FEDERAL ACTIVITIES STRATEGY PAPER
[a [a [a [a [a [a [a [a [a [a [a [a
A
STATEMENT OF POLICY
CONCERNING
THE ASSESSMENT OF THE ENVIRONMENTAL
IMPACT OF PROPOSED MAJOR FEDERAL ACTIONS,
THE ABATEMENT AND CONTROL OF POLLUTION AT
FEDERAL FACILITIES, AND POLLUTION ABATEMENT
THROUGH FEDERAL CONTRACTS, GRANTS AND LOANS
OFFICE OF FEDERAL ACTIVITIES
U.S. ENVIRONMENTAL PROTECTION AGENCY
Washington, DC 20460
July 31, 1974
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
July 31, 1974
OFFICE OF THE
ADMINISTRATOR
TO: All Participants in Federal Efforts to Control
Pollution and Enhance the Environment
Federal leadership in the control of pollution ,
and enhancement of the environment continued to develop
in a number of significant ways during the past year.
With respect to the control of pollution from Federal
facilities, the President issued Executive Order 11752
in order to improve and centralize agency efforts.
In support of this program, the President has proposed
an increase of $51 million to a total of $321 million
in his 1975 Budget.
In the area of Federal agreements, Executive Order
11738 expanded the Federal policy of not awarding
contracts, grants, or loans to polluters.
The volume of environmental impact statements
completed and reviewed has continued to increase. The
Council on Environmental Quality revised its guidelines
for implementing the National Environmental Policy Act.
The Environmental Protection Agency is committed to a
strengthened effort in the development of environmental
assessments and is voluntarily preparing environmental
impact statements on regulatory actions.
EPA programs designed to discharge responsibilities
in these areas are described in this Federal Activities
Strategy Paper. This Agency has found that strategy
papers are useful tools in managing our programs. They
help the program offices establish annual program objectives,
allocate resources in support of these objectives, and
regularly report on their achievement. We realize that
we may encounter problems now only dimly perceived; however,
there is flexibility in the strategy paper to adjust to
these circumstances through periodic revisions. It is
a presentation of our best thinking at this time.
-------
2.
I hope that it will help each of us involved in
these efforts to achieve our goals of a clean and healthy
environment for America.
Si
-------
I
INTRODUCTION
The Office of Federal Activities (OFA) manages three
national programs for the Environmental Protection Agency
(EPA). Most of the other Headquarters Offices as well as
all of the Regional Offices have responsibilities for the
proper implementation of these three programs. OFA
formulates policies and procedures for this implementation,
monitors the Agency's performance, exercises technical
supervision over the responsible components, and performs
general liaison with other Federal agencies to facilitate
the achievement of the program goals.
Through a series of Congressional Acts, Presidential
Executive Orders, and Court decisions, the Federal govern-
ment has repeatedly stated its determination to protect
the health and welfare of the American people by protecting
the natural environment. EPA has been given this mission.
The Federal government has chosen to lead the way toward
enhanced environmental quality.
OFA is responsible for managing three of the Federal
programs designed to exercise this environmental leadership.
They are described briefly in this introductory section and
are explained in more detail in the following sections.
The first of these programs, Environmental Impact
Assessment, was established by the National Environmental
Policy Act (NEPA) and expanded by Section 309 of the
Clean Air Act. The Council on Environmental Quality is
the lead agency for the Federal government in the
implementation of NEPA and assists EPA in implementing
Section 309. EPA's responsibilities in these areas are
significant, and OFA is the lead office for EPA. The
Administrator must review and comment in writing on the
environmental impact of any matter proposed by a Federal
agency relating to any of his statutory duties and
responsibilities. This includes all proposed major
Federal actions which would have a significant impact on
the environment as well as all legislation and regulations
proposed by any Federal department or agency.
-------
Office of Federal Activities
Strategy Paper
-------
2.
EPA must not only review the actions of other
Federal agencies, but it must also comply itself with
NEPA in some of its actions. OFA is responsible for
coordinating both the review of actions proposed by other
Federal agencies and the formulation of regulations and
guidelines for ensuring that EPA complies with NEPA. The
goal of the Environmental Assessment Program is to assure
that Federal actions are executed in the most environmentally
sound manner. To this end, EPA should either induce beneficial
changes in potentially harmful projects or deter them
altogether.
The second OFA program concerns the environmental
impact of Federal facilities. Executive Order 11752 of
December 17, 1973, directs the heads of all Federal agencies
to ensure that all facilities under their jurisdiction
are designed, constructed, managed, operated, and
maintained so as to conform to all applicable environmental
standards, guidelines, rules, regulations, and require-
ments.
Although all Federal agencies must comply with
Federal, State, interstate, and local substantive standards
and limitations for the prevention of environmental
pollution, they are not required to comply with State
or local administrative procedures with respect to
pollution abatement and control.
E.O. 11752 requires the Administrator of EPA to
review and facilitate the compliance of all other
Federal agencies with these standards. OFA's Federal
Facilities Program provides the framework for discharging
these responsibilities. The goal of this program is
to have all Federal facilities in full compliance with
applicable environmental standards, limitations, and
regulations.
The third OFA program supports the Federal ..government' s
determination to avoid doing business with firms that
are polluting the environment. Executive Order 11738 of
September 10, 1973, instituted a program to assure that
all Federal agencies refrain from contracting with or
extending assistance to those operating any facility
which is polluting the air or water.
The Administrator of EPA is responsible for attaining
the purposes and objectives of E.O. 11738, and OFA
manages this program. The goal of the Federal Agreements
Program is to induce the operators of all facilities,
-------
3.
which are prospective recipients of Federal contracts,
grants and loans, to comply with applicable environmental
standards and regulations. To this end, OFA will
compile and publish a list of ineligible facilities and
will review the compliance of all Federal agencies with
the provisions of E.G. 11738.
For the ready reference of the reader, copies of
NEPA, Section 309, E.O. 11752, and E.G. 11738 are
appended to this Strategy Paper.
-------
4.
II
ENVIRONMENTAL IMPACT ASSESSMENT PROGRAM
A. Legislative Mandate;
Section 102(2)(C) of the National Environmental
Policy Act of 1969 (NEPA) requires that all Federal
agencies proposing major actions significantly affecting
the quality of the human environment prepare a detailed
statement of these environmental affects and consult
with other agencies having jurisdiction by law or
special expertise over such environmental considerations.
Section 309 of the Clean Air Act, as amended,
authorizes EPA to review and comment in writing on the
environmental impact of any matter relating to the
duties and responsibilities of the Administrator, contained
in any: (1) legislation proposed by a Federal department
or agency, (2) newly authorized Federal projects for
construction to which Section 102 (2) (C) of NEPA applies,
and (3) proposed regulations published by a department
or agency of the Federal Government. Such written
comment must be made public at the conclusion of any
review. In the event such legislation, action or
regulation is determined to be unsatisfactory from
the standpoint of public health, welfare, or
environmental quality, the determination will be
published and the matter referred to the Council on
Environmental Quality.
EPA has consolidated its NEPA review and Section
309 review into a single advisory review of the draft
environmental impact statement (EIS). EPA also reviews
the final EIS to ascertain whether the proposed project
is unsatisfactory from the standpoint of public health,
welfare, or environmental quality and, therefore,
should be referred to CEQ. Criteria for making such
determinations include whether the proposed action would
result in a probable violation of environmental standards
or regulations, or whether serious environmental damage
would result where mitigating alternatives are readily
available.
In addition, Section 309 requires that EPA review
Federal agency proposed regulations (coordinated by
OFA); and proposed legislation (coordinated by Office
of Legislation). It also provides authority to review all
other actions affecting the environment, including
the issuance of Federal licenses and permits.
-------
5.
EPA is also required to assess the impact and prepare
statements on certain major actions it proposes to take
in the interest of environmental quality. It is essential
that our solutions to existing problems not cause new
problems for the environment. These major actions include:
awarding grants for wastewater treatment facilities and
issuing permits for new sources of effluent discharge. In
addition EPA will also voluntarily prepare environmental
impact statements on certain regulatory actions.
-------
6.
B. Program Components:
1. Policies, Procedures, and Guidelines;
EPA Manual 1640.1 of November 30, 1972, establishes
the policies, procedures, and responsibilities for the
Agency's review of Federal actions impacting the
environment. It rests management of this program in
OFA, establishes a decentralized principal reviewer
system for the review of these actions, and sets forth
a system for rating draft EIS's as to both the
environmental impact of the proposed action and the
adequacy of the impact statement. OFA monitors the
performance of the principal reviewers.
