ENVIRONMENTAL PROTECTION AGENCY
BASIC DOCUMENTS CONCERNING
FEDERAL PROGRAMS TO CONTROL
ENVIRONMENTAL POLLUTION FROM
FEDERAL GOVERNMENT ACTIVITIES
FEDERAL ACTIVITIES
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INTRODUCTION
The President and Congress have made a :>uu:> tanu ia i »
commitment to clean up the Federal Government's installa-
tions and to ensure that its own multivariate activities do
not imperil the environment. This booklet contains a compi-
lation of documents which have proved useful to the Environ-
mental Protection Agency. The documents, which include
legislation, Presidential Executive Orders, and Office of
Management and Budget Circulars and Bulletins, fall into
three main areas:
o Environmental Impact Statements
o Control of Pollution from Federal Facilities
o Environmental Controls in Federal Agreements
(contracts, grants, loans, leases, licenses,
and permits, etc.)
This compilation is not intended to be an exhaustive
catalog of the legal authorities for the Federal government's
internal environmental protection programs, but rather a
handy reference for those who work with those programs on a
daily basis.
EPA would be happy to receive suggestions for improvements
for this reference guide. Please send any comments to:
Office of Federal Activities
Environmental Protection Agency
Room 3632, Waterside Mall
4th and M Streets, S.W.
Washington, D.C. 20460
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TABLE OF CONTENTS
INTRODUCTION , i
ENVIRONMENTAL IMPACT STATEMENTS
NATIONAL ENVIRONMENTAL POLICY ACT 1
CLEAN AIR ACT
Section 309 8
DEPARTMENT OF TRANSPORTATION ACT
Section 4(f) 9
EXECUTIVE ORDER 11514 10
CEQ GUIDELINES FOR FEDERAL AGENCIES
UNDER NEPA 14
OMB BULLETIN #72-6 20
OMB CIRCULAR #A-95 25
Including "WHAT IT IS--HOW IT WORKS" 60
FEDERAL FACILITIES
CLEAN AIR ACT
Section 118 74
FEDERAL WATER POLLUTION CONTROL ACT
Section 21(a) 75
SOLID WASTE DISPOSAL ACT
Section 211(a). 76
EXECUTIVE ORDER 11507 77
OMB CIRCULAR #A-78 83
OMB CIRCULAR #A-81 102
FEDERAL AGREEMENTS
CLEAN AIR ACT
Section 306 118
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TABLE OF CONTENTS
FEDERAL AGREEMENTS (cont.)
FEDERAL WATER POLLUTION CONTROL ACT
Section 21(b) 119
SOLID WASTE DISPOSAL ACT
Section 211(b) 123
THE AIRPORT AND AIRWAYS DEVELOPMENT ACT 124
EXECUTIVE ORDER 11574 127
EXECUTIVE ORDER 11602.. 129
STATE CERTIFICATION OF ACTIVITIES REQUIRING
A FEDERAL LICENSE OR PERMIT 132
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NATIONAL ENVIRONMENTAL POLICY ACT OF 1969
Sec.
4321. Congressional declaration of purpose.
SOBCBAFTER I.—POLICIES AND GOALS
4331. Congressional declaration of national environmental policy.
4432. Cooperation of agencies; reports; availability of information; recom-
mendations; international and national coordination of efforts.
4333. Conformity of administrative procedures to national environmental
policy.
4334. Other statutory obligations of agencies.
4335. Efforts supplemental to existing authorizations.
SUBCHAPTER II.-—COUNCIL ON ENVIRONMENTAL QUALITY
4341. Reports to Congress; recommendations for legislation.
4342. Establishment; membership; Chairman; appointments.
4343. Employment of personnel, experts and consultants.
4344. Duties and functions.
4345. Consultation with the Citizen's Advisory Committee on Environmental
Quality and other representatives.
4346. Tenure and compensation of members.
4347. Authorization of appropriations.
§ 4321. Congressional declaration of purpose
The purposes of this chapter are: To declare a national policy
which will encourage productive and enjoyable harmony between
man and his environment; to promote efforts which will prevent
or eliminate damage to the environment and biosphere and stimu-
late the health and welfare of man; to enrich the understanding of
the ecological systems and natural resources important to the Na-
tion; and to establish a Council on Environmental Quality.
Pub.L. 91-190, § 2, Jan. 1,1970, 83 Stat. 852.
SUBCHAPTER I.—POLICIES AND GOALS
§ 4331. Congressional declaration of national environmental
policy
(a) The Congress, recognizing the profound impact of man's
activity on the interrelations of all components of the natural
environment, particularly the profound influences of population
growth, high-density urbanization, industrial expansion, resource
exploitation, and new and expanding technological advances and
recognizing further the critical importance of restoring and main-
taining environmental quality to the overall welfare and develop-
ment of man, declares that it is the continuing policy of the Fed-
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eral Government, in cooperation with State and local governments,
and other concerned public and private organizations, to use all
practicable means and measures, including financial and'technical
assistance, in a manner calculated to foster and promote the gen-
eral welfare, to create and maintain conditions under which man
and nature can exist in productive harmony, and fulfill the social,
economic, and other requirements of present and future genera-
tions of Americans.
(b) In order to carry out the policy set forth in this chapter, it
is the continuing responsibility of the Federal Government to use
all practicable means, consistent with other essential considera-
tions of national policy, to improve and coordinate Federal plans,
functions, programs, and resources to the end that the Nation
may—
(1) fulfill the responsibilities of each generation as trustee
of the environment for succeeding generations;
(2) assure for all Americans safe, healthful, productive,
and esthetically and culturally pleasing surroundings;
(3) attain the widest range of beneficial uses of the envi-
ronment without degradation,, risk to health or safety, or
other undesirable and unintended consequences;
(4) preserve important historic, cultural, and natural as-
pects of our national heritage, and maintain, wherever possi-
ble, an environment which supports diversity and variety of
individual choice;
(5) achieve a balance between population and resource use
which will permit high standards of living and a wide sharing
of life's amenities; and
(6) enhance the quality of renewable resources and ap-
proach the maximum attainable recycling of depletable re-
sources.
(c) The Congress recognizes that each person should enjoy a
healthful environment and that each person has a responsibility to
contribute to the preservation and enhancement of the envir-
ronment.
Pub.L. 91-190, Title I, § 101, Jan. 1,1970, 83 Stat. 852.
§ 4332. Cooperation of agencies; reports; availability of infor-
mation; recommendations; international and national coordination
of efforts
The Congress authorizes and directs that, to the fullest extent
possible: (1) the policies, regulations, and public laws of the Un-
ited States shall be interpreted and administered in accordance
with the policies set forth in this chapter, and (2) all agencies of
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the Federal Government shall—
(A) utilize a systematic, interdisciplinary approach which
will insure the integrated use of the natural and social sci-
ences and the environmental design arts in planning and in
decisionmaking which may have an impact on man's environ-
ment;
(B) identify and develop methods and procedures, in con-
sultation with the Council on Environmental Quality estab-
lished .by subchapter II of this chapter, which will insure that
presently unquantified environmental amenities and values
may be given appropriate consideration in decisionmaking
along with economic and technical considerations;
(C) include in every recommendation or report on propor-
als for legislation and other major Federal actions signifi-
cantly affecting the quality of the human environment, a de-
tailed statement by the responsible official on—
(i) the environmental impact of the proposed action,
(ii) any adverse environmental effects which cannot
be avoided should the proposal be implemented,
(iii) alternatives to the proposed action,
(iv) the relationship between local short-term uses of
man's environment and the maintenance and enhance-
ment 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.
Prior to making any detailed statement, the responsible Fed-
eral official shall consult with and obtain the comments of any
Federal agency which has jurisdiction by law or special ex-
pertise with respect to any environmental impact involved.
Copies of such statement and the comments and views of the
appropriate Federal, State, and local agencies, which are au-
thorized to develop and enforce environmental standards,
shall be made available to the President, the Council on Envi-
ronmental Quality and to the public as provided by section
552 of Title 5, and shall accompany the proposal through the
existing agency review processes;
(D) study, develop, and describe appropriate alternatives
to recommended courses of action in any proposal which in-
volves unresolved conflicts concerning alternative uses of
available resources;
(E) recognize the worldwide and long-range character of
environmental problems and, where consistent with the for-
eign policy of the United States, lend appropriate support to
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initiatives, resolutions, and .programs designed to maximize
international cooperation in anticipating and preventing a
decline in the quality of mankind's wtirld environment;
(F) make available to States, counties, municipalities, in-
stitutions, and individuals, advice and information useful in
restoring, maintaining, and enhancing the quality of the envi-
ronment;
(G) initiate and utilize ecological information in the plan-
ning and development of resource-oriented projects; and
(H) assist the Council on Environmental Quality estab-
lished by subchapter II of this chapter.
Pub.L. 91-190, Title I, § 102, Jan. 1,1970,83 Stat. 853.
§ 4333. Conformity of administrative procedures to national
environmental policy
All agencies of the Federal Government shall review their pres-
ent statutory authority, administrative regulations, and current
policies and procedures for the purpose of determining whether
there are any deficiencies or inconsistencies therein which prohibit
full compliance with the purposes and provisions of this chapter
and shall propose to the President not later than July 1,1971, such
measures as may be necessary to bring their authority and policies
into conformity with the intent, purposes, and procedures set
forth in this chapter.
Pub.L. 91-190, Title I, § 103, Jan. 1,1970, 83 Stat. 854.
§ 4334. Other statutory obligations of agencies
Nothing in section 4332 or 4333 of this title shall in any way
affect the specific statutory obligations of any Federal agency (1)
to comply with criteria or standards of environmental quality, (2)
to coordinate or consult with any other Federal or State agency,
or (3) to act, or refrain from acting contingent upon the recom-
mendations or certification of any other Federal or State agency.
Pub.L. 91-190, Title I,§ 104, Jan. 1,1970, 83 Stat. 854.
§ 4335. Efforts supplemental to existing authorizatons
The policies and goals set forth in this chapter are supplemen-
tary to those set forth in existing authorizations of Federal agen-
cies.
Pub.L. 91-190, Title I, § 105, Jan. 1,1970,83 Stat. 854.
SUBCHAPTER II.—COUNCIL ON ENVIRONMENTAL QUALITY
§ 4341. Reports to Congress; recommendations for legislation
The President shall transmit to the Congress annually begin-
ning July 1,1970, an Environmental Quality Report (hereinafter
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referred to as the "report") which shall set forth (1) the status
and condition of the major natural, manmade, or altered environ-
mental classes of the Nation, including, but not limited to, the air,
the aquatic, including marine, estuarine, and fresh water, and the
terrestrial environment, including, but not limited to, the forest,
dryland, wetland, range, urban, suburban, and rural environment;
(2) current and foreseeable trends in the quality, management
and utilization of such environments and the effects of those
trends on the social, economic, and other requirements of the Na-
tion; (3) the adequacy of available natural resources for fulfilling
human and economic requirements of the Nation in the light of
expected population pressures; (4) a review of the programs and
activities (including regulatory activities) of the Federal Govern-
ment, the State and local governments, and nongovernmental enti-
ties or individuals, with particular reference to their effect on the
environment and on the conservation, development and utilization
of natural resources; and (5) a program for remedying the defi-
ciencies of existing programs and activities, together with recom-
mendations for legislation.
Pub.L. 91-190, Title II, § 201, Jan. 1,1970, 83 Stat. 854.
§ 4342. Establishment; membership; Chairman; appointments
There is created in the Executive Office of the President a Coun-
cil on Environmental Quality (hereinafter referred to as the
"Council"). The Council shall be composed of three members who
shall be appointed by the President to serve at his pleasure, by arid
with the advice and consent of the Senate. The President shall
designate one of the members of the Council to serve as Chairman.
Each member shall be a person who, as a result of his training,
experience, and attainments, is exceptionally well qualified to ana-
lyze and interpret environmental trends and information of all
kinds; to appraise programs and activities of the Federal Govern-
ment in the light of the policy set forth in subchapter I of this
chapter; to be conscious of and responsive to the scientific, eco-
nomic, social, esthetic, and cultural needs and interests of the
Nation; and to formulate and recommend national policies to pro-
mote the improvement of the quality of the environment.
Pub.L. 91-190, Title II, § 202, Jan. 1,1970, 83 Stat. 854.
§ 4343. Employment of personnel, experts and consultants
The Council may employ such officers and employees as may be
necessary to carry out its functions under this chapter. In addi-
tion, the Council may employ and fix the compensation of such
experts and consultants as may be necessary for the carrying out
of its functions under this chapter, in accordance with section
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3109 of Title 5 (but without regard to the last sentence thereof).
Pub.L. 91-190, Title II, § 203, Jan. 1,1970,83 Stat. 855.
§ 4344. Duties and functions
It shall be the duty and function of the Council—
(1) to assist and advise the President in the preparation of
the Environmental Quality Report required by section 4341 of
this title;
(2) to gather timely and authoritative information con-
cerning the conditions and trends in the quality of the envi-
ronment both current and prospective, to analyze and inter-
pret such information for the purpose of determining
whether such conditions and trends are interfering, or are
likely to interfere, with the achievement of the policy set
forth in subchapter I of this chapter, and to compile and
submit to the President studies relating to such conditions
and trends;
(3) to review and appraise the various programs and activ-
ities of the Federal Government in the light of the policy set
forth in subchapter I of this chapter for the purpose of deter-
mining the extent to which such programs and activities are
contributing to the achievement of such policy, and to make
recommendations to the President with respect thereto;
(4) to develop and recommend to the President national
policies to foster and promote the improvement' of environ-
mental quality to meet the conservation, social, economic,
health, and other requirements and goals of the Nation;
(5) to conduct investigations, studies, surveys, research,
and analyses relating to ecological systems and environmental
quality;
(6) to document and define changes in the natural environ-
ment, including the plant and animal systems, and to accumu-
late necessary data and other information for a continuing
analysis of these changes or trends and an interpretation of
their underlying causes;
(7) to report at least once each year to the President on the.
state and condition of the environment; and
(8) to make and furnish such studies, reports thereon, and
recommendations with respect to matters of policy and legis-
lation as the President may request.
Pub.L. 91-190, Title II, § 204, Jan. 1,1970, 83 Stat. 855.
§ 4345. Consultation with the Citizen's Advisory Committee on
Environmental Quality and other representatives
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In exercising its powers, functions, and duties under this chap-
ter, the Council shall—
(1) consult with the Citizens' Advisory Committee on En-
vironmental Quality established by Executive Order num-
bered 11472, dated May 29, 1969, and with such representa-
tives of science, industry, agriculture, labor, conservation or-
ganizations, State and local governments and other groups, as
it deems advisable; and
(2) utilize, to the fullest extent possible, the services, facili-
ties, and information (including statistical information) of
public and private agencies and organizations, and individu-
als, in order that duplication of effort and expense may be
avoided, thus assuring that the Council's activities will not
unnecessarily overlap or conflict with similar activities au-
thorized by law and performed by established agencies.
Pub.L. 91-190, Title H, § 205, Jan. 1,1970,83 Stat. 855.
§ 4346. Tenure and compensation of members
Members of the Council shall serve full time and the Chairman
of the Council shall be compensated at the rate provided for Level
II of the Executive Schedule Pay Rates. The other members of the
Council shall be compensated at the rate provided for Level IV or
the Executive Schedule Pay Rates.
Pub.L. 91-190, Title II, § 206, Jan. 1,1970, 83 Stat. 856.
§ 4347. Authorization of appropriations
There are authorized to be appropriated to carry out the provi-
sions of this chapter not to exceed $300,000 for fiscal year 1970,
$700,000 for fiscal year 1971, and $1,000,000 for each fiscal year
thereafter.
i»ub.L. 91-190, Title II, § 207, Jan. 1,1970,83 Stat. 856.
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CLEAN AIR ACT
Section 309
§ 1857h—7. Policy review
(a) The Administrator shall review and comment in writing on
the environmental impact of any matter relating to duties and
responsibilities granted pursuant to this chapter or other provi-
sions of the authority of the Administrator, contained in any (1)
legislation proposed by any Fedei-al department or agency, (2)
newly authorized Federal projects for construction and any major
Federal agency action (other than a project for construction) to
which section 4332(2) (C) of this title applies, and (3) proposed
regulations published by any department or agency of the Federal
Government. Such written comment.shall be made public at the
conclusion of any such review.
(b) In the event the Administrator determines that any such
legislation, action, or regulation is unsatisfactory from the stand-
point of public health or welfare or environmental quality, he shall
publish his determination and the matter shall be referred to the
Council on Environmental Quality.
July 14,1955, c. 360, § 309, as added Dec. 31,1970, Pub.L. 91-604,
§ 12(a),84Stat. 1709.
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DEPARTMENT OF TRANSPORTATION
ACT
Section 4(f)
Maintenance and enhancement of natural beauty of land traversed by
transportation lines
(f) It is hereby declared to be the national policy that special
effort should be made to preserve the natural beauty of the
countryside and public park and recreation lands, wildlife and
waterfowl refuges, and historic sites. The Secretary of Trans-
portation shall cooperate and consult with the Secretaries of
the Interior, Housing and Urban Development, and Agricul-
ture, and with the States in developing transportation plan
and program that include measures to maintain or enhance
the natural beauty of the lands traversed. After August 23,
1968, the Secretary shall not approve any program or project
which requires the use of any publicly owned land from a
public park, recreation area, or wildlife and waterfowl refuge
of national, State, or local significance as determined by the
Federal, State, or local officials having jurisdiction thereof, or
any land from an historic site of national, State, or local
significance as so determined by such officials unless (1) there
is no feasible and prudent alternative to the use of such land,
and (2) such program includes all possible planning to mini-
mize harm to such park, recreational area, wildlife and water-
fowl refuge, or historic site resulting from such use.
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EXECUTIVE ORDER 11514
Mar. 5,1970, 35 Fed. Reg. 4247.
PROTECTION AND ENHANCEMENT OF ENVIRONMENTAL QUALITY
By virtue of the authority vested in me as President of the
United States and in furtherance of the purpose and policy of the
National Environmental Policy Act of 1969 (Public Law No.
91-190, approved January 1,1970), it is ordered as follows:
Section 1. Policy. The Federal Government shall provide lead-
ership in protecting and enhancing the quality of the Nation's
environment to sustain and enrich human life. Federal agencies
shall initiate measures needed to direct their policies, plans and
programs so as to meet national environmental goals. The Council
on Environmental Quality, through the Chairman, shall advise
and assist the President in leading this national effort.
Sec. 2. Responsibilities of Federal agencies. Consonant with
Title I of the National Environmental Policy Act of 1969, hereaf-
ter referred to as the "Act", the heads of Federal agencies shall:
(a) Monitor, evaluate, and control on a continuing basis their
agencies' activities so as to protect and enhance the quality of the
environment. Such activities shall include those directed to con-
trolling pollution and enhancing the environment and those de-
signed to accomplish other program objectives which may affect
the quality of the environment. Agencies shall develop programs
and measures to protect and enhance environmental quality and
shall assess progress in meeting the specific objectives of such
activities. Heads of agencies shall consult with appropriate Fed-
eral, State and local agencies in carrying out their activities as
they affect the quality of the environment.
(b) Develop procedures to ensure the fullest practicable provi-
sion of timely public information and understanding of Fedez-al
plans and programs with environmental impact in order to obtain
the views of interested parties. These procedures shall include,
whenever appropriate, provision for public hearings, and shall
provide the public with relevant information, including informa-
tion on alternative courses of action. Federal agencies shall also
encourage State and local a.eencies to adopt similar procedures for
informing the public concerning their activities affecting the qual-
ity of the environment.
(c) Insure that information regarding existing or potential en-
vironmental problems and control methods developed as part of
research, development, demonstration, test, or evaluation activities
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is made available to Federal agencies, States, counties, municipali-
ties, institutions, and other entities, as appropriate.
(d) Review their agencies' statutory authority, administrative
regulations, policies, and procedures, including those relating to
loans, grants, contracts, leases, licenses, or permits, in order to
identify any deficiencies or inconsistencies therein which prohibit
or limit full compliance with the purposes and provisions of the
Act. A report on this review and the corrective actions taken or
planned, including such measures to be proposed to the President
as may be necessary to bring their authority and policies into
conformance with the intent, purposes, and procedures of the Act,
shall be provided to the Council on Environmental Quality not
later than September 1,1970.
(e) Engage in exchange of data and research results, and coop-
erate with agencies of other governments to foster the purposes of
the Act.
(f) Proceed, in coordination with other agencies, with actions
required by section 102 of the Act.
Sec. 3. Responsibilities of Council on Environmental Quality.
The Council on Environmental Quality shall:
(a) Evaluate existing and proposed policies and activities of the
Federal Government directed to the control of pollution and the
enhancement of the environment and to the accomplishment of
other objectives which affect the quality of the environment. This
shall include continuing review of procedures employed in the
development and enforcement of Federal standards affecting envi*
ronmental quality. Based upon such evaluations the Council shall,
where appropriate, recommend to the President policies and pro-
grams to achieve more effective protection and enhancement of
environmental quality and shall, where appropriate, seek resolu-
tion of significant environmental issues.
(b) Recommend to the President and to the agencies priorities
among programs designed for the control of pollution.and for
enhancement of the environment.
(c) Determine the need for new policies and programs for deal-
ing with environmental problems not being adequately addressed.
(d) Conduct, as it determines to be appropriate, public healings
or conferences on issues of environmental significance.
(e) Promote the development and use of indices and monitoring
systems (1) to assess environmental conditions and trends, (2) to
predict the environmental impact of proposed public and private
actions, and (3) to determine the effectiveness of programs for
protecting and enhancing environmental quality.
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(f) Coordinate Federal programs related to environmental
quality.
(g) Advise and assist the President and the agencies in achiev-
ing international cooperation for dealing with environmental
problems, under the foreign policy guidance of the Secretary of
State.
(h) Issue guidelines to Federal agencies for the preparation of
detailed statements on proposals for legislation and other Federal
actions affecting the environment, as required by section
102 (2) (C) of the Act.
(i) Issue such other instructions to agencies, and request such
reports and other information from them, as may be required to
carry out the Council's responsibilities under the Act.
(j) Assist the President in preparing the annual Environmental
Quality Report provided for in section 201 of the Act.
(k) Foster investigations, studies, surveys, research, and analy-
ses relating to (i) ecological systems and environmental quality,
(ii) the impact of new and changing technologies thereon, and
(iii) means of preventing or reducing adverse effects from such
technologies.
Sec. 4. Amendments of E.G. 11472. Executive Order No. 11472
of May 29, 1969, including the heading thereof, is hereby
amended:
(1) By substituting for the term "the Environmental Quality
Council", wherever it occurs, the following: "the Cabinet Commit-
tee on the Environment".
(2) By substituting for the term "the Council", wherever it
occurs, the following: "the Cabinet Committee".
(3) By inserting in subsection (f) of section 101, after
"Budget,", the following: "the Director of the Office of Science
and Technology,".
(4) By substituting for subsection (g) of section 101 the fol-
lowing:
"(g) The Chairman of the Council on Environmental Quality
(established by Public Law 91-190) shall assist the President in
directing the affairs of the Cabinet Committee."
(5) By deleting subsection (c) of section 102.
(6) By substituting for "the Office of Science and Technology",
in section 104, the following: "the Council on Environmental
Quality (established by Public Law 91-190)".
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(7) By substituting for " (hereinafter referred to as the 'Com-
mittee')", in section 201, the following: "(hereinafter referred to
as the 'Citizens' Committee')".
(8) By substituting for the term "the Committee", wherever it
occurs, the following: "the Citizens' Committee".
RICHARD NIXON
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STATEMENTS ON PROPOSED FEDERAL
A€?tONS AFFECTING THE EN-
Guidelines
L Purpose. This memorandum pro-
vides guidelines to Federal departments,
agencies, and establishments for pre-
paring detailed environmental state-
ments on proposals for legislation and
other major Federal actions significantly
affecting the quality of the human en-
vironment as required by section 102(2)
(C) of the National Environmental Pol-
icy Act (Public Law 91-190) (hereafter
"the Act"). Underlying the preparation
of such environmental statements is the
mandate of both the Act and Executive
Order 11514 (35 P.R. 4247) of March 4,
1970. that all Federal agencies, to the
fullest extent possible, direct their poli-
cies, plans and programs so as to meet
national • environmental goals. The ob-
jective of section 102(2)(C) of the Act
and of these guidelines is to build into
the agency decision making process an
appropriate and careful consideration of
the environmental aspects of proposed
action and to assist agencies in imple-
menting not only the letter, but the
spirit, of the Act. This memorandum also
provides guidance on implementation of
section 309 of the Clean Air Act. as
amended (42 U.S.C. 1857 et seq.).
2. Policy. As early as possible and in
all cases prior to agency decision con-
cerning major action or recommendation
or a favorable report on legislation that
significantly affects the environment,
Federal agencies will, in .consultation
with other appropriate Federal, State,
and local agencies, assess in detail the
potential environmental impact in order
that adverse effects are avoided, and
environmental quality is restored or en-;
hanced, to the fullest extent practicable.
In particular, alternative actions that
will minimize adverse impact should be
explored and both the long- and short-
range implications to man, his physical
and social surroundings, and to nature,
should be evaluated in order to avoid
to the fullest extent practicable undesir-
able consequences for the environment.
3. Agency and OMB procedures-, (a)
Pursuant to section 2(f) of Executive
Order 11514, the heads of Federal agen-
cies have been directed to proceed with
measures required by section 102(2) (C)
of the Act. Consequently, each agency
will°establish. in consultation with the
Council on Environmental Quality, not
later than June 1, 1970 (and, by'July 1,
1971, with respect to requirements im-
posed by revisions in these guidelines,
which will apply to draft environmental
statements circulated after June 30,
1971), its own formal procedures for (1)
identifying those agency actions re-
quiring environmental statements, the
appropriate time prior to decision for the
consultations required by section 102
(2)(C), and the agency review process
for which environmental statements are
to be available, (2) obtaining informa-
tion required in their preparation, (3)
designating the officials who are to be
responsible for the statements, (4) con-
sulting with and taking account of the
comments of appropriate Federal, State,
and local agencies, including obtaining
the comment of the Administrator
of the Environmental Protection Agency,
whether or not an environmental state-
ment is prepared, when required under
section 309 of the Clean Air Act, as
amended, and section 8 ot these guide-
lines, and (5) meeting the requirements
of section 2(b) of Executive Order 11514
for providing timely public information
on Federal plans and programs with en-
vironmental impact including procedures
responsive to section 10 of these guide-
lines. These procedures should be con-
sonant with the guidelines contained
herein. Each agency should- file seven
(7) copies of all such procedures with
the Council on Environmental Quality,
which will provide advice to agencies in
the preparation of their procedures and
guidance on the application and inter-
pretation of the Council's guidelines. The
Environmental Protection Agency will
assist in resolving any question relating
to section 309 of the Clean Air Act, as
amended.
(b) Each Federal agency should con-
sult, with the assistance of the Council
on Environmental Quality and the Of-
fice of Management and Budget if de-
sired, with other appropriate Federal
agencies in the development of the
above procedures so as to achieve con-
sistency in dealing with similar activi-
ties and to assure effective coordination
among agencies in their review of pro-
posed activities.
(c) State and local review of agency
procedures, regulations,, and policies for
the administration of Federal programs
of assistance to State and local govern-
.ments will be conducted pursuant to
procedures established by the Office of
Management and Budget Circular No.-
A-85. For agency procedures subject to
OMB Circular No. A-85 a 30-day exten-
sion in the July 1, 1971, deadline set in
section 3 (a) is granted.
(d) It is imperative that existing
mechanisms for obtaining the views of
Federal, State, and local agencies on
proposed Federal actions be utilized to
the extent practicable in dealing with
environmental matters. The Office of
Management and Budget will issue in-
structions, as necessary, to take full
advantage of existing mechanisms (re-
lating to procedures for handling legis-
lation, preparation of budgetary ma-
terials, new procedures, water resource
and other projects, etc.).
4. .Federal agencies included. Section
102(2) (C) applies to all agencies of the
Federal Government with respect to
recommendations or favorable reports
on proposals for (i) legislation and (ii)
other major l-'tdcral notions significantly
affecting the quality of the human en-
vironment. The phrase "to the fullest ex-
tent possible" in section 102(2) (C) is
meant to make clear that each agency of
the Federal Government shall comply
with the requirement unless existing law
applicable to the agency's operations
expressly prohibits or makes compliance
impossible. (Section 105 of the Act pro-
vides that "The policies and goals set
forth in this Act are supplementary to
those set forth in existing authorizations
of Federal agencies.")
5. Actions included. The following cri-
teria will be employed by agencies in de-
ciding whether a proposed action requires
the preparation of an environmental
statement:
(a) "Actions" include but are not lim-
ited to:
(i) Recommendations or favorable re-
ports relating to legislation including
that for appropriations. The require-
ment for following the section 102(2) (C)
procedure as elaborated in these guide-
lines applies to both (i) agency recom-
mendations on their own proposals for
legislation and (ii) agency reports on
legislation initiated elsewhere.- (In the
latter case only the agency which has
primary responsibility for the subject
matter involved will prepare an environ-
mental statement.) The Office of Man-
agement and Budget will supplement
these general guidelines with specific in-
structions relating to the way in which
the section 102(2) (C) procedure fits into
its legislative clearance process;
(ii) Projects and continuing activities:
directly undertaken by Federal agencies;
supported in whole or in part through
Federal contracts, grants, subsidies,
loans, or other forms of funding assist-
ance; involving a Federal lease, permit,
license, certificate or other entitlement
for use;
Ciii) Policy, regulations, and proce-
dure-making.
