protection of natural resources by conservation.
        L. ``Biobased product'' means a commercial or industrial product 
    (other than food or feed) that utilizes biological products or 
    renewable domestic agricultural (plant, animal, and marine) or forestry 
    materials.
        M. ``Major procuring agencies'' shall include any executive agency 
    that procures over $50 million per year of goods and services.
    
    30-90-20  Roles of the Federal Environmental Executive and Agency 
    Environmental Executives
    
        A. Federal Environmental Executive. The Federal Environmental 
    Executive is designated by the President and is located within the 
    Environmental Protection Agency (``EPA''). The Federal Environmental 
    Executive is authorized to take all actions necessary to ensure that 
    Federal agencies comply with the requirements of Executive Order 13101. 
    The Federal Environmental Executive's responsibilities include:
    
        Identifying and recommending initiatives for government-wide 
    implementation that will promote the purposes of Executive Order 
    13101, including:
    
        (a) The development of a government-wide Waste Prevention and 
    Recycling Strategic Plan for implementation of Executive Order 13101 
    and appropriate incentives to encourage the acquisition of recycled 
    and environmentally preferable products by the Federal Government,
    
    [[Page 1708]]
    
        (b) Chairing the Task Force under the steering committee 
    established by Executive Order 13101, and
        (c) Preparing a biennial report on this Order.
    
        The Federal Environmental Executive will establish committees and 
    work groups to identify, assess, and recommend actions to be taken to 
    fulfill the goals, responsibilities, and initiatives of the Federal 
    Environmental Executive. As these committees and work groups are 
    created, OPDIVs/STAFFDIVs may be requested to designate appropriate 
    personnel in the areas of procurement and acquisition, standards and 
    specifications, electronic commerce, facilities management, waste 
    prevention, and recycling, and others as needed to staff and work on 
    the initiatives of the Executive. OPDIVs/STAFFDIVs shall make their 
    services, personnel and facilities available to the Federal 
    Environmental Executive to the maximum extent practicable for the 
    performance of functions under Executive Order 13101.
        B. HHS Environmental Executive. Executive Order 13101 requires the 
    Secretary to designate an Agency Environmental Executive, who serves at 
    a level no lower than at the Assistant Secretary level or equivalent. 
    The Agency Environmental Executive is responsible for:
        1. Translating the Government-wide State Plan into specific agency 
    and service plans;
        2. Implementing the specific agency and service plans;
        3. Reporting to the Federal Environmental Executive (FEE) on the 
    progress of plan implementation;
        D. Working with the FEE and the Task Force in furthering 
    implementation of this order;
        E. Tracking agencies' purchases of EPA-designated guideline items 
    and reporting agencies' purchases of such guideline items to the FEE 
    per the recommendations developed in this Order. Agency acquisition and 
    procurement personnel shall justify in writing to the file and the 
    Agency Environmental Executive (AEE) the rationale for not purchasing 
    such items, above the micropurchase threshold, and submit a plan and 
    timetable for increasing agency purchases of the designated items(s);
        F. One year after a product is placed on the USDA Biobased Products 
    List, estimating agencies' purchases of products on the list and 
    reporting agencies' estimated purchases of such products to the 
    Secretary of Agriculture; and
        G. Reviewing Departmental programs and acquisitions to ensure 
    compliance with this Order.
    
    30-90-30  Acquisition Planning and Affirmative Procurement Programs
    
        A. Acquisition Planning. In developing plans, drawings, work 
    statements, specifications, or other product descriptions, OPDIVs/
    STAFFDIVs shall consider, as appropriate, a broad range of actors 
    including:
    
    --Elimination of virgin material requirements;
    --Use of recovered materials;
    --Reuse of product;
    --Life cycle cost;
    --Recyclability;
    --Use of environmentally preferable products;
    --Waste prevention (including toxicity reduction or elimination); and
    --Ultimate disposal, as appropriate.
    