OFA also develops substantive guidelines to aid
principal reviewers in the preparation of their
written comments on EIS's. These guidelines are intended
to serve as supplements to EPA Manual 1640.1 and
existing assessment techniques. Guidelines for
highway projects have been issued, and guidelines
are currently being prepared for the following
categories of projects: nuclear power plants,
airports, multipurpose water resource projects
(impoundments), and stream channelization. Guidelines
will also be developed for transportation system
planning, energy conservation, and energy development.
These guidelines should help improve the quality
of EIS reviews and the understanding of how the
EIS review process best fits into other reviews
and follow-up on a given action. OFA is also available
for general systems management and case-by-case
assistance on significant EIS's. Other headquarters
program offices also provide technical assistance
when needed.
2. Review of Proposed Federal Agency Regulations
or Other Actions Impacting the Environment;
Since April 1973 EPA has systematically engaged in
the review of proposed Federal agency regulations
impacting the environment including those regulations
where an EIS has not been prepared. This effort is
coordinated by OFA, and consists mostly of headquarters'
inputs. EPA reviews and comments upon approximately
seven Federal agency proposed regulations per month,
after a preliminary screening of all regulations published
in the Federal Register.
-------
7.
The Agency also reviews other Federal agency actions
impacting the environment, where no EIS has been prepared.
Where EPA believes an EIS should be prepared the
regional or headquarters office most concerned will
request this of the proposing agency. Where the Federal
agency responsible for the action determines no EIS
should be prepared, EPA within its discretion may comment
on the environmental impact of the proposed action
pursuant to our Section 309 authorities.
3. Special Studies:
OFA and the Regional offices have been providing
on an ad hoc basis and within limited resources available,
technical assistance on major projects such as trans-
Alaska Pipeline, oil shale exploitation, Southwest Energy
projects, North Central Plain Coal development and
others. OFA's role is generally to identify the need
for such involvement and prepare action documents to
initiate appropriate EPA participation. The technical
study inputs are usually accomplished by the'regions, ORD,
or the headquarters program offices, depending on the.
availability of the needed technical expertise.
4. EPA's Review of Environmental Impact Statements
EPA must comment on all draft EIS's received from
other Federal agencies, and EPA's regions are the principal
reviewers for almost all EIS's. EPA reviews and
comments on approximately 1500 draft and 500 final EIS's
annually, the majority of this effort being performed
in the regional offices with OFA providing guidance,
assistance, and decisions when necessary.
OFA maintains continuous data management for
the EIS process, recording progress of the review and
publishing a biweekly report on the reviews in the
Federal Register.
It is very important that EPA's reviews of these
EIS's be timely and effective. "Timely" draft EIS
reviews are self-explanatory: EPA issues its comments
on an EIS by the due date established. The due date
is normally 45 days after CEQ publishes its notice
of receipt of the EIS in the Federal Register. In
some cases the agency may set a different due date in
its letter of transmittal and EPA may occasionally
obtain an extension from the agency that moves the
-------
8.
due date. If an extension has been obtained, and
reported to OFA pursuant to guidance in 1640.1, the
review is not overdue until the extended due date
has passed.
EPA's goal for FY 1975 is to maintain and improve
its FY 1974 performance in providing timely comments
on draft EIS's, so that at least 90% of the draft
EIS's under review are reviewed on time, and no comment
is more than 30 days late.
"Effective" EIS reviews are somewhat more difficult
to define. Generally, reviews can be considered effective
when they: (1) are expressed in consecutive language
that is pertinent to the particular action; (2) add
EPA support for projects having a beneficial impact
on the environment; (3) point out specific environmental
problems that a proposed action might cause and, if
possible, specify the environmental requirements that
must be met and the means by which a more environmentally
satisfactory project can be attained; (4) are part of
a continued working relationship with the originating
agency to improve project planning and design processes;
(5) focus sharply on environmentally unsatisfactory
actions, and provide substance for follow-up work
with the agency to deter the project until environmentally
satisfactory actions can be worked out.
An important means of making EPA's reviews timely
and effective is pre-submission liaison between EPA and
the other agencies. The House Appropriations Subcommittee
has charged that EPA's reviews were often delayed and
not competent because of lack of knowledge about the
programs on which EIS's were being written. Consequently,
each region was provided one extra man-year for FY 1974
to improve the EIS review performance, particularly to
strengthen our ability to interact with Federal agencies
at the pre-EIS stage. This extra man-year is added to
the EIS Review Program's FY 1975 base. The committee
stressed specifically that it expected EPA to review
EIS's on projects under construction (that were stopped
for preparation of EIS's) within 10 days. EPA's goal
is to accomplish pre-EIS liaison on at least 50% of
the projects for which a draft EIS is submitted during
FY 1975.
Pre-Submission Liaison consists of the following
categories of activity:
-------
9.
(1) Review of an applicant's environmental report or pre-
draft EIS prior to receiving an EIS, if_ such is substantive
and adequate to identify areas of particular concern to EPA
and if areas of concern where the preliminary analyses are
deficient are pointed out to the sponsoring Federal agency;
(2) Attendance at Federal agency meetings where the action
is described and the EPA official has the opportunity to
assess the importance of the action and to provide any
input necessary to the sponsoring agency to identify EPA
areas that need to be considered in the EIS;
(3) Substantive discussion with the Federal agency of a
proposed action;
(4) Providing to the Federal agency background materials
for use in developing an EIS, to the extent that this
assistance is related to a specific EIS;
(5) Review of former EPA (pre-EIS) program files on a
proposed action, specifically, review of a watershed work
plan or water resource project report, and assessment
of the extent to which the project or EPA's views may
have changed since the original review was made.
Site visits are not a mandatory aspect of pre-EIS liaison,
but the Regional Offices are encouraged to conduct
them when a project presents a significant potential
for environmental disruption to a valuable natural
area or is likely to have an unsatisfactory impact on
the environment.
Priority is to be given to pre-EIS liaison on projects
under construction that are stopped so that an EIS
can be prepared and to projects of the Bureau of
Reclamation (DOI), Corps of Engineers, Soil Conservation
Service (DOA), Department of Transportation, and
Tennessee Valley Authority.
The CEQ guidelines established a requirement that
Federal agencies provide lists of projects on which EIS's
are being prepared (updated semi-annually). OFA is
requesting all agencies to send EPA a copy of their lists,
and these lists will be transmitted immediately to the
regional EIS review staffs by OFA. OFA also assists
the regional offices in conducting pre-EIS liaison by
consulting with headquarters of particular agencies,
and by acquiring pertinent Washington-generated materials
that may not otherwise be available to a region. The
Office of Radiation Programs regularly reviews.the
nuclear power plant applicants' EIS's, and can assist
-------
10.
regions on discussing particular plants with the Atomic
Energy Commission.
Follow-up liaison between submission of EPA's
comments on the draft EIS and submission of the final
EIS is another significant activity. The goal is to
assure that all projects rated "EU" (environmentally
unsatisfactory) or "ER" (environmental reservations)
and all statements rated "3" (inadequate information)
at the draft stage are changed enough by the final
stage so that they are environmentally acceptable.
Guidance for follow-up is contained in EPA Manual
1640.1. Depending on the significance of the environmental
problems which EPA raised in its draft EIS comments,
follow-up may consist simply of:
(1) reviewing the final EIS on a project, or it may ,
involve meetings with the originating agency and
other concerned organizations;
(2) supplying data, interpreting environmental
regulations or other technical assistance to the
originating agency;
(3) attending public hearings and making site .
visits;
(4) reviewing and commenting informally on preliminary
parts of the final EIS.
If liaison and assistance fail to improve project
planning and design sufficiently, EPA must express its
concerns again at the final EIS stage. A comment
letter expressing problems about which EPA has
"environmental reservations" also entails preparation
of a substantiating action memorandum and a letter
notifying CEQ of the problem. A comment letter
expressing EPA's determination that a proposed action
is "environmentally unsatisfactory" entails preparation
of an action memorandum and a "309 referral" letter
to CEQ. Further follow-up would be directed by headquarters
on a case-by-case basis.
5. Review of Proposed Federal Permits and Licenses;
The Federal government issues numerous permits or
licenses for developments such as mining, timber
harvesting, grazing, recreation and solid waste disposal
on public lands, oil and gas leasing on the Outer
Continental Shelf, work in navigable waters, construction
-------
11.
of bridges, licenses to construct and operate reservoirs
and nuclear power plants, and other activities. These
permitting activities are "actions" which EPA may review
for environmental acceptability under Section 309 of the
Clean Air Act.