(b) The statutory clause "major Fed-
eral actions significantly affecting the
quality of the human environment" is
to be construed by agencies with a view
to the overall, cumulative impact of the
action proposed (and of further actions
contemplated). Such actions may be lo-
calized in their impact, but if there is
potential that the environment may be
significantly affected, the statement is to
be prepared. Proposed actions, the en-
•vironmental impact of which is likely to
be highly controversial, should be cov-
ered in all cases. In considering what
constitutes major action significantly af-
fecting the environment, agencies should
bear in mind that the effect of many
Federal decisions about a project or com-
plex of projects can be individually lim-
ited but cumulatively considerable. This
can occur when one or more agencies
over a period of years puts into a project
individually minor but collectively major
resources, when one decision involving
a limited amount of money is a prece-
dent for action in much larger cases or
represents a decision in principle about
a future major course of action, or when
several Government agencies individual-
ly make decisions about partial aspects
of a major action. The lead agency
14.
-------
nhould prepare an environmental state-
ment Jf it is reasonable to anticipate a
cumulatively significant impact on the
environment from Federal action. "Lead
agency" refers to the Federal ru:enoy
which Jir-s primary authority lor com-
mitting the Kcieral Government to a.
course o( r.clion with significant envi-
ronmental impact. As necessary, the
Council on Knv.Tonmemal Quality will
assist in resolving questions of lead
agency delctruination.
(c) Section 101 (b) of the Act indicates
the broad range'of aspects of the en-
vironment to be surveyed in any assess-
ment of significant c fleet. The Act also
Indicates that adverse yi.-uiiiicant effects
include th:>.--? thr.i co.r.-.'.ic the nullity
of the environment, curtail the range of
beneficial uses of the environment, and
serve short-term, to the disadvantage of
long-term, environmental goals. Signifi-
cant c'ircls cnn also include actions
which may have both beneficial and
detrimental cf!c<;U, even if. on balance.
the agency believes that the effect will
be beneficial. Significant adverse effects
on the (iiiahty of the human environ-
ment Include both those that directly
affect human beings and those that in-
directly affect human beings through
adverse effects 0:1 the environment.
s;s of
'.••'•::,.!; .: • . r ;v->. ns::.':::. •.• ci com-
l'::r:u:> :"•';):::;;!.::'.-:s foi'.cv; •.•;'. by i\ hc.ir-
iu:; i.;j;i.\:i to ti:-i piv...;.'.;.-; ot tue
Administrative Procedure Act, should
15.
consult with, and obtain the comment on
the cnvii oiimcni al impact of the action
of. Federal agencies with jurisdiction hy
lav/ or special expertise with re.-.r-.-ci, to
any environmental impact in'v.v.-.-f-d.
These Federal agencies include com-
ponents of (depending on the :-.spcct or
aspects of the environment):
Advlr.ory Council or. II! iiorlc Preservation.
Deportment of Agriculture.
Department of C'-omrncrcc.
Department of Defense.
Department of Health. Education, and Wei-
fore.
Department of Housing and Urban. Dcvelop-
. ment:
Department of the Interior.
Department of Ktn'.c.
Dc-p.uur.e.'it of Tr.M.s;>crtat;u:i.
Atomic, r.iicrsry Commission.
Federal Power Commission.
' KixvlronmentM Protection Agency.
Ofllce of Economic Opportunity.
For actions specifically affecting the en-
vironment Of their reot;r?.phic jurisdic-
tions, the. following Federal and Federal-
State agencies arc also to be consulted:
Tennessee Valley Authority.
Appalachian lleglonal Comm'.ss ion.
Nallona! Capital Planning Commission.
Djlawaro Hirer Basin Commission.
Susqucbanna River basin Commission.
Agencies seeking comment should de-
termine which one or more of the above
listed agencies arc appropriate to consult
on the basis of the areas of expertise,
identified in Appendix 2 to thC3c guide-
lines. It is recommended u> that the
above listed departments s-.r.d agencies
establish contact, points, which often f.rc-
most appropriately regional olliccs, for
providing comments on the environ-
mental statements and (ii) that depart-
ments from which comment is solicited
coordinate and consolidate the comments
of their component entities. The re-
quirement in section 102(C)(C) to ob-
tain comment from Federal agencies hav-
ing jurisdiction or special expertise is in
addition to any specific statutory obliga-
tion of any Federal agency to coordinate
or consult with any other Federal or
State agency. Agencies seeking comment
may establish time limits of not less
than thirty (30) days for reply, after
which it may be presumed, unless the
agency consulted requests a specified ex-
tension of time, that the agency con-
sulted has no comment to make. Agen-
cies seeking comment should endeavor
to comply with requests for extensions
of time of up to fifteen (15) days.
8. Interim EI'A procedures jor imple-
mentation of section 309 of the Clean Air
Act. as amended, (a) Section 300 of the
Clean Air Act. as amended, provides:
Sec. 309. (a) The Administrator shall re-
view and comment In writing on the environ-
mental Impact of any matter rdr.'.lr.r, ;o
duties and responsibilities grantc-d pursuant
to this Act or other provisions of the author-
ity of the Administrator, contali-.cd In any
(1) .legislation proposed by p.ny i ..•Ir-M tie-
rroWt for ron:-tr.ic:!-i:O to •.v!i'..-:i :-.-.--.;G:»
10.l'i2)iC) o:' i'ua!ic l..v.v l-l-l.J :...;.::cs. i:>;l
(3) proposed regulations published by wiy
-------
or agency of the Federal Gov-
oramant. Such written comment shall be
ssadte public at the conclusion of an; such
(to) Sn the event the Administrator deter-
EBtaes that any such legislation, action, or
TO3«8lQtlon is unsatisfactory from the stand-
9c3a* of public health or welfare or environ-
Essatal quality, he shall publish his deter-
Eaflffic/JSoQ and the matter shall ba referred
09 SSt3 Council oo Environmental Quality.
to) Accordingly, wherever an agency
cs&Sca related to air or water quality,
:a«3ae abatement and control, pesticide
regulation, solid waste disposal, radia-
criteria and standards, or other
of the authority of the Ad-
safaistrator if- the Environmental Pro-
Agency is involved, including his
authority, Federal agencies
QS® required to submit for review and
eoansnent by the Administrator in writ-
tog: (i) proposals for new Federal con-
otaaetloa projects and other major .Fed-
srsE agency actions to which section
302(2) (C) of the National Environmental
"Policy Act applies and (ii) proposed legis-
sad regulations, whether or not
i02(2HC) of the National En-
vtanament&l Policy Act applies. (Actions
EsgusSring review by the Administrator do
mot include litigation or enforcement pro-
©ssStags.) The Administrator's com-
ments shall constitute his comments for
fths purposes oi both section 309 of the
(Ctaa Air Act and section 102(2) (C) of
$ha National Environmental Policy Act.
A BJsrtod of 45 days shall be allowed for
offish review. The Administrator's written
shall bs furnished to the re-
Federal department or agency,
to the Council on Environmental Quality
Gffld summarized in a notice published in
$ho "FEDERAL REGISTER, The public may
mJbteta copies of such comment on request
-the Environmental Protection
9. State and local review. Where no
paHHe hearing has been held on the pro-
E&ssd action at which the appropriate
Stete and local review has been invited,
aafl where review of the environmental
tagjact of the proposed action by State
C2U& local agencies authorized to develop
cm<& (smforce -environmental standards is
such State and local review
tos provided as follows:
to) Ksr direct Federal development
projects and projects assisted under pro-
grams listed in Attachment D of the Of-
fflea of Management and Budget Circular
Kto. A-95, review of draft environmental
Statements by State and local govern-
ments will be through procedures set
under Part 1 of Circular No. A-95.
tB)) Where these procedures are not
GOTBOprtete and where a proposed action
offsets matters within their jurisdiction,
E37toy of the draft environmental state-
ment on a proposed action by State and
tessS agencies authorized to develop end
environmental standards and
saHaenfcs on the environmentel
of the proposed action may be
directly or by distributing the
draft environmental statement to the
appropriate State, regional and metro-
BtoJitaa clearinghouses unless the Gov-
@BBC
-------
»
pact of proposed actions subject to
Uon 102(2) (C). ;, >;
(g) Agency procedures prepared BOr<
suant to section 3 of these guidelines;'
shall implement these public informa-
Uon requirements and shall Include
rangements for availability of
mental statements and comments at
head and appropriate regional
the responsible agency and at
priate State, regional, and mct
clearinghouses unless the Governor p£f
the State Involved designates some q
point for receipt of this information:
11. Application o/ section
memoranda transmit comments of Fedv tram, which written comments have be«n
eralaecnclcsjistcd In section 7 of these ./
ffll2
actions sub - mental Quality and public.
ji_FEDj:HAtl AGENCIES WITH JUBIS-
;bicnoH BT LAW OB SPECIAL EXFCSTISE To
' , ICOMMENT OK VARIOUS TYPES or EHTOWN-
IMPACTS
AIR
Qual{ty and Air pollution Control
Forest Services
Department of Commerce-
National M&rlnsf'UlsMrlesBerrtce.
National Oceania itod Atmospheric Admin-
istration.
Environmental Protection Agency —
Office of Pesticides.
Department of the Interior —
Bureau of Sport Fisheries and WDdUfa
(effects on fish-end wfldllfe) .
Bureau of Land JS*ma«cmcnt.
Department of Hea ih, Education, and Wel-
fare (Health aspecte). •
(Health ts) .
Environmental Protection Agency—
V MI Pollution Control Office.
*t^fer'trapnt or the interior—
>«**» of Mines (fossil and gaseous fuel
ble the section 102(2) (C) pn£edu«:.4^part,Bent of Transportation-
should be applied to further m'ajor-F^-J-^AsslBtant Secretary to/ Systems Develop-
eral actions having a significant efreWr;' .meat and Technology (auto emissions) .
Uftry 1, 1970. Where it is not practicable"?. •• Weather Modification
to reassess the basic course of acUo% it J»,LDartm.nJ. „. com-.,,..
is still important thaT|rther A? .*%%££ &2T S
mental major actions be shaped eo^to^^, ministration.
minimize adverse environmental •osm*?. ;7B$p8rtment of Defense—
.•ijucnces. It is f-lso important i in f tirtheib'" ^ Department or the Air Force
action that account be taken of envi&n4f*»&?Mricnt ot the interior-
mental consequences not fully evahiatSd T V :Bur«>u °* Reclamation.
at the outset of the project or program; ^
£«»^
Environmental Quality after examining ,
environmental statements and' ageijc^i
procedures with respect to such%ate~
.mente wUl issue such supplements
ttiese guidelines as are necessary. ; bewent of Agriculture—
(b) Agencies will continue to asses*',, , JRuraJ Electrification Administration (rural
their experience in the implementation!''''^ "Jweas)"*
of the section 102(2), (C) provisiOBB^of. V.PPpartment of Defense—
ttw Act and in conforming with nSese, corps °Enelneer
guidelines and report thereon • i
Ad-
^ ENERGY
iv
.. ,,
Ener8y OommUslon (nuclear power*.
^r
i, wu. such reports f
Include an identification' of the problem^
areas and suggestions for revision SOT-
clarification of these guidelines.'^,;
achieve effective coordination ol. Views-"
on environmental aspects (and alterna-
tives, where appropriate) of proposed ac- •
ttom without imposing unproducttTO ad4
mlnistrative procedures. . ,• ;'
Chairman.
APPENDIX I
(Check one) ( ) Draft. ( ) Final
Environmental Statement. .
Name of Responsible Federal Agency (with •
name of operating division where applrpBrt-L,
1. Name of Action. (Check one)1" ( )''
Administrative Action. ( ) Legislative
Action.
9. Brief description of action indicating *
what States (and counties) particularly '
•fleeted. •'-,?•'
8. Summary of environmental impact and
adverse environmental effects. '
4. List alternatives considered.
6. a. rr.-r rt.-Ut r=tn-.::ror.:.'.) List all Fed-
eral. Stiue. and I •••••si r-^crcies from which .'•'
eotr.r-.frr.i hr.vc hcon requested. ••&,'
b. (For final statements) List Ml Federal,*;
Blfcte, and local •geitdes and other source* ;
'Department, of Housing and Urban
opmont (urban areas).
fcepArtment of the Interior—(facilities on
V^Qoverninent lands). ;. .
- '• Natural Gas Energy Development,
,-, t . Transmission and Generation
Federal Power Commission (natural gas pro-
' . duction, transmission and supply).
Department of the Interior—
geological Survey.
, Bureau of Mines.
.- ' - '; HAZARDOUS SUBSTANCES
. Toxic Materials
Department of Commerce—
v V^Natlonal Oceanic and Atmospheric Admln-
lartment of Health, Education and Wel-
„ Jire (Health aspects).
Environmental Protection Agency.
Department of Agriculture—
., AgrlculturRl itesearch Service.
•, Consumer and Marketing Service.
Department of Defense.
peparUnent of the Interior—
JJBuire&u of Sport Fisheries and Wildlife.
Department of Ar.-iru' turo—
" Agricultural Hc?.p:»fi;h Service (biological
•'_ cootrols, food and dber production). .
^Consumer and Marketing Service. •' ,
**:'^: .'•-.••.I?. •'•• #'•••:'••
Department of Agriculture —
Agricultural Research Service.
Forest Service. ' ,.
Environmental Protection Agency — .
Ofllce of Pesticides.
Department of Health. Education, and Wel-
fare (Health aspects).
Department Of the Interior-
Bureau of Sport Fisheries and Wildlife.
Bureau of Land Management.
Bureau of Reclamntion.
Transportation and Handling of Hanardout
Materials .. .
Department of ^Commerce—
Maritime Administration.
• National Marine Fisheries Service.
• National Oceanta'tind Atmospheric Admin-
istration
-------
Department of Housing and Urban Develop-
ment (urban areas).
Flood Pfains and Watersheds
Department of Agriculture—
Agricultural Stabilization and Research
Sen-Ice.
Soil Conservation Service.
Forest Service.
Department of the Interior—
Bureau of Outdoor Recreation.
Bureau of Reclamation.
Bureau of Sport Fisheries and Wildlife.
Bureau of Land Measurement.
U.S. Geologic?.! Survey.
Department of Housing and Urban Develop-
ment (urban areas).
Department of Defense—
Army Corps of Engineers.
Mineral land Reclamation
Appalachian Regional Commission.
Department of Agriculture—
Forest Service.
Department of the Interior—
Bureau of Mines.
Bureau of Outdoor Recreation.
Bureau of Sport Fisheries and Wildlife.
. ' Bureau of I/and Management.
U.S.' Geoloslcnl Survey.
Tennessee Valley Authority.
Porfci, Forests, and Outdoor .Recreation
JDep&rtment of Agriculture—
Forest Service.
Soil Cor_serv;\tlon Service.
Department of the Interior—
Bureau of Land Management.
National Park Service.
Bureau of Outdoor Recreation.
Bureau cf Sport Fl.-heries and Wildlife.
Department of Defense—
Army Corps of Engineers.
Department of Housing and Urban Develop-
ment (urban areas).
Soil and Plant Life. Sedimentation. Erosion
and llydrologtc Conditions
Department of Agriculture—
Soil Conservation Service.
Agricultural Research Service.
Forest Service.
Department of Defense—-
Army Corps of Engineers (dredging,
aquatic plants).
Department cf Commerce-
National Oceanic and Atmospheric Admin-
istration.
Department of the Interior—
Bureau of Ijind Management.
• Bureau of Sport Fisheries and Wildlife.
Geological Survey.
Bureau of Reclamation.
NOISE
Noise Control and -Abatement
Department of Health. Education, and Wel-
fare (Health aspects).
Department of Commerce—
.National Bureau of Standards.
Department of Transportation—
Assistant Secretary for Systems Develop-
ment-and Technology.
Federal Aviation Administration (Office
of Noise Abatement).
Environmental Protection Agency (Office of
Kolfc).
Department of Housing and Urban Develop-
ment (urban land use aspects, building
materials standards).
I i'JNC
Cfceciircl C3-..'u^i:»:a:;pr. ci f'c-jj Products
Department of Agriculture—
Consumer and Marketing Service.
Department of Health. Education, and Wel-
fare (Health ftp;iccti).
Environmental Protection Agency—
Office of Pesticides (economic poltons).
Food Additives and Food Sanitation
Department of Health, Education, and Wei-
faro (Health aspects).
Environmental Protection Agency—
Offlco of Pesticides (economic poisons, e.g.,
pesticide residues).
Department of Agriculture—
Consumer Marketing Service (meat and
poultry products).
Uicrobloloyical Contamination
Department of Health, Education, and Wel-
fare (Health aspects).
Radiation and Radiological Health
• Department of Commerce—
National Bureau of Standards.
Atomic Energy Commission.
Environmental Protection Agency—
Ofilco of Radiation.
Department of tho Interior—
Bureau of Mines (uranium mines).
Sanitation and Waste Systems
Department of Health, Education, and Wel-
fare—(Health aspects).
Department or Defense—
Army Corps of Engineers.
Environmental Protection Agency-
Solid Waste Office.
Water Quality Office.
Department of Transportation—
UJS. Coast Guard (ship sanitation).
Department of the Interior—
Bureau of Mines (mineral waste aud.-re-
cycllng, mine acid wastes, urban 'solid
wastes).
Bureau of Land Management (solid waste/1
on public lauds).
Office of Saline Water (demlncrallzatlon
of liquid wastes).
Shellfish Sanitation
Department of Commerce—
National Marine Fisheries Service.
National Oceanic and Atmospheric Admin-
istration.
Department of Health, Education, and Wel-
fare (Health aspects).
Environmental Protection Agency—
Office of Water Quality.
THAN SPORTATION
Xir Qualify
Environmental Protection Agency-
Air Pollution Control Office.
Department of Transportation—
Federal Aviation Administration.
Department of the Interior—
Bureau of Outdoor Recreation.
• Bureau of Sport Fisheries and Wildlife.
Department of Commerce—
National Oceanic and Atmospheric Admin-
istration- (meteorological conditions).
. Wcter Quality
Environmental Protection Agency—
Office of Water Quality.
Department of the Interior—
Bureau of Sport Fisheries and Wildlife.
Department of Commerce—
National Ocean'.c and Atmospheric Admln-
!-.':r't'.''i (!:-.-.-' on :--rlr.i* J'.f'-? r.-.-J-
A: my Cor;M ef i: . 'Ineers.
Department of Transportation—
Coast Guard.
18.
UKBAN
Conyeition in Urban Areas, lloutlny and
Building Displacement
Department of Transportation— .
Federal Highway Administration.
tlon.
Federal Highway Administration.
Office of Economic Opportunity.
Department of Housing and Urban Develop-
ment.
Department of the Interior—
Bureau of Outdoor Recreation.
Environmental r.ficcts With, Special Impact
in LOK'lncome Neighborhoods
Department of the Interior—
National Park Service.
Office of Economic Opportunity.
Department of lloi'.r'.f,:; aivi Urban Develop-
ment (urban ore.\s).
Department of Commerce (economic devel-
opment areas).
Economic Development Administration.
Department of Transportation—
Urban Mass Transportation Administra-
tion.
Kodcnt Control
Department of Health, Education, and Wel-
fare (Health a'pecUi).
Department of Housing and Urban Develop-
ment (urban areas).
Urban Planning'
Department of Transportation—
Federal Highway Administration
Department of Housing and Urban Develop-
ment.
Environmental Protection Agency.
Department of the Interior—
Geological Survey.
Bureau of Outdoor Recreation.
Department of Commerce—
,- "Economic Development Administration.
Wcter Quality and Water Pollution Control
Department of Agriculture
Soil Conservation Service.
Forest Service.
Department of the Interior—
Bureau of Reclamation.
Bureau of Land Management.
Bureau of Sports Fisheries and Wildlife.
Bureau of Outdoor Recreation.
Geological Survey.
Office of Saline Water.
Environmental Protection Agency—
Water Quality O.llce.
Department of Health, Education, and Wel-
fare (Health aspects).
Department of Defense—
Ariny Corps of Engineers.
Department of the Navy (ship pollution
control).
Department of Transportation—
Coast Guard (oil spills, ship sanitation).
Department of Commerce—
National Oceanic and Atmospheric Admin-
istration.
Marine Pollution
Department of Commerce-
National Oceanic and Atmospheric Admin-
istration.
Department of Transportation—
Coast Guard. ...
Department of Defense—
Army Corps of Engineer*.
Office of Occanographer of the Navy.
Rirrr end C:-r"J. f:-r••••:,--. nr^. >::•--:••>
Dep.-.rtnv.-.t or .'•.-:•.<...::•;•.•*-
Kfi'.\ C.>:i:or\:.'f ?:i ' :rv:oe.
Deportment of IK-foivse—
Army Corps of Engineers.
-------
Department of the Interior—
Bureau of Reclamation. ..
Geological Surrey.
ureau of Sport Fisheries and Wildlife.
Department of Transportation—
Coast Guard.
WILDLIFE
Environmental Protection Agency.
Department of Agriculture—
Forest Service.
Soil Conservation Service.
Department of the Interior—
Bureau of Sport F'.shcries and Wildlife.
Bureau of Land Management.
Bureau of Outdoor Recreation.
FEDERAL AGENCY Oincr.s FOR RECEIVING AND
COORDINATING COMMENTS UPON ENVIRON-
MENTAL IMPACT STATEMENTS
Armsomr COUNCIL ON HISTORIC PRESERVATION
Robert Garvty. Executive Director, Suite 618,
80119th Street NW.. Washington. DC 20006.
343-8607.
DEPARTMENT OP.ACatCITLTOBB
Dr. T. O. Byerly, O.flce of the Secretary,
Washington. D.C., 20250,338-7303.
APPALACHIAN RiGIONAL COMMISSION
Orvllle H. Lerch. Alternate Federal Co-Chair-
man, 16C6 Connecticut Avenue NW., Wash-
ington, DC 20235. 967-4103.
DEPARTMENT OF THE ARMY (CORPS OF
ENGINEERS)
Col. J. B. Ncwmuj. Executive Director
of Civil Works. OB:e of the Chief of En-
gineers. Washington. 3.C. 20314. 693-7168.
ATOMIC ENERGY COMMISSION
For nonregulatory matters: Joseph J. Dl-
Nunno. Director. Office of Environmental
Affairs, Washington, D.C. 80945. 973-5391.
Par regulatory matters: Christopher L. Hen-
derson, Assistant Director for Regulation,
Washington. D.C. 20545, 973-7531.
DEPARTMENT OF COMMERCE
Dr. Sydney R. Galler, Deputy Assistant Sec-
retary for Environmental Affairs, Washing-
ton. D.C. 20230. 967-4335.
DEPARTMENT OF DEFENSE
Dr. Louis M. Roussclot, Assistant Secretary
for Defense (Health and Environment),
Boom SE172. The Pentagon. Washington.
DO 30301,697-2111.
DELAWARE RTVEB BASIN COMMISSION
W. Brlnton Whltall. Secretary, .Post Office
Box 860. Trenton. NJ 08603. 609-883-0500.
ENVIRONMENTAL PROTECTION AGENCY
Charles Pabrikant, Director of Impact State-
' meats Office, 1626 K Street NW, Wash-
ington. DC 20400. C32-7719.
FEDERAL POWER COMMISSION
Frederick H. Warren. Commission's Advisor
on Environmental Quality. 441 Q Street
NW., Washington, DC 20426, 386-4084.
GENERAL SERVICES ADMINISTRATION
Bod Kreger, Deputy Administrator. General
Services AdmlulstraUon-AD. Washington,
D.O. 20405. 343-6077.
Alternate contact: Aaron Woloshln, Director,
Office of Environmental Affairs. General
Services Admlulstratlon-ADF, 343-4161.
DEPARTMENT OF HEALTH, EDUCATION AND
WELFARE
Roger O. Egcberg, Assistant Secretary for
Health and Science Affairs. HEW North
Building. Washington, D.C. 20202.963-4254.
DEPARTMENT OF HOUSING AND URBAN
DEVELOPMENT*
Charles Orlebeke, Deputy Under Secretary,
451 Seventh Street S\V.. Washington. DC
20410. 755-6DGO.
Alternate contact: George Wright, Office of
the Deputy Under Secretary. 765-8192.
» Contact the Deputy Under Secretary with
regard to environmental Impacts of legisla-
tion, policy statements, program regulations
and procedures, and precedent-ranking proj-
ect decisions. For all other HUD consultation,
contact the HUD Regional Administra-
tor in whose Jurisdiction the project lies, as
follows:
James J. Barry, Regional Administrator I,
Attention: Environmental Clearance Of-
ficer. Room 405, John F. Kennedy Federal-'
Building. Boston. MA 02203. 617-223-4066.
8. William Green, Regional Administrator II,
. Attention: Environmental Clearance Of-
ficer. 26 Federal Plaza, New York, NY 10007,
312-364-8068.
Warren P. Phelan, Regional Administrator
. Ill, Attention: Environmental Clearance
Officer. Curtis Building, Sixth and Walnut
Street. Philadelphia. PA 19106. 216-597-
3560.
Edward H. Baxter, Regional Administrator
IV, Attention: .Environmental Clearance
Officer, Peachtree-Seventh Building, At-
lanta. OA 30323. 404-526-5585.
George Vavoulls, Regional Administrator V,
Attention: Environmental Clearance Offi-
cer. 360 North Michigan Avenue. Chicago.
U. 60601. 312-353-5680.
MPARTMENT Of THE Uk i
Jack O. Hortou, Deputy Assistant Secretary
for Programs. Washington. D.C. 20240.343-
6181.
NATIONAL CAPITAL PLANNING COMMISSION
Charles H. Conrad, Executive Director. Wash-
ington. D.C. 20576. 382-1163.
OFFICE Off ECONOMIC OPFOCrUNITT
Frank Carluccl. Director. 1200 19th Street.
NW.. Washington. DC 20500. :154-6000.
8USQUEHANA RIVER BASIN COMMISSION
Alan J. Summervllle, Water Resources Co-
ordinator. Department of Environmental
Resources. 105 South Office Building. Har-
rlsburg, PA. 17120,717-787-2315.
TENNESSEE VALLEY AUTHORITY
Dr. Francis Gartrell. Director of Environ-
mental Research and Development. 720
Edney Building. Chattanooga. TN 37401.
615-755-2003.
DEPARTMENT OF TRANSPORTATION
Herbert P. DeSlmone, Assistant Secretary for
Environment and Urban Sy.itcms. Wash-
ington, D.C. 20590, 426-4563.
DEPARTMENT OF TREASURY
Richard E. Slltor. Assistant Director, Office
of Tax Analysis, Washington, D.C. 20220.
964-2797.
DEPARTMENT OF STATE
Christian Herter, Jr., Special Assistant to the
Secretary for Environmental Affairs, Wash-
ington. D.C. 20520. 632-7964.
[FR Doo.71-5705 Filed 4-22-71;8:60 am]
Richard L. Morgan, Regional Administrator
VI, Attention:'Environmental Clearance
* Officer, Federal Office Building, 819 Taylor-
Street, Fort Worth, TX 76102, 817-334-
2867.
Harry T. Morley, Jr., Regional Administrator
VII, Attention: Environmental Clear-
.ance Officer.. 911 Walnut Street, Kansas
City, MO 60106. 816-374-266.1.
Robert C. Kosenhelm. Regional Administrator
VIII, Attention: Environmental Clearance
Officer, Somsonlte Building. 1051 South
Broadway. Denver, CO 80209. 303-837-4061.
Robert H. Balda, Regional Administrator IX,
Attention: Environmental Clearance Offi-
. cer, 450 Golden Gate Avenue, Post Office
Box 36003, San Francisco, CA 94102, 415-
556-4752.
Oscar P. Pcderson. Regional Administrator
X. Attention: Environmental Clearance
Officer, Room 228, Arcade Plaza Building.
Seattle. WA 98101. 306-C83-6415.
19.
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON. D.C. 20503
BULLETIN NO. 72-6 September 14, 1971
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Proposed Federal actions affecting the environment
1. Purpose. This Bulletin establishes procedures to be .
followed in certain instances by Federal agencies in tak-
ing or proposing actions coming within the scope of Section
102(2)(C) of the National Environmental Policy Act of 1969
(Public Law 91-190).
2. Background. Section 102(2)(c) of the National Environ-
mental Policy Act requires that, in connection with recom-
mendations or reports on proposals for legislation and other
major Federal actions significantly affecting the quality of
the human environment, Federal agencies shall prepare de-
tailed statements concerning the environmental impact of
such actions. Such statements are to be prepared after con-
sultation with, and in consideration of comments made by
appropriate Federal, State, and local agencies. The Council
on Environmental Quality has published guidelines for imple-
menting the statutory requirement (36 F. R., 7724-7729).
3. Requirements
a.: Proposed legislation and reports on bills. Agen-
cies are responsible, as set forth in the guidelines of the
Council on Environmental Quality, for determining which of
their legislative proposals or reports require preparation
of a Section 102(2)(C) environmental impact statement, and
for obtaining the comments of the appropriate Federal,
State, or local agencies. Where a 102(2)(C) statement is
determined to be required, in connection with the submission
of a legislative proposal or report to the Office of Manage-
ment and Budget for clearance pursuant to Circular No. A-19,
20.