        These factors should be considered in acquisition planning for all 
    procurements and in the evaluation and award of contracts, as 
    appropriate. Program and acquisition managers should take an active 
    role in these activities.
        B. OPDIV/STAFFDIV Responsibilities. In accordance with OFPP Policy 
    Letter 924, OPDIVs/STAFFDIVs shall:
        1. Identify and procure needed products and services that, all 
    factors considered, are environmentally-sound and energy-efficient;
        2. Procure products, including packaging, that contain the highest 
    percentage of recovered materials, and where applicable, post-consumer 
    waste, consistent with performance requirements, availability, price 
    reasonableness, and cost effectiveness;
        3. Employ life cycle cost analysis, wherever feasible and 
    appropriate, to assist in making product and service selections;
        4. Use product descriptions and specifications that reflect cost-
    effective use of recycled products, recovered materials, water 
    efficiency devices, remanufactured products and energy-efficient 
    products, materials and practices;
        5. Work with private standard setting organizations and 
    participate, pursuant to OMB Circular No. A-119, in the development of 
    voluntary standards and specifications defining environmentally-sound, 
    energy-efficient products, practices and services;
        6. Require vendors to certify the percentage of recovered materials 
    used, when contracts are awarded wholly or in part on the basis of 
    utilization of recovered materials;
        7. Assure, when drafting or reviewing specifications for required 
    items, that the specifications:
        (a) do not exclude the use of recovered materials;
        (b) do not unnecessarily require the item to be manufactured from 
    virgin materials; and
        (c) require the use of recovered materials and environmentally-
    sound components to the maximum extent practicable without jeopardizing 
    the intended end use of the item; and
        8. Arrange for the procurement of solid waste management services 
    in a manner which maximizes energy and resource recovery. OPDIVs/
    STAFFDIVs that generate heat, mechanical, or electrical energy from 
    fossil fuel in systems that have the technical capability of using 
    energy or fuel derived from solid waste as a primary or supplementary 
    fuel shall use such capability to the maximum extent practicable.
        C. Affirmative Procurement Programs. RCRA section 6002(i) (42 
    U.S.C. 6962(i)) requires the development of an affirmative procurement 
    program for each item that is covered by an EPA guideline. The 
    affirmative procurement program is to assure that items composed of 
    recovered materials will be purchased to the maximum extent 
    practicable, consistent with applicable provisions of Federal 
    procurement law.
        1. OPDIVs/STAFFDIVs shall establish affirmative procurement 
    programs for each of the items covered by guidelines developed by the 
    Environmental Protection Agency pursuant to subsection 6002(e) of RCRA 
    (see 40 CFR 247). For newly designated items, OPDIVs/STAFFDIVs shall 
    revise their internal programs within one year from the date EPA 
    designated the new items. OPDIVs/STAFFDIVs shall ensure that 
    responsibilities for preparation, implementation and monitoring of 
    affirmative procurement programs are shared between program personnel 
    and procurement personnel. The responsibility to establish an 
    affirmative procurement program applies only to purchases of guideline 
    items costing $10,000 or more or where the quantity of such items, or 
    of functionally-equivalent items, acquired in the course of the 
    preceding year was $10,000 or more.
        2. For designated EPA guideline items, excluding biobased products 
    as described in this Executive Order, OPDIVs/STAFFDIVs shall ensure 
    that their affirmative procurement programs require that 100 percent of 
    their purchases of products meet or exceed the EPA guideline standards 
    unless written justification is provided that a
    
    [[Page 1709]]
    