Most of these programs come under EPA scrutiny
when a proposed action would be major and significant
in terms of environmental impact, thus causing the
permitting agency to prepare an environmental impact
statement. EIS's are routinely prepared for all nuclear
power plants, FPC-licensed reservoirs, OCS oil and gas
leasing, and major mining projects on Federal lands.
However, EIS's are less routinely written on dredging
permits, timber sales, and permits for the use of
public lands. Thus far, EPA has not had resources
to devote to studying permitting practices such as
enforcement of stipulations to protect the environment,
nor has it been able to study systematically agency
regulations in force. The NEPA process, however,
has induced agencies to write programmatic EIS's on
their land management and permitting programs.
EPA's regional offices have worked their field
counterparts in the permitting agencies to strengthen
environmental management in the permitted activities.
Examples are: Region X's liaison with the Forest
Service to improve the environmental stipulations
in USFS's timber contracts; Region I's liaison
with the Corps of Engineers on using Section 10
dredging permits as a means of obtaining environmental
reviews and EIS's on new fossil fuel generating
facilities; and Region VIII's work with the Interior
Department on stipulations for oil shale leases on
public land.
The Corps of Engineers Section 10 dredging permit
program involves thousands of projects that have little
environmental impact; however, Section 10 permits are
often the only means of exercising Federal influence
on major construction activities. Much development
in coastal regions involving dredging that can have
a major adverse impact on navigable waters and wetlands,
and the EPA regions which have coastal areas to protect
are particularly active in reviewing Corps of Engineers
permit notices.
The Corps of Engineers has integrated its Section
10 program with its dredge or fill disposal permit program
under Section 404 of the Federal Water Pollution Control
-------
12.
Act, as amended, and its dredge spoil disposal permit
program in ocean waters under Section 103 of the Marine
Protection, Research, and Sanctuaries Act. But most
of EPA's Regional Offices have not yet integrated their
review of these 3 programs. Within headquarters, OFA
and the Office of Water Programs share responsibility
for overseeing these reviews.
6. EPA's Preparation of Environmental Impact Statements
EPA must comply (consistent with relevant court decisions)
with the requirements of NEPA, Section 309 of CAA, and
Section 5ll of FWPCA. EPA must prepare impact statements on
the following types of actions when these actions may
significantly affect the environment: wastewater treatment
works, new source discharge permits, certain research and
development actions, actions of the solid waste management
program, and construction or modification of special purpose
facilities. Interim procedures dated January 17, 1973, are
in effect for all of these actions except new source permits.
Procedures for the latter are under preparation.
NEPA must be complied with in a timely fashion. This
means that either a final EIS or a negative declaration must
be prepared before EPA can take an administrative action. The
NEPA procedures need be applied only once to a particular
project provided it does not change significantly over time.
In the construction grants program, where most of
our statements are prepared, when a facilities plan has been
received, the NEPA process must be completed prior to
approval of the facilities plan. If a facilities plan
is not required the NEPA process must be completed prior
to awarding a Step II grant.
The Administrator has recently announced in a statement
of policy appearing in the Federal Register on May 7, 1974, that
EPA will voluntarily prepare EIS's on certain of its
environmental regulatory activities, even though it is not
legally bound to do so by section 102 (2)(c) of NEPA.
Procedures for these activities are now under preparation.
EPA should not only police the performance of other
Federal agencies; it should also ensure that the EIS's it
prepares set a good example.
Ill
FEDERAL FACILITIES PROGRAM
A. Legislative Mandate;
-------
13.
Executive Order 11752 of December 17, 1973 established
as policy the goal for the Federal Government to provide
leadership in the prevention of environmental pollution
by seeing to it that all Federal facilities comply fully
with applicable environmental standards. Prior to, E.G.
11752, EPA's Federal facility program encompassed only
the air and water media, but it now has the additional
dimensions of noise, solid waste, marine sanctuaries,
pesticides, and NEPA. Furthermore, EPA is responsible
for monitoring Federal agencies' pollution abatement
and control programs. OMB Circular A-78/A-81 is being
revised to include these additional environmental
responsibilities.
With the signing of E.O. 11752, EPA was assigned
a stronger role in the imp 1 erne ntatixm of the Federal
facilities program. In particular, EPA shall maintain
review of Federal facilities compliance with the
various environmental standards and develop, in
consultation with OMB and the heads of other Federal
agencies, a coordinated strategy for Federal facility
compliance with applicable standards, which incorporates
common procedures for an integrated approach to
Federal agencies with such standards, and issue such
regulations and guidelines as are deemed necessary
to facilitate implementation of that strategy and
to provide a framework for coordination and cooperation
among EPA, the other Federal agencies, and the State,
interstate and local agencies.
B. Background
There are over 20,000 Federal installations located
throughout the country. Almost 1800 are considered
to be major installations (over 1000,000 square feet of total
floor area). These facilities present a wide range of
environmental problems covering every form of pollution.
Available data indicates that ninety percent of Federal
facilities comply with air quality standards, over
seventy-five percent met water quality standards prior
to the implementation of PL 92-500, and Federal sources
of pollution contribute less than five percent of the
total pollution occurring in the United States. However,
in some states, such as Alabama and Tennessee where
the Tennessee Valley Authority has many large power
plants, the Federal sources are the worst polluters.
Since 1966, the Federal Government has stressed
an environmental control program for its own facilities;
nowever, until the passage of the Clean Air Act in 1970
and the Federal Waste Pollution Control Act Amendments
-------
14.
in 1972, the strongest mechanism available was Executive
Order 11507, which was signed by President Nixon on
February 4, 1970. This Executive Order permitted each
Agency of the Federal Government to attack pollution
as it saw fit. OMB, with some EPA help, provided an
overview of the program. Using this Executive Order
as a mandate, the Federal Government organized to
clean up its air and water pollution problems. As of
June 30, 1973, a total of 1,542 air and water pollution
abatement projects have been completed at Federal
installations at a cost of over 181 million dollars.
There are also 3,888 projects still under construction.
Funding requests to complete these projects amount to
over one billion dollars. These figures do not include
the almost one billion dollars various agencies plan to
spend to correct vessel pollution.
In general, the Federal laws under which EPA functions
assign primary responsibility to the States for the
implementation and enforcement of environmental standards.
Each State establishes its own procedures for monitoring
compliance. EPA normally enforces standards where the
States fail to do so.
Because of their sovereign immunity and past
traditions, many Federal agencies have been reluctant
to cooperate fully with State pollution control agencies.
As stated in Executive Order 11752, Federal facilities
must comply with the substantive standards and substantive
limitations of Federal, State, interstate and local
regulations, but they do not need to comply with State
or local administrative procedures.
In many cases, State pollution control agencies
have either ignored pollution from Federal facilities
because of the sovereign immunity question or have been
frustrated in their attempts to collect data from, or
inspect, Federal installations. Under Section 114 of
the Clean Air Act, the State has been delegated the
authority to carry out monitoring and inspection activities
at all existing sources, but not new Federal sources,
within its boundaries, and Section 308 (c) of the Federal
Water Pollution Control Act limits the States' activities
to all facilities except those owned or operated by
the Federal Government.
/
Because the States cannot assure that all abatement.
requirements are being met at Federal facilities and
that Federal agencies are complying with pollution
control statutes, the responsibility for assuring
compliance by Federal agencies has fallen to EPA
-------
15.
as the single, independent, impartial agency of the
Executive Branch responsible for environmental protection.
The basic question at hand is not whether the
Federal Government will comply with the various standards
for pollution abatement, but what is the most effective
procedural manner for the Federal Government to provide
assurance to all concerned that Federal installations
are in compliance with those standards or are operating
under a compliance schedule with funding requirements
for pollution abatement projects known to the President.
OFA's Federal Facilities Program is designed to implement
Executive Order 11752 and assure the President and
the public that the Federal Government is effectively
complying with environmental standards in an efficient
and timely manner.
In general, the Federal Facilities Program uses
the priority schemes developed by the Air and Water
Program Office, Air Quality Control Regions, and Priority
Water Basins to evaluate current efforts at Federal
facilities and to recommend to OMB the funding needed
by the Federal agencies for their facilities to comply
with environmental standards.