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the responsible agency shall make every effort to have
a statement prepared in time for information copies of
such statement to accompany the proposal or report; where
this is not possible, the responsible agency should in-
dicate when such a statement will be available. OMB will
consult with CEQ in all cases where the responsible agency
has submitted, or indicated need for, a 102(2)(c) state-
ment. In those cases where the clearance process discloses
the need for a 102(2)(C) statement and none is under pre-
paration, the responsible agency will be requested to
develop such a statement.
In connection with any modifications of the proposal or
report resulting from the clearance process, the responsi-
ble agency will make any revisions in its proposed 102(2)
(C) statement that may be required. Compliance with the
102(2) (C) statement does not, of course, relieve any agency
or Office of Management and Budget from responsibility for
giving the fullest consideration to environmental factors
in developing its views on legislative proposals or reports
in accordance with Circular A-19. The responsible agency
should transmit its 102(2) (C) statements on legislative
proposals and reports to the appropriate Congressional
committees in accordance with Section 10 (c) of the revised
guidelines of the Council on Environmental Quality. <
b. Annual budget estimates. Annual budget estimates
shall be accompanied by a summary list of those specific
actions covered by the estimates which, in accordance with
agency procedures, require the preparation of a 102(2)(c)
statement. The list shall include, in the form illustrated
in Exhibit 1, the following information by appropriation
or fund account:
Column A - Action, project or activity. Identify
the agency actions and individual projects and activities
requiring the preparation of a 102(2)(c) statement.
' Column B - Funds involved. Identify the amount
of funds involved in the budget year, expressed in terms
of budget authority and outlays, for those items listed in
Column A.
21.
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Column C - Status of statement. Indicate, in
each instance, if a draft statement has been completed,
whether comments from interested parties have been received,
and whether final statements have been completed.
Column D - Unusual aspects. Briefly identify
unresolved issues, potential controversy, and unusual
nature or degree of impact upon the environment.
In the case of programs for which it is not possible to
make an assessment of the potential impact on the environ-
ment, or to identify 102(2) (C) statements that will be
required, agencies may include a narrative statement con-
taining information about general environmental impact and
as to when decisions are expected on the need for 102(2)(C)
statements.
In addition to submitting the summary list prescribed above,
to facilitate consideration by the Office of Management and
Budget of environmental aspects of budget items, each agency
shall, at the earliest time possible, notify the appropriate
budget examiner of the Office of Management and Budget of
any action expected to be included in the agency's budget
estimate which will have impact upon the environment of
particularly significant and/or potentially controversial
nature.
Individual draft or final statements and information to
update the listings required above shall be provided by
the agencies to members of the staff of the Office of
Management and Budget upon their request.
c. Water resource project reports. Project reports re-
viewed by the Office of Management and Budget pursuant to
Executive Orders 9384 and 10654 often involve proposed
actions that may require application of Section 102(2)(C)
procedures. In such cases, either a draft or final state-
ment, as available, shall accompany the project report
when it is. referred for comments to interested Federal,
State, and local agencies. The final statement and
associated comments shall accompany the project report
when submitted to the Office of Management and Budget for
review.
22.
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4. Review of Federal actions by State and local governments.
Section 102(2) (C) requires agencies to include the comments
and views of the appropriate Federal, State, and local
agencies which are authorized to develop and enforce environ-
mental standards. The Council on Environmental Quality
Guidelines and the Office of Management and Budget Circular
No. A-95 establish the procedures to be followed in obtaining
Federal, State> and local review of proposed actions subject
to Section 102(2) (C) .
5. Exceptions to these procedures. Should instances arise
in which an agency believes compelling reasons exist for
departure from these procedures, the matter should be raised
with appropriate staff members of the Office of Management
and Budget.
6. Rescission of previous Bulletin. Office of Management
and Budget Bulletin No. 71-3, dated August 31, 1970, is
rescinded, effective this date.
GEORGE P. SHULTZ
Director
o o
I. O .
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EXHIBIT 1
Bulletin No. 72-6
SUMMARY LIST OF SECTION 102(2)(C) STATEMENTS
DEPARTMENT OF OOVBR1MEMT
Appropriation or Fund Account
(Account Identification code)
Coluan A
Coluam B
Colusm C
Column 0
Action, Project, or Activity
Funds Involved
Budget Authority
Outlay*
Status of Statement
Pnusual Aspects
-------
EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON. D.C. 20503
February 9, 1971 CIRCULAR NO. A-95
Revised
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Evaluation, review, and coordination of Federal
and federally assisted programs and projects
1. Purpose. This Circular furnishes guidance to Federal
agencies for added cooperation with State and local govern-
ments in the evaluation, review, and coordination of Federal
assistance programs and projects. The Circular promulgates
regulations (Attachment A) which provide, in part, for:
a. Encouraging the establishment of a project notifica-
tion and review system to facilitate coordinated planning on
an intergovernmental basis for certain Federal assistance
programs in furtherance of section 204 of the Demonstration
Cities and Metropolitan Development Act of 1966 and Title IV
of the Intergovernmental Cooperation Act of 1968 (Attach-
ment B).
b. Coordination of direct Federal development programs
and projects with State, regional, and local planning! and
programs pursuant to Title IV of the Intergovernmental
Cooperation Act of 1968. . \
c. Securing the comments and views of State and local
agencies which are authorized to develop and enforce environ-
mental standards on certain Federal or federally assisted
projects affecting the environment pursuant to section
102(2) (C) of the National Environmental Policy Act of 1969
(Attachment C) and regulations of .the Council on Environmental
Quality.
This Circular supersedes Circular No. A-95, dated July 24,
1969, as amended by Transmittal Memorandum No. 1, dated
December 27, 1969. It will become effective April 1,
1971.
25.
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2. Basis. This circular has been prepared pursuant to:
a. Section 401(a) of the intergovernmental Cooperation
Act of 1968 which provides, in part, that
"The5 President shall . . . establish rules and
regulations governing the formulation, evaluation,
and review of Federal programs and projects having
a significant impact on area and community develop-
ment . . . " .
and the President's Memorandum of November 8, 1968, to the
Director of the Bureau of the Budget ("Federal Register,"
Vol. 33, No. 221, November 13, 1968) which provides:
"By virtue of the authority vested in me by
section 301 of title 3 of the United States Code
and section 401(a) of the Intergovernmental Coop-
eration Act of 1968 (Public Law 90-577), I hereby
delegate to you the authority vested in the Presid.ent
to establish the rules and regulations provided for
in that section governing the formulation, evaluation,
and review of Federal programs and projects having a
significant impact on area and community development,
including programs providing Federal assistance to
the states and localities, to the end that they shall
most effectively serve these basic objectives.
"In addition, I expect the Bureau of the Budget
to generally coordinate the actions of the depart-
ments and agencies in exercising the new authoriza-
tions provided by the intergovernmental Cooperation
Act, with the objective of consistent and uniform
action by the Federal Government."
b. Title IV, section 403, of the Intergovernmental Coop-
eration Act of 1968 which provides that:
"The Bureau of the Budget, or such other agency
as may be designated by the President, shall prescribe
such rules and regulations as are deemed appropriate
for the effective administration of this Title."
26.
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c. Section 204 (c) of the Demonstration Cities and
Metropolitan Development Act of 1966 which provides that:
"The Bureau of the Budget, or such other agency
as may be designated by the President, shall pre-
scribe such rules and regulations as are deemed
: appropriate for the effective administration of
this section," and
d. Reorganization Plan No. 2 of 1970 and Executive Order
No. 11541 of July 1, 1970, which vest all functions of the
Bureau of the Budget or the Director of the Bureau of the
Budget in the Director of the Office of Management and Budget.
3. Coverage. The regulations promulgated by this Circular
(Attachment A) will have applicability to:
a. Under Part I, all projects (or significant changes
thereto) for which Federal assistance is being sought under
the programs listed in Attachment D. Limitations and provi-
sion for exceptions are noted therein.
b. Under Part II, all direct Federal development activi-
ties, including the acquisition, use, and disposal of Federal
real property.
c. Under Part III, all Federal programs requiring, by
statute or administrative regulation, a State plan as a
condition of assistance.
d. Under Part IV, all Federal programs providing assist-
ance to State, local, and regional projects and activities
that are planned on a multijurisdictional basis.
4* Inquiries. Inquiries concerning this Circular may be
addressed to the Office of Management and Budget, Washington,
D. c. 20503, telephone (202) 395-3031 (Government dial code
103-3031). ...
GEORGE P. SHULTZ
Director
Attachments
27.
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ATTACHMENT A
Circular No. A-95
Revised
REGULATIONS UNDER SECTION 204 OF TEE DEMONSTRATION
CITIES AND METROPOLITAN DEVELOPMENT ACT OF 1966,
TITLE IV OF THE INTERGOVERNMENTAL COOPERATION ACT
OF 1968, AND SECTION 102 (2)(C) OF THE NATIONAL
ENVIRONMENTAL POLICY ACT OF 1969
PART I: .PROJECT NOTIFICATION AND REVIEW SYSTEM
1. Purpose. The purpose of this Part is to:
a. Further the policies and directives of Title IV of
the Intergovernmental Cooperation Act of 1968 by encouraging
the establishment of a network of State, regional, and metro-
politan planning and development clearinghouses which will aid
in the coordination of Federal or federally assisted projects
and programs with State, regional, and local planning for
orderly growth and development;
b. Implement the requirements of section 204 of the
Demonstration cities and Metropolitan Development Act of 1966
for metropolitan areas within that network:
c. Implement, in part, requirements of section 102(2)(C)
of the National Environmental Policy Act of 1969, which require
State and local views of the environmental impact of Federal
or federally assisted projects;
d. Encourage, by means of early contact between applicants
for Federal assistance and state and local governments and
agencies, an expeditious process of intergovernmental coordi-
nation and review of proposed projects.
2. Notification.
a. Any agency of State or local government or any
organization or individual undertaking to apply for assist-
ance to a project under a Federal program listed in Attachment
D will be required to notify the planning and development
clearinghouse of the State (or States) and the region, if there
is one, or of the metropolitan area in which the project is to
be located, of its intent to apply for assistance. Notification
28.
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will be accompanied by a summary description of the project
for which assistance will be sought. The summary description
will contain the following information:
(1) Identity of the applicant agency, organization,
or individual..
(2) The geographic location of the project to be
assisted.
(3) A brief description of the proposed project by
type, purpose, general size or scale, estimated cost, bene-
ficiaries, or other characteristics which will enable the
clearinghouses to identify agencies of State or local govern-
ment having plans, programs, or projects that might be affected
by the proposed projects.
(4) A brief statement of whether or not an environ-
mental impact statement is required and, if so, an indication
of the nature and extent of environmental impact anticipated.
(5) The Federal program and agency under which assis-
tance will be sought as indicated in the Catalog of Federal
Domestic Assistance (April 1970 and subsequent editions) .
(6) The estimated date by which time the applicant
expects to formally file an application.
i
Many clearinghouses have developed notification forms and
instructions. Applicants are urged to contact their clearing-
houses for such information in order to expedite clearinghouse
revj
b. In order to assure maximum time for effective coordi-
nation and so as not to delay the timely submission of the
completed application to the Federal agency, such notifications
should be sent at the earliest feasible time.
3. clearinghouse functions. Clearinghouse functions include:
a. Evaluating the significance of proposed Federal, or
federally assisted projects to State, areawide or local, plans
and programs, as appropriate.
29.
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b. Receiving and disseminating project notifications
to appropriate State agencies in the case of the State
clearinghouse and to appropriate local governments and agencies
in the case of regional or metropolitan clearinghouses; and
providing liaison, as may be necessary, between such agencies
or bodies and the applicant.
c. Assuring, pursuant to section 102(2)(c) of the
National Environmental Policy Act of 1969, that appropriate
State, metropolitan, regional, or local agencies which are
authorized to develop and enforce environmental standards are
informed of and are given opportunity to review and comment on
the environmental significance of proposed projects for which
Federal assistance is sought.
d. Providing, pursuant to Part II of these regulations,
liaison between Federal agencies contemplating direct Federal
development projects and the State or areawide agencies or
local governments having plans or programs that might be
affected by the proposed project.
4. Consultation and review
a. State, metropolitan, and regional clearinghouses may
have a period of 30 days after receipt of a project notifica-
tion in which to inform state agencies, other local or regional
bodies, etc., that may be affected by the project (including
agencies authorized to develop and enforce environmental
standards) and to arrange, as may be necessary, to consult
with the applicant on the proposed project.
b. During this period and during the period in which the
application is being completed, the clearinghouse may work
with the applicant in the resolution of any problems raised
by the proposed project.
c. Clearinghouses may have, if necessary, an additional
30 days to review the completed application and to transmit
to the applicant any comments or recommendations the clearing-
house (or others) may have.
d. In the case of a project for which Federal assistance
is sought by a special purpose unit of government, clearing-
houses will assure that any unit of general local government,
30.
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having jurisdiction over the area in which the project is to
be located, has opportunity to confer, consult, and comment
upon the project and the application.
e. Applicants will include with the completed application
as submitted to the Federal agency:
(1) Any comments and recommendations made by or
through clearinghouses, along with a statement that such
comments have been considered prior to submission of the
application; or
(2) A statement that the procedures outlined in this
section have been followed and that no comments or recommenda-
tions have been received.
f. Where regional or metropolitan areas are contiguous,
coordinative arrangements should be established between the
clearinghouses in such areas to assure that projects in one
area which may have an impact on the development of a contig-
uous area are jointly studied. Any comments and recommenda-
tions made by or through a clearinghouse in one area on a
project in a contiguous area will accompany the application
for assistance to that project.
5. Subject matter of comments and recommendations. Comments
and recommendations made by or through clearinghouses with
respect to any project are for the purpose of assuring maxi-
mum consistency of such project with State, regional and local
comprehensive plans. They are also intended to assist the
Federal agency (or State agency, in. the case of projects for
which the state under certain Federal grants has final proj-
ect approval) administering such a program in determining
whether the project is in accord with applicable Federal law.
Comments or recommendations, as may be appropriate, may
include information about:
a. The extent to which the project is consistent with or
contributes to the fulfillment of comprehensive planning for
the State, region, metropolitan area, or locality.
b. The extent to which the project contributes to the
achievement of State, regional, metropolitan, and local objec-
tives as specified in section 401(a) of the Intergovernmental
Cooperation Act of 1968, as follows:
31 .
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(1) Appropriate land uses for housing, commercial,
industrial, governmental, institutional, and other purposes;
(2) Wise development and conservation of natural
resources, including land, water, minerals, wildlife, and
others;
(3) Balanced transportation systems, including
highway, air, water, pedestrian, mass transit, and other
modes for the movement of people and goods;
(4) Adequate outdoor recreation and open space;
(5) Protection of areas of unique natural beauty,
historical and scientific interest;
(6) Properly planned community facilities, including
utilities for the supply of power, water, and communications,
for the safe disposal of wastes, and for other purposes; and
\-
(7) Concern for high standards of design.
c. As provided under section 102(2)(c) of the National
Environmental Policy Act of 1969, the extent to which the
project significantly affects the environment including
consideration of:
(1) The environmental impact of the proposed
project;
(2) Any adverse environmental effects which cannot
be avoided should the proposed project be implemented;
(3) Alternatives to the proposed project;
(4) The relationship between local short term uses
of man's environment and the maintenance and enhancement of
long term productivity; and
(5) Any irreversible and irretrievable commitments
of resources which would be involved in the proposed project
or action, should it be implemented.
32.
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d. In the case of a project for which assistance is
being sought by a special purpose unit of government,
whether the unit of general local government Having juris-
diction over the area in which the project is to be located
has applied, or plans to apply for assistance for the same
or similar type project. This information is necessary to
enable the Federal (or State) agency to make the judgments
required under section 402 of the Intergovernmental
Cooperation Act of 1968.
6. Federal agency procedures. Federal agencies having
programs covered under this Part (see Attachment D) will
develop appropriate procedures for:
a. Informing potential applicants for assistance under
such programs of the requirements of this Part (1) in pro-
gram information materials, (2) in response to inquiries
respecting application procedures, (3) in pre-application
conferences, or (4) by other means which will assure .
earliest contact between applicant and clearinghouses.
b. Assuring that all applications for assistance under
programs covered by this part have been submitted to appro-
priate clearinghouses for review.
c. Notifying clearinghouses within seven days of any
action (approvals, disapprovals, return for amendment, etc.)
taken on applications that have been reviewed by such
clearinghouses. Where a State clearinghouse has assigned
an identification number to an application, the Federal
agency will refer to such identification number in notifying
clearinghouses of actions taken on the application.
d. Assuring, in the case of an application submitted
by a special purpose unit of government, where accompanying
comments indicate that the unit of general local government
having jurisdiction over the area in which the project is
to be located has submitted or plans to submit an application
for assistance for the same or a similar type project, that
appropriate considerations and preferences as specified in
section 402 of the Intergovernmental Cooperation Act of 1968,
33.
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are accorded the unit of general local government, where
such preference ^cannot be so'accorded, fie agency shall
)is,tipply, in writing, to the unit of general local government
and the Office of Management and Budget its reasons therefor,
7. HUD housing programs. Because of the unique nature of
the application and development process for the housing
programs of the Department of Housing and Urban Development,
a variation of the review procedure is necessary. For HUD
programs in the 14.100 series listed in Attachment D, the
following procedure for review will be followed:
a. The HUD Area or Insuring Office will transmit to the
appropriate State clearinghouse and metropolitan or regional
clearinghouse a copy of the initial application for HUD
program approval.
b. The clearinghouses will have 15 days to review the
applications and to forward to the Area or Insuring office
any comments which they may have, including observations
concerning the consistency of the proposed project with
State and areawide development plans and identification of
major environmental concerns. Processing of applications
in the Area or insuring office will proceed concurrently
with the clearinghouse review.
c. This procedure will include only applications in-
volving new construction and will apply to:
(1) Subdivisions having 50 or more lots involving
any HUD home mortgage insurance program.
(2) Multifamily projects having 100 or more dwell-
ing units under any HUD mortgage insurance program, or under
conventional or turnkey public housing programs.
(3) Mobile home courts with 100 or more spaces.
(4) College housing provided under the debt service
or direct loan programs for 200 or more students.
34.
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All other applications for assistance under the HUD programs
in the 14.100 series listed in Attachment D are exempt from
the requirements of this Circular.
8. Reports and directories.
a. The Director of the Office of Management and Budget
may require reports, from time to time, on the implementation
of this Part.
b. The Office of Management and Budget will maintain and
distribute to appropriate Federal agencies a directory of
State, regional, and metropolitan clearinghouses.
c. The Office of Management and Budget will notify
clearinghouses and Federal agencies of any excepted categories
of projects under programs listed in Attachment D.
35
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PART II: DIRECT FEDERAL DEVELOPMENT
1. Purpose. The purpose of this Part is tb:
a. Provide State and local government with information
on projected Federal development so as to facilitate
coordination with State, regional and local plans and
programs.
b. Provide Federal agencies with information on the
relationship of proposed direct Federal development projects
and activities to State, regional, and local plans and pro-
grams; and to assure maximum feasible consistency of Federal
developments with State, regional/ and local plans and
programs.
c. Provide Federal agencies with information on the
possible impact on the environment of proposed Federal
development.
2. Coordination of direct Federal development projects with
State, regional, and local development.
a. Federal agencies having responsibility for the plan-
ning and construction of Federal buildings and installations
or other Federal public works or development or for the
acquisition, use, and disposal of Federal land and real
property will establish procedures for: i
i
(1) Consulting with Governors, regional and metro-
politan clearinghouses, and local elected officials at the
earliest practicable stage in project or development planning
on the relationship of any plan or project to the development
plans and programs of the State, region, or localities in
which the project is to be located.
(2) Assuring that any such Federal plan or project
is consistent or compatible with State, regional, and local
development plans and programs identified in the course of
such consultations. Exceptions will be made only where there
is clear justification.
36.
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: (3) Providing State, metropolitan, regional, and
local agencies which are authorized to develop and enforce
environmental standards with adequate opportunity to review
such Federal plans and projects pursuant to section 102(2)(C)
of the National Environmental Policy Act of 1969. Any com-
ments of such agencies will accompany the environmental impact
statement submitted by the Federal agency.
3. Use of clearinghouses. The State, regional, and metropo-
litan planning and development clearinghouses established
pursuant to Part I will be utilized to the greatest extent
practicable to effectuate the requirements of this Part.
Agencies are urged to establish early contact with clearing-
houses to work out arrangements for carrying out the con-
sultation and review required under this Part, including
identification of types of projects considered appropriate
for consultation and review.
37.
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PART III: STATE PLANS
1. Purpose. The purpose of this Part is to provide Federal
agencies with information about the relationship of State
plans required under various Federal programs to State com-
prehensive planning and to other State plans.
2. Review of State plans. To the extent not presently
required by statute or administrative regulation, Federal
agencies administering programs requiring by statute or
regulation a State plan as a condition of assistance under
such programs will require that the Governor be given the
opportunity to comment on the relationship of such state
plan to comprehensive and other State plans and programs.
Governors will be afforded a period of forty-five days in
which to make such comments, and any such comments will be
transmitted with the plan.
3. State plan. A State plan under this Part is defined to
include any required supporting reports or documentation
that indicate the programs, projects, and activities for
which Federal funds will be utilized.
38.
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PART IV: COORDINATION OF PLANNING
IN MULTIJURISDICTIONAL AREAS
1. Policie^ and objectives. The purposes of this Part are:
a. To encourage and facilitate State and local initiative
and responsibility in developing organizational and procedural
arrangements for coordinating comprehensive and functional
planning activities.
b. To eliminate overlap, duplication, and competition in
State and local planning activities assisted or required under
Federal programs and to encourage the most effective use of
State and local resources available for development planning.
c. To minimize inconsistency among Federal administrative
and approval requirements placed on State, regional, and metro-
politan development planning activities.
d. To encourage the States to exercise leadership in de-
lineating and establishing a system of planning and develop-
ment districts or regions in each State, which can provide a
consistent geographic base for the coordination of Federal,
State and local development programs.
i
2. Common or consistent planning and development districts or
regions. Prior to the designation or redesignation (or approval
thereof) of any planning and development district or region
under any Federal program. Federal agency procedures will pro-
vide a period of thirty days for the Governor(s) of the State(s)
in which the district or region will be located to review the
boundaries thereof and comment upon its relationship to plan-
ning and development districts or regions established by the
State. Where the State has established such planning and
development districts, the boundaries of designated areas
will conform to them unless there is clear justification for
not doing so. Where the State has not established planning
and development districts or regions which provide a basis for
evaluation of the boundaries of the area proposed for designation.
39.
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major units of general local government and Federal agencies
administering related programs in such area will also be con-
sulted prior to designation of the area to assure consistency
with districts established under interlocal agreement and
under related Federal programs.
3. Common and consistent planning bases and coordination of
related activities in multijurisdictional areas. Each agency
will develop checkpoint 'procedures and requirements for ap-
plications for planning and development assistance under
appropriate programs to assure the fullest consistency and
coordination with related planning and development being
carried on under other Federal programs or under State and
local programs in any multijurisdictional areas.
The checkpoint procedures will incorporate provisions covering
the following points:
a. Identification by the applicant of planning activities
being carried on for related programs within the multijuris-
dictional area, including those covering a larger area within
which such multijurisdictional area is located, subareas of
the area, and areas overlapping the multijurisdictional area.
Metropolitan or regional clearinghouses established under
Part I of this Circular, may assist in providing such iden-
tification.
b. Evidence of explicit organizational or procedural
arrangements that have been or are being established by the
applicant to assure maximum coordination of planning for such
related functions, programs, projects and activities within the
multijurisdictional area. Such arrangements might include
joint or common boards of directors or planning staffs,
umbrella organizations, common referral or review procedures,
information exchanges, etc.
c. Evidence of cooperative arrangements that have been or
are being made by the applicant respecting joint or common use
of planning resources (funds; personnel, facilities, and ser-
vices, etc.) among related programs within the area; and
d. Evidence that planning being assisted will proceed
from base data, statistics, and projections (social, economic,
417-801 O - 71 - 2
40.
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demographic, etc.) and assumptions that are common to or
consistent with those being employed for planning related
activities within the area.
4. Joint funding. Where it will enhance the quality, compre-
hensive scope, and coordination of planning in multijurisdic-
tional areas, Federal agencies will, to the extent practicable
provide for joint funding of planning activities being carried
on therein.
5. Coordination of agency procedures and requirements. With
respect to the steps called for in paragraphs 2 and 3 of this
Part, departments and agencies will develop for relevant pro-
grams appropriate draft procedures and requirements. Copies
of such drafts will be furnished to the Director of the Office
of Management and Budget and to the heads of departments and
agencies administering related programs. The Office, in con-
sultation with the agencies, will review the draft procedures
to assure the maximum obtainable consistency among them.
41.
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PART V: DEFINITIONS
Terms used in this Circular will have the following meanings:
1. Federal agency — any department, agency, or instrumen-
tality in the executive branch of the Government and any
Wholly owned Government corporation.
2. State — any of the several States of the United States,
the District of Columbia, Puerto Rico, any territory or pos-
session of the United States, or any agency or instrumentality
of a State, but does hot include the governments of the poli-
tical subdivisions of the State.
3. Unit of general local government — any city, county, town,
parish, village,or other general purpose political subdivision
of a State.
4. Special purpose unit of local government — any special
district, public purpose corporation, or other strictly limited
purpose political subdivision of a State, but shall not include
a school district.
5. Federal assistance, Federal financial assistance, Federal
assistance programs, or federally assisted program — programs
that provide assistance through grant or contractual arrange-
ments. They include technical assistance programs, or programs
providing assistance in the form of loans, loan guarantees, or
insurance. The term does not include any annual payment by the
United States to the District of Columbia authorized by article
VI of the District of Columbia Revenue Act of 1947 (D.C. Code
sec. 47-2501a and 47-2501b).
6. Comprehensive planning, to the extent directly related to
area needs or needs of a unit of general local government, in-
cludes the following:
a. Preparation, as a guide for governmental policies and
action, of general plans with respect to:
(1) Pattern and intensity of land use,
42.
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(2) Provision of public facilities (including trans-
portation facilities)and other government services.
(3) Effective development and utilization of human and
natural resources.
b. Preparation of long range physical and fiscal plans
for such action.
c. Programming of capital improvements and other major
expenditures, based on a determination of relative urgency,
together with definitive financing plans for such expenditures
in the earlier years of the program.
d. Coordination of all related plans and activities of
the State and local governments and agencies concerned.
e. Preparation of regulatory and administrative measures
in support of the foregoing.
7. Metropolitan area — a standard metropolitan statistical
area as established by the Office of Management and Budget,
subject, however, to such modifications and extensions as the
Office of Management and Budget may determine to be appropriate
for the purposes of section 204 of the Demonstration Cities
and Metropolitan Development Act of 1966, and these Regulations,
8. Areawide agency — an official State or metropolitan or
regional agency empowered under State or local laws or under
an interstate compact or agreement to perform comprehensive
planning in an area? an organization of the type referred to
in section 701(g) of the Housing Act of 1954; or such other
agency or instrumentality as may be designated by the Governor
(or, in the case of metropolitan areas crossing State lines,
any one or more of such agencies or instrumentalities as may be
designated by the Governors of the States involved) to perform
such planning.
9. Planning and development clearinghouse or clearinghouse
includes:
a. An agency of the State Government designated by the
Governor or by State law.
43.
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b. A nonmetropolitan regional comprehensive planning
agency (herein referred to as "regional clearinghouse")
designated by the Governor (or Governors in the case of
regions extending into more than one State) or by State lav;.
c. A metropolitan areaw*ide agency that has been recognized
by the Office of Management and Budget as an appropriate agency
to perform review functions under section 204 of the Demonstra-
tion Cities and Metropolitan Development Act of 1966.
10. Multijurisdictional area — any geographical area compri-
sing f "^n^OTJpTi¥In^T~or~~extend"ing into more than one unit of
general local government.
11. Planning and development district or region — a multi-
jurisdictional area that has been formally designated or
recognized as an appropriate area for planning under State law
or Federal program requirements.
12. Direct Federal development — planning and construction of
public works, physical facilities, and installations or land and
real property development (including the acquisition, use, and
disposal of real property) undertaken by or for the use of the
Federal Government or any of its agencies.
44.
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ATTACHMENT B
Circular No. A-95
Revised
SECTION 204 OF THE DEMONSTRATION CITIES AND
METROPOLITAN DEVELOPMENT ACT OF 1966,
as amended(80 Stat. 1263, 82 Stat. 208)
"Sec. 204. (a) All applications made after June 30,
1967 for Federal loans or grants to assist in carrying
out open-space land projects or for planning or con-
struction of hospitals, airports, libraries, water
supply and distribution facilities, sewerage facili-
ties and waste treatment works, highways, transpor-
tation facilities, law enforcement facilities, and
water development and land conservation projects
within any metropolitan area shall be submitted for
review--
"(1) to any areawide agency which is desig-
nated to perform metropolitan or regional planning
for the area within which the assistance is to be
used, and which is, to the greatest practicable •
extent, composed of or responsible to the elected
officials of a unit of areawide government or of
the units of general local government within whose
jurisdiction such agency is authorized to engage in
such planning, and
"(2) if made by a special purpose unit of local
government, to the unit or units of general local govern-
ment with authority to operate in the area within which
the project is to be located.. i
"(b)(l) Except as provided in paragraph (2) of this
subsection, each application shall be accompanied (A) by
the comments and recommendations with respect to the pro-
ject involved by the areawide agency and governing bodies
of the units of general local government to which the
application has been submitted for review, and (B) by a
statement by the applicant that such comments and recom-
mendations have been considered prior to formal submis-
sion of the application. Such comments shall include
information concerning the extent to which the project
is consistent with comprehensive planning developed or
in the process of development for the metropolitan area
45.