    product is not available competitively within a reasonable time frame, 
    does not meet appropriate performance standards, or is only available 
    at an unreasonable price. Written justification is not required for 
    purchases below the micropurchase threshold. For micropurchases, 
    agencies shall provide guidance regarding purchase of EPA-designated 
    guideline items. This guidance should encourage consideration of 
    aggregating purchases when this method would promote economy and 
    efficiency.
        3. Program Elements. Each OPDIVs/STAFFDIVs affirmative procurement 
    program, at a minimum, must comply with RCRA subsection 6002(i) and 
    must:
        (a) State a preference for the procurement of the item covered by 
    the EPA guideline;
        (b) Promote the cost-effective procurement of the covered item;
        (c) Require estimates of the total amount of the recovered item 
    used in a contract, certification of the minimum amount actually used, 
    where appropriate, and procedures for verifying the estimates and 
    certifications;
        (d) Provide for the annual review and monitoring of the 
    effectiveness of the program; and
        (e) Include one of the following options, or a substantially 
    equivalent alternative, to insure that contracts for items covered by 
    the guidelines are awarded, unless a waiver is granted, on the basis 
    of:
         Case-by-case procurement, open competition between 
    products made of virgin materials and products containing recovered 
    materials; preference to be given to the latter, or
         Minimum-content standards, which identify the minimum 
    content of recovered materials that an item must contain to be 
    considered for award.
        4. Waiver. OPDIVs/STAFFDIVs are to base decisions to waive, or not 
    to procure, EPA guideline items composed of the highest percentages of 
    recovered materials practicable on a determination that such items:
        (a) Are not reasonably available within the time required;
        (b) Fail to meet the performance standards set forth in applicable 
    specifications or fail to meet the reasonable performance standards of 
    the procuring agencies; or
        (c) Are only available at an unreasonable price.
        5. The Agency Environmental Executive will track purchases of 
    designated EPA guideline items and report purchases of such guideline 
    items to the Federal Environmental Executive when requested.
        A. Agencies shall implement the EPA procurement guidelines for 
    rerefined lubricating oil and retread tires. Fleet and commodity 
    managers shall take immediate steps, as appropriate, to procure these 
    items in accordance with section 6002 of RCRA. This provision does not 
    preclude the acquisition of biobased (e.g., vegetable) oils.
        B. The FEE shall work to educate executive agencies about the new 
    Department of Defense Cooperative Tire Qualification Program, including 
    the cooperative Approval Tire List and Cooperative Plant Qualification 
    Program, as they apply to retread tires.
    
    30-90-40  Agency Goals and Reporting Requirements
    
        Each OPDIVs/STAFFDIV shall establish either a goal for solid waste 
    prevention and a goal for recycling or a goal for solid waste diversion 
    to be achieved by January 1, 2000. Each agency shall further ensure 
    that the established goals include long-range goals to be achieved by 
    the years 2005 and 2010. These goals shall be submitted to the FEE 
    within 180 days after the date of this Order.
        In addition to white paper, mixed paper/cardboard, aluminum, 
    plastic, and glass, agencies should incorporate into their recycling 
    programs efforts to recycle, reuse, or refurbish pallets and collect 
    toner cartridges for re-manufacturing. Agencies should also include 
    programs to reduce or recycle, as appropriate, batteries, scrap metal, 
    and fluorescent lamps and ballasts.
    
    30-90-50  Standards, Specifications and Designation of Items
    
        A. Designation of Items that Contain Recovered Materials. EPA shall 
    designate Comprehensive Procurement Guidelines containing designated 
    items that are or can be made with recovered materials. OPDIVs/
    STAFFDIVs shall modify their affirmative procurement programs to 
    require that, to the maximum extent practicable, their purchases of 
    products meet or exceed the EPA guideline standards unless written 
    justification is provided that a product is not available 
    competitively, not available within a reasonable time frame, does not 
    meet appropriate performance standards, or is only available at an 
    unreasonable price. Concurrently with the issuance of the Comprehensive 
    Procurement Guideline, EPA will publish Recovered Materials Advisory 
    Notice(s) that present the range of recovered material content levels 
    within which the designated recycled items are currently available. 
    These levels will be updated periodically to reflect changes in market 
    conditions.
        B. Guidance for Environmentally Preferable products. In accordance 
    with Executive Order 13101, EPA will issue guidance that Executive 
    agencies should use in making determinations for the preference and 
    purchase of environmentally preferable products. OPDIVs/STAFFDIVs are 
    to use this guidance, to the maximum extent practicable, in identifying 
    the purchasing environmentally preferable products and shall modify 
    their procurement programs by reviewing and revising specifications, 
    solicitation procedures, and policies as appropriate. OPDIVs/STAFFDIVs 
    may develop pilot projects to provide practical information to the EPA 
    for further updating of the guidance.
        C. Designation of Biobased Items by the USDA. The USDA Biobased 
    Products Coordination Council, shall, in consultation with the FEE, 
    issue a Biobased Products List. The biobased Products List shall be 
    published in the Federal Register by the USDA within 180 days after the 
    date of this Order and shall be updated biannually after publication to 
    include additional items. Once the Biobased Products List has been 
    published, agencies are encouraged to modify their affirmative 
    procurement program to give consideration to those products.
        D. Minimum Content Standard for Printing and Writing Paper. Heads 
    of OPDIVs/STAFFDIVs heads shall ensure their organizations meet or 
    exceed the following minimum materials content standards when 
    purchasing or causing the purchase of printing and writing paper.
        1. For high speed copier paper, offset paper, forms bond, computer 
    printout paper, carbonless paper, file folders, white woven envelopes, 
    writing and office paper, book paper, cotton fiber paper, and cover 
    stock, the minimum content standard shall be no less than 30 percent 
    post-consumer materials beginning December 31, 1998. If paper 
    containing 30 percent post-consumer material is not reasonably 
    available, does not meet reasonable performance requirements, or is 
    only available at an unreasonable price, then the agency shall purchase 
    paper containing no less than 20 percent post-consumer material. The 
    Steering Committee in consultation with the AEEs, may revise these 
    levels if necessary.
        2. As an alternative to meeting the foregoing standards for all 
    printing and writing papers, the minimum content standard shall be no 
    less than 50 percent recovered materials that are a waste material 
    byproduct of a finished
    