C. Program Components;
1. Policies, Procedures and Guidelines;
OFA will coordinate the development and issuance of
guidelines to Federal agencies and the EPA offices dealing
with the following subjects:
0 a strategy to continuously ascertain the compliance
status of each Federal installation using an integrated
approach for all pollutant media including the scheduling
of budgetary requirements;
0 submission of Federal facility compliance data to
EPA, State, and local pollution control agencies in a
timely and efficient manner;
0 exemption procedures for Federal agencies;
0 land management practices conducted on Federal
lands which are significant pollution contributors;
0 training and certification of pollution control
equipment operators;
0 environmental control technology transfer; and
-------
16.
0 planning assistance.
A working group composed of representatives from each
of the program offices, selected Regional offices, the
Office of General Counsel, the Administrator's staff,
and chaired by OFA will determine what guidelines are
needed and assign responsibility for development.
All guidelines will be developed in consultation with
the other Federal agencies and must have OMB concurrence
before they are issued.
In Fiscal Year 1975, guidelines relating to land
management and operator training will be completed and
development of guidelines on monitoring and testing,
multi-media approach to facility clean-up, and technology
transfer will be initiated.
In the guidance provided to the Regional Offices
for output reporting during fiscal year 1974, OFA provided
a mechanism to determine:
(1) Which Federal facilities are major or minor
discharges in regards to air and water programs.
(2) When a Federal facility is in a compliance or
non-compliance posture.
(3) When a facility is in a non-compliance posture,
whether it is making acceptable or non-acceptable
progress in attaining a compliance posture.
The intent in developing this guidance was to
apply our resources in a priority manner which would
focus on the major and minor Federal facilities which are
out of compliance with standards and not'making acceptable
progress.
This guidance was provided to the Regional Offices
in August 1973 with an amendment recommending more
definitive criteria for reporting these outputs being
forwarded in October 1973.
In support of the output reporting system, the
Office of Federal Activities, in conjunction with the
Office of Air and Water Programs, also developed priority
criteria for evaluation of environmental projects
submitted by Federal agencies to OMB for funding.
Yearly, in October, EPA provides recommendations to
OMB regarding our priorities in funding Federal facility
projects during the nexi^ fiscal year budget cycle.
-------
17.
Unless the required funding is appropriated by Congress,
a Federal installation cannot achieve compliance.
Even if an enforcement action was successfully carried
out against a Federal polluter, the end result would
probably be a directive to provide the necessary
funding to construct a pollution abatement project at
the installation. By assuring a strong overview of
the project funding requests, EPA can insure that
Federal funding is applied in a priority manner at
Federal facilities.
The criteria used to evaluate the OMB project
requests utilizes five factors in determining the
priority for funding the project. These five parameters
are:
(1) Seriousness of the Pollution - An evaluation of
whether the pollutor has been cited by a pollution control
agency or lies within an enforcement area.
(2) Priority Area - an evaluation of whether the
discharger is located within or outside a Priority I or
IA Air Quality Control Region or Priority Water Basin.
(3) Funding Status - an evaluation of whether the
agency has or has not received appropriations from
Congress to construct the project as defined.
(4) Visibility - an evaluation of the level and.
frequency that attention and resources must be devoted
to the pollution problem.
(5) Summary Assessment - knowledge regarding the
criticality of funding the project in the fiscal year
under review.
. Each project is evaluated by Regional Office
personnel and the parameters, which are weighted numerically
for each factor, are entered into a data base and
acted upon by an algorithm which produces a priority
lisiting of high, medium or low. The projects are then
listed on a priority basis and form EPA recommendations
to OMB.
In addition to evaluating the projects submitted
by the Federal agencies, EPA also recommends projects
to the agencies which have been overlooked in the
budget review process and which are required to bring the
installation into compliance with environmental standards.
The projects are identified by Regional Office inspection
visits to the installation, review of NPDES permit
applications, or correspondence with State and local
-------
18.
pollution abatement agencies. OFA then notifies the
Agency headquarters of the need for a project and
insures that the project is included in the next budget
request made to OMB.
2. Federal Facilities Compliance Assurance
EPA is responsible for assuring that Federal facilities
comply with applicable standards. In Fiscal Year 1975,
emphasis will be on monitoring agencies' actions to meet
established compliance plans and schedules, to provide
such technical assistance as may be necessary, and to
review new sources. The Federal agencies have
identified 2,489 facilities which do not meet applicable
standards. Consequently, there are 3,888 projects underway
to install the necessary control measures at those
facilities. The status of the projects as reported
pursuant to OMB Circulars A-78 and A-81 is:
Prelim.
Planning Design Construction Deferred Other Total
1,340 1,117 976 141 314 3,888
The regional offices have determined that 1,887 of those
projects are considered to be a high priority. Further,
the regional offices have identified 1,645 projects
where unsatisfactory progress is being made in bringing
facilities into compliance with standards and regulations.
As indicated, additional work will be required at the
regional level in FY 75, to insure that Federal facilities
are operating their pollution abatement equipment
efficiently, to insure that environmental data being
supplied by the installation is accurate, and
to improve the review of plans and specs for proposed
construction of new and existing sources at Federal
installations.
Review of new sources will be combined with the
environmental review under NEPA when such new sources
would have a significant environmental impact. By
mid FY 1975 the review of new sources will assume major
importance in the program. However, because this is
a function of the creation of new facilities by Federal
agencies, it is difficult to predict the volume of effort
that will be required. The Regions will be issuing
initial NPDES permits until at least December 30, 1974,
and will continue to issue revised or new permits
to Federal installations after the NPDES permitting
authority has been transferred to the States for non-
-------
19.
Federal sources.
Federal facilities compliance assurance will be the
Regions' major responsibility for carrying out the program.
While the program could be consolidated into program areas,
we feel that specified Regional personnel, who are
familiar with the problems associated with the Federal
Governments' operation such as the sovereign immunity
question, the budget cycle, and security clearances
required when visiting certain sites, should be designated
to deal with Federal facilities within each Region.,
In addition, enforcement actions against Federal
facilities by EPA should not be encouraged; rather the
Regional personnel should have a thorough working knowledge
of the Deputy Administrator's letter of November 20, 1973
concerning the Federal facility compliance strategy, which
will surface any problems with the agency headquarters,
or if that fails, with the Office of Management and Budget.
Finally, the Regional offices will be encouraged to
implement a multi-pollutant approach in conducting reviews
and site visits. In particular, an integrated
environmental approach will be necessary for dealing
with new Federal sources, in which EPA's review and
comments to the proposing agency combine the necessary
air source, water source, solid waste management and
other environmental analyses that must be made.
The following major Regional activities are those
which will provide the most effective Federal facilities
program and are listed in priority order:
1. Review of NPDES Permit applications and air
compliance schedules for Federal facilities.
2. Review of Federal agency pollution abatement
projects for OFA's report to OMB.
3. Environmental review of new Federal sources
(coordinated with the agency's NEPA process).
4. Conduct site visits to Federal facilities to
insure compliance with standards and permit requirements.
5. Review engineering plans and specifications for
proposed pollution abatement construction at Federal
facilities when requested by agency officials and
within the constraints of regional resources.
-------
20.
6. Act upon request for technical advice and assistance
from Federal installations or agencies including review
of various Federal permits. (COE, FPC, AEC, etc.)
7. Mediate and arbitrate disputes among Federal
facilities, States, local pollution agencies and private
citizens in matters affecting the application of, or
compliance with environmental standards.
8. Maintain Federal facilities abatement and
pollution control data on a continuing basis.
After issuance of all required NPDES permits and air
compliance schedules the emphasis of this program will
shift to new source review and to insuring that the
pollution abatement equipment is being operated by the
Federal installation as designed. Environmental
engineering teams in each region should make periodic
visits to the major Federal facilities. The purpose of
these visits is to: review environmental activities,
discuss existing problems, make appropriate measurements,
provide technical advice and guidance, identify needed
pollution abatement and control projects, and help the
facility develop them.
EPA's Regional Offices must ensure that:
(I) the Federal agencies are submitting accurate
environmental data on their facilities;
(2) the additional projects needed to bring every
facility into full compliance with all applicable
environmental standards have been identified and
reported to OFA; and
(3) the Federal facilities are operating their pollution
abatement and control equipment properly.
3. Data Management and Facility Inventory;
OFA coordinates the various computerized systems
which collect, store, and process data on the pollution
controls and compliance status of Federal facilities.
OFA relies heavily on the existing EPA national systems
(NEDS, GPSF, ODS) to collect store and process the
data on Federal Facility compliance. OFA must also
ensure that the Federal agencies are submitting the
required information to these systems.