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or the unit of general local government, as the case may
be, and the extent to which such project contributes to
the fulfillment of such planning. The comments and
recommendations and the statement referred to in this
paragraph shall, except in the case referred to in para-
graph (2) of this subsection, be reviewed by the agency
of the Federal Government to which such application is
submitted for the sole purpose of assisting it in deter-
mining whether the application is in accordance with the
provisions of Federal law which govern the making of the
loans or grants.
"(2) An application for a Federal loan or grant
need not be accompanied by the comments and recommenda-
tions and the statements referred to in paragraph (1) of
this subsection, if the applicant certifies that a plan
or description of the project, meeting the requirements
of such rules and regulations as may be prescribed under
subsection (c), or such application, has lain before an
appropriate areawide agency or instrumentality or unit
of general local government for a period of sixty days
without comments or recommendations thereon being made
by such agency or instrumentality.
"(3) The requirements of paragraphs (1) and (2)
shall also apply to any amendment of the application which,
in light of the purposes of this title, involves a major
change in the project covered by the application prior to
such amendment.
"(c) The Bureau of the Budget, or such other agency
as may be designated by the President, is hereby author-
ized to prescribe such rules and regulations as are deemed
appropriate for the effective administration of this section."
46.
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TITLE IV OF THE INTERGOVERNMENTAL COOPERATION
ACT OF 1968 (82 Stat. 1103)
"TITLE IV — COORDINATED INTERGOVERNMENTAL
POLICY AND ADMINISTRATION OF DEVELOP-
MENT ASSISTANCE PROGRAMS"
"DECLARATION OF DEVELOPMENT ASSISTANCE POLICY"
"Sec. 401. (a) The economic and social development of the
Nation and the achievement of satisfactory levels of living
depend upon the sound and orderly development of all areas,
both urban and rural. Moreover, in a time of rapid urbaniza-
tion, the sound and orderly development of urban communities
depends to a large degree upon the social and economic health
and the sound development of smaller communities and rural
areas. The President shall, therefore, establish rules and
regulations governing the formulation, evaluation, and review
of Federal programs and projects having a significant impact
on area and community development, including programs provi-
ding Federal assistance to the States and localities, to the
end that they shall most effectively serve these basic
objectives. Such rules and regulations shall provide for full
consideration of the concurrent achievement of the following
specific objectives and, to the extent authorized by law,
reasoned choices shall be made between such objectives when
they conflict:
"(1) Appropriate land uses for housing, commercial,
industrial, governmental, institutional, and other purposes;
i
"(2) Wise development and conservation of natural re-
sources, including land, water, minerals, wildlife, and others;
"(3) Balanced transportation systems, including high-
way, air, water, pedestrian, mass transit, and other modes for
the movement of people and goods;
"(4) Adequate outdoor recreation and open space;
"(5) Protection of areas of unique natural beauty,
historical and scientific interest;
"(6) Properly planned community facilities, including
utilities for the supply of power, water, and .communications,
for the safe disposal of wastes, and for other purposes; and
"(7) Concern for high standards of design.
"(b) All viewpoints — national, regional, State and local
~ shall, to the extent possible, be fully considered and taken
47.
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into account in planning Federal or federally assisted develop-
ment programs and projects. State and local government objec-
tives, together with the objectives of regional organizations
shall be considered and evaluated within a framework of national
public objectives, as expressed in Federal law, and available
projections of future national conditions and needs of regions,
States, and localities shall be considered in plan formulation,
evaluation, and review.
"(c) To the maximum extent possible, consistent with national
objectives, all Federal aid for development purposes shall be
consistent with and further the objectives of State, regional,
and local comprehensive planning. Consideration shall be given
to all developmental aspects of our total national community,
including but not limited to housing,.transportation, economic .
development, natural and human resources development, community
facilities, and the general improvement of living environments.
"(d) Each Federal department and agency administering a
development assistance program shall, to the maximum extent
practicable, consult with and seek advice from all other sig-
nificantly affected Federal departments and agencies in an
effort to assure fully coordinated programs.
"(e) Insofar as possible, systematic planning required by
individual Federal programs (such as highway construction, urban
renewal, and open space) shall be coordinated with and, to the
extent authorized by law, made part of comprehensive local and
areawide development planning."
"FAVORING UNITS OF GENERAL LOCAL GOVERNMENT"
"Sec. 402. Where Federal law provides that both special-
purpose units of local government and units of general local
government are eligible to receive loans or grants-in-aidf
heads of Federal departments and agencies shall, in the ab-
sence of substantial reasons to the contrary, make such loans
or grants-in-aid to units of general local government rather
than to special-purpose units of local government."
"RULES AND REGULATIONS"
"Sec. 403. The Bureau of the Budget, or such other agency
as may be designated by the President, is hereby authorized to
prescribe such rules and regulations as are deemed appropriate
for the effective adu.'nistration of this title."
48.
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ATTACHMENT C
Circular No. A-95
Revised
SECTION 102 (2) (C) OF THE NATIONAL ENVIRON-
MENTAL POLICY ACT OF 1969 (83 Stat. 853)
"Sec. 102. The Congress authorizes and directs that,
to the fullest extent possible; (1) the policies, regulations,
and public laws of the United States shall be interpreted and
administered in accordance with the policies set forth in this
Act, and (2) all agencies of the Federal Government shall—....
"(C) include in every recommendation or report
on proposals for legislation and other major Federal
actions significantly affecting the quality of the
human environment, a detailed statement by the respon-
sible official on—
11 (i) the environmental impact of the proposed
action,
"(ii) any adverse environmental effects which
cannot be avoided should the proposal be implemented,
11 (iii) alternatives to the proposed action,
"(iv) the relationship between local short-term
use of man's environment and the maintenance land
enhancement of : long-term productivity, and
i
"(v) any irreversible or irretrievable commitments
of resources which would be involved in the proposed
action should it be implemented.
"Prior to making any detailed statement, the responsible Federal
official shall consult with and obtain the comments of any
Federal agency which has jurisdiction by law or special exper-
tise with respect to any environmental impact involved. Copies
of such statement and the comments and views of the appropriate
Federal, State, and local agencies, which are authorized to
develop and enforce environmental standards, shall be made
available to the President, the Council on Environmental
Quality and to the public as provided by section 552 of Title 5,
United States Code, and shall accompany the proposal through
the existing agency review processes;
if
• • • •
49.
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ATTACHMENT D
Circular No.A-95
Revised
COVERAGE OF PROGRAMS UNDER ATTACHMENT A, PART I
1. Programs are listed below pursuant to section 204 of the
Demonstration Cities and Metropolitan Development Act of 1966
and the Intergovernmental Cooperation Act of 1968. They are
referenced by Catalog of Federal Domestic Assistance identifi-
cation numbers.
2. Heads of Federal departments and agencies may, with the con-
currence of the Office of Management and Budget, exclude certain
categories of projects or activities under listed programs from
the requirements of Attachment A, Part 1. OMB concurrence will
be based on the following criteria:
a. Lack of geographic idehtifiability with respect to
location or impact (e.g., certain types of technical studies);
b. Small scale or size;
c. Essentially local impact (within the applicant juris-
diction) ; and
d. Other characteristics that make review impractical.
OMB will notify clearinghouses of such exclusions.
3. Covered programs
Department of Agriculture
Farmers Home Administration
> 10.400 Comprehensive Areawide Water and Sewer
Planning Grants
10.409 Irrigation, Drainage and Other Soil and
Conservation Loans
10.412 Recreation Association Loans
10.414 Resource Conservation and Development
Loans
50.
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10.418 Water and Waste Disposal Systems for
Rural Communities
10.419 Watershed Protection and Flood Preven-
tion Loans
Soil Conservation Service
10.901 Resource Conservation & Development
10.904 Watershed Protection & Flood ^Prevention
Department of Commerce
Economic Development Administration
11.300 Economic Development — Grants and Loans
for Public Works and Development
Facilities
11.302 Economic Development — Planning Assistance
11.303 Economic Development — Technical Assistance
Department of Defense
Department of the Army, Office of the Chief of
Engineers
12.101 Beach Erosion Control
12.106 Small Flood Control Projects
12.107 Small Navigation Projects
12.108 Snagging and Clearing for Flood Control
Department of Health, Education, 'and Welfare
Environmental Health Service
13.001 Air Pollution Control Program Grants
(Planning Only)
i/These programs are administered by the new Environmental Pro-
tection Agency for which there is as yet no separate Catalog
listing.
51.
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13.014 Solid Wastes Demonstration Grants
13.015 Solid Wastes Planning Grants I/
Health Services and Mental Health Administration
13.206 Comprehensive Health Planning —
Areawide Grants
13.219 Health Facilities Construction —
Diagnostic and Treatment Centers
13.220 Health Facilities Construction —
Hospitals and Public Health Centers
13.221 Health Facilities Construction— Long-
Term Care Facilities
13.222 Health Facilities Construction —
Rehabilitation Facilities
13.235 Mental Health — Community Assistance
Grants for Narcotic Addiction
(Construction Only)
13.236 Mental Health •— Construction of Community
Mental Health Centers
13.249 Regional Medical Programs — Operational
and Planning Grants (Planning and
Construction Only)
National Institutes of Health
13.340 Health Professions Facilities Construction
13.350 Medical Library Assistance — .Regional
Medical Libraries
13.369 Schools of Nursing — Facilities Con-
struction
I/ These programs are administered by the new Environmental
Protection Agency for which there is as yet no separate
Catalog listing.
52.
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Office of Education
13.408 Construction of Public Libraries
• 13.456 Higher Education Academic Facilities —
State Comprehensive Planning
13.457 Higher Education Academic Facilities
Construction — Interest Subsidization
13.458 Higher Education Academic Facilities
Construction — Public and Private
Colleges and Universities
13.459 Higher Education Academic Facilities
Construction — Public Community
Colleges and Technical Institutes
13.477 School Assistance in Federally Affected
Areas — Construction
13.487 Supplementary Education Centers and Ser-
vices (Construction Only)
13.493 Vocational Education — Basic Grants to
States (Construction Only)
Social and Rehabilitation Service
13.711 Juvenile Delinquency Planning, Prevention,
and Rehabilitation (Planning and
Construction Only)
13.7J.6 Mental Retardation Community Facilities
' Construction
13.746 Vocational Rehabilitation Services —
Basic Support (Construction Only)
53.
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Department of Housing and Urban Development
Housing Production and Mortgage Credit/FHA
(Note: The following programs .are subject to the limitations
and procedures set forth in paragraph 7, Part I, of
the Circular.)
14.100 College Housing Debt Service
14.101 College Housing Direct Loans
14.103 Interest Reduction Payments - Rental and cooperative
Housing for Lower Income Families (236)
14.105 Interest Subsidy - Homes for Lower Income Families
(235(i))
14.112 Mortgage Insurance - Construction or Rehabilitation
of Condominium Projects (234(d))
14.115 Mortgage Insurance - Development of Sales Type Coop-
erative Projects (213)
14.117 Mortgage Insurance - Homes (203 (b))
14.118 Mortgage Insurance - Homes for Certified Veterans
(203 (b))
• ' ' !
14.119 Mortgage Insurance - Homes for Disaster Victims (203(h))
14.120 Mortgage Insurance - Homes for Low and Moderate Income
Families (221(d)(2))
14.121 Mortgage Insurance - Homes in Outlying Areas (203 (i))
14.122 Mortgage Insurance - Homes in Urban Renewal Areas
(220 homes)
14.124 Mortgage Insurance - Investor Sponsored Cooperative
Housing (213)
417-807 O - 71 - J
54,
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14.125 Mortgage Insurance - Land Development and New
Communities (Title X)
14.126 Mortgage Insurance - Management Type Cooperative
Projects (213)
14.127 Mortgage Insurance - Mobile Home Courts (207)
14.134 Mortgage Insurance - Rental Housing (207)
14.135 Mortgage Insurance - Rental Housing for Low and
Moderate Income Families (221(d)(4)
14.136 Mortgage Insurance - Rental Housing for Low and
Moderate Income Families - Below Market Interest
Rate (221(d)(3))
14.137 Mortgage Insurance - Rental Housing for Low and
Moderate Income Families, Market Interest Rate
(221(d)(3))
14.138 Mortgage Insurance - Rental Housing for the
Elderly (231)
14.139 Mortgage Insurance - Rental Housing in Urban
Renewal Areas (220)
14.146 Public Housing - Acquisition, Construction, Rehabili-
tation (New Construction Only)
14.149 Rent Supplements - Rental Housing for Low Income
Families
Metropolitan Planning and Development
14.200 Basic Water and Sewer Facilities — Grants
14.203 Comprehensive Planning Assistance
14.204 Historic Preservation Grants
14.207 New Communities — Loan Guarantees
55.
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14.208 New Communities — Supplementary Grants
14.209 Open Space Land Acquisition and Develop-
ment Grants
14.210 Public Facility Loans
14.214 Urban Systems Engineering Demonstration
Grants
Model Cities Administration
14.300 Model Cities Supplementary Grants
Renewal and Housing Management
14.602 Community Renewal Planning Grants
14.606 Neighborhood Development
14.609 Urban Renewal Projects
Department of the Interior
Bureau of Outdoor Recreation
15.400 Outdoor Recreation — Financial Assistance
14.401 Outdoor Recreation Planning — Financial
Assistance '
Bureau of Reclamation
15.501 Irrigation and Drainage Systems Loans
15.503 Small Reclamation Projects
56.
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Federal Water Pollution Control Administration
15.700 Construction Grants for Wastewater
Treatment Works I/
15.701 Water Pollution Control —Comprehensive
Basin Planning Grants JL/
15.707 Water Pollution Control — State and
Interstate Program Grants A/
National Park Service
15.904 Historic Preservation
Department of Justice.
Law Enforcement Assistance Administration
16.500 Law Enforcement Assistance — Comprehensive
Planning
16.501 Law Enforcement Assistance— Discretionary
Grants
16.502 Law Enforcement Assistance — Improving and
Strengthening Law Enforcement
Department of Labor
Manpower Administration
'17.205 Cooperative Area Manpower Planning System
These programs are administered by the new Environmental
Protection Agency for which there is as yet no separate
Catalog listing.
57.
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Department of Transportation
Federal Aviation Administration
20.102 Airport Development Aid Program
Federal Highway Administration
20.201 Forest Highways
20.204 Highway Beautification — Landscaping
and Scenic Enhancement
20.205 Highway Planning and Construction
20.206 Highway Planning and Research Studies
20.209 Public Lands Highways
20.211 Traffic Operations Program to Increase
Capacity and Safety (Construction Only)
Urban Mass Transportation Administration
20.500 Urban Mass Transportation Capital Improvement
Grants (Planning & Construction Only)
i
20.501 Urban Mass Transportation Capital Improvement
Loans (Planning & Construction Only)
20.505 Urban Mass Transportation Technical Studies
Grants (Planning and Construction Only)
Appalachian Regional Commission
23.003 Appalachian Development Highway System
23.004 Appalachian Health Demonstrations (planning and
construction only)
23.008 Appalachian Local Access Roads
58.
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23.010 Appalachian Mine Area Restoration
23.012 Appalachian Vocational Education Facilities
National Science Foundation
47o036 Intergovernmental Science Programs
Office of Economic Opportunity
49.002 Community Action Operations (excluding admini-
stration, research, training and technical
assistance, and evaluation)„
Water Resources Council
65.001 Water Resources Planning
59.
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EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 20503
OMB CIRCULAR NO. A-95 (REVISED)
WHAT IT IS — HOW IT WORKS
Revised Circular No. A-95, in addition to implementing (in part)
Title IV of the Intergovernmental Cooperation Act of 1968 and Section
204 of the Demonstration Cities and Metropolitan Development Act of
1966, assists in the implementation of Section 102(2)(C) of the
National Environmental Policy of 1969.
-• Title IV, among other things, directs the President to
"establish rules and regulations governing the formulation, evalua-
tion, and review of Federal programs and projects having a significant
impact on area and community development." The basic objectives of
this mandate center about the importance of sound and orderly develop-
ment of urban and rural areas on the economic and social development
of the Nation. Section 401(b) of the Act requires that "all view-
points -- national, State, regional, and local -- shall, to the extent
possible, be taken into account in planning Federal or federally as-
sisted development programs and projects." Section 401(c) states,
moreover, that "to the maximum extent possible, consistent with
national objectives, all Federal aid for development purposes shall
be consistent with and further the objectives of State, regional and
local planning."
-- Section 204 of the Demonstration Cities and Metropolitan
Development Act of 1966, requires that applications for Federal
assistance to a wide variety of public facilities type projects (high-
ways, hospitals, etc.).in metropolitan areas must be accompanied by
the comments of an areawide comprehensive planning agency as to the
relationship of the proposed project to the planned development of
the area.
— Section 102(2)(C) requires that Federal agencies prepare
statements evaluating the impact of any actions they may take that
significantly affect the environment. Such statements are submitted
to the Council on Environmental Quality. Provision is made for inputs
to these "environmental impact statements" by State and local govern-
mental environmental quality agencies.
The following paragraphs are aimed at clarifying the Regulations
promulgated by Circular No. A-95.
60.
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PART I: PROJECT NOTIFICATION AND REVIEW SYSTEM
The Project Notification and Review System (PNRS) may be thought
of as an "early warning system"^to facilitate coordination of State,
regional, and local planning and development assisted under various
Federal programs. Coordination is sought through review of applica-
tions for Federal assistance by State and metropolitan or regional
clearinghouses. There are State clearinghouses in all fifty States
(as well as in the District of Columbia and Puerto Rico). A network
of over 350 metropolitan and regional (nonmetropolitan) clearinghouses
covers nearly one-half of the Nation's counties which comprise approxi-
mately 85 per cent of the population.
The "early warning system" - project notifications. Under earlier
regulations implementing section 204 of the Demonstration Cities and
Metropolitan Development Act of 1966 the normal course of action for a
State or local agency applying for Federal assistance was to prepare the
application and submit it to the reviewing agency which had 60 days
in which to file comments. However, this approach not only added 60
days to the time necessary for applying for aid, it often did not
permit sufficient opportunity for effective coordination or constructive
change in the application pursuant to the review. In some metropolitan
areas, the areawide reviewing agency was able to persuade the applicant
to consult with it prior to completion of the application. Early con-
sultation permitted the review agency to assist the applicant in
developing the project so as to avoid conflict with plans and programs
of other jurisdictions.
It is this early consultation approach that the project notifica-
tion approach seeks to encourage.
A potential applicant (State or local agency, or other) for assist-
ance under a program covered by Part I is required, when he has decided
to apply for a grant, to notify both the State and, as appropriate, the
regional (nonmetropolitan) o_r metropolitan clearinghouse of his intent
to do so. The notification is to include a brief summary description
of the proposed project. The clearinghouses have 30 days in which to
indicate their interest and to arrange for consultation on the pro-
ject. If the clearinghouses notify the applicant that they have no
interest in or problems with the proposed project, the applicant has
fulfilled his. obligation and need consult no further with them before
completing and submitting the application to the Federal agency, un-
less the clearinghouse indicates an interest in reviewing the com-
pleted application.
If a clearinghouse indicates during the initial 30 day period a
wish to confer with the applicant, conferences are arranged. During
61 .
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this period and subsequently, the applicant will be preparing his
application. If conferences with the clearinghouse surface issues
or conflicts over the proposed project, the clearinghouse may assist
in the resolution of such problems. At any time problems are resolved,
the clearinghouse may "sign, off", concluding the review.
Thus, with the advice and assistance of the clearinghouses, by the
time the application is completed either (1) all issues (if any) will
have been resolved or (2) any remaining issues will be clearly iden-
tified. If necessary, a clearinghouse may have an additional 30 days
in which to file comments to accompany the application.
(Note: The PNRS under the revised Circular no longer distinguishes
between programs covered pursuant to Section 204 of the Demonstration
Cities and Metropolitan Development Act of 1966 and those added pursuant
to Title IV of the Intergovernmental Cooperation Act of 1968. All
clearinghouses have 30 days to consider a project description - i.e.,
the "project notification" - and, if necessary, 30 days to consider the
completed application (or a more complete description), prior to its
submission to the Federal agency. This is true of all applications
whether or not in a metropolitan area).
Notification: form and content. The amount and detail of infor-
mation provided at the project notification stage will - because of
the great diversity of programs covered - tend to be highly variable.
For some projects, the application may be developed quickly and easily.
In such cases, the application itself may serve as the-notification.
In such cases, of course, the clearinghouse will want to expedite
review as much as possible so as not to unnecessarily slow up the
application process. For other types of projects, many months may be
required to develop the application, and it may be that the informa-
tion that can be provided at the notification stage may be quite sparse
and sketchy. The important thing, however, is that the clearinghouse
is put on notice. If information is inadequate, it can be fed in as
it becomes available, but the clearinghouse may serve the applicant
best if it is informed at the earliest stage. This permits the clearing-
house to steer the applicant away from conflicts or towards opportunity
as he develops the specifics of the project for which he is seeking
Federal aid.
For some programs, Federal agencies have developed what are, in
effect, pre-appllcation forms that can also serve quite effectively
as proje.ct notifications. Standard Form 101 for water, sewer, and
waste' disposal assistance from HUD, USDA/FHA, FWQA and EDA is an
example, as is QEO Form 46 for community action projects and activi-
ties. Inasmuch as a number of clearinghouses have developed their
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own forms, OMB has told Federal agencies that Federal forms are to
be considered optional as project notification forms. However,
where these have to be filled out anyway by the applicant, a double
burden is put on him. Where this is the case, clearinghouses should
consider the effects of this added effort on the applicant. What is
important about the notification is the information that it carries,
not the form on which it is written.
While the primary purpose of the PNRS is to coordinate Federally
supported programs with State, areawide, and local plans and programs,
it should be remembered that the purpose of the Federal programs is to
help the applicant in the solution of a problem. Therefore, the PNRS
emphasis should be on helping the applicant to develop the best pos-
sible project to achieve his objectives in a manner that will not do
violence to the plans and programs of other jurisdictions and agencies.
Clearinghouse functions. There are three types of clearinghouses:
(1) State clearinghouse, a State agency with comprehensive plan-
ning capacity, designated by the Governor.
(2) Regional clearinghouse, a nonmetropolitan areawide agency
with general planning capability, designated by the Governor..
(3) Metropolitan clearinghouse, a metropolitan areawide agency
recognized as such as by the Office of Management and Budget for tht
purposes of section 204 of the Demonstration Cities and Metropolitan
Development Act of 1966.
The term, "clearinghouse" is meant to fully reflect the functions
of these agencies:
-- to identify the relationship of any project to Statewide or
areawide comprehensive plans,
— to identify the relationship of any project to the plans or
programs of particular State agencies or local governments.
While clearinghouses are expected to have comprehensive planning
capabilities or direct access to such capabilities in order to identify
the compatibility of proposed projects to Statewide or areawide plans,
the "clearinghouse" aspect is equally important. It can well happen
that a project which is not inconsistent with State or areawide com-
prehensive planning may be in conflict with the plans or programs of
a particular State or local agency.
Thus, when an applicant sends a notification to the State clearing-
house, the clearinghouse will not only examine the project from the
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standpoint of State comprehensive planning but will forward a copy
of the notification to any State agencies having plans or programs
that might be affected to ascertain their interest in participating
In any follow-up conferences with the applicant. The regional or
metropolitan clearinghouse to which the applicant also sends the
nitification will, similarly, contact specific local governments
and agencies which might be affected.
For example, community action or model cities agencies should
receive notifications of projects which could have an Impact on
the poor; or agencies responsible for environmental quality should
receive notifications of projects having an anticipated environ-
mental impact.
It should be noted that when comments of these other parties
are submitted through clearinghouses, the clearinghouses must trans-
mit those comments to the applicant, and they too must accompany the
application.
Relationships established with State and local agencies - in-
cluding quasi-governmental and private agencies - through conscientious
application of the "clearinghouse" aspect of the PURS can enhance the
status of the Individual clearinghouse as a focal point for planning
coordination. In addition the expert inputs of these agencies to the
review process represent a useful supplement to the clearinghouse's
own review resources and capabilities.
Applications from special purpose unite of government. One important
aspect of local government liaison function of the regional and metro-
politan clearinghouses is the implementation of section 402 of the
Intergovernmental Cooperation Act, which provides that:
"Where Federal law provides that both special-purpose
units of local government and units of general local govern-
ment are eligible to receive loans or grants-in-ald, heads of
of Federal departments and agencies shall, in the absence of
substantial reasons to the contrary, make such loans or grants-
in-aid to unit of general local government rather than to
special-purpose units of local government."
Thus, when an application is to come from a special-purpose unit
of government, it is a clearinghouse responsibility to assure that
the Federal agency is informed as to the intentions of the general-
purpose units within which the project Is located so that It can act
in compliance with section 402.
Inter-Clearinghouse relationships.
1. State/Metropolitan; While State and Metropolitan clearing-
houses may conduct reviews quite independently of each other, it is
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desirable that they establish cooperative arrangements for coor-
dinating their reviews. A well coordinated State-metropolitan (or
regional) review system will provide much better service to the
applicant. It can reduce duplication of effort by clearinghouses
as well as time spent by the applicant in conference and consulta-
tion. While it is possible that State and metropolitan clearing-
houses may disagree over the merits of a project, a coordinated
review is likely to produce a more consistent and thoroughgoing
project evaluation.
2. Metropolitan/regional; In some States a rather more com-
plex situation has risen which requires even closer coordination.
Some Governors have designated regional clearinghouses that overlap
or encompass metropolitan clearinghouse Jurisdictions. Thus, an
applicant may find himself in two clearinghouse Jurisdictions, nol:
knowing where his responsibilities lie.
OMB has urged clearinghouses to develop coordinative arrange-
ments, particularly to alleviate applicant confusion. While such
arrangements are being worked out, the OMB Clearinghouse Directory
may list overlapped counties (which include municipalities, and
other applicants therein) under both clearinghouse Jurisdictions.
This, 'however, still leaves the applicant with the burden of sending
notifications to both metropolitan and regional clearinghouses as
well as to the State clearinghouse. OMB has notified overlapping
clearinghouses that it will accept any arrangements agreed to by
major parties at interest, but it regards the problem as one for
State and local determination.
This problem is further exacerbated in the case of interstate
metropolitan areas where parts of the metropolitan clearinghouse
Jurisdiction may be included in regional clearinghouse areas in two
or more States. A possible solution is to have notifications from
within the metropolitan Jurisdiction sent only to the metropolitan
clearinghouse. It, in turn, would be required to pass on copies of
the notification to the appropriate regional clearinghouse. This
approach, of course, is equally possible in the case of intra-State
clearinghouse overlaps.
3. Adjacent clearinghouses. Because projects in one region or
metropolitan area may adversely affect an adjacent region ---airports,
pollution facilities, for example -- clearinghouses in adjacent areas
are required to establish coordinative arrangements to identify and
mitigate possible interarea conflicts.
Federal agency responsibilities under the PNRS. Federal agency respon-
sibilities under the PNRS are quite simple, and involve the following:
1. The Federal agency is responsible for informing potential
applicants that they are required to submit to appropriate State and
metropolitan clearinghouses notifications of intent to apply for
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assistance under the particular program. Applicants should be
told that no applications will be considered unless they have
gone through the process. Directories of clearinghouses are
supplied to Federal agencies by OMB. Contents of notifications
are described in paragraph 5, Part I of the Circular.
2. Any comments accompanying applications are to be utilized
by agency people in evaluating applications. A special case exists
where an application is from a special purpose unit of government.
If comments indicate a similar application is coming from the
general purpose unit of government within which the applicant is
located, preference will be given to the general purpose unit.
3. When any substantive action is taken on an application --
approval, return for amendment, rejection, etc. -- the Federal agency
must so inform the clearinghouses through which the application has
passed within 7 days after such action has been taken.
This latter responsibility is the most frequently overlooked among
Federal agency responsibilities, yet it is extremely important to the
clearinghouses. Most are comprehensive planning agencies and .feedback
information permits them to keep a running inventory of what develop-
ment is taking place - or is not likely to happen.
Federal agencies may use any means of transmitting such infor-
mation. Perhaps the simplest means is by copy of the letter that
informs the applicant of the action. For approvals, a copy of
Form 240 informing States of grant approvals under Circular No. A-98
may be used.
Environmental impact. Section 102(2)(C) of the National Environmental
Policy Act requires Federal agencies to submit to the Council on Environ-
mental Quality - on any action significantly affecting the environment
- an "environmental impact statement." While it is the Federal agency
that must submit the statement, many or most agencies administering
grant-in-aid programs will require the applicant to submit informa-
tion on such projects, on which environmental impact statements can
be based.
Section 102(2)(C) provides for an input to environmental impact
statements by State and local agencies which are authorized t
-------
or provide its own comments on the environmental impact of both Federal
and Federally-assisted projects, or undertake other related action in
assisting or facilitating State and local inputs into environmental
impact statements.
Program coverage under Part I. Attachment D of Circular No. A-95 lists
• by reference to the Catalog of Federal Domestic Assistance numberci
and titles - the programs under which applications for assistance are
subject to the requirements of Part I. These are mostly programs
assisting physical development, although a number of social or human
resource programs are covered as well.