    [[Page 1710]]
    
    product other that a paper or textile product which would otherwise be 
    disposed of in a landfill, as determined by the State in which the 
    facility is located.
        E. Effective January 1, 1999, no executive branch agency shall 
    purchase, sell, or arrange for the purchase of, printing and writing 
    paper that fails to meet the minimum requirements of this section.
    
    30-90-60  Recycling and Recycling Awareness Programs
    
        A. Recycling Program. Each OPDIVs/STAFFDIV shall designate a 
    recycling coordinator for each facility or installation. Each OPDIVs/
    STAFFDIVs shall initiate a program to promote cost-effective waste 
    prevention and recycling of reusable materials in all of its 
    facilities. Each facility recycling program must be compatible with 
    applicable State and local recycling requirements. Each facility shall 
    also consider cooperative ventures with State and local governments to 
    promote recycling and waste reduction in the community.
        B. Awards Programs. Each OPDIV/STAFFDIV shall develop an internal 
    awards program, as appropriate, to reward its most innovative 
    environmental programs. Winners of OPDIV/STAFFDIV awards will be 
    eligible for annual HHS and White House awards programs. The White 
    House will annually present an award to the best, most innovative 
    program implementing the objectives of Executive Order 13101.
        C. Model Facility Programs. Executive order 13101 requires HHS to 
    establish a model facility demonstration program incorporating some or 
    all of the following elements as appropriate. Agencies are encouraged 
    to demonstrate and test new and innovative approaches such as 
    incorporating environmentally preferable and bio-based products; 
    increasing the quantity and types of products containing recovered 
    materials; expanding collection programs; implementing source reduction 
    programs; composing organic materials when feasible; and exploring 
    public/private partnerships to develop markets for recovered materials.
    
    30-90-70  Real Property Acquisition and Management
    
        Each OPDIV/STAFFDIV, to the extent permitted by law and where 
    economically feasible, shall ensure compliance with the provisions of 
    Executive Order 13101 in the acquisition and management of Federally 
    owned and leased space. Environmental and recycling provisions shall be 
    included in the acquisition of all leased space and in the construction 
    of new Federal buildings.
    
    30-90-80  Training
    
        Each OPDIV/STAFFDIV shall provide training to program management 
    and requesting activities as needed to ensure awareness of the 
    requirements of this Order.
    
    30-90-90  Compliance
    
        Review of Implementation. The HHS Inspector General, at the request 
    of the President's Council on Integrity and Efficiency (PCIE), will 
    periodically review OPDIVs'/STAFFDIVs' affirmative procurement programs 
    and reporting procedures to ensure their compliance with Executive 
    order 13101.
    
    [FR Doc. 99-9 Filed 1-8-99; 8:45 am]
    BILLING CODE 4150-04-M
    
    
    

Document Information

Published:
01/11/1999
Department:
Health and Human Services Department
Entry Type:
Notice
Action:
Notice of proposed revision of HHS NEPA Procedures.
Document Number:
99-9
Dates:
Written comments must be received on or before February 10, 1999.
Pages:
1656-1710 (55 pages)
PDF File:
99-9.pdf
CFR: (1)
15 CFR 4321