The data requirement for the Federal facilities program
management and compliance assurance is the most critical
factor for program success. We must/ insure that all
-------
21.
concerned, EPA, State and local pollution control agencies
and other Federal agencies, are receiving the required
environmental data in a timely and useful manner. In
the past, States have been unable to collect data from
Federal installations, in part, because of the sovereign
immunity question. The mechanisms associated with the
State Air Implementation Plans have been cumbersome.
Clearly, this approach has not been successful in obtaining
air data from Federal facilities. EPA's National Air
Data Branch personnel have estimated that NEDS, which
relies on air data from the States, contains about five
percent of the Federal point sources.
OFA will revise OMB circulars A-78/81, which are pollution
abatement funding requests, to incorporate the requirements
of Executive Order 11752 and extend the requirements to
all forms of pollutants versus only air and water as was
the case under Executive Order 11507. Included in this
revision will be additional requirements for the Agency in
describing the project to add data such as an implementation
schedule for project construction and the NPDES and air
compliance schedules as appropriate.
OFA will also devise a summary environmental inventory and
brief questionnaire for Federal facilities covering all
media of pollutants, which would be provided by the
Federal agency for each installation under its control.
To date, the largest problem associated with the Federal
facilities program has been the lack of a data base
to determine which of the 20,000 Federal facilities
are actually polluting or are potential polluters.
This inventory will be developed in consultation
with OMB for the Federal Government and will contain
basic environmental information concerning the facility.
Based on the data provided in response to the environmental
questionnaire, the facility would be required to provide
additional information to the EPA national systems,
such as NEDS and GPSF.
The inventory, in addition to providing needed
information for completing the data requirements of
the current EPA national systems, will also provide
a baseline of information about Federal facilities
in program areas which do not currently have data
systems such as noise, radiation, solid waste, and
pesticides.
-------
22.
Our intent is not to develop a new data system
but rather to take advantage of already developed data
systems (Compliance Data System, General Point Source
File, and National Emissions Data System) and add the
Federal facilities summary inventory to one of the
existing systems as a module. This approach will
permit the Federal facilities summary data system to
take advantage of already developed computer capabilities
plus permit the existing system to access the Federal
facilities module to obtain needed data.
4. Additional Opportunities; ••
The Federal facilities program should provide a
microscopic view of how the environmental protection
programs are being implemented on a nationwide basis.
Implementation goals will have to conform to State
and local substantive standards, but this conformity
will be sought by having States review and comment
on proposed abatement projects and new sources via
standard EPA national procedures.
In addition, the Federal facility program provides an
excellent vehicle for EPA to conduct research and
development in new pollution abatement techniques and
methods. Federal installations can provide a controlled
universe in which to conduct demonstrations. For example,
it might be possible to utilize a large DOD installation
(which contains an airport, vessel "dockage..area, "industry,
and family housing, including the services necessary to
support such activities) to demonstrate the pollution
abatement controls needed for all pollution media for
communities of similar size and activities... - - '
The opportunity for insuring that the Federal
Government is abiding by its environmental goals was
never greater. It is difficult for the Environmental
Protection Agency to take aggressive corrective and
legal actions against State, municipal and private
polluters without first assuring that the Federal
environmental house is in order.
IV
FEDERAL AGREEMENTS PROGRAM
A. Legislative Mandate
Under Section 306 of the Clean Air Act, as amended,
-------
23.
Section 508 of the Federal Water Pollution Control Act
Amendments of 1972, Executive Order 11738, and EPA
regulations implementing Section 306 (December 27, 1973),
the Federal Government is undertaking a policy of not
entering into, renewing, or extending contracts, grants
or loans where the facilities to be used in the contract,
grant, or loan are polluting air and water.
Section 306 was enacted into law as a part of the Clean
Air Amendments of 1970. Paragraph (c) of Section 306 provided
that within 180 days after enactment of the Amendments, the
President was to issue "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 Act 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."
On June 29, 1971, in response to Section 306(c), the
President issued Executive Order 11602 which has since been
superseded by E.O. 11738 of September 10, 1973, which
incorporated the identical provisions under Section 508(c)
of the Federal Water Pollution Control Act Amendments of
1972. E.O. 11738 sets forth a number of requirements for
administration of contract, grant, and loan programs. It
assigns responsibility to EPA to develop the implementing
rules, regulations and guidelines. The air regulations
found at 40 C.F.R. Part 15 were issued pursuant to this
mandate. Comparable water regulations are in the process
of being proposed.
B. Program Components;
By avoiding business with violators of clean air or
water standards, the program seeks to ensure that businessmen
and others who have expended money and time to comply with
those standards are treated fairly. For many contractors,
grantees or borrowers, the cost of complying with clean
air or water standards will be significant. Without this
program, they could be unfairly disadvantaged in competing
for Federal business, since the cost of their investment
would be reflected in the price of their goods or services
while no comparable cost would be reflected in the bid
of the violators.
In awarding a contract, grant, or loan, the Government
provides assistance to the party to whom the award is
-------
24.
made. Assistance to the operators of a facility which is
violating clean air or water standards could place the
government in a position of complicity with violator.
This is clearly an untenable posture for the Federal
Government.
Under E.G. 11738, responsibilities were placed on
Federal agencies who enter into contracts, grants, and
loans to ensure before entering into, renewing, or extending
any contracts, grants, or loans that the facilities to be
utilized in the performance of such agreement shall be
in compliance with clean air and clean water standards.
Furthermore, EPA must recommend to Federal agencies that
appropriate action be taken when there is a breach of
a contract, grant, or loan provision that requires
facility compliance.
Pursuant to these authorities, EPA will develop "Lists
of Violating Facilities," which will include those in
non-compliance with clean air or water standards. These
lists will be furnished to all Federal agencies.
Prior to an award of a contract, loan, or grant,
the only sanction a Federal agency has against a listed
facility is to withhold (i.e., not make an award to a
prospective contractor, grantee or borrower). This sanction
is nothing more than a finding that the party is not
"responsible"; that he will be unable to render satisfactory
performance. Accordingly, where this sanction is applied,
the award should be made to the next best competitor,
and the party to whom the award is not made should be
notified and treated as he would be for any other situation
in which a finding of inability to perform has been made.
If a firm is listed subsequent to award, no renewals or
extensions of the transaction may be made to the listed
facility, and the ordinary contract, grant or loan remedies
of termination for default and cancellation are available.
Withholding, termination or cancellation need be applied
only where the violating facility is owned, operated or
leased by the contractor, grantee or borrower. Where it is
owned, operated or leased by a subcontractor, subgrantee or
subborrower, and satisfactory performance can be obtained
without the subparty or by utilizing another subparty,, the
remedies will be to refuse to approve the subarrangement or
to have the subarrangement cancelled or terminated by the
prime. Of course, if the prime fails to sever the subparty
or if satisfactory performance of the transaction is contingent
upon that subparty, the only sanctions will be to withhold
an award, or to refuse to renew or extend, or cancel or
terminate the entire contract, grant, or loan.
Before withholding an award or taking action to end an
-------
25,
existing arrangement, some evidence of noncompliance or action
by the courts, EPA, or a State pollution control agency relating
to noncompliance must have taken place. The Office of Federal
Activities will be relying on the following findings as a
basis for considering listing facilities:
(1) Federal, State, or local criminal convictions;
(2) Federal civil adjudications;
(3) Federal administrative findings; i.e., the point
at which EPA officials have established adequate
evidence of a violation and are prepared to initiate
court action;
(4) State or local civil adjudications or administrative
findings where such adjudications or findings of
noncompliance are referred to EPA by the Governor
of the State.
Violators fitting into one of the aforementioned
categories will be placed on the List of Violating Facilities
upon the determination by the Director, OFA, that such
facility is in continuing or recurring noncompliance with
clean air or water standards. Once a facility is placed on
this list, unless otherwise exempted, no contract, grant, or
loan may be awarded, renewed, or extended for which that
facility would be utilized. The contracting officer or other
Federal awarding official may, at his discretion, also
determine to cancel or terminate for default such contract,
grant, or loan where a utilized facility is so listed, or to
take action to see that listed subparties are severed from
the transaction.
The program will be initiated on July 1, 1974, and
will be directed by OFA. However, the headquarters and
regional enforcement offices will assist OFA in carrying
out the program by presenting evidence of polluting
conditions at facilities to be utilized in Federal contracts,
grants, and loans.