In order to focus the review resources of clearinghouses on pro-
jects of areawide or interjurisdictional significance, provision is
made for exclusion of certain categories of projects under various
programs. Such exclusions would seed to meet certain criteria such
as lack of geographical identification (e.g., certain broadly based
research projects) or purely local input (e.g., a 1/2 acre tot-lot).,
Exclusions would be proposed by the Federal agency administering the
program and would need the concurrence of OMB in consultation with
appropriate public interest groups. Clearinghouses will be notified
of any exclusions. Beyond this, of course, any clearinghouse may choose
to further limit the scope of Its reviews. Local circumstance and
clearinghouse resources will Indicate the .feasibility of further limi-
tations.
Housing reviews. The revised Circular covers HUD housing assistance
and mortgage insurance programs for projects of certain minimum sizes:
in subdividions, 50 or more lots;
- In multi»family projects, 100 or more dwelling units; ,
- in mobile home courts, 100 or more units; and
- In college housing, accommodations for 200 or more students.
The review process under the PNRS is different for these projects. Under
HUD housing assistance procedures, a developer submits what is, in effect,
a preliminary application to a HUD area ©reinsuring office. The applica-
tion contains a description of the project, detailed enough for HUD to
evaluate it, but lacking detailed construction plans. Generally, the
evaluation is made quite rapidly, taking no more than a matter of
several weeks, and the developer is notified as to whether the project
appears approvable for mortgage insurance commitment or other support.
Even if FHA mortgage insurance is not going to be sought, some mort-
gage lenders will require a favorable FHA report before they will
make a construction loan.
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The A-95 review process for HUD housing programs will operate
with respect to this pre-application phase and consequently may
cover not only projects which will be insured or supported by HUD
but also some whose financing will be conventional.
The process will operate as follows: when the HUD area or in-
suring office receives a request for what is called a "feasibility
analysis", it will send copies to the appropriate State and metro
or regional clearinghouses. The clearinghouses will have 15 days
to submit comments on the relationship of the proposed project to
State or areawide plans and programs or on any questions of environ-
mental impact. Since HUD approvals require conformance to local
zoning and subdivision regulations, the locality normally would
already have been contacted by the prospective developer.
While the time span is very short for housing reviews, this
stage of the application process is the most critical for clearing-
house inputs. It is also extremely critical for the developer, and
to extend the review time for clearinghouse reviews in view of the
relatively short HUD processing time at this stage would be a dis-
service. Clearinghouses are urged to establish early liaison with
the appropriate HUD offices to acquaint themselves with the HUD
housing programs and procedures and to acquaint HUD officials with
clearinghouse missions and operations in order to maximize the ef-
fectiveness of housing reviews.
Because of local zoning and subdivision controls or local com-
prehensive plan requirements, clearinghouse Inputs may be minimal with
respect to many or most individual projects except those of major size
or strategic location. The primary value of notifications to clearing-
houses Is the intelligence they provide of emerging growth patterns
that will have to be considered in the areawide comprehensive planning
process.
A°95 and A-98 relationships. The substance of Circular No. A-98 was
originally Part III of Circular No. A-95. Circular No. A-98 promul-
gates a standard form (No. 240) for Federal agencies to use in reporting
the amount and purpose of grants-ln-aid made within each State as re-
quired by Section 201 of the Intergovernmental Cooperation Act of 1968.
This information is useful to State for budgetary planning and program-
ming. Many states, particularly where the State clearinghouse also
handles grant award information, have developed a computerized system
for handling this Information and have tied It to the PNRS under A-95.
The objective of the tie-in is to trace Federal grants from the initial
application to Federal funding. This permits the State to not only
know what grants have actually been made (A-98) but to anticipate
grants that may be made (A-95)8 giving additional perspectives for
State planning, programming and budgeting.
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Of course, the notice of grant awards under A-98 covers a sub-
stantially greater range of grant programs than does A-95. At the
present time, also, not all States have tried to integrate A-95 and
A-98 information, nor have metropolitan and regional clearinghouses
who do not receive A-98 information directly, although the States
are required to make it available to them.
PART II: DIRECT FEDERAL DEVELOPMENT
Part II requires that Federal agencies engaged in direct develop-
ment of Federal projects such as Federal civil works, military or
scientific installations, public buildings, etc., must consult with
State and local governments that might be affected by those project*).
Where projects are not in conformity with State, regional or local
plans the Federal agency will be required to justify any departures,.
The requirement applies not only to construction but to the acquisition,
use, and disposal of Federal real property.
In addition, in the preparation of environmental impact statements
pursuant to Section 102(2)(C) of the National Environmental Policy Act,
these Federal development agencies are required to seek the views and
comments of State and local environmental agencies. Regulations of
the Council on Environmental Quality Indicate the clearinghouses as
the appropriate channel through which to secure the required State
and local views and comments.
The clearinghouses designated pursuant to Part I of the Circular
provide the most effective vehicle available to Federal development
agencies to assure that all appropriate State and local agencies are
consulted on proposed projects. The clearinghouses are generally the
State, metropolitan, or regional comprehensive planning agencies; and
in conducting the PNRS reviews they have occasion to identify the
interests of all development agencies at State and local levels.
Thus, Federal agencies will generally need to touch base with clearing-
houses in any event. And while the nature of Federal development may
not always lend itself to the project notification and review system
per 86. the clearinghouses can greatly facilitate the consultation re-
quired under Part II of revised Circular No. A-95.
PART III: STATE PLANS
Numerous Federal assistance programs require, as a condition of
assistance, submission of State plans. These are highly variable in
nature and content. While some are plans in the normal sense - "What
do I want to do and how am I going to do it?" -- others only indicate
the basic administrative apparatus through which the program will be
carried out. However, associated documentation required to be pre-
pared or submitted on a periodic basis will generally provide Informa-
tion as to the specific activities for which program funds will be
spent, even though this information does not appear In the "plan" itself.
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Part III requires that Governors be given an opportunity to
review such plans or associated documents indicating proposed pro-
gran activities. This will permit the Governor to relate development
strategies among the various Federally supported State programs to
each other and to any overall strategies developed through the State
comprehensive planning process.
PART IV: COORDINATION OF PLANNING AND DEVELOPMENT IN MULTIJURIS-
DICTIONAL AREAS
Part IV of the Regulations was developed to offset a growing
tendency among Federal programs to promote the establishment of regional
planning activities that were uncoordinated, geographically or.func-
tionally. In nonmetropolitan areas this has meant a serious drain on
already limited planning resources. In metropolitan areas it has in-
tensified confusion and general duplication of effort.
Part IV of the Regulations is closely related to Part I. By en-
couraging the States to develop systems of sub-State planning areas,
it sets the stage for a more complete geographic coverage of the
Project Notification and Review System. Similarly, the PNRS by re-
quiring „clearinghouse review of projected planning and development
activities under various Federal programs, sets the stage for the more
systematic and continuing planning coordination envisioned under Part IV.
While the most obvious aspect of Part IV is its emphasis on con-
forming the boundaries of Federally sponsored planning and development
districts with each other and State-established districts, an equally
significant requirement (paragraph 3) of Part IV is often overlooked.
This is the requirement that applicants for Federal assistance to ac-
tivities planned on a multijurisdictional basis coordinate their plan-
ning with planning for related programs in the area. This would in-
volve identifying related planning activities and organizations and
demonstrating what coordinative arrangements have been or are being
established,
i
t
Paragraph 3 of Part IV provides in effect, an operational defini-
tion of planning coordination and identifies -- but does not prescribe
— various coordinative techniques such as the establishment of umbrella
organizations under which various organizations could be coordinated
operationally and policy-wise while maintaining their own identities,
If that is necessary. Metropolitan and regional clearinghouses cduld
lend themselves well to this role in many cases.
Coordinative devices that can prevent overlap and duplication of
planning include arrangements for Joint staffing and facilities, coop-
erative research and data gathering, and utilization of common and
70.
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consistent statistics, projections, and assumptions about the area
and its future. The latter is extremely important, both in terms
of resource savings and in eliminating one of the most basic sources
of plan conflicts.
The achievement of these coordinative arrangements, then, is a
necessary concomitant effort with conforming boundaries; for a
common territorial base by Itself does not assure coordination.
There must be contact, communication, and cooperation between organi-
zations planning for various aspects of area development for that to
occur.
SUMMARY
OMB Circular No. A-9S is fundamentally an effort to create a.
climate where intergovernmental cooperation can take root and flourish.
It does this by creating opportunities for contact and communication
within and between the several levels of government. This contact and
communication is a necessary precondition for coordination.
In order to take full advantage of those opportunities, it is im-
portant that the various actors have an appreciation of the require-
ments a£ opportunities, rather than as administrative obstacles.
-- The applicant should recognize the opportunity to develop a
better project through avoidance of conflict and the discovery of
means for getting "more bang for the buck" out of Its investment.
-- The Federal agency should recognize the opportunity for in-
creasing program effectiveness through the same means and through
applicant awareness of the need for sound planning and coordination.
-- The clearinghouses should recognize the opportunities for pro-
viding real service to applicants which will enhance their credibility
and status as a constructive force in the area or in the management of
the State government.
In sum, the Regulations promulgated under Bureau of the Budget
Circular No. A-95 are aimed at promoting more effective coordination
of planning and development activities carried on or assisted by the
Federal Government. The major device of the Regulation is encourage-
ment of systematic communications between the Federal Government and
State and local governments carrying out related planning and develop-
ment activities. Used Judiciously by State and local governments and
regional bodies, the processes set forth in the Regulations can result
in more expeditious, more effective, and more economical development.
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EXHIBIT 1
PROJECT NOTIFICATION AND REVIEW SYSTEM
The following outlines the process of the "Project Notification
System" developed to Implement, in part, Title IV of the Inter-
governmental Cooperation Act.
STEP 1, Potential applicant desiring Federal assistance
makes Inquiries of Federal agency.
STEP 2. Federal agency informs applicant that, among other
things, it must notify both State and regional (or
metropolitan) clearinghouses about the project for
which it intends to apply for assistance.
STEP 3« Applicant notifies clearinghouses.
STEP 4a. State clearinghouse notifies State agencies which
might have programs affected by proposed project,
including where appropriate, environmental agencies.
b. Regional or metropolitan clearinghouse notifies local
government agencies whose interests might be affected
by the proposed project, including where appropriate,
local and regional environmental agencies,
STEP 5, State agencies or local governments inform clearinghouse
of interest, if any.
STEP 6. Clearinghouse arranges conference with applicant within
30 days of notification pursuant to its own or other
State or local interest.
STEP 7. Conferences are held to:
a. Explore project in greater detail.
b. Identify possible conflicts or mutuality of
interest.
STEP 8. If continuing Interest, applicant and clearinghouses
(with any State or local interest), cooperate in devel-
oping application to:
t. Resolve conflicts
b. Strengthen project
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STEP 9. If conflicts are not resolved, clearinghouse
notifies applicant that it will have comments
to accompany the application. (Note: Con-
flicts may arise as between clearinghouses or
particular State agencies or local governments
as to the merit of a project, so such comments
may be variably supportive or critical.)
STEP 10. Applicant submits application (or adequate project
description) to clearinghouse^) for comment, pro-
viding 30 daya therefor.
STEP 11. Clearinghouse^) submits any formal comments of its
own or of particular State agencies or local govern-
ments to applicant.
STEP 12. Applicant submits application to Federal agency,
including comments, if any;.or, if none, a statement
that requirement has been followed.
STEP 13. Federal agency considers application and.comments
and informs clearinghouses of action taken thereon.
It is possible for the process to come to a satisfactory conclusion
at the completion of Steps 5, 7, or 8 as well as, of course, Step 13.
At either of the earlier Steps, clearinghouses can inform applicant
of general satisfaction with the project and that they will have no
(or supportive) comment. In such case, the applicant completes the
application and submits it to the Federal agency with a statement
that the requirement has been followed (or with any supportive comnent).
Step 13 - Information to clearinghouses on .action taken on the
application by the Federal agency is. of course, always required.
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CLEAN AIR ACT
Section 118
§ 1857f. Control and abatement of air pollution from Federal
facilities: compliance of Federal departments, etc., with Federal,
State, interstate, and local requirements; exemption by President
of any emission source from any executive branch department,
etc.; report to Congress
Each department, agency, and instrumentality of the executive,
legislative, and judicial branches of the Federal Government (1)
having jurisdiction over any property or facility, or (2) engaged
in any activity resulting, or which may result, in the discharge of
air pollutants, shall comply with Federal, State, interstate, and
local requirements respecting control and abatement of air pollu-
tion to the same extent that any person is subject to such require-
ments. The President may exempt any emission source of any
department, agency, or instrumentality in the executive branch
from compliance with such a requirement if he determines it to be
in the paramount interest of the United States to do so, except
that no exemption may be granted from section 1857c—6 of this
title, and an exemption from section 1857c—7 of this title may be
granted only in accordance with 1857c—7(c) of this title. No
such exemption shall be granted due to lack of appropriation un-
less the President .shall have specifically requested such appropria-
tion as a part of the budgetary process and the Congress shall
have failed to make available such requested appropriation. Any
exemption shall be for a period not in excess of one year, but
additional exemptions may be granted for periods of not to exceed
one year upon_the President's making a new determination. The
President shall report each January to the Congress all exemp-
tions from the requirements of this section granted during the
preceding calendar year, together with his reason for granting
tech such exemption.
July 14,1955, c. 360, Title I, § 118, formerly § 7, as added Dec. 17,
1963, Pub.L. 88-206, § 1, 77 Stat. 399, renumbered § 107, Oct. 20,
1965, Pub.L. 89-272, Title I, § 101(3), 79 Stat. 992, renumbered
§ 111, and amended Nov. 21,1967, Pub. L. 90-148, § 2, 81 Stat. 499,
renumbered § 118, and amended Dec. 31,1970, Pub.L, 91-604 §§
4(a), 5, 84 Stat. 1678,1689.
74.
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EXECUTIVE ORDER NO. 11507
Feb. 4,1970, 35 Fed. Reg. 2573
PREVENTION, CONTROL, AND ABATEMENT OF AIR AND WATER POL-
LUTION AT FEDERAL FACILITIES
By virtue of the authority vested in me as President of the
United States and in furtherance of the purpose and policy of the
Clean Air Act, as amended (42 U.S.C. 1857) [section 1857 et seq.
of this title], the Federal Water Pollution Control Act, as
amended (33 U.S.C. 466) [section 466 et seq. of Title 33, Naviga-
tion and Navigable Waters], and the National Environmental Pol-
icy Act of 1969 (Public Law No. 91-190, approved January 1,
1970) [this chapter], it is ordered as follows:
Section 1. Policy. It is the intent of this order that the Federal
Government in the design, operation, and maintenance of its facil-
ities shall provide leadership in the nationwide effort to protect
and enhance the quality of our air and water resources.
Sec. 2. Definitions. As used in this order:
(a) The term "respective Secretary" shall mean the Secretary
of Health, Education, and Welfare in matters pertaining to air
pollution control and the Secretary of the Interior in matters
pertaining to water pollution control.
(b) The term "agencies" shall mean the departments, agencies,
and establishments of the executive branch.
(c) The term "facilities" shall mean the buildings, installations,
structures, public works, equipment, aircraft, vessels, and other
vehicles and property, owned by or constructed or manufactured
for the purpose of leasing to the Federal Government.
(d) The term "air and water quality standards" shall mean
respectively the quality standards and related plans of implemen-
tation, including emission standards, adopted pursuant to the
Clean Air Act, as amended, and the Federal Water Pollution Con-
trol Act, as amended, or as prescribed pursuant to section 4 (b) of
this order.
(e) The term "performance specifications" shall mean permissi-
ble limits of emissions, discharges, or other values applicable to a
particular Federal facility that would, as a minimum, provide for
conformance with air and water quality standards as defined
herein.
(f) The term "United States" shall mean the fifty States, the
District of Columbia, the Commonwealth of Puerto Rico, the Vir-
gin Islands, and Guam.
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SOLID WASTE DISPOSAL ACT
Section 211(a)
§ 3254e, Applicability of solid waste disposal guideline* t»
Executive agendas
(a) (1) If-
(A) an Executive agency (as defined in section 105 of
Title 5) has jurisdiction over any real property or facility
the operation or administration of which involves such agency
in solid waste disposal activities, or
(B) such an agency enters into a contract with any per-
son for the operation by such person of any Federal prop-
erty or facility, and the performance of such contract in-
volves such person in solid waste disposal activities,
then such agency shall insure compliance with the guidelines rec-
ommended under section 3254c of this title and the purposes of
this chapter in the operation or administration of such property
or facility, or the performance of such contract, as the case
may be.
(2) Each Executive agency which conducts any activity—
(A) which generates solid waste, and
(B) which, if conducted by a person other than such
agency, would require a permit or license from such agency
in order to dispose of such solid waste,
shall insure compliance with such guidelines and the purposes of
this chapter in conducting such activity.
(8) Each Executive agency which permits the use of Federal
property for purposes of disposal of solid waste shall insure com-
pliance with such guidelines and the purposes of this chapter in
the disposal of such waste.
(4) The President shall prescribe regulations to carry out this
subsection.
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EXECUTIVE ORDER N0.11507
Feb. 4,1970, 35 Fed. Reg. 2573
PREVENTION, CONTROL, AND ABATEMENT OF AIR AND WATER POL-
LUTION AT FEDERAL FACILITIES
By virtue of the authority vested in me as President of the
United States and in furtherance of the purpose and policy of the
Clean Air Act, as amended (42 U.S.C. 1857) [section 1857 et seq.
of this title], the Federal Water Pollution Control Act, as
amended (33 U.S.C. 466) [section 466 et seq. of Title 33, Naviga-
tion and Navigable Waters], and the National Environmental Pol-
icy Act of 1969 (Public Law No. 91-190, approved January 1,
1970) [this chapter], it is ordered as follows:
Section 1. Policy. It is the intent of this order that the Federal
Government in the design, opsration, and maintenance of its facil-
ities shall provide leadership in the nationwide effort to protect
and enhance the quality of our air and water resources.
Sec. 2. Definitions. As used in this order:
(a) The term "respective Secretary" shall mean the Secretary
of Health, Education, and Welfare in matters pertaining to air
pollution control and the Secretary of the Interior in matters
pertaining to water pollution control.
(b) The term "agencies" shall mean the departments, agencies,
and establishments of the executive branch.
(c) The term "facilities" shall mean the buildings, installations,
structures, public works, equipment, aircraft, vessels, and other
vehicles and property, owned by or constructed or manufactured
for the purpose of leasing to the Federal Government.
(d) The term "air and water quality standards" shall mean
respectively the quality standards and related plans of implemen-
tation, including emission standards, adopted pursuant to the
Clean Air Act, as amended, and the Federal Water Pollution Con-
trol Act, as amended, or as prescribed pursuant to section 4 (b) of
this order.
(e) The term "performance specifications" shall mean permissi-
ble limits of emissions, discharges, or other values applicable to a
particular Federal facility that would, as a minimum, provide for
conformance with air and water quality standards as denned
herein.
(f) The term "United States" shall mean the fifty States, the
District of Columbia, the Commonwealth of Puerto Rico, the Vir-
gin Islands, and Guam.
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Sec. 3. Responsibilities, (a) Heads of agencies shall, with regard
to all facilities under their jurisdiction:
(1) Maintain review and surveillance to ensure that the stand-
ards set forth in section 4 of this order are met on a continuing
basis.
(2) Direct particular attention to identifying potential air and
water quality problems associated with the use and production of
new materials and make provisions for their prevention and con-
trol.
(3) Consult with the respective Secretary concerning the best
techniques and methods available for the protection and enhance-
ment of air and water quality.
(4) Develop and publish procedures, within six months of the
date of this order, to ensure that the facilities under their jurisdic-
tion are in conformity with this order. In the preparation of such
procedures there shall be timely and appropriate consultation with
the respective Secretary.
(to) The respective Secretary shall provide leadership in imple-
menting this order, including the provision of technical advice and
assistance to the heads of agencies in connection with their duties
and responsibilities under this order.
(c) The Council on Environmental Quality shall maintain con-
tinuing review of the implementation of this order and shall, from
time to time, report to the President thereon.
Sec. 4. Standards, (a) Heads of agencies shall ensure that all
facilities under their jurisdiction are designed, operated, and
maintained so as to meet the following requirements:
(1) Facilities shall conform to air and water quality standards
as defined in section 2(d) of this order. In those cases where no
such air or water quality standards are in force for a particular
geographical area, Federal facilities in that area shall conform to
the standards established pursuant to subsection (b) of this sec-
tion. Federal facilities shall also conform to the performance spec-
ifications provided for in this order.
(2) Actions shall te taken to avoid or minimize wastes created
through the complete cycle of operations of each facility.
(3) The use of municipal or regional waste collection or dis-
posal systems shall be the preferred method of disposal of wastes
from Federal facilities. Whenever use of such a system is not
feasible or appropriate, the heads of agencies concerned shall take
necessary measures for the satisfactory disposal of such wastes,
including:
(A) When appropriate, the installation and operation of their
78.
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own waste treatment and disposal facilities in a manner consistent
with this section.
'B) The provision of trained manpower, laboratory and other
supporting facilities as appropriate to meet the requirements of
this section.
(C) The establishment of requirements that operators of Fed-
eral pollution control facilities meet levels of proficiency consistent
with the operator certification requirements of the State in which
the facility is located. In the absence of such State-requirements
the respective Secretary may issue guidelines, pertaining to opera-
tor qualifications and performance, for the use of heads of agen-
cies.
(4) The use, storage, and handling of all materials, including
but not limited to, solid fuels, ashes, petroleum products, and other
chemical and biological agents, shall be carried out so as to avoid
or minimize the possibilities for water and air pollution. When
appropriate, preventive measure shall be taken to entrap spillage
or discharge or otherwise to prevent accidental pollution. Each
agency, in consultation with the respective Secretary, shall estab-
lish appropriate emergency plans and procedures for dealing with
accidental pollution.
(5) No waste shall be disposed of or discharged in such a
manner as could result in the pollution of ground water which
would endanger the health or welfare of the public..
|[6) Discharges of radioactivity shall be in accordance with the
applicable rules, regulations, or requirements of the Atomic
Energy Commission and with the policies and guidance of the
Pederal Radiation Council as published in the FEDERAL
REGISTER. ,.-.....
(b) In those cases where there are no air or water quality
standards as defined in section 2(d) of this order in force for a
particular geographic area or in those cases where more stringent
requirements are deemed advisable for Federal facilities, the
respective Secretary, in consultation with appropriate Federal,
State, interstate, and local agencies, may issue regulations estab-
lishing air or water quality standards for the purpose of this
order, including related schedules for implementation.
(c) The heads of agencies, in consultation with the respective
Secretary, may from time to time identify facilities or uses
thereof which are to be exempted, including temporary relief,
from provisions of this order in the interest of national security or
in extraordinary cases where it is in the national interest. Such
exemptions shall be reviewed periodically by the respective Secre-
tary and the heads of the agencies concerned. A report on exemp-
79.
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tions granted shall be submitted to the Council on Environmental
Quality periodically.
y"
Sec. 5. Procedures for abatement of air and water pollution at
existing Federal facilities, (a) Actions necessary to meet the re-
quirements of subsections (a) (1) and (b) of section 4 of this
order pertaining to air and water pollution at existing facilities
are to be completed or under way no later than December 31,1972.
In cases where an enforcement conference called pursuant to law
or air and water quality standards require earlier actions, the
earlier date shall be applicable.
(b) In order to ensure full compliance with the requirements of
section 5 (a) and to facilitate budgeting for necessary corrective
and preventive measures, heads of agencies shall present to the
Director of the Bureau of the Budget by June 30, 1970, a plan to
provide for such improvements as may be necessary to -meet the
required date. Subsequent revisions needed to keep any such plan
Up-to-date shall be promptly submitted to the Director of the Bu-
reau of the Budget.
(c) Heads of agencies shall notify the respective Secretary as to
the performance specifications proposed for each facility to meet
the requirements of subsections 4 (a) (1) and (b) of this order.
Where the respective Secretary finds that such performance speci-
fications are not adequate to meet such requirements, he shall
consult with the agency head and the latter shall thereupon de-
velop adequate performance specifications.
(d) As may be found necessary, heads of agencies may submit
requests to the Director of the Bureau of the Budget for exten-
sions of time for a project beyond the time specified in section
5(a). The Director, in consultation with the respective Secretary,
may approve such requests if the Director deems that such project
is not technically feasible or immediately necessary to meet the
requirements of subsections 4(a) and (b). Full iusffiration as to
the extraordinary circumstances necessitating any such extension
shall be required.
(e) Heads of agencies shall not use for an" other numose anv
of the amounts appropriated and apportioned for correct've and
"preventive measures necessary to meet t^e reouirements of
"subsection (a) for the fiscal year ending June 30, 1971, and for
any subsequent fiscal year.
Sec. 6. Procedures for new Federal facilities, (a) Heads of agen-
cies shall ensure that the requirements of section 4 of this order
are considered at the earliest possible stage of planning for new
facilities.
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(b) A request for funds to defray the cost of designing and
constructing new facilities in the United 'States shall be included
in the annual budget estimates of an agency only if such request
includes funds to defray the costs of such measures as may be
necessary to assure that the new facility will meet the require-
ments of section 4 of this order.
(c) Heads of agencies shall notify the respective Secretary as to
the performance specifications proposed 'for each facility when
action is necessary to meet the requirements of subsections 4 (a)
(1) and (b) cf this order. Where the respective Secretary finds
that such performance specifications are not adequate to meet such
requirements he shall consult with the agency head and the latter
shall thereupon develop adequate performance specifications.
(d) Heads of agencies shall give due consideration to the qual-
ity of air and water resources when facilities are constructed or
'operated outside the United States.
Sec. 7. Procedures for Federal water resources projects, (a) All
water resources projects of the Departments of Agriculture, the
• Interior, and the Army, the Tennessee Valley Authority, and thfe
United States Section of the International Boundary and Water
"Commission shall be consistent with the requirements of section 4
of this order. In addition, all such projects shall be presented for
the consideration of the Secretary of the Interior at the earliest
feasible stage if they involve proposals or recommendations with
respect to the authorization or construction of any Federal water
'resources project in the United States. The Secretary of the Inte-
•rior shall review plans and supporting data for all such projects
•relating to water quality, and shall prepare a report to the head of
the responsible agency describing the potential impact of the pro-
ject on water quality, including recommendations concerning any
changes or other measures with respect thereto which h£ considers
to be necessary in connection with the design, construction, and
operation of the project.
(b) The report of the Secretary of the Interior shall accompany
at the earliest practicable stage any report proposing authoriza-
tion or construction, or a request for funding, of such a water
resource project. In any case in which the Secretary of the Inte-
rior fails to submit a report within 90 days after receipt of project
plans, the head of the agency concerned may propose authoriza-
tion, construction, or funding of the project without such an ac-
companying report. In such a case, the head of the agency con-
cerned shall explicitly state in his request or report concerning the
81.
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project that the Secretary of the Interior has not reported on the
potential impact of the project on water quality.
Sec. 8. Saving provisions. Except to the extent that they are
inconsistent with this order, all outstanding rules, regulations,
orders, delegations, or other forms of administrative action issued,
made, or otherwise taken under the orders superseded by section 9
hereof or relating to the subject of this order shall remain in full
force and effect until amended, modified, or terminated by proper
authority. ^^
Sec. 9. Orders superseded. Executive Order No. 11282 of May
26, 1966, and Executive Order No. 11288 of July 2, 1966, are
hereby superseded.
RICHARD NIXON
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EXECUTIVE OFFICE OF THE PRESIDENT
BUREAU OF THE BUDGET
WASHINGTON. O.C. ZOS03
May 18, 1970 CIRCULAR NO. A-78
; Revised
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Reporting requirements in connection with the prevention,
control, and abatement of air pollution at existing
Federal facilities
1. Purpose. This Circular provides procedures to be followed by Federal
agencies in carrying out the air pollution control provisions of sec-
tion 5, pertaining to existing Federal facilities, and related aspects
of Executive Order No. 11507 of February 4, 1970, entitled "Preventions,
Control, and Abatement of Air and Water Pollution at Federal Facilities„"
hereinafter referred to as the Order. This Circular supersedes and
replaces Bureau of the Budget Circular No. A-78 dated August 6, 1966.
2» Definitions. As used in this Circular:
a. The term "Secretary" means the Secretary of Health, Education,
and Welfare, or his designee.
b. The term "agencies" means the departments, agencies, and estab-
lishments of the executive branch.
c. The term "facilities" means the buildings, installations,
structures, public works, equipment, aircraft, vessels, and other vehi-
cles and property, owned by or constructed or manufactured for the pur~
pose of leasing to the Federal Government in the United States.
d. The term "air quality standards" means the air quality standards
and related plans of implementation, including emission standards,
adopted pursuant to the Clean Air Act, as amended (42 U.S.Co 1857).
e. The term "performance specifications" means permissible limits
of emissions, discharges, or other values applicable to a particular
Federal facility that would, as a minimum, provide for conformance with
the air quality standards or other applicable standards.
f. Unless otherwise indicated, the term "cost" means the amount
(budget authority) required for putting in place the necessary air pollu-
tion control measures. These coats include the capital costs of struc-
tures and equipment, irrespective of the appropriation chargeable, but
not the annual maintenance and operating costs.
g. The term "United States" means the fifty States, the District
83.
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of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, and
Guam.
h. The term "other vehicles" means any self-propelled vehicles
designed for transporting persons or property on a street or highway.
3. Agency responsibilities. Pursuant to their responsibilities under
the Order, Federal agencies should:
a. Seek the assistance of the Secretary at the earliest feasible
time when necessary to determine the standards applicable to particular
facilities and the appropriate implementation schedules' specified by the
Order.
b. Provide the Secretary with such data and information as he may
need to evaluate the air pollution control aspects of proposals sub-
mitted pursuant to this Circular, the implementation of these plans,
and existing and potential air pollution control problems.
c. Cooperate with State and local pollution control agencies and
with other Federal agencies in the evaluation of their pollution con-
trol needs and, if appropriate, in the provision or installation of
joint or regional pollution control measures.
4« Communications with the .Secretary.* Corauamic«tions with the Secretary
in connection with this Circular should be directed to the National Air
Pollution Control Administration, attention: Federal Facilities Branch,
Parklawn Building, Rockville, Maryland 20852.
5. Applicable standards
a. All Federal facilities are required by the Order to conform to:
(1) Air quality standards and related implementation piano
adopted pursuant to the Clean Air Act (section 4(f.) of the Order), or
(2) New standards which may be promulgated by the Secretary
(section ;4(b) of the Order), or
i
(3) Regulations previously promulgated by the Secretary pursuant
to Executive Order No. 11232 published in 42 CFR 76. Section 8 of Executive
Order No. 11507 continues these existing regulations in effect until amended
or terminated. These regulations specify emission limitations for particular
pollutants and require in certain instances that Federal facilities conform
with State or local standards. Thase regulations are contained in Attach-
ment B and are provided for the convenience of the agencies.
b. For the purpose of the June 30, 1970, report required by para-
graph 6 of this Circular, the standards to be considered to be in effect
for Federal facilities are those promulgated by the Secretary under
Executive Order No. 11282 (paragraph 5a(3) above). As implementation
plans for a particular region are developed by the States and are
84.
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approved by the Secretary, they will be assumed to supersede requirements
previously promulgated by the Secretary for Federal facilities in that
region unless the Secretary hereafter prescribes more stringent require-
ments for such Federal facilities. Upon approval of these implementation
plans or the promulgation of standards pursuant to section 4(b) of the
Order, if "costs" as defined in paragraph 2(f) of this Circular must be
incurred to bring an agency's facilities into conformity with these re-
quirements, the agency should amend the plan required by this Circular
to provide at the earliest feasible date for the correction of these
facilities.
c. As a general rule, mobile facilities such as aircraft, vessels,
and other vehicles including automobiles will be subject to standards
which may be issued by the Secretary pursuant to section 4(b) of the
Order. In certain cases mobile facilities may be subject to air quality
standards adopted by the States and approved by the Secretary.
d. Since air pollution standards for many pollutants are still in
the development stage, agencies may have some difficulty in determining
the pollution control measures appropriate for a particular facility.
Agencies should therefore take into account such factors as: the best
practical technology available; the need, if any, for excess pollution
control capacity; the possible need to control other pollutants at the
same facility in the future; the various alternative methods of control
including process changes; and the relative costs of these alternatives,
based on the use of adequate standard accounting techniques.
6. Agency plan-general provisions
a. Requirement. The fiscal plan for improvements at existing
facilities required previously by Circular No. A-78 will be updated and
submitted by June 30, 1970, and thereafter as prescribed herein. This
updated agency plan will provide for compliance by existing facilities
with the applicable standards and the deadlines specified by the Order.
Agencies which did not submit a report previously but which have facili-
ties requiring correction under the Order should submit a plan in the
format shown in Exhibits 1 and 2.
b. Coverage. The agency plan should include all projects involving
"costs," as defined in paragraph 2(f) of this Circular, which are neces-
sary to bring existing facilities into compliance with applicable stan-
dards. The agency plan should also include all completed or discontinued
projects listed in earlier plans.
c. General jformat. The information required for the agency plan
will be submitted in the form of Exhibits 1 and 2. Pertinent details
for each individual project are given on Exhibit 1. Exhibit 2 is a
summary and status report of the agency plan for air pollution abate-
ment at existing facilities. Exhibit 2 is to be on legal size paper
measuring 13 or 14 inches in the longest dimension. Reports may be
submitted in the form of computer printouts only upon specific approval
of the Bureau of the Budget.
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d- Preparation and submission of Exhibits. Specific details for the
preparation and submission of Exhibits 1 and 2 are given in Attachment A.
In general, a complete set of Exhibits is due by June 30. 1970. There-
after, Exhibit 2 is to be updated and submitted quarterly, and Exhibit 1
is to be submitted only for new projects or for major revisions of prior
submissions. For each submission, three copies are to-be sent to the
Bureau of the Budget and two copies are to be sent to the Secretary.
e. Project numbers. Agencies will assign consecutive numbers,
beginning with "1," to all air pollution control projects, including
those in the plan submitted on July 1, 1967, and in subsequent revi-
sions of the plan. Project numbers are for permanent 'identification
and may not be reassigned to new projects.
f. Phasing of..projects. Insofar as possible, all projects that
were not included in the FY 1971 budget or funded In prior years should
be prepared for possible inclusion in the FY 1972 budget. Any remaining
or new projects necessary to meet these standards should be made ready
for possible inclusion in the FY 1973 budget.
7. Type of facilities covered.
a. Facilities which have not been constructed, manufactured, or
contracted for, but for which design or other work predating the Order
has advanced to a stage at which it would be impractical to carry out
the provisions of section 6 of the Order ("Procedures for new Federal
facilities"), may be considered the same as "existing facilities" for
the purposes of this Circular.
b. The Order and this Circular cover facilities which are constructed
or manufactured for lease to the Federal Government, as well as those
which are owned by the Federal Government. "Lease-construction" is an
example of a type of facility covered under this provision, but facili-
ties used under ordinary leases are not covered. Lease-construction
facilities should be conspicuously identified on Exhibits 1 and 2.
Exhibit 1 should include a brief discussion of the lease arrangements
that would affect the possibility and practicality of installing abate-
ment measures for such facilities.
8. Report on additional abatement activities. Each June 30, agencies
will report actions (accomplished or planned) which do not entail "costs"
as defined in section 2(f) of .this Circular but which do involve signifi-
cant efforts to comply with section 5(a) of the Order. Agencies should
indicate the type of actions taken (e.g., purchase of fuel with no more
than 1% sulfur content for all facilities In certain cities), the approxi-
mate incremental costs, and whether or not such costs are recurring. The
report will be prepared in the format shown in Exhibit 3.
No special budgeting procedures will be required to implement these
actions. However, this Exhibit, when combined with Exhibits 1 and 2,
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should present a comprehensive view of the agency's actions to comply
with section 5(a) of the Order.
9. Extensions of time. Requests for delaying required remedial measures
beyond the dates specified by section 5(a) of the Order should be trans-
mitted to the Bureau of the Budget no later than June 30, 1970, unless
compelling circumstances would require such action at a later date. Such
requests should be separate from the information provided on the Exhibits
submitted for the agency plan. The agency should also submit an Exhibit 1
in such instances indicating the proposed plan for installing remedial
measures and the justifying circumstances for the delay as required by
section 5(d) of the Order. •
10. Review. The Secretary will assist in evaluating the air pollution
control aspects of projects submitted under this Circular. He will pro-
vide periodic appraisals of the operation and performance of such mea-
sures, as well as of other Government-related air pollution control needs
and related costs.
11. Similarity to Circular No. A-81 (water pollution). This Circular
and Attachment A are very similar or identical to Circular No. A-81
dated May 1970 (water pollution) except paragraphs 2(h), 5, 6(d), and
8 of the Circular and l(a)l, l(d), 2(h), and 2(1) of Attachment A.
Exhibit 2 is identical to Exhibit 2 of Circular No. A-81, but Exhibits 1
and 3 are tailored to fit the informational needs of the' air pollution
program. Submission requirements for Exhibits 1 and 2 are Identical for
both Circulars.
12. Inquiries. Questions regarding the implementation of this Circular
should be addressed to the Human Resources Programs Division, Bureau oic
the Budget, Washington, D.C., 20503.
ROBERT P. MAYO
Director
Attachments
87.
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ATTACHMENT A
Circular No. A-78
Revised
INSTRUCTIONS FOR THE PREPARATION
AND SUBMISSION OF EXHIBITS
1. Exhibit 1. "Proposed Project Report"
a. An Exhibit 1 will be submitted by June 30, 1970, for each pollution
control project included in the agency plan, with the {following exceptions:
(1) Only one Exhibit 1 need be submitted for each group of mobile
facilities (e.g., aircraft, automobiles, ships) where these facilities
have similar air pollution problems and where similar pollution control
measures are appropriate. .
(2) In those cases where the agency has already submitted an
Exhibit A for a particular project under the previous edition of this
Circular and funds have already been appropriated by Congress or are
expected to be appropriated for FY 1971, and there is no indication that
additional funds will be needed for completion of the project, the agency
may resubmit the previous Exhibit A in lieu of a new Exhibit 1 for that
project, provided that the project numbers are indicated on the Exhibit A1a.
(3) In those cases where an agency has a large number; of projects
and revision of its Exhibit A's before June 30, 1970, would be; an undue
hardship, application may be made to the Bureau of the Budget ,for an
extension of time for such revision. In such cases, the previous
Exhibit A's would be submitted in lieu of new Exhibit 1's on June 30, 1970,
with the appropriate project numbers indicated on the previous Exhibit A's.
b. After June 30, 1970, Exhibit 1 will be required only for new
pollution control projects or to indicate a major change in the informa-
tion provided on a previous Exhibit. These revised or new Exhibit 1's
will be, submitted quarterly. As a general rule, projects which an agency
plans tp undertake in a particular fiscal year must be submitted on an
Exhibit 1 no later than 12 months prior to the start of that fiscal year.
c. Pollution control projects at the same facility which are required
for distinct and separate purposes will be considered as separate projects.
Such separate projects may be reported on the same Exhibit 1 only if each
is clearly identified (e.g.. "a," "b," and "c") and if all questions are
fully answered for each project. Such separate projects will be reported
individually on Exhibit 2 using appropriate project numbers (e.g., "8a,"
"8b,' and "8c').
d. The notification required by section 5(c) of the Order as to the
performance specifications proposed for each existing facility should be
given under item 6 In Exhibit 1 unless alternative arrangements are
-------
agreed to by the Secretary. An entry under Item 6 is not necessary if the
performance specification is identical to an emission standard noted in
item 5.
e. Item 9 of Exhibit 1 should include information not shown elsewhere
on the Exhibit which is necessary for the evaluation of the project. For
instance, where the agency knows of changing circumstances which will
affect the practicability of undertaking pollution abatement at a particular
facility (e.g., expected closure of the facility, projected renovation, or
a change in mission of the facility which would alter abatement needs),
these should be indicated. Projects involving such circumstances should
be included on Exhibit 2 with a reference to the explanation given on
Exhibit 1. ' • * _
2. Exhibit 2. "Status Report."
a. Exhibit 2 will indicate the estimated or actual "costs" for all
projects in the agency plan and the current status of the projects.
Design costs need not be Included for individual projects if they are not
normally reflected in appropriations for Individual projects.
b. Each Exhibit 2 will consist of two sections. Section A (COMPLETED
PROJECTS) will contain all projects in the agency plan which have been
completed plus those projects which have been discontinued. Section B
(ACTIVE PROJECTS) will contain all other projects. Both Sections A and
B of Exhibit 2 should be submitted on June 30, 1970, and on each June 30
thereafter. Section B should be updated and submitted quarterly on
September 30, December 31, and March 31. These quarterly submissions
should include all of the projects in Section B of the previous June 30
report and may be a "marked-up" copy of the June 30 report. Agencies may
request to be relieved of this quarterly reporting requirement with regard
to minor projects or when changes in the projects would be insignificant.
Completed or discontinued projects should be transferred from Section B
to Section A in the June 30 submission each year.
c. No later than 15 days after the President approves the Act con-
taining the applicable appropriation, the agency will submit a marked-
up copy of its latest Section B submission Indicating the effect of con-
gressional appropriation action on the status of its projects. This
latter report will not be required if the next quarterly revision is
due no more than 30 days after the President's action.
d. Each revision of Exhibit 2 will show the latest information as
of 60 days prior to the quarterly reporting date. Unless the change
is otherwise evident, an asterisk will be placed in the margin to indi-
cate which project entries have been changed in the revision.
e. Exhibit 2 will indicate the amount included or to be included
in the President's budget and, in parentheses, the amount actually
appropriated or funded when relevant. With regard to any fiscal year
for which the President's budget has already been submitted, only
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projects which have actually been included in that budget or funded may
be listed under that fiscal year. Agency totals should be shown at the
bottom of the Exhibit.
f. Special care should be taken in filling out the "Status" column
on Exhibit 2 so as to give all relevant information indicated below. It
is requested that the agency use the following format:
i
Indicate "PP " if the project is in the preliminary plan-
ning stage. The blank provided should contain the estimated
completion date for construction.
Indicate "DBS J1 if the project is under design or has been
designed, but is not under construction. The blank provided
should contain the estimated completion date for construction,
Indicate "CONSTR " if the project is under construction.
The blank provided should contain the estimated completion
date.
Indicate "COMPL " if the project has been completed. The
blank provided should contain the actual completion date.
Indicate "DISC" if the project has been discontinued or dropped.
Reasons should be given.
Indicate "DEFER " if the project has been deferred or
significantly delayed. The blank provided should contain
the estimated date of completion of construction. ,Reasons
should be given.
Indicate "OTHER" if other than the above circumstances apply.
An explanation should be given. . !
When the project has been deferred or otherwise significantly delayed,
the agency should also indicate what corrective action is to be taken
by the agency, if any.
g. Exhibit 2 should be a consolidated version, summarizing the air
pollution control projects for all of the regions and divisions of the
reporting agency.
h. For the submission of June 30, 1970, full explanations should
be given in the "Status" column for any project planned for FY 1973 or
later rather than for FY 1972.
i. When projects have been discontinued in favor of use of non-
Federal facilities to dispose of wastes (e.g., a city's landfill), the
agency should so indicate in the "Status" column of Exhibit 2. A revised
Exhibit 1 should also be submitted which includes a description of the
method by which the wastes will be disposed and an assessment of the
pollution characteristics of the method used.
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ATTACHMENT B
Circular No. A-78
Revised
Title 42—PUBLIC HEALTH
Chapter I—Public Health Service, Department
of Health, Education, and Welfare
Subchapter F—Quarantine, Inspection, and Licensing
Part 76—Prevention, Control, and Abatement of Air
Pollution from Federal Government Activities:
Performance Standards and Techniques of Measurement
Sec.
76.1 Definitions.
76.2 Intent.
76.3 Applicability.
76.4 Combustion of fuel.
76.5 Sulfur oxides.
76.6 Stacks.
76.7 Storage and handling of fuels and ash.
76.8 Disposal of refuse.
76.9 Other pollution producing processes.
Authority: The provisions of this Part 76 issued under section 5 of
Executive Order 11282; 3 CFR, 1966 comp.
Source: The provisions of this Part 76 appear at 31 F.R. 7902,
June 3, 1966, unless otherwise noted.
Sec. 76.1 Definitions.
As used in this part:
(a) "Executive Order" means Executive Order No. 11282.
(b) "Nonurban areas" means all areas other than urban areas,
(c) "Ringelmann Scale" means the Ringelmann Scale as published in
the latest U.S. Bureau of Mines Information Circular entitled "Ringelmann
Smoke Chart".
(d) "Secretary" means the Secretary of Health, Education, and Welfare,
(e) "Smoke Inspection Guide" means the U.S. Public Health Service
Smoke Inspection Guide described in Part 75 of this title.
(f) "Urban areas" means those areas classified.. as urban in the
latest available Federal census, or as Standard Metropolitan
Statistical Areas by the Bureau of the Budget.
91.
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(g) "Unit" means all indirect heat exchangers connected to a single
stack.
(h) "Particulate matter" means any material, except uncombined water,
that exists as a solid or liquid at standard conditions.
(i) "Standard conditions" means a temperature of 70° Fahrenheit and
a pressure of 14.7 pounds per square inch, absolute.
(j) "Waste" means any solid, liquid, or gaseous substance, the dis-
posal of which may create an air pollution problem.
[31 P.R. 7902, June 3, 1966, as amended at 34 F.R. 11419, July 10, 1969J
Sec. 76.2 Intent.
It is the intent of these standards that emissions to the atmosphere
from Federal facilities and buildings shall not be permitted if such emis-
sions endanger health or welfare and that emissions which are likely to
be injurious or hazardous to people, animals, vegetation, or property
shall be minimized.
Sec. 76.3 Applicability
(a) Unless otherwise Indicated, the standards in this part apply to
both new and existing Federal facilities and buildings. These standards
are effective upon publication in the Federal Register, except for those
facilities and buildings which are likely to require installation of im-
provements under the plan to be submitted in accordance with section 3
of the Executive Order.
(b) Except for discharges of radioactive effluents which are regulated
by the Atomic Energy Commission, Federal facilities and buildings shall
conform to the air pollution standards prescribed by the State, or community
in which they are located. If State or local standards are not prescribed
for a particular location, or if the State or local standards are less
stringent than the standards prescribed herein, the standards in this
part shall be applicable to discharges from such Federal facilities and
buildings except as otherwise indicated.
(c) Temporary operations that may result in potential air pollution
problems, such as those associated with research, development, test, eval-
uation, space, and military activities, shall be conducted with such pre-
cautions and safeguards as are needed to achieve the Intent of these
standards.
(d) The Secretary may, upon application of the relevant department,
agency or establishment, exempt any Federal facility or building from the
objectives contained in section 4 of the Executive order and from anv or
all of these standards whenever he determines that the activities of such
building or facility will not significantly conflict with the intent of
the Executive order and that such an exemption is in the public interest.
92.
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Sec. 76.4 Combustion of fuel.
(a) The following standards apply to the combustion units of facilities
and buildings having a heat input of less than 1,000 million B.t.u./hour,
other than fireplaces, stoves, or grills burning wood or charcoal:
(1) Manually fired equipment shall not be installed as new or
replacement equipment, except for the burning of anthracite, coke, or
smokeless fuel.
• (2) (i) For new units, except during startup, cleaning of fires,
or soot blowing, the density of any emission to the atmosphere shall not
exceed No. 1 .on the Ringelmann Scale or the Smoke Inspection Guide.
(ii) For existing units, except during startup, cleaning of
fires, or soot blowing, the density of any emission to the atmosphere
shall not exceed No. 2 on the Ringelmann Scale or Smoke Inspection Guide.
(3) A photoelectric or other type smoke detector, recorder, or
alarm shall be installed on units larger than ten million BTU per hour
input, except where gas or light oil (No. 2 or lighter) is burned.
(4) During routine operation, the emission of particles larger
than 60 microns shall hot normally occur.
(5) Means shall be provided in all newly constructed units and
wherever practicable in existing units to allow the periodic measurement
of flyash and other particulate matter.
(6) All new or replacement spreader stoker installations shall
be of a type that automatically discharges ashes to the ash pit either
continuously or in very frequent small increments, and flyash shall be
reinjected only from boiler passes. '.
(7) For units of less than 10 million BTU/hour heat input, the
emission of flyash and other particulate matter shall not exceed 0.6 pounds
of particulate matter per million BTU'heat input, as measured by the
American Society of Mechanical Engineers Power Test Code No. 27 for "Deter-
mining Dust Concentrations in a Gas Stream," or equivalent test method.
(8) For units between 10 million and 1,000 million BTU/hour
heat input, the emission of flyash and other particulate matter shall
not exceed that specified in figure 1, as measured by the test method
specified in subparagraph (7) of this paragraph. Existing units shall
meet this standard within the time designated by the plan submitted in
accordance with section 3 of the Executive order except that with respect
to existing spreader stoker units the plan may specify certain units
which may emit particulate matter at an interim rate not exceeding 0.6
Ibs/million BTU heat input.
(b) For units having a heat input of more than 1,000 million
BTU/hour, the appropriate department, agency, or establishment shall
93.
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seek special advice from the Secretary with regard to smoke, flyash,
and other particulate emissions.
0.
z
2?
DOC
u£
FIGURE 1
MAXIMUM EMISSION OF PARTICULATE MATTER
FROM FUEL BURNING INSTALLATIONS
1.0
0.9
0.8
0.7
0.6
0.5
0.4
0.3
11 °-25
ii| 0.20
sS
§ 0.15
o
Q.
0.10
i i i 11 rrrj
I I I M I "I
111
i i i 11 u 11 i i LI I nil I i i
1 1 1 1
10 100
TOTAL INPUT-MILLIONS OF BTU PER HOUR
1,000
94.
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Sec. 76.5 Sulfur oxides.
t
(a) Combustion units of facilities or buildings not located in areas
specified by the Secretary under paragraph (c) of this section and whose
heat input is less than 1,000 million BTU/hour shall burn the lowest sulfur
.content fuel that is reasonably available. In determining reasonable
availability, the factors to be considered include, among others, price,
firmness of supply, extent of existing pollution, and assurance of supply
under adverse weather and natural disaster conditions.
(b) For combustion units or Federal facilities or buildings not
located in areas specified by the Secretary under paragraph (c) of this
section and whose heat input is more than 1,000 million BTU/hour, the
appropriate department, agency, or establishment shall seek special
advice from the Secretary with regard to sulfur-oxide emissions.
(c) (1) Effective October 1, 1969, combustion units of all Federal
facilities or buildings located in the following areas shall comply with
applicable emission limitations and control measures set out below:
(i) In the New Jersey-New York-Connecticut Interstate Air
Quality Control Region as defined by 42 CFR Part 81, the emission rate
of sulfur oxides (calculated as sulfur dioxide) from fuels used in com-
bustion units shall not exceed 0.35 pounds per million B.t.u. (gross
value) heat input.
(ii) In the Metropolitan Chicago Interstate Air Quality
Control Region (Indiana-Illinois) and in the Metropolitan Philadelphia
Interstate Air Quality Control Region (Pennsylvania-New Jersey-Delaware)
as defined in 42 CFR Part 81, the emission rate of sulfur oxides (cal-
culated as sulfur dioxide) from fuels used in combustion units shall not
exceed 0.65 pounds per million B.t.u. (gross value) heat input.
i
(2) If compliance with the above emission standard is to be
accomplished by means of controlled fuel quality, the agency responsible
for each Federal facility in the designated areas shall establish appro-
priate fuel specifications to insure that the above emission limitations
are met and shall provide for adequate tests to ascertain that delivered
fuel meets the applicable specifications. If removal of sulfur oxides
from flue gases is used to control emissions, the facility shall provide
for continuous monitoring and recording of the sulfur oxide content of
flue gases emitted. The sulfur content of fuels shall be determined in
accordance with current recognized testing procedures of the American
Society for Testing and Materials. The sulfur content of the flue gases
shall be determined in accordance with current recognized testing proce-
dures of the American Society of Mechanical Engineers.
(3) The limitations and measures established in subparagraph (1)
of this paragraph shall be revised or amended only after consultation
with appropriate Federal, State, and local officials and affected parties.
95.
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Not less than 30 days prior to prescribing such revised or amended limits
or measures, the Secretary will publish in the Federal Register notice
of his intention to adopt such limits or measures, and will thereafter
publish in the Federal Register the limits or measures established. The
Secretary may at any time designate other urban areas which suffer from
extremely high air pollution levels, and after similar consultation, and
publication in the Federal Register, prescribe such limits or measures
as he determines are necessary to carry out the intent of Executive
Order 11282.
(d) The emission of the oxides of sulfur the atmosphere shall be
monitored at regular intervals by determining the sulfur content of
the fuel used or by determining the sulfur content of flue gases.
[31 F.R. 7902, June 3, 1966, as amended at 32 F.R. 4415, March 23, 1967;
34 F.R. 11419, July 10, 1969]
Sec. 76.6 Stacks.
For buildings or facilities in nonurbanized areas, the particle
emission standards of section 76.4(a) (7) and (8) may be revised for
an individual Installation by an amount to be determined by the Secretary,
when:
(a) The stack height exceeds by 2-1/2 times the height of the highest
building in that area, and
(b) The pollution level in any area will not be significantly in-
creased thereby.
For large plants the determination of chimney height shall be based on
air quality criteria, land use, and meteorological, topographical,
aesthetic, and operating factors. •
Sec. 76.7 Storage and handling of fuels and ash.
(a) Solid fuels and ash shall be stored and handled so as not to
release to the atmosphere dust in significant quantities.
i
(b) In quantities of 40,000 gallons or more, gasoline or any vola-
tile petroleum distillate or organic liquid having a vapor pressure of
1.5 p.s.i.a. or greater under actual storage conditions shall be stored
in pressure tanks or reservoirs or shall be stored in containers equipped
with a floating roof or vapor recovery system or other vapor emission
control device.
(c) Stationary gasoline storage tanks with a capacity of 250 gallons
or more shall be equipped with either submerged filling inlets or with
vapor recovery or emission control systems such that loss of vapor to
the atmosphere during filling operations shall be minimized.
96.
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(d) Gasoline or petroleum distillate tank car or tank truck loading
facilities handling 20,000 gallons per day or more shall be eduipped with
submersible filling arms or other vapor emission control .systems.
Sec. 76.8 Disposal of waste.
(a) (1) Waste shall not be burned in open fires in urban areas.
(2) In nonurban areas, there shall not be burned in ooen fires,
within a 24-hour period, more than 25 pounds of waste at a single site
nor more than 500 pounds of waste at any number of sites within a 1-mile
radius, except that these quantities may be exceeded in the case of on-
site burning of waste produced in connection with operations performed
at railroad rights-of-way, interurban highways, irrigation canals,
forests, agricultural sites, etc., and provided that care is exercised
to prevent creation of localized air pollution which endangers health
or welfare. Deteriorated or unused explosives, munitions, rocket pro-
pellants, and certain hazardous wastes may be burned in open fi-es, in
accordance with recognized procedures.
(3) Wastes shall not be left in open dumps.
(4) Wastes that are disposed of in sanitary landfills shall be
disposed of in accordance with procedures described in "Sanitary Landfill
Facts" (PHS publication No. 1792, 1968) and any amendments or revisions
thereof. Said document is available to any Interested person, whether
or not affected by the provisions of this part, upon request to the
National Air Pollution Control Administration, Arlington,. Va. 22203,
which maintains an official historic file of the document, or to the
Public Health Service Information Center as listed ln*45 CFR 5.31 (32
F.R. 9316).
(b) (1) Waste shall be burned only in facilities especially designed
for that purpose, except as provided in paragraph (a) of this section.
(2) For incinerators acquired on or after June 3, 1966, the
density of any emission to the atmosphere shall not exceed number 1 on
the Ringelraann Scale or the Smoke Inspection Guide for a period or
periods aggregating more than 3 minutes in any 1 hour, or be of such
opacity as to obscure an observer's view to an equivalent degree.
(3) For incinerators acquired prior to June 3, 1966, the
density of any emission to the atmosphere shall not exceed number 2
on the Ringelraann Scale or the Smoke Inspection Guide for a period or
periods aggregating more than 3 minutes in any 1 hour, or be of such
opacity as to obscure an observer's view to an equivalent degree.
(c) (1) In addition, for installations burning more than 200
pounds of wastes per hour, emissions shall not exceed 0.2 grain of
particulate matter per standard cubic foot of dry flue gas corrected
to 12 percent carbon dioxide (without the contribution of carbon
dioxide from auxiliary fuel), measured in accordance with the
97.
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test procedures described in "Specifications for Incinerator Testinj? at
Federal Facilities (PHS publication, October, 1967) and any amendments
or revisions thereof. Said document is available to any interested
person, whether or not affected by the provisions of this part upon
request to the National Air Pollution Control Administration/ Arlington
Va. 22203, which maintains an official historic file of the document '
or to the Public Health Service Information Center or Regional Office
Information Center as listed in 45 CFR 5.31 (32 F.R. 9316).
(2) For installations burning 200 pounds of waste per hour or
less, emissions shall not exceed 0.3 grain of particulate matter per
standard cubic foot of dry flue gas corrected to 12 percent carbon diox-
ide (without the contribution of carbon dioxide from auxiliary fuel)
measured in accordance with the test specifications described in
"Specifications for Incinerator Testing at Federal Facilities" (PHS
publication, October 1967) and any amendments or revisions thereof.
(3) Test procedures which are approved by the Commissioner,
National Air Pollution Control Administration, as equivalent to those
prescribed by paragraphs (c)(l) and (c)(2) of this section may be used
for the purpose of determining an installation's compliance with the
emission standards for particulate matter contained in such paragraphs.
[34 F.R. 11419, July 10, 1969]
Sec. 76.9 Other pollution producing processes.
For dusts, fumes, or gases from any process not heretofore described
except for discharges of radioactive effluents regulated by the Atomic '
Energy Commission, whatever measures may be necessary to compiy with the
intent of these regulations shall be applied. This will generally require
the installation of equipment or devices to minimize such emissions to the
point where they will meet the standards contained in these regulations.
For processes which emit toxic substances in quantities which might en-'
danger health or welfare and for fires which emit smoke or fumes at offi-
cial firefighting schools, the appropriate department, agency, or estab-
lishment shall seek special advice from the Secretary.