With air and water enforcement personnel, this
relationship will not result in any ascertainable increase
in their responsibilities. There could be a minimal impact
on regional enforcement personnel, which has not yet been
ascertained. OFA will be visiting each region during the
remainder of FY 74 to measure the impact of the program on
regional enforcement activities. However, it is emphasized
that the program will generally be asking the regional
enforcement personnel to do nothing more than they are
required to do under the regional enforcement programs.
OFA will utilize evidence accumulated by regional enforcement
personnel in their normal duties to conduct listing proceedings
Kegional enforcement personnel could be called upon to
serve as witnesses at hearings to de-list.
-------
26.
The program activities will include the following tasks
and will require Agency participation as identified:
1. OFA requests information be supplied by Regional
enforcement personnel and Office of Enforcement and General
Counsel on Federal enforcement actions, and State and local
criminal convictions. OFA will evaluate this information and
consider its appropriateness to be used by OFA in a listing
proceedings.
2. OFA will receive and respond to Governor's referrals
to OFA of facilities which could be utilized in Federal con-
tracts, grants and loans but which are in noncompliance with
clean air or water standards. OFA may consider listing a
facility based on this referral.
3. OFA will receive and respond to Federal awarding
officials who notify OFA of applicants certifying that they
are under consideration for listing. Such notification may
result in OFA's requesting up to 15 working days to complete
the listing proceeding.
4. OFA will conduct the Listing Proceedings which will
determine whether or not a facility has violated provisions
of the Clean Air Act or the Federal Water Pollution Control
Act Amendments.
5. OFA will publish the List of Violating Facilities.
6. OFA will respond to requests to de-list or will
conduct hearings when decision to not de-list or will
conduct hearings when decision to not de-list is made by OFA.
7. OFA will receive and respond to any inquiries
or reports of alleged non-compliance with clean air or clean
water standards submitted by Federal agency employees or
citizens.
8. OFA will prepare the annual reports for the
Administrator to the President and Congress on measures taken
to implement this program and the granting of exemptions under
the program.
-------
Malnutrition. SEC." 10^. The Conprcss authorizes and directs that, to the fullest
extent possible: (1) the policies, regulations, and public laws of the
• Unitt'l State-- shall be interpreted and administered in accordance
with the policies set forth in this Act, and (~2) all agencies of the Fed-
eral_Government shall— •••—™-- - --
"" (A) utilize a systematic, interdisciplinary approach which will
insure the integrated use of the natural and social sciences and
the environmental fksii-n arts in planning and in decisionmaking
which may have »n imnact on man's environment;
(B) identify and develop methods and procedures, in con-
sultation with the Council on Environmental Quality established
by title II of this Act, which will insure that presently unquanti-
fied environmental amenities and values may be given appropriate
consideration in deciaionmaking along with economic and tech-
nical considerations;
(C) include in evary recommendation or report on proposals
forjegislation r.yid other junior Federal actions significantly al-
jfectins.the quv.lity of the hnnoV environment.! a uetal]ed""stafe'-
"me _nia dOi> i •«t^ e"to~the
.
61 St»t. 54. I'fi.^iJ'iavJQCd^- ?;tctjon^,22_cf tj!:>'_5. I' iiited M • : f-s Qde.j; nj^
shall accompany ti;e propj3£ol tjirougli tfie existiiigjigoncy review
" "" ~ ..... "
' "(D)" study, develop, and describe appropriate alternatives to
recommended courses of action in any proposal which involves
unresolved conflicts coacerning alternative uses of available re-
sources;
(E) recognize the worldwide and loner-range character of en-
vironmental problem-? and. where consistent" with the foreign
policy oi the 'united States, lend apjinmriate support to initiatives,
resolutions, and procrrams designed to maximize international
cooperation in anticipating and preventing a decline in the quality/
of mankind's world envirx>Tunent;
(F) make _avi>.iiabie to States, counties, municipalities, institu-
tions, and individuals, advice and information use'ful in restoring,
maintaining, and enhancing the quality oi the environment ;
(G) initiate and utilize ecological information in the planning
«nd development of resource-oriented projects: ami
(H) assist the Council on Environmental Quality established
by title II of this Act.
SEC. 103. All agencies of. the Federal Government ^shall review_Review.
their present statutory uuthority. adminUtrntive rssulations. and cur-_
lenfpolicies'and procedures for the purpose of dutermininc whether^
there_are" i'.nv delieiencies or inconsistencies tiierein wlii<:h prohibit.
'fuU_'co"rnp'liance with the purpo.-es nndpvovisions of this Act and shall_
jprogcie to the President not later than July 1, 1971. such measures as
may be necessary to brir.j their Authority and policies into conform-
ity with the intent, purposes, and procedures set forth in this Act.
SEC. 10i. Xqthine in Section 102 or 103 shall in any way affect the
specific statutory obligations of any Federal accncy (1) to comply
with criteria or standards of environmental quality, (•>) to coordinate
or consult with any other Feoeral or State ajrency, or (3) to -act, or
refrain from acting contingent upon the recommendations or certifi-
cation of anv other Federal or State aceucy.
SEC. 105. T.he policies and coals set forth in this Act arc supplemen-
tary to those set forth in existing authorizations of Federal agencies.
-------
APPENDIX A
Public Law 91-190
91st Congress, 5. 1075
January 1, 1970
Cf<
83 S?A7. «52
To establish a &£t!crM r-~>"-.T for tie taTiroatnerit. to provide for the establish-
ment of a Council on Environmental Quality, and for other purposea.
Be it enacted by the Senate and Hou*e of Representatives of the
United Statet of America in Conorem a
becited.a£_thii^NatjonaLEiivironmental ]iolicv_Act of 1069^. vt.-cr-.er.tai
" Policy A:t of
PURPOSE 1969>
SEC. 2. The purposes of this Act are: To declare a national policy
•which will er.courase productive and enjoyable harmony between man
and his e:iviror.u:e:.t: to pro:r.ote ei?o:rs which will prevent or elimi-
nate damage to tho environment sir.d biosphere ar.d stimulate the
health and welfare of i-.if.r.: to enrich the understanding of iae eoo-
lofical systems ard natural resources important to the ^'ntion; and to
establish a Council on Environmental Quality.
TITLE I / '
bECLARATIOX OF NATIONAL ENVIRONMENTAL POLICY.
SEC, 101. (a) The Congress, recognizing the profound impact of Policies e-id
man's activky en the interrelations of ail components of the natural s=&i».
environn-,ent.' panicuiar'y the profound imfuences • of population
growth, hi^h-dtTisity urbanization, induitriai expansion, resource
exploitation, ar.d new and expanding te--:hr.oiogicai advances and
recognizing further the critical importance of restoring and maintain-
ing eriviron.-nental ouaiity to the overall welfare and development of
man, declarei that i; is the continuing policy of tho Federal Govern- -
rnent, in cooperation vi'.h State and local governments, and other con-
cerned public ar.d private organizations, to usa ail practicable means
and measures. ii..:lv:dii:2 -.nr.ncial nr.d technical assistance, in a man-
ner calculated to fester and promote tiie general welfare, 'o create and
maintain conditions uncsr which man and nature can exist in
productive hanr.or.y, and fulfill the social, economic, and other
requirements of preier.t and future crer.orations of Americans.
(b) In order to cnrry out the pcli-'y se: forth in this Act, it is the
continuing rcspo^iliiiiiy of the fcderni Government to use ail prac-
ticable mVans,' cous:s;ent with other essential considerations of
national policy. :o improve and coordinate Federal plans, functions,
programs, and resources to ti;e end thit the Nation may—
(1) fuif.il t">.e roiponsibilitics of each eeneration as trustee of •
the environn;e:
-------
TITLE II
COUNCIL OX ENVIRONMENTAL QCAI.TTY
SEC. 201. The President shrill transmit to tho Congress annually R,,,;rt to
beginning July 1, I'.'TO, nn Knvironmowal Quality Report (herein- congr«s«.
after referred "to as tho "report'1) which shall'set forth ( U 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, e?tuar:nc, and fresh water, nnd the
terrestrial environment, inchidincr. but not limited to, the forest, dry-.
land, wetland', rouge, urban, suburban, and rural environment; (i>)
current and foreseeable trends in the oiuiiity. nianapeim-nt and utiliza-
tion of such environments and the eliects of those trends on the social;
economic, and other requirements of the Nation: (3) the adequacy 01
available natural resources for fulfilling human and economic require-
ments of the Nation in the licht of expected population pressures; (4)
a review of the programs und activities (including regulatory ac-
tivities) of the Federal Government, the Stsue and locnl governments,
and nongovernmental entities or individuals, with particular reference
to their etlect on the environment and on the conservation, develop-
ment and utilization of natural resources; and (o)'a propram for
remedyir.tr the deficiencies of existing programs and activities, to-
gether with recommendations for legislation.