(Note: The Department of Health, Education, and Welfare will, from
time to time, and after ronsultation with industries concerned, issue
"Guides of Good Practice" for specific operations to aid Federal depart-
ments, agencies, and establishments in the selection of equipment and
methods for meeting the performance standards. For emissions not covered
herein, or for which there have been issued no applicable "Guides of Good
Practice," the Department of Health, Education, and Welfare will provide
technical material and consultation to departments, agencies, and estab-
lishments requesting such assistance. Requests for "Guides of Good
Practice," technical material, or consultation should be directed either
to the Federal Facilities Section, Abatement Branch, Division of Air
Pollution, Public Health Service, Department of Health, Education, and
Welfare, Washington, D.C. 20201, or to the appropriate Regional Air
Pollution Program Director of the Public Health Service located in the
Department of Health, Education, and Welfare Regional Offices.)
98.
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. EXHIBIT 1
AIR POLLUTION Circular No. A-78
PROPOSED PROJECT REPORT Revised
AGENCY: Department of Government Project No.: 101
Date prepared: 6-30-69
Date revised: 6-30-70
1. Facility GSA Inventory Control No.: 20201
Name: Regional Laboratory
. Address: Boston, Suffolk, Massachusetts
(City, county, State)
2. Source of pollution, type(s) of pollution, and amount(«}
Power plant, particulate matter from combustion of coal, 2 lb./106 BTU.
3. Description of existing control being provided
Mechanical collectors
4. Proposed remedial measures
Convert boilers from coal to gas
5. Proposed measures are necessary to meet:
a. Air Quality standards and implementation plans
(1) State
(2) Region
(3) Actual standard or exact citation
b. Secretary's regulations: 42 CFR section 76.4a(8)
c. Other (explain):
6. Performance specification (if different from item 5 above)
Same
7. Costs of pollution control measures (in thousands of dollars)
Total costs: $100 for conversion
Cost by fiscal years and appropriation account:
1970: $10 for design—Design account
1970: $90 for construction—O&M account
8. Estimated additional operating and maintenance epsts. if available
None. Savings expected.
9. Other relevant information
99.
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AIR POLLUTION STATUS REPORT
AGENCY: Department of Government
Agency contact: Roger L. Smith
Telephone: 395-9019
EXHIBIT 2
Circular No. A-78
Revised
Page 1 of 1
Quarterly Reporting Date: June 30, 1970
Prelect Costs ($1.OOP's)
Amt in President's Budget or Agency Plan Present
ProJ Ho. Project Name and Location (and amount appropriated or funded) Cost Est
Status
post
SECTION A (Completed Projects) 1968 -1969 1970 1971 1972 1973 1973
3 Office Building 97, Portland, Me.
2 Training School, Boon ton, N.J.
Total, Sect. A
SECTION B (Active Prelects)
1 District Office, Buffalo, N.Y.
4a Research Laboratory, Cleveland,
Ohio (incinerator)
4b Research Laboratory, Cleveland,
112
(100)
58
(0)
170
(100)
58
(58)*
58
(58)
80
(80)
27
85
100
0
100
105
27
85
COMPL 10-69
DISC. Project dropped due to closing of
school in FT 1971.
DEFER 9-71. Cost increase, additional
funds now being reprograursed to project.
PP 7-71.
Ohio (heating plant)
Flreflghting school, Boston,
Mass.
Smelting plant, Houston, Tex.
Total, Sect. B
500
500
1,000 1,000
0Funds not used.
80 27 85 500 1,000 1,717
(80)
(No. A-78)
Not scheduled for 1972 because technology
still being tested at San Francisco
facility.
OTHER. Appropriate technology under study
for this special problem. Extension
request pending at BOB.
-------
AIR POLLUTION
REPORT ON ADDITIONAL ABATEMENT ACTIVITIES
EXHIBIT 3
Circular No. A-78
Revised
AGENCY: Department of Government
Date submitted: 6-30-70
Agency contact: Roger L. Smith
Telephone: 395-9010
1. Type of actions taken or planned
a. Purchased 1% sulfur fuel for 1969 heating season for all installa-
tions in Boston and Atlanta.
b. Discontinued open burning at 15 disposal areas, fall 1969.
c. Plan to expand purchasing of 1% sulfur fuel for 1970 heating
season to Norfolk and Providence.
d. Plan to extend sanitary landfill operations by August 1970
to 15 disposal areas in "b" above, using existing equipment.
2. Approximate costs (in thousands of dollars)
a. $875 in premiums.
b. None.
c. $500 in premiums.
d. $40 in labor and use of equipment.
3. Will coats recur annually?
a. Yes, although premium may decrease.
b. —
c. Yes, although premium may decrease.
d. Yes.
101.
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EXECUTIVE OFFICE OF THE PRESIDENT
BUREAU OF THE BUDGET
WASHINGTON. O.C 20503
May 18, 1970 CIRCULAR NO. A-8l
'Revised
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Reporting requirements in connection with the prevention,
control, and abatement of water pollution at existing
Federal facilities
1. Purpose . This Circular provides procedures to be followed by
Federal agencies in carrying out the water pollution, control pro-
vis Li'ts of section 5> pertaining to existing Federal facilities,
and related aspects of Executive Order No, 11507 of February U,
1970, entitled "Prevention, Control, and Abatement of Air and
Water Pollution at Federal Facilities," hereinafter referred to
as the Order. This Circular supersedes and replaces Bureau of
the Budget Circular No. A-8l dated March 30, 1967. . ., '
2. Definitions . As used in this Circular:
a. The term "Secretary" means the Secretary of the Interior
or his designee. t
b. The term "agencies" means the departments, agencies, and
establishments of the executive branch.
c. The term "facilities" means the buildings, installations,
structures, public works, equipment, vessels, and other property,
owned by or constructed or manufactured for the purpose of Le*fine
to the Federal Government in the United States.
d. The term "water quality standards" means the water quality
standards and related plans of implementation which have been
adopted by each of the States and approved by the Secretary pur-
suant to the Federal Water Pollution Control Act, as amended
(33 U.S.C.
e. The term "performance specifications" means permissible
limits of discharges or other related values applicable to the
water pollution control measures at a particular Federal facility
that would, as a minimum, provide for conformance with the water
102.
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quality standards or other applicable standards as defined in
paragraph 5(a) of this Circular. Specifically, for water pollu-
tion control measures, performance specifications are "waste-
water effluent standards," and permissible limits pertain to the
rate of flow and concentration of pertinent pollutants.
f. Unless otherwise indicated, the term "cost" means the
amount (budget authority) required for putting in place the
necessary water pollution control measures. These costs include
the capital costs of structures and equipment, irrespective of
the appropriation chargeable, but not the annual maintenance and
operating costs.
g. The term "United States" means the fifty states, the
District of Columbia, the Commonwealth of Puerto Rico, the Virgin
Islands, and Guam.
3. Agency responsibilities. Pursuant to their responsibilities
under the Order, Federal agencies should:
a. Seek the assistance of the Secretary at the earliest
feasible time when necessary to determine the standards appli-
cable to particular facilities and the appropriate implementation
schedules specified by the Order.
b. Provide the Secretary with such data and information as
he may need to evaluate the water pollution control aspects of
proposals submitted pursuant to this Circular, the implementation
of these plans, and existing and potential water pollutiontcontrol
problems.
c. Cooperate with State and local pollution control agencies
and with other Federal agencies in the evaluation of their pollu-
tion control needs and, if appropriate, in the provision or
installation of joint or regional pollution control measures.
U. Communications with the Secretary. Communications with the
Secretary in connection with this Circular should be directed to
the Federal Water Quality Administration, Attention: Federal
Activities Branch, Washington, D. C. 202U2, or with the appro-
priate Regional Director of that Administration. Regional
boundaries and addresses of the Regional Directors are indicated
on Attachment B.
5- Applicable standards.
a. As provided in sections ^(a)(l) and 5(a) of the Order,
existing Federal facilities are to meet the requirements of the
"water quality standards," as defined in paragraph 2(d) of this
T03.
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Circular, or in the absence of such standards, to meet similar
standards promulgated through regulations of the Secretary pur-
suant to section h(o) of the Order.
b. The quality standards adopted pursuant to section U(b) of
the Order will be the applicable standards for the purposes of
this Circular for any Federal facilities which are not specifically
covered by the "water quality standards" referenced above. However,
in those cases involving intrastate waters for which State standards
acceptable to the Secretary are in force, the State standards may
be recognized by the Secretary as the requirements applicable to
Federal facilities for the purposes of this Circular.
6- Agency plan -•general provisions.
a. Requirement. The fiscal plan for improvements at existing
facilities required previously by Circular No. A-8l will be
updated and submitted by June 30, 1970, and thereafter as pre-
scribed herein. This updated agency plan will provide for com-
pliance by existing facilities with the applicable standards and
the deadlines specified by the Order. Agencies which did not
submit a report previously but which have facilities requiring
correction under the Order should submit a plan in the format
shown in Exhibits 1 and 2.
k* Coyer age. The agency plan should include all projects
involving "costs," as defined in paragraph 2 (f) of this Circular,
which are necessary to bring existing facilities into compliance
with applicable standards. The agency plan should also include
all completed or discontinued projects listed in earlier plans.
c. General format . The information required for the agency
plan will be submitted in the form of Exhibits ,1 and 2. Pertinent
details for each individual project are given on Exhibit 1.
Exhibit 2 is a summary and status report of the agency plan for,
water pollution abatement at existing facilities. Exhibit 2 is, to
be on legal size paper, measuring 13 or Ik inches in the longest
dimension. Reports may be submitted in the form of computer
printouts only upon specific approval of the Bureau of the Budget.
d. Preparation and submission of Exhibits. Specific details
for the preparation and submission of Exhibits 1 and 2 are given
in Attachment A. In general, a couiplete set of Exhibits is due
by June 30, 1970. Thereafter, Exhibit ? is to be updated and submitted
quarterly, and Exhibit 1 is to be submitted only for new project'?
or for major revisions of prior submissions. For each submission,
two copies are to be sent to the Bureau of the Budget and six
copies are to be sent to the Federal Water Quality Administration.
104.
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e. Project numbers. Agencies will assign consecutive numbers,
beginning with "1," to all water pollution control projects,
including those in the plan submitted on July 1, 1966. ana in
subsequent revisions of the plan. Project numbers are for per-
manent identification and may not be reassigned to new projects.
f. Phasing of projects. Insofar as possible, all projects
that were not included in the FY 1971 budget or funded in prior
years and that are necessary to meet the "water quality standards"
as defined herein, that were in force as of the date of the Order,
s.nould be prepare! for possible inclusion in the FY 1972 budget.
Any remaining or new projects necessary to meet these standards
should be prepared for possible inclusion in the FY 1973 budget.
In addition, all projects necessary to'meet any of the applicable
standards described in paragraph p(a) of this Circular that are
established after February U, 1970, should be prepared for possible
inclusion in the FY 1972 or subsequent budgets at the earliest
practicable time. In cases where the use of municipal or regional
systems are under consideration, it should be indicated: (1)
whetner negotiations to determine cost-sharing and a schedule
for installation of pollution control facilities are involved;
and (2-) if alternate means, such as agency-installed pollution
control facilities, are also under consideration.
7. Types of facilities covered.
a. Facilities which have not been constructed, manufactured,
or contracted for, but for which design or other work predating
the Order has advanced to a stage at which it would be impractical
to carry out the provisions of section 6 of the Order ("Procedures
for new Federal facilities"), may be considered the same as
"existing facilities" for the purposes of this Circular.
b. The Order and this Circular cover facilities which are
constructed or manufactured for lease to the Federal Government,
as well as those which are owned by the Federal Government.
"Lease-^construrtion" is an example of a type of facility covered
under this provision, but facilities used under ordinary leases
are not .overed. Lease-coi.struction facilities should be oon-
spicuously identified on Exhibits 1 and 2. Exhibit 1 should
include a brief discussion of the lease arrangements that would
affect the possibility and practicality of installing abatement
measures for such facilities.
•„•. Existing Federal facilities that discharge waste waters
to municipal or regional sewage collection systems need not be
reported in the agency plan under this Circular unless it is
105.
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known, or there is reason to believe, that practices are involved
which violate, or are likely to violate, any applicable water
quality standards or related water quality management plan.
Projects for such facilities should be included in the agency
plan, however, if pretreatment, sewers, lift stations or otner
such measures that would qualify under this Circular are required
for connection and discharge to the municipal or regional systems.
d. Federal facilities that use septic tanks, pit privies and
similar devices exclusively, and which do not involve:' (I) the
discharge or seepage of wastes onto property other than that of
the agency involved, or (2) the violation of any applicable
standards, as defined in paragraph 5(a) of this Circular, are
not covered by this Circular.
e. In general, facilities or operations thereof that are of
a type not covered by the applicable standards, defined in
paragraph 5(a) of this Circular, are not covered by this Circular.
f. If there is any question as to whether other types of
facilities are covered by this Circular, agencies should consult
with the Bureau of the Budget.
8. Extensions of titae. Requests for delaying required remedial
measures beyond the dates specified by section 5(a) of the Order
should be transmitted to the Bureau of the Budget no lat^r than
June 30, 1970, unless compelling circumstances would require
such action at a later date. Such requests should be separate
from the information provided on the Exhibits submitted for the
agency plan. The agency should also submit an Exhibit 1 in ;
such instances indicating the- proposed plan for installing
remedial measures and the justifying circumstances for the delay
as required by section 5(d) of the Order.
9. Review. The Secretary will assist in evaluating the water
pollution control aspects of projects submitted under this
Circular. He will provide periodic appraisals of the operation
and performance of such measures, as well as of other Government-
related .water pollution control needs and related costs.
10. Similarity with Circular No. A-78. This Circular is v*?ry
similar or identical to Circular No. A-78 (air pollution), dated
May 1970, except for paragraphs 5(a), 5(b), 6(d), 6(f) and
7(c-f). Attachment A is also similar, except for paragraph
l(d). Exhibit 1 is designed to meet the requirements of water
pollution control projects and, tnu*- differs in many respects
106.
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from Exhibit 1 of Circular No. A-78. Exhibit 2 is identical to
Exhibit 2 of Circular No. A-78. Submission requirements for
Exhibit 1 and for Exhibit 2 are also identical for both Circulars.
11. Inquiries. Questions regarding the implementation of this
Circular should be addressed to the Natural Resources Programs
Division, Bureau of the Budget, Washington, D. C. 20503.
ROBERT P. MAYO
Director
Attachments
107.
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ATTACHMENT A
Circular No. A-8l
Revised
INSTRUCTIONS FOR THE PREPARATION AND SUBMISSION OF EXHIBITS
1. Exhibit 1, "Proposed Project Report." .
a. An Exhibit 1 vill be submitted by June 30, 1970, for each
pollution control project included in the agency plan, with the
following exceptions:
•
(l) In those cases where the agency has already submitted
an Exhibit A for a particular project under the previous edition
of this Circular and funds have already been appropriated by
Congress or are expected to be appropriated for FY 1971, and there
is no indication that additional funds will be needed for comple-
tion of the project, the agency may resubmit the Exhibit A in lieu
of an Exhibit 1 for that project, provided that the appropriate
project number is indicated on the Exhibit A.
(2) In those cases where an agency has a large number of
projects and revision of its Exhibit A's before June 30,. 1970,
would be an undue hardship, application may be made to the Bureau
of the Budget for an extension of time for such revision. In
such cases, the Exhibit A's would be submitted in lieu of Exhibit
1's on June 30, 1970, with the appropriate project numbers indi-
cated on the Exhibit A's.
b. After June 30, 1970, Exhibit 1 will be required only for
new pollution control projects or to indicate a major change in
the information provided on a previous Exhibit. These revised or
new Exhibit 1's will be submitted quarterly. As a general rule,
projects which an agency plans to undertake in a particular fiscal
year must be submitted on an Exhibit 1 no later than 12 months
prior to the start of that fiscal year.
c. Pollution control projects at the same facility which are
required for distinct and separate purposes will be considered as
separate iprojects. Such separate projects may be reported on the
same Exhibit 1 only if each is clearly identified (e.g., "a,"
"b," and "c ; and if all questions are fully answered for each
project. Such separate projects will be reported individually on
Exnibit 2 using appropriate project numbers (e.g., "8a," "8b,"
and 'oc").
d. Agencies are requested to provide information for item 6
of Exhibit 1 in sufficient detail to satisfy the notification
requirements of section 5(c) of the Order as to the performance
103.
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specifications proposed for water pollution control measures for
existing facilities, unless other arrangements are made with the
Secretary for such notification. J
e. Item 11 of Exhibit 1 should include information not shovn
elsewhere on the Exhibit which is necessary for the evaluation of
the project. For instance, where the agency..knows of changing
circumstances which will affect the practicability of undertaking
pollution abatement at a particular facility (e.g., expected
closure of the facility, projected renovation, or a change in
mission of the facility which would alter abatement needs), these
should be indicated. Projects involving such circumstances should
be included on Exhibit 2 with a reference to the explanation given
on Exhibit 1.
2, Exhibit 2y "Status Report."
a. Exhibit 2 will indicate the estimated or actual "costs"
for all projects in the agency plan and the current status of
the projects. Design costs need not be included for individual
projects if they are not normally reflected in appropriations
for individual projects.
b. Exhibit 2 will consist of two sections. Section A
(COMPLETED PROJECTS) will contain all projects in the agency plan
which have been completed plus those projects which have been dis-
continued. Section B (ACTIVE PROJECTS) will contain all other
projects. Both Sections A and B of Exhibit 2 should be submitted
on June 30, 1970, and on each June 30 thereafter. Section B ,
should be updated and submitted quarterly on September 30,
December 31 and March 31. These quarterly submissions should
include all of the projects in Section B of the previous. June 30
report, and may be a "marked-up" copy of the June 30 report.
Agencies may request to be relieved of this quarterly reporting
requirement with regard to minor projects or when changes in the
projects would be insignificant. Completed or discontinued
projects should be transferred from Section B to Section A in
the. June 30 submission each year.
c. No later than 15 days after the President approves the
act^ containing the applicable appropriation, the agency will
submit a marked-up copy of its latest Section B submission indi-
cating the effect of congressional appropriation action on the
status of its projects. This latter report will not be required
if the next quarterly revision is due no more than 30 days after
the President's action.
109.
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d. Each revision of Exhibit 2 will show the latest informa-
tion as of 60 days prior to the quarterly reporting date. Unless
the change is otherwise evident, an asterisk will be placed in
the margin to indicate which project entries have been changed in
the revision.
e. Exhibit 2 will indicate the amount included or proposed
to be included in the President's budget for each project and, in
parentheses, the amount actually appropriated or funded when
relevant. With regard to any fiscal year for which the President's
budget has already been submitted, only projects which have actually
been included in that budget or funded may be listed under that
fiscal year. Agency totals should be shown at the bottom of the
Exhibit. .
f. Special care should be taken in filling out the "Status"
column on Exhibit 2 so as to give all relevant information indi-
cated below. It is requested that the agency use the following
format:
Indicate "PP " if the project is in the preliminary
planning stage. The blank provided should contain
the estimated completion date for construction.
Indicate "DES " if the project is under design or has
been designed, but is not under construction. The
blank provided should contain the estimated comple-
tion date for construction.
. Indicate "CONSTR ""if the project is under construc-
tion. The blank provided should contain the esti-
mated completion date.
Indicate "COMPL " if the project has been completed.
The blank provided should contain the actual comple-
tion date.
Indicate "DISC" if the project has been discontinued or
dropped. Reasons should be given.
Indicate "DEFER " if the project has been deferred or
significantly delayed. The blank provided should
contain the estimated date of completion of construc-
tion. Reasons should be given.
Indicate "OTHER" if other than the above circumstances
apply. An explanation should be given..
no.
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When the project has been deferred or otherwise significantly
delayed, the agency should also indicate what corrective action
is to be taken by the agency, if any.
g. Exhibit 2 should be a consolidated version, summarizing
the water pollution control projects for all of the regions and
divisions of the reporting agency.
Attachments
112.
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EXHIBIT 1
Circular No. A-8l
Revised
WATER POLLUTION CONTROL
PROPOSED PROJECT REPORT
AGENCY: (Department of Government) Project No. 003
(Bureau) Date prepared: 5/1/67
Date Revised: 5/10/70
GSA Inventory Control No. 20519
1. Facility.
Name: Fort Smith
Address: (City, County, State) Bloomvilie, Smith County, New York
2. Type, source and location of polluting discharge. (Include name
of stream or lake, if appropriate.)
(a) Domestic sewage effluent from two primary treatment plants
in Main Post area discharge into Sudsey River below raw
water intake to water treatment plant.
(b) Back-wash water from water filtration plant discharges into
Sudsey River through storm sewer system. '
3. Existing treatment and other control measures. (Include design
capacity in mgd.)
(a) Primary treatment plants consist of comminutor, primary
settling tanks, and sludge digester. Design capacity is
1.8ngd.
(b) No treatment.
U. Waste flow generated and treated (mgd).
generated treated
Sewage wastes: (a) 1.35 1.35
i (b) .Oi7 none
i Industrial wastes:
5. Effectiveness of existing treatment and control.
pertinent sewage and,
industrial pollutants influent effluent % removal
(ppra,lbs) (ppm.lbs)
BOD: (a)
Suspended solids: (a)
(If above is not applicable or values are not known,
describe effectiveness)
113.
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6. Remedial measures proposed and estimated effectiveness in
correcting pollution problem. (Indicate as proposed
"performance specifications11)
(a) Install an activated sludge treatment plant to provide
for a minimum 90$ removal of BOD and suspended solids.
(b) Filtration plant backwash will be diverted to sanitary
sever system in above project.
7. Requirements of standards or other enforcement measures.
(Indicate which of the "applicable standards" described in
paragraph~5(a) of Circular No. A-dl applies and if the
standards, an Enforcement Conference or other measures specify
a date for installation of treatment.j - * &
New York State "water quality standards" require
secondary treatment by December 1972.
8. Proposed schedule for; (l) completion of desipn; FY 1968;
(2) start of construction; FY 1972; and (3) completion of
project; FY 1973.
9. Costs ;of pollution control measures (in thousands of dollars),
Total costs: $4
Cost by fiscal years and appropriation account:
1968: 300 for design
1972: U,111.2 for const (MCON)
10. Estimated additional operation and maintenance costs, if
available.
11. Other relevant information.
Funds appropriated in 1968, totaling $3*500,000, were
deferred with congressional approval.
114.
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WATER POLLUTION CONTROL STATUS REPORT
AGENCY: (Department of Government)
(Bureau)
Agency Contact: John J. Jones
Telephone: 202
EXKIHET 2
Circular Ho..A-8l
Revised
Pager 1 of 1
Quarterly reporting date: June 30, 1970
Project Costs ($1,000*s)
•
Proj No. Project Name and Location
SECTION A (Completed Projects)"
1 Office Building, Portland, Maine
2 Training School, Booton, New
Jersey
Totals, Sect. A
SECTION B (Active Projects)
5 District Office, Buffalo, New
York
Ua Research Laboratory, Cleveland,
Ohio (phase l)
Ub Research Laboratory, Cleveland,
Ohio (phase 2)
3 Fort Smith, Bloomville, New
York
6 Fire Fighting School, Boston,
Massachusetts .
7 Smelting Plant, Houston, Texas
Totals, Sect. B
Amt in President's Budget or Agency Plan
1968 1969
(100)
58
(0)
170
(100)
3500
(3500)#
3500 0
(3500)
Post
1970 1971 197? 1973 1973
58
(58)
80
(80)
27
85
Ulll
500
100O
80 27 l*196 500 10OO
(80)
Present
Cost Est
100
0
10O
105
27
85
Mil
500
10OO
5828
Status
COMP 1O-69.
DISC. Project dropped due to closing of
school in FY 1971.
DEFER 12-72. Additional funds being
reprograaned due to cost increase .
DBS 10-72.
PP 10-73-
DEFER 9-72. Ponds reprograomed . Explained
on Exhibit 1.
,PP 7-7U.
OTHER. Major change in process scheduled
for 1971*. Extension approved by BOB 6-7-70.
#Funds not used
(NOTE: THIS EXHIBIT TO BE COMPLETED ON LEGAL SIZE PAPER)
(No. A-8l)
-------
ATTACHMENT B
Circular No. A-8l
Revised
UNITED STATES DEPARTMENT OF THE INTERIOR
FEDERAL WATER QUALITY ADMINISTRATION
REGIONAL DIRECTORS
Regional Director
Northeast Region
Federal Water Quality Admin., DI
John F. Kennedy Federal Bldg., Room 2303
Boston, Massachusetts 02203
t
Regional Director
Middle Atlantic Region
Federal Water Quality Admin., DI
918 Emmet Street
Charlottesvilie, Virginia 22901
Regional Director
Southeast Region
Federal Water Quality Admin., DI
11*21 Peachtree St., N.E., Suite 300
Atlanta, Georgia 30309
Regional Director
Ohio Basin Region
Federal Water Quality Admin., DI
'4676 Columbia Parkway
Cincinnati, Ohio U5226
Regional Director
Great Lakes Region
Federal Water Quality Admin., DI.
33 East Congress Parkway, Room UlO
Chicago, Illinois 60605
Regional Director
Missouri Basin Region
Federal Water Quality Admin'., DI
911 Walnut Street, Room 702
Kansas City, Missouri 6H106
Regional Director
South Central Region
Federal Water Quality Admin., DI
1^-02 Elm Street
Dallas, Texas 75202
Regional Director
Southwest Region
Federal Water Quality Admin., DI
760 Market Street
San Francisco, California 9^102
Regional Director
Northwest Region
Federal Water Quality Admin., DI
Pittock Blockj Room 510
Portland, Oregon 97205
116.
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Federal Water Pollution Control Administration Regions
-------
CLEAN AIR ACT
Section 306
§ 1857h—4. Federal procurement—Contracts with violators pro-
hibited
(a) No Federal agency may enter into any contract with any
person who is convicted of any offense under section 1857c—8 (c)
(1) of this title for the procurement of goods, materials, and
services to perform such contract at any facility at which the
violation which gave rise to such conviction occurred if such facil-
ity is owned, leased, or supervised by such person. The prohibition
in the preceding sentence shall continue until the Administrator
certifies that the condition giving rise to such a conviction has
been corrected.
Notification procedures
(b) The Administrator shall establish procedures to provide all
Federal agencies with the notification necessary for the purposes
of subsection (a) of this section.
Federal agency contracts
(c) In order to implement the purposes and policy of this chap-
ter to protect and enhance the quality of the Nation's air, the
President shall, not more than 180 days after December 31, 1970,
cause to be issued an order (1) requiring each Federal agency
authorized to enter into contracts and each Federal agency which
is empowered to extend Federal assistance by way of grant, loan,
or contract to effectuate the purpose and policy of this chapter in
such contracting or assistance activities, and (2) setting forth
procedures, sanctions, penalties, and such other provisions, as the
President determines necessary to carry out such requirement.
Exemptions; notification to Congress
(d) The President may exempt any contract, loan, or grant
from all or part of the provisions of this section where he deter-
mines such exemption is necessary in the paramount interest of
the United States and he shall notify the Congress of such exemp-
tion.
Annual report to Congress
(e) The President shall annually report to the Congress on
measures taken toward implementing the purpose and intent of
this section, including but not limited to the progress and prob-
lems associated with implementation of this section.
July 14, 1955, c. 360, Title III, § 306, as added Dec. 31, 1970,
Pub.L. 91-604,§ 12(a), 84 Stat. 1707.
118.
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FEDERAL WATER POLLUTION CONTROL
ACT
Section 21(b)
Issuance of Federal license or permit for activities resulting in discharges
into navigable waters of United States; prerequisities; certification pro-
cedure j; procedure subsequent to certification; compliance with applica-
ble water quality standards; inspection prior to initial operation of
activity by certifying body; suspension of license or permit; applicability
to Federal agencies; effective dates of certification requirements; lack
of applicable water quality standards for particular activities
(b) (1) Any applicant for a Federal license or permit to con-
duct any activity including, but not limited to, the construction or
operation of facilities, which may result in any discharge into the
navigable waters of the United States, shall provide the licensing
or permitting agency a certification from the State in which the
discharge originates or will originate, or, if appropriate, from the
interstate water pollution control agency having jurisdiction over
the navigable waters at the point where the discharge originates
or will originate, that there is reasonable assurance, as deter-
mined by the State or interstate agency that such activity will be
conducted in a manner which will not violate applicable water
quality standards. Such State or interstate agency shall establish
procedures for public notice in the case of all applications for
certification by it, and to the extent it deems appropriate, pro-
cedures for public hearings in connection with specific applications.
In any case where such standards have been promulgated by the
Secretary pursuant to section 1160 (c) of this title, or where a
State or interstate agency has no authority to give such a certifi-
cation, such certification shall be from the Secretary. If the State,
interstate agency, or Secretary, as the case may be, fails or refuses
to act on a request for certification, within a reasonable period of
time (which shall not exceed one year) after receipt of such re-
quest, the certification requirements of this subsection shall be
waived with respect to such Federal application. No license or
permit shall be granted until the certification required by this
section has been obtained or has been waived as provided in the
preceding sentence. No license or permit shall be granted if cer-
tification has been denied by the State, interstate agency, or the
' Secretary, as the case may be.
(2) Upon receipt of such application and certification the licens-
ing or permitting agency shall immediately notify the Secretary
of such application and certification. Whenever such a discharge
may affect, as determined by the Secretary, the quality of the
waters of any other State, the Secretary within thirty days of the
date of notice of application for such Federal license or permit
shall so notify such other State, the licensing or permitting agency,
119.