SEC. 202. There is created in the Executive Office of the President Council on
a Council on Environmental Quality (hereinafitr referred to as the Environmental
"Council"'). The ('ouncil shall be composed of three, members who shall Ouality.
be appointed by the President to serve at his pleasure, by and with
the advice and consent of the Senate. The President shall designate
one of the members of the Council to serve ns Chairman. Each mem-
ber shall be a person who. as a result of his training, experience, and
attainments, is exceptionally well qualified to analyze and interpret
environmental trends and information of all kinds: to appraise pro-
grams and activities of the Federal Government in the li'sht of the
policy set forth in title I of tins Act: to be conscious of and responsive
to the scientific, economic, social, esthetic, and cultural needs and in-
terests of the Nation; and to formulate and recommend national
policies to promote the improvement of the quality of the environment.
SEC. -03. The Council may employ such officers and employees a»
may be r.aMssery to carry out its func:ioas under this Act, In sedition.
the Council may employ" and fix the co.Ttp»r.sation of such experts and
consultants as may be necessary for the currying put of its lunctions
under this Act. in accordance with section oiO'J oi title 5, United states
80 Stat. 416. Code (but without regard to the last sentence thereof).
Outi«» and SEC. 204. It shall be the duty ar.d iuncticn of the Council— _ •
function!. (1) to assist nnd advise the President in the preparation oi the
Environmental Quality Ileport required by section 201;
(2) to {rather timely and authorito.tive information concerning
the conditions and trends in the quality of the environment both
current and prospective, to analyze and interpret such informa-
tion for the purposa of determining whether such conditions and
trends are interfering-, or are likely to interfere, with the achieve-
ment of the policy =;-t forth in title I of thb Act, and 'to compile
and submit to the- President studies relating to such conditions
and trends;
(3) to review and appraise the various programs and activities
of the Federal Government in the light of the policy tst forth in
title I of this Act for the purpose of determining the extent to
which such programs and activities are contributing to tha
achievement of such policy, and to make recommendations to tha
President with respect thereto;
(4) to develop and recommend to the President national poli-
cies to foster and promote the improvement of environmental
quality to meet the conservation, social, economic, health, and
other requirements and rroals of the Nation;
(5) to conduct investigations, studies, surveys, research, and
analyses relating to ecological systems und environmental quality;
(6) to document and dciine. c'nancc-j in tha natural environment,
inciuding the plant and animal sysieiaj, and to accumulate neces-
sary data and other information for a continuing analysis of these
cha'npes 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 su\dies, reports thereon, and
recommendations wii'a respect to matters of policy and legisla-
tion as the President nay request.
-------
Sic. 205. In exeroicing its powers, function*,.and duties under this
Act, tho Council shsll—
34 P. R. 8693. . . . .. . ,
industry, agriculture, labor, conservation organizations, State
and local governments and other groups, as it deems advisableJ
and
duplication of eiion er.d> expense may be avoided, thus assuring
that the Council's acth idea will not unnecessarily overlap or con-
flict with similar activities authorized by law and performed by
established agencies.
Sso. 206. Members of the Council shall serve full titce and the Tenur* ar.d
Chairman of the Council shall be compensated at the rate provided coir.p«nsation.
for Level II of the Executive Schedule Pay Rates (5 U.S.C. C313). BO s-.at. «60,
The othgr inembers oi the Council shall be ccmpensated at the rtte 4ol>
providtd ior Level IT or the Esecuiive Sche'dule Pay Kates (5
U.S.C.M16). 81 s>&t- 639%
SEO. £07. There are authorized to be appropriated to carry out the Appropriations.
provisions of this Act not to esceed ^3'jO,C'>3 for fiscal year 1970,
5700,000 for fiscal year 1971, and $1,000,000 for each iiscal year
thereafter.
Approved January 1, 1970.
-------
APPENDIX B
The Clean Air Act
"'
I'OI.TCY HKVIKW
"{•'i-x:. 'M'.\ d\) Tin; Aviiriuufdi-ator shall review and common t In
writinjc on Hu: environmental impact of any nuilloi1 rchiUntf to
duties and responsibilities ir":in tod pursuant to thin Act or other
provisions <>;' ihe aulliorily of l.lic. Administrator, contained in any
(!) lr;visi:i!iiM! -proposed by ;iny I'VdorJil doparti.m'iil or .•iKcncy, .
C.11 newly :uiiiio)-i/,i-d. (''rdci'iil projiH'lii l'(.r I'oiuslrurtiun and any
major Federal agency fiction other th?n a project for construction
to which rcrtion 102(2). (C) ot: Public Law 91-100 applies, and
(3) iiroposcd rogulntions published by any department or ajroncy
of the Fed or n.l 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 li imsatisfnctory fvom the stand-
point of public health or \velfarc or environmental quality, he
shall publish his determination and the mutter shall be referred
to the Council on Environment il Quality. . .. -
-------
APPENDIX C
F'/.'V
'., ',
-ts? (/'^ii a ... ii'«« t1 .
Title 3--Vke President
EXECUTIVE ORDER 11752
Prcvcvtsion, Control, and Abatement of Environ mental Pollution at
By virtue of the authority vested in me as President of the United
Stater, of America, including scot'cn. 305 of title 3 of the United St .ex
Code, and in furtherance of the purpose and policies of the Clean Air
Act, as iiiTscrulod (12 U.S.C. 1857), the Federal Wrier Pollution Control
Act. as nv.HTtdcd (S3 U.S.C. IC'M), the Solid V;-ste Disposal Act, as
.amended (42 U.S.C;, 3251), the Noise Control /,ct of 1972 (42 U.SX:.
4901), the Marino. lYclcction, Ro.-crrch, and SaneUun:s Act of 1972
(16 U.S.C. M31), the Federal In?vc'.iddc, l'un;nci;I;-, and llodenticide
Act, as amended by the Fcdcr.vl Environmental Pesticide Control Act of
1972 (-7 U.S.C. 136), and the National Environmental Policy Act of
1959 (-12U.S.C. 4-321), it is ordered as follows:
SECTION I . Policy. It is the purpose of this order to assure that the
Fede.;\0. Government, in the design, construction, management, opera-
tion, and maintenance of its- facilities, shall provide leadership in the
r7atic.;.-.-:i.'c effort to protect and enhance the quality c! our air, water,
and land resources through compliance with applicable standards for
the prevention, control, and abatement of environmental pollution in
full cooperation v.'ith State and local governments. Compliance by Fed-
eral facilities with Federal, State, interstate, and local substantive stand-
ards am! Mibstantivi; limitations, to the same extent th
-------
34794. THE
lating-to the prevention., control, and abatement of environmental pol-
lution;
(B) any agency established by two or more States and having substan-
tial i oweis or duties pertaining to the prevention, control, and abatement
of environmental pollution; p
(C) a city, comity, or other local government authority charged with
responsibility for enforcing ordinances or laws relating to the prevention,'
control, and abatement of environmental pollution; or
(D) an agency of tv/o or more municipalities located in the same State
or in different States and having substantial powers pi duties pertaining,'
to the prevention, control, and abatement of environmental pollution.
... . .','..»•
' (4) The tenn "facilities" means the buildings, insinuations, struc-.
tures, land, public work1;, equipment, aircraft, vessels, and other vehicles
and property, owned by, cr constructed or manufactured for the pur-
pose of leasing to, the Federal Government. "\
(5) The term "United States" mcjins the fifty States,-the District of
Columbia, the Commonwealth of Fucrto Rico, the Virgin Islands,
Guam, American Samoa, and the Triist Territory of the Pacific Islands.
i .
SEC. 3. Responsibilities, (a) Heodsiof Federal agencies shall, with re-
.gard to all facilities under their jurisdiction in the United States*:
(1) Ensure that applicable standards specified in section 4 of this
order are nict on a continuing basis. .
(2) Cooperate with the Adminutrator and State, interstate, a|id local
agencies in the prevention, control, and abatement of environmental pok
lution and, in accordance with guidelines issued by the. Administrator,
provide to the Administrator and to those agencies such information as
is necessary to"-determine compliance with applicable, standards. Such
cooperation shall include development of an abatement plan and schedule'
for meeting applicable standards. : .
(3) Present to the Director of the Office of Management and Budget,
annually, n. plan to provide for such improvement in the design, construc-
tion, management, operation, and maintenance of existing facilities as
may be necessary to meet applicable standards specified in sectib^ 4.
i - _ -. .
(4) C asider the environmental irnpact in the initial stage? !of plar*-
ning for each new facility or modification to an existing facility in accord-
ancc with the National Environmental Policy Act. •-• -X
(5) Include with all budget requests for the design and construction.
of new/facilities or for modification of existing facilities funds ;for sudi
measures as may be necessary to meet applicable standards specified in
section 4. Budget requests shall reflect the most efficient alterative for
meeting applicable standards. i
. (6) Consult, as appropriate, with the Administrator and with State
and local agencies concerning the best techniques and methods available
for the prevention, control, and abatement of environmental pollution.
-------
THE PRESIDENT , 34
(7) Ensure that any funds appropriated and apportioned for the pre-
vention, control, and abatement of environmental pollution are not used
for any other purpo« unless permitted by law and unless specifically ap-
proved by the Office of Management and Budget.
(l>) Where activities are carried out at. Federal facilities acquired by
leasing or other Federal agreements, the head of the responsible agency
may at his discretion, to the extent permissible under applicable statutes
and regulations, require the lessee or permittee to assume full responsibil-
ity for complying with standards ?for the prevention, control, and abate-
ment of environmental pollution.'
(c) Heads of Federal agencies responsible for the construction and
operation of Federal facilities outside the United States shall assure that
such facilities arc operated so ss ;to comply, with the environmental .pol-
lution standards of general applicability in the host country or jurisdic-
tions concerned. [
I ' ' '-
(d) The Administrator shall:• '.'•..
'(1) Provide technical advice, and assistance to the heads of Federal
agencies in connection with their duties and responabilitfts under this
order. '
(2) Maintain such review of. Federal facilities' compDance with the
standards specified in section 4 a$ may be necessary;
(3) Provide liaison as required to assure that actions taken by Federal
agencies pursuant to this order are coordinated with State, interstate, and
local programs for the prevention, control, and abatement of environ-
mental pollution.
'(4) Mediate conflicts between Federal agencies and State, interstate,
or local agencies in matters affecting the application of, or compliance
with, applicable standards specified in section 4.
(5) Develop in consultation with the heads of other Federal agencies
a coordinated strategy for Federal facility compliance with applicable
standards specified in section 4 which incorporates, to the maximum
extent practicable, common procedures for an integrated approach to
Federal agency compliance with such standards, and issue such regula-
tions and guidelines as are deented necessary to facilitate implementation
of that strategy and to provide a framework for coordination and coop-
eration among the Environmental Protection Agency, the .other Federal
agencies, and the State, interstate, and local agencies.
(6) Maintain a .continuing review of the implementation of this order
and, from time to time, report to die President on the progress of the
Federal agencies in implementing this order.
SEC. 4. Standards, (a) Heads of Federal agencies shall ensure that all
facilities under their jurisdiction are designed, constructed^ managed, op-
erated, and maintained so as to conform to the following requirements:
'(1) Federal, State, interstate, and local air quality standards and
emission limitations adopted in accordance with or effective under the
prc-visions of the Clean Air Act, as amended.
-------
34796 THE PR5SIDENT
' •. (2) Federal, State, mtcrstatc, and local v/ater quality standards and
effluent limitations respocting the discharge or. runoff of pollutants
^adopted in accordance with or effective under the provisions of the Fed-
eral Water Pollution Control Act, as amended.
'(3) Federal regulations and guidelines respecting dumping of ma-
terial into ocean waters adopted in accordance .with the-.Marine Protec-
tion, Research, and Sanctuaries'Act of 1972, and the Federal Water Pol-
lution Control Act, as amended. • • '
i .. .. . , .
(4) Guidelines for solid waste recovery, collection, storage,, separation,
and disposal .systems issued by the Administrator pursuant to the Solid
.Waste Disposal Act, as amended. I • ' .
(5) Federal noise emirsion standards for products adopted in accord-
ance with provisions of the DSqise Control Act of 1972 and State, inter-
state, and local standards for control and abatement of environmental
noise.- . • . . • | • '. '•..'.'
(.6) Federal guidance oil radiation and generally applicable environ-.
mental radiation standards promulgated or recommended by the Aclmin-
• istrator and adopted in accordance with the Atomic Energy Act, as
' amended (42 U.S.C. 2011), and rules, regulations, requirements, and
guidelines on discharges of radioactivity as prescribed by the Atomic
1 Energy Commission. • j
(7) Federal regulations and guidelines respecting manufacture,
transportation, purchase, use, storage, and disposal of pesticides promul-
gated pursuant to the provisions ofj the Federal Insecticide. Fungicide,
and Rodenlicide Act, as amended t>y the Federal Environmental Pesti-
cide Control Act of 1972. ; <.
(b) In those cases in which there are no environmental pollution
standards as specified in subsection (a) for a particular geographic area
or class of Federal facilities, the Adjnini^rator, in consultation with ap-
propriate Federal, State, interstate, ^nd local agencies, may issue reguk-
• tions, which shall be published in the FEDERAL REGISTER, establishing
environmental pollution standards fpMhe purpose of this orden -':•.
SEC. 5. Exemptions, (a) The heiads ©f Federal agencies, in consulta-
tion with the Administrator, may, from time to date, identify facilities' of
uses thereof which are exempted from applicable standards spectfied'm
section 4 in the interest of national; security or in extraordinary cases in
which it is in the paramount interest of the United States.' No such
exemptions shall be made except as are permissible under applicable
Federal law. :
(b) In any case in which the Administrator does not agree with a
determination to exempt a facility or use thereof from the provisions of
this order, the head of the Federal jagency making such a determination
must have the approval of the Director of the Office of Management
and Budget to exempt that facility or use thereof; except that, the Ad-
ministrator is solely responsible for approval of exemptions under section
18 of the Federal Insecticide, Fungicide, and Rodenticide Act, aa
amended by the Federal Environmental Pesticide Control Act of 1972.
FEDERAL REGISTER, VOL,88, NO. MS—WEDNESDAY, {BECOME* IV
* l i
-------
THE PRESIDENT ' 34797
(c) The heads o' Federal.\gcndcs shall present to the Director of the
Office of Management and Budget at the end of each calendar year a
report of all exemptions made during that year, together with the justi-
fication for each such exemption.
SEC. 6. Saving Provisions. Except to the extent that they arc incon-
sistent with this order, all outstanding rules, regulations, orders, delega-
tions, or other forms of administrative action issued, made, or otherwise
taken under the order superseded by Section 7 hereof or relating to the
subject of this orc'cr shall remain iuifull force and effect until amended,
modified; or terminated by proper authority. , ;
Sec. 7. Order Superseded. Executive Order No. 11507 of February 4,
h'l 70, is hereby superseded. ;
THE .WHITE HOUSE,
December 17, 1S73.
[FR Dcc.73-266SS Filcjd 12-17-73;12:45 pmj
FEDERA1 KEC'STEft, VOA. 39, NO. J43—WHDNISDAY, DiCEMBCR It, 197)
-------
Title 3—The President
EXECUTIVE ORDER 11738
V:-ov5(iiu£» •"<,)(• A'imiuislration »( iV.r Clean Air Act and fuc Federal
"Water 1'oJluiion Control Act Vv'kh Tvcspcct u> Federal Contracts,
Grants, (.r Loans
.By virtu;: of thf authority, ye^tsd in me by the provisions of the Clean.
Air Aci, as araorakd (42 U.S.C. 1B57 et sen.), particularly section 306
(;! that Act as .'Aided by the Clean Air Amendments of 1970 (Public Law
91-604), and tl-.e?7cdcral"\V'ater Pollution Control Act (33 U.S.C. 1251
et scq.). particularly section 508 of that Act as added by the Federal
\V-iter'Pollution Control Act Amendments o'E 1972 (Public Law
9^-500), it is hereby ordered as fellows:
SECTION 1. Policy. It is the policy ot the Federal Government to im-.
prove and enhance environmental quality. In furtherance of 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 under-
take such procurement and asjistance activities in a manner that \vill
result in cliccUve i-niorcement ol the Clean Air Act (hereinafter referred
to as t:the Air Act") and the Federal Water Pollution Control Act-
(hereinafter referred to as "the Water;.Act").
SEC. 2. Designation of Facilities, (a) The Administrator of the Envi-
ronmental 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 Admin-
istrator shall, in conformity with all applicable requirements of