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and the applicant. If, within sixty days after receipt of such
notification, such other State determines that such discharge will
affect the quality of its waters so as to violate its water quality
standards, and within such sixty-day period notifies the Secretary
and the licensing or permitting agency in writing of its objection
to the issuance of such license or permit and requests a public
hearing on such objection, the licensing or permitting agency shall
hold such a hearing. The Secretary shall at such hearing submit
his evaluation and recommendations with respect to any such
objection to the licensing or permitting agency. Such agency,
based upon the recommendations of such State, the Secretary, and
upon any additional evidence, of any, presented to the agency at
the hearing, shall condition such license or permit in such manner
as may be necessary to insure compliance with applicable water
quality standards. If the imposition of conditions cannot insure
such compliance such agency shall not issue such license or permit.
(3) The certification obtained pursuant to paragraph (1) of
this subsection with respect to the construction of any facility
shall fulfill the requirements of this subsection with respect to
certification in connection with any other Federal license or permit
required for the operation of such facility unless, after notice to
the certifying State, agency, or Secretary, as the case may be,
which shall be given by the Federal agency to whom application
is made for such operating license or permit, the State, or if ap-
propriate, the interstate agency or the Secretary, notifies such
agency within sixty days after receipt of such notice that there is
no longer reasonable assurance that there will be compliance with
applicable water quality standards because of changes since the
construction license or permit certification was issued in (A) the
construction or operation of the facility, (B) the characteristics
of the waters into which such discharge is made, or (C) the
water quality standards applicable to such waters. This para-
graph shall be inapplicable in any case where the applicant for
such operating license or permit has failed to provide the certify-
ing State, or if appropriate, the interstate agency or the Secretary,
with notice of any proposed changes in the construction or opera-
tion of the facility with respect to which a construction license or
permit has been granted which changes may result in violation of
applicable water quality standards.
(4) Prior to the initial operation of any federally licensed or
permitted facility or activity which may result in any discharge
into the navigable waters of the United States and with respect to
120.
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which a certification has been obtained pursuant to paragraph
(1) of this subsection, which facility or activity is not subject to
a Federal operating license or permit, the licensee or permittee
shall provide an opportunity for such certifying State or, if
appropriate, the interstate agency or the Secretary to review the
manner in which the facility or activity shall be operated or con-
ducted for the purposes of assuring that applicable water quality
standards will not be violated. Upon notification by the certifying
State or, if appropriate, the interstate agency or the Secretary
that the operation of any such federally licensed or permitted
facility or activity will violate applicable water quality standards,
such Federal agency may, after public hearing, suspend such
license or permit. If such license or permit is suspended, it shall
remain suspended until notification is received from the certify-
ing State, agency, or Secretary, as the case may be, that there is
reasonable assurance that such facility or activity will not violate
applicable water quality standards.
(5) Any Federal license or permit with respect to which a cer-
tification has been obtained under paragraph (1) of this subsection
may be suspended or revoked by the Federal agency issuing such
license or permit upon the entering of a judgment under section
1160 (h) or this title that such facility or activity has been oper-
ated In violation of applicable water quality standards.
(6) No Federal agency shall be deemed to be an applicant for
the purposes of this subsection.
(7) In any case where actual construction of a facility has been
lawfully commenced prior to April 3, 1970, no certification shall
be required under this subsection for a license or permit issued
after April 3,1970, to operate such facility, except that any such
license or permit issued without certification shall terminate at
the end of the three-year period beginning on April 3,1970, unless
prior to such termination date the person having such license or
permit submits to the Federal agency which issued such license or
permit a certification and otherwise meets the requirements of
this subsection.
(8) Except as provided in paragraph (7), any application for a
license or permit (A) that is pending on April 3, 1970, and (B)
that is issued within one year following April 3, 1970, shall not
require certification pursuant to this subsection for one year fol-
lowing the issuance of such license or permit, except that any such
license or permit issued shall terminate at the end of one year
unless prior to that time the licensee or permittee submits to the
121 .
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Federal agency that issued such license or permit a certification
and otherwise meets the requirements of this subsection.
(9) (A) In the case of any activity which will affect water quali-
ty but for which there are no applicable water quality standards,
no certification shall be required under this subsection, except
that the licensing or permitting agency shall impose, as a condi-
tion of any license or permit, a requirement that the licensee or
permittee shall comply with the purposes of this chapter.
(B) Upon notice from the State in which the discharge origi-
nates or, as appropriate, the interstate agency or the Secretary,
that such licensee or permittee has been notified of the adoption
of water quality standards applicable to such activity and has
failed, after reasonable notice, of not less than six months, to
comply with such standards, the license or permit shall be sus-
pended until notification is received from such State or interstate
agency or the Secretary that there is reasonable assurance that
such activity will comply with applicable water quality standards.
Authority of departments or agencies to require compliance with applicable
water quality standards unaffected; requests to Secretary for informa-
tion on and methods to comply with applicable water quality standards
(c) Nothing in this section shall be construed to limit the author-
ity of any department or agency pursuant to any other pi'ovision
of law to require compliance with applicable water quality stand-
ards. The Secretary shall, upon the request of any Federal depart-
ment or agency, or State or interstate agency, or applicant, pro-
vide, for the purpose of this section, any relevant information on
applicable water quality standards, and shall, when requested by
any such department or agency or State or interstate agency, or
applicant, comment on any methods to comply with such
standards.
Authority of Secretary of the Army to allow use of spoil disposal
. areas by Federal licenses or permittees; fee
. (d) In order to implement the provisions of this section, the
Secretary of the Army, acting through the Chief of Engineers, is
authorized, if he deems it to be in the public interest, to permit
the use of "spoil disposal areas under his jurisdiction by Federal
licensees or permittees, and to make an appropriate charge for
such use. Moneys received from such licenses or permittees shall
be deposited in the Treasury as miscellaneous receipts.
such use. June 30,1948, c. 758, § 21, formerly § 9, 62 Stat. 1160;
July 9,1956, c. 518, § 1, 70 Stat. 506; July 20, 1961, Pub.L. 87-88,
§ 8, 75 Stat. 210; renumbered § 11, and amended Oct. 2, 1965,
122.
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SOLID WASTE DISPOSAL ACT
Section 211(b)
(b) Each Executive agency which issues any license or permit
for disposal of solid waste shall, prior to the issuance of such
license or permit, consult with the Secretary to insure compliance
with guidelines recommended under section 3254c of this title
and the purposes of this chapter.
123.
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THE AIRPORT AND AIRWAYS DEVELOPMENT ACT
f ' • • • •»- ' • • *
§ 1712. National airport systems plan—Formulation
Consultation concerning environmental changes
(f) In carrying out this section, the Secretary shall consult with
and consider the views and recommendations of the Secretary of
the Interior, the Secretary of Health, Education, and Welfare, the
Secretary of Agriculture, and the National Council on Environ-
mental Quality. The recommendations of the Secretary of the Inte-
rior, the Secretary of Health, Education, and Welfare, the Secre-
tary of Agriculture, and the National Council on Environmental
Quality, with regard to the preservation of environmental quality,
shall, to the extent that the Secretary of Transportation deter-
mines to be feasible, be incorporated in the national airport sys-
tem plan.
* * * * * * *
Pub.L. 91-258, Title I, § 13, May 21,1970, 84 Stat. 224.
§ 1716. Project applications for airport development—Submis-
sion
• •*«***
Approval
(c) (1) All airport development projects shall be subject to the
approval of the Secretary, which approval may be given only if he
is satisfied that—
(A) the project is reasonably consistent with plans (exist-
ing at the time of approval of the project) of planning agen-
cies for the development of the area in which the airport is
located and will contribute to the accomplishment of the pur-
poses of this subchapter;
(B) sufficient funds are available for that portion of the.
project costs which are not to be paid by the United States
under this subchapter;
(C) the project will be completed without undue delay;
(D) the public agency or public agencies which submitted
the project application have legal authority to engage in the
airport development as proposed; and
(E) all project sponsorship requirements prescribed by or
under the authority of this subchapter have been or will be
met.
No airport development project may be approved by the Secretary
with respect to any airport unless a public agency holds good title,
satisfactory to the Secretary, to the landing area of the airport or
124.
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the site therefor, or gives assurance satisfactory to the Secretary
that good title will be acquired.
(2) No airport development project n;ay be approved by the
Secretary which does not include provision for installation of the
landing aids specified in subsection (d) of section 1717 of this title
and determined by him to be required for the safe and efficient use
of the airport by aircraft taking into account the category of the
airport and the type and volume of traffic utilizing the airport.
(3) No airport development project may be approved by the
Secretary unless he is satisfied that fair consideration has been
given to the interest of communities in or near which the project
may be located.
(4) It is declared to be national policy that airport development
projects authorized pursuant to this subchapter shall provide for
the protection and enhancement cf the natural resources and the
quality of environment of the Nation, In implementing this policy,
the Secretary shall consult with the Secretaries of the Interior and
Health, Education, and Welfare with regard to the effect that any
project involving airport location, a major runway extension, or
runway location may have on natural resources including, but not
limited to, fish and wildlife, natural, scenic, and recreation assets,
water and air quality, and other factors affecting the environment,
and shall authorize no such project found to have adverse effect
unless the Secretary shall render a finding, in writing,' following a
full and complete review, which shall be a matter of public record,
that no feasible and prudent alternative exists and that all possi-
ble steps have been taken to minimize such adverse effect.
Hearings
(d) (1) No airport development project involving the location
"of an airport, an airport runway, or a runway extension may be
approved by the Secretary unless the public agency sponsoring the
project certifies to the Secretary that there has been afforded the
opportunity for public hearings for the purpose of considering the
economic, social, and environmental effects of the airport location
and its consistency with the goals and objectives of such urban
planning as has been carried out by the community.
(2) When hearings are held under paragraph (1) of this
'subsection, the project sponsor shall, when requested by the Secre-
tary, submit a copy of the transcript to the Secretary.
Air and water quality
(e) (1) The Secretary shall not approve any project application
for a project involving airport location, a major runway exten-
sion, or runway location unless the Governor of the State in which
125.
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snch project may be located certifies in writing to the Secretary
that there is reasonable assurance that the project will be located,
designed, constructed, and operated so as to comply with applica-
ble air and water quality standards. In any case where such stand-
ards have not been approved or where such standards have been
promulgated by the Secretary of the Interior or the Secretary of
Health, Education, and Welfare, certification shall be obtained
from the appropriate Secretary. Notice of certification or of re-
fusal to certify shall be provided within sixty days after the pro-
ject application is received by the Secretary.
(2) The Secretary shall condition approval of any such project
application on compliance during construction and operation with
applicable air and water quality standards.
* * » » ,. • * *
PobJL 91-268, Title I, § 16, May 21,1970, 84 Stat. 226.
126.
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EXECUTIVE ORDER 11*74
Dec. 23,1970,35 F.R. 19627
ADMINISTRATION OF REFUSE ACT PERMIT PROGRAM
By virtue of the authority vested in me as President of the
United States, and in furtherance of the purposes and policies of
section 13 of the Act of March 3, 1899, c. 425, 30 Stat. 1152 (33
U.S.C. 407), the Federal Water Pollution Control Act, as amended
(33 U.S.C. 1151 et. seq), the Fish and Wildlife Coordination Act,
as amended (16 U.S.C, 661-666c), and the National Environmen-
tal Policy Act of 1969 .(42 U.S.C. 4321-4347), it is hereby ordered
as follows:
Section 1. Refuse Act permit program. The executive branch
of the Federal Government shall implement a permit program
under the aforesaid section 13 of the Act of March 3,1899 (here-
inafter referred to as "the Act") to regulate the discharge of pol-
lutants and other refuse matter into the navigable waters of the
United States or their tributaries and the placing of such matter
upon their banks.
Sec. 2. Responsibilities of Federal agencies, (a) (1) The Secre-
tary shall, after consultation with the Administrator respecting
water quality matters, issue and amend, as appropriate, regula-
tions, procedures, and instructions for receiving, processing, and
evaluating applications for permits pursuant to the authority of
the Act.
(2) The Secretary shall be responsible for granting, denying,
conditioning, revoking, or suspending Refuse Act permits. In so
doing:
(A) He shall accept findings, determinations, and interpreta-
tions which the Administrator shall make respecting applicable
water quality standards and compliance with those standards in
particular circumstances, including findings, determinations, and
interpretations arising from the Administrator's review of State
or interstate agency water quality certifications under section
21 (b) of the Federal Water Pollution Control Act (84 Stat. 108).
A permit shall be denied where the cei-tification prescribed by sec-
tion 21 (b) of the Federal Water Pollution Control Act has been
denied, or where issuance would be inconsistent with any finding,
determination, or interpretation of the Administrator pertaining
to applicable water quality standards and considerations.
(B) In addition, he shall consider factors, other than water
quality, which are prescribed by or may be lawfully considered
under the Act or other pertinent laws.
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(3) The Secretary shall consult with the Secretary of the Inte-
rior, with the Secretary of Commerce, with the Administrator,
and with the head of the agency exercising administration over
the wildlife resources of any affected State, regarding effects on
fish and wildlife which are not reflected in water quality consid-
erations, where the discharge for which a permit is sought im-
pounds, diverts, deepens the channel, or otherwise controls or
similarly modifies the stream or body of water into which the dis-
charge is made.
(4) Where appropriate for a particular permit application, the
Secretary shall perform such consultations respecting environmen-
tal amenities and values, other than those specifically referred to
in paragraphs (2) and (3) above, as may be required by the Na-
tional Environmental Policy Act of 1969.
(b) The Attorney General shall conduct the legal proceedings
necessary to enforce the Act and permits issued pursuant to it.
Sec. 3. Coordination by Council on Environmental Quality.
(a) The Council on Environmental Quality shall coordinate the
regulations, policies, and procedures of Federal agencies with
respect to the Refuse Act permit program.
(b) The Council on Environmental Quality, after consultation
with the Secretary, the Administrator, the Secretary of the Inte-
rior, the Secretary of Commerce, the Secretary of Agriculture, and
the Attorney General, shall from time to time or as directed by the
President advise the President respecting the implementation of
the Refuse Act permit program, including recommendations re-
garding.any measures which should be taken to improve its admin-
istration.
Sec. 4. Definitions. As used in this order, the word "Secretary"
means the Secretary of the Army, and the word "Administrator"
means the Administrator of the Environmental Protection Agency.
RICHARD NIXON
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EXECUTIVE ORDER 11602
July 1,1971, 36 Fed. Reg. 12475
PROVIDING FOR ADMINISTRATION OF THE CLEAN Am ACT WITH
RESPECT TO FEDERAL CONTRACTS, GRANTS, OR LOANS
By virtue of the authority vested in me by the provisions of the
Clean Air Act, as amended (42 U.S.C. 1857 et seq.), and particular-
ly section 306 of that Act as added by the Clean Air Amendments
of 1970 (Public Law 91-604, approved December 31, 1970), it is
hereby ordered as follows:
Section 1. Policy. It is the policy of the Federal Government to
improve and enhance environmental quality. In furtherance of that
policy, the program prescribed in this Order is instituted to assure
that policy, the program prescribed in this Order is instituted to
assure that each Federal agency empowered to enter into contracts
for the procurement of goods, materials, or services and each
Federal agency empowered to extend Federal assistance by way of
grant, loan, or contract shall undertake such procurement and
assistance activities in a manner that will result in effective en-
forcement of the Clean Air Act (hereinafter referred to as "the
Act"),
Sec. 2. Designation of Facilities, (a) The Administrator of the
Environmental Protection Agency (hereinafter referred to as "the
Administrator") shall be responsible for the attainment of the
. purposes and objectives of this Order.
(b) In carrying out his responsibilities under this Order, the
Administrator shall, in conformity with all applicable requirements.
of law, designate facilities which have given rise to a conviction
for an offense under section 113 (c) (1) of the Act. The Administra-
tor shall, from time to time, publish and circulate to all Federal
agencies lists of those facilities, together with the names and
addresses of the persons who have been convicted of such offenses.
Whenever the Administrator determines that the condition which
gave rise to a conviction has been corrected, he shall promptly
remove the facility and the name and address of the person con-
cerned from the list.
Sec. 3. Contracts, Grants, or Loans, (a) Except as provided in
section 8 of this Order, no Federal agency shall enter into any con-
tract for the procurement of goods, materials, or services which is
to be performed in whole or in part in a facility then designated by
the Administrator pursuant to section 2.
(b) Except as provided in section 8 of this Order, no Federal
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»g«ncy authorized to extend Federal assistance by way of giant,
loan, or contract shall extend such assistance in any case in which
it is to be used to support any activity or program involving the
use of a facility then designated by the Administrator pursuant
to section 2.
Sec. 4. Procurement, Grant, and Loan Regulations. The Federal
Procurement Regulations, the Armed Services Procurement Regu-
lations, and, to the extent necessary, any supplemental or compara-
ble regulations issued by any agency of the Executive Branch shall,
following consultation With the Administrator, be amended to
require, as a condition of entering into, renewing, or extending any
contract for the procurement of goods, materials, or services or
extending any assistance by way of grant, loan, or contract, inclu-
sion of a provision requiring compliance with the Act and stand-
ards issued pursuant thereto in the facilities in which the contract
is to be performed, or which are involved in the activity or program
to receive assistance.
Sec. 5. Rules and Regulations. The Administrator shall issue such
rules, regulations, standards, and guidelines as he may deem neces-
sary or appropriate to carry out the purposes of this Order.
Sec. 6. Cooperation and Assistance. The head of each Federal
agency shall take such steps as may be necessary to insure that all
officers and employees of his agency whose duties entail compliance
or comparable functions with respect to contracts, grants, and
loans are familiar with the provisions of this Order. In addition to
any other appropriate action, such officers and employees shall re-
port promptly any condition in a facility which may involve non-
compliance with the Act or any rules, regulations, standards, or
guidelines issued pursuant to this Order to the head of the agency,
Who shall transmit such report to the Administrator.
Sec. 7. Enforcement. The Administrator may recommend to the
Department of Justice or other appropriate agency that legal pro-
ceedings be brought or other appropriate action be taken whenever
he becomes aware of a breach of any provision required, under the
amendments issued pursuant to section 4 of this Order, to be
included in a contract or other agreement.
Sec. 8. Exemptions—Reports to Congress, (a) Upon a determi-
nation that the paramount interest of the United States so re-
quires—
(1) The head of a Federal agency may exempt any contract,
grant, or loan, and, following consultation with the Administrator,
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any class of contracts, grants or loans from the provisions of this
Order. In any such case, the head of the Federal agency granting
such exemption shall (A) promptly notify the Administrator of
such exemption and the justification therefor; (B) review the
necessity for each such exemption annually; and (C) report to the
Administrator annually all such exemptions in effect. Exemptions
granted pursuant to this section shall be for a period not to exceed
one year. Additional exemptions may be granted for periods not
to exceed one year upon the making of a new determination by the
head of the Federal agency concerned.
(2) The Administrator may, by rule or regulation, exempt any
or all Federal agencies from any or all of the provisions of this
Order with respect to any class or classes of contracts, grants, or
loans which (A) involve less than specified dollar amounts, or (B)
have a minimal potential impact upon the environment, or (C)
involve persons who are not prime contractors or direct recipients
of Federal assistance by way of contracts, grants, or loans.
(b) Federal agencies shall reconsider any exemption granted
under subsection (a) whenever requested to do so by the Adminis-
trator.
(c) The Administrator shall annually notify the President and
the Congress of all exemptions granted, or in effect, under this
Order during the preceding year.
Sec. 9. Related Actions. The imposition of any sanction or penalty
under or pursuant to this Order shall not relieve any person of any
legal duty to comply with any provision of the Act.
Sec. 10. Applicability. This Order shall not apply to contracts,
grants, or loans involving the use of facilities located outside the
United States,.
JRlCHARD NIXON
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.1 US— STATS
ACTIVITIES REQUIRING A
LICENSE OR PERMIT
Subpart A— General
Sec.
115.1 Definitions.
116.2 . Contents of certification.
11841 , Contents of application.
SoCipcrt 8— Determination of Effect on Ofhc?
Staloo
118.11 Copies of documents.
110.12 Supplemental Information. .
116.13 Review by Regional Administrate?
and notification.
119.14 Porwardlng to affected State.
119.19 Roarings on objection of affected
State.
116.16 Waiver.
Sdbpcrt C — Certification by the Administrate?
11051 When Administrator certifies.
118.33 Applications.
11B.SS) Kotice of hearing.
210.23 Cartlflcatlon.
118.23 Adoption of new water quality
standards.
118.S3 Inspection of facility or activity bo-
fore operation.
119.37 notification to licensing or permit*
ting agency.
11850 Termination of suspension.
Subpart D— Consultations
115.30 Review and advice.
AUTHORITY: The provisions of this Port
116 issued under sees. 21 (b) and (c), S3
Stot. 91; 33 D.S.C. 1171 (b) (1970); Reorgcai*
cation Plan No. 8 of 1970.
Subpart A — General
Definitions.
As used In this part, the
terms shall have the meanings Indicated
(a) "License or permit" means aray
license or permit granted by an agency
of the Federal Government to conduct
any activity which may srasulfc fa
discharge into the saovlgaWe wotere
the United Stateo.
A statement that there is a rea-
csaable assurance that the activity .will
&) conducted in a manner which will not
applicable water quality
mit to iaaiude to S&o ?
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§ 115.14 Forwarding to affected Stulr.
The Regional Administrator shall for-
ward to each affected State a copy of the
material provided in accordance with
5115.11.
§ 115.15 Hearings on objection of af.
fccletl Stale.
When a licensing or permitting agency
' holds a public hearing on the objection of
! an affected State, notice of such objec-
j tion, including the grounds for such ob-
jection, shall be forwarded to the Re-
! gional Administrator by the licensing or
' permitting agency no later than 30 days
prior to such hearing. The .Regional
Administrator shall at such hearing sub-
mit his evaluation with respect to such
objection and his recommendations as
to whether and under what conditions
the license or permit should be issued.
§ 115.16 Waiver.
The certification requirement with re-
spect to an application for a license or
. permit shall be waived upon:
(a) Written notification from the
State or interstate agency concerned
that it expressly waives its authority to
act on a request for certification;- or .
(b) Written notification from the
licensing or permitting agency to the
Regional Administrator of the failure of
the State or interstate agency concerned
to act on such request for certification
within a reasonable period of time after
receipt of such request, as determined by
the licensing or permitting agency
(which period shall generally be con-
sidered to be 6 months, but in any event
shall not exceed 1 year).
In the event of a waiver hereunder, the
Regional •Administrator shall consider
such waiver as a substitute for a certifi-
cation, and as appropriate, shall conduct
the review, provide the notices, and per-
form the other functions identified in
sections 115.13. 115.14. and 115.15. The
notices required by section 115.13 shall be
provided not later than 30 days after
the date of receipt by the Regional Ad-
ministrator of either notification referred
to herein.
Subpart C—Certification by the
Administrator1
§ 115.21 When Administrator certifies.
Certification by the Administrator that
the discharge resulting from an activity
requiring a license or permit will not
violate applicable water quality stand-
ards will be required where:
(a) standards have been promulgated.
. in whole or in part, by the Administrator
pursuant to section 10(c) (2) of the
Act: Provided, however^ That the Admin-
istrator will certify compliance only with
respect to those water quality standards
promulgated by him; or
(b) Water quality standards have been
established, but no State or interstate
agency has authority to give such a
certification.
§ 115.22 Applications.
An applicant for certification from the
Administrator shall submit to the Re-
gional Administrator a complete descrip-
tion of the discharge involved in the ac-
tivity for which certification is sought,
with a request for certification signed
by the applicant. Such description shall
include the following:
(a) The name and address of the ap-
plicant;
(b) A description of the facility or ac-
tivity, and of any discharge into naviga-
ble waters which may result from the
conduct of any activity including, but
not limited to, the construction or op-
eration of the facility, including the bio-
logical, chemical, thermal, and other
characteristics of the discharge, and the
location or locations at which such dis-
charge may enter navigable waters;
(c) A description of the function and
operation of equipment or facilities to
treat wastes or other effluents which may
be discharged, including specification of
the degree of treatment expected to be
attained;
(d) The date or dates on which the
activity will begin and end, if known,
and the date or dates on which the dis-
charge will take place;
(e) A description of the methods and
means being used or proposed to monitor
the quality and characteristics of the dis-
charge and the operation of equipment
or facilities employed in the treatment.
or control of wastes or other effluents.
§ 115.23 Notice and hearing.
The Regional Administrator will pro-
vide public notice of each request for
certification by mailing to State, County,
andmunicipal authorities, heads of State
agencies responsible for water quality
improvement, and .other parties known
to be Interested in the matter, including
adjacent property owners and conserva-
tion organizations, or may provide such
' notice in a newspaper of general cir-
dilation in the area in which the activity
is proposed to be conducted if the Re-
gional'Administrator deems mailed no-
tice to be impracticable. Interested par-
. ties shall be provided an opportunity to
comment on such request in such manner
as the Regional Administrator deems ap-
. propriate. All Interested and affected
parties will be given reasonable oppor-
tunity to present evidence and testimony
at a public hearing on the question
whether to grant or deny certification
if the Regional Administrator determines
that such a hearing is necessary or
appropriate.
§ 115.24 Certification.
If, after considering the complete de-
scription, the record of a hearing, if any,
held pursuant to § 115.23, and such other
Information and data as the Regional
Administrator deems relevant, the Re-
pional Administrator determines that
there is reasonable assurance that the
proposed activity will not result in a
violation of applicable water quality
- standards, he shall so certify. If the
Regional Administrator determines that
no water quality standards are appli-
cable to the waters which might be
affected by the proposed activity, he shall
so notify the applicant and the licens-
ing or permitting agency in writing and
shall provide the licensing or permitting
agency with advice, sugcestions, and
recommendations with respect to con-
ditions to be incorporated in any license
or permit to achieve compliance with
the purpose of this Act. In such case, no
certification shall be required.
§ 115.25 Adoption of new water quality
standards.
(a) -In any case where:
(1) A license or permit was issued
without certification due to the absence
of applicable water quality standards;
and
(2) Water quality standards appli-
cable to the waters into which the
licensed or permitted activity may dis-
charge are subsequently established;
and
(3) The Administrator is the certify-
ing agency because:
(i) No State or interstate agency has
authority to certify; or
(11) Such new standards were promul-
gated by the Administrator pursuant to
section 10(c) (2) of the Act>£nd
(4) The Regional Administrate: de-
termines that such uncertified activity
is violating water quality standards;\
Then'the Regional Administrator shahs
notify the licensee or permittee of such*
violation, including his recommenda-
tions as to actions necessary for com-
pliance. If the licensee or permittee fails
within 6 months of the date of such
notice to take action which in the opin-
ion of the Regional Administrator will
result in compliance with applicable
water quality standards, the Regional
Administrator shall notify the licensing
or permitting agency that the licensee
or permittee has failed, after reasonable
notice, to comply with such standards
and that suspension of the applicable
license or permit is required by section
2Kb) (9)03) of the Act.
(b) Where a license or permit is sus-
pended pursuant to paragraph (a) of
this section, and where the licensee or
permittee subsequently takes action
which in the Regional Administrator's
opinion will result in compliance with
applicable water quality standards, the
Regional Administrator shall then notify
the licensing or permitting agency that
there Is reasonable • assurance that the
licensed or permitted activity win com-
ply with applicable water /quality
standards.
§ 115.26 Inspection of facility or activ-
ity before operation.
Where any facility or activity has re-
ceived certification pursuant to ( 115.24
in connection with the issuance of a
license or permit, for construction, and
where such facility or activity is not re-
quired to obtain an operating license or
permit, the Regional Administrator or
his representative, prior to the initial-
operation of such facility or activity,
shall be afforded the opportunity to in-
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spect such facility or activity for the pur-
pose of determining if the manner in
which such facility or activity will be
operated or conducted will violate ap-
plicable water quality standards.
{ 115.27 Notification to licensing or per-
mitting agency.
If the Regional Administrator, after an
l.ispection pursuant to § 115.26, deter-
mines that operation of the proposed
facility or activity will violate applicable _
water quality standards, he shall so no-
tify the applicant and the licensing or
permitting agency, including his recom-
mendations as to remedial measures
necesssry to bring the operation of the
proposed facility into compliance with
such standards.
§ 115.23 Termination of suspension.
Where a licensing or permitting
agency, following a public hearing, sus-
pends a license or permit after receiving
the Regional Administrator's notice and
recommendation pursuant to § 115.27,
the applicant may submit evidence to the
Regional Administrator that the facility
or activity or the operation or conduct
thereof has been modified so as not to
violate water quality standards. If the
Regional Administrator determines that
water quality standards will not be vio-
lated, he shall so notify the licensing or
permitting agency.
Subpart D—Consultations
§115.30 Review and advice.
The Regional Administrator may, and
upon request shall, provide licensing and
permitting agencies with determinations,
definitions and Interpretations with rer
spect to the meaning and content of
water quality standards where they have
been federally approved under section
10 of the Act, and findings with respect
to the application of all applicable water
quality standards in particular cases and
In specific circumstances relative to an
activity for which a license or permit is
sought. The Regional Administrator may,
and upon request shall, also advise li-
censing and permitting agencies .as to
the status of compliance by dischargers,
with the conditions and requirements of
applicable water quality standards. In
cases where an activity for which a li-
cense or permit is sought will affect
water quality, but for which there are
no applicable water quality standards,
the Regional Administrator may advise •
licensing or permitting agencies with re-
spect to conditions of such license or
permit to achieve compliance with the
purpose of the Act.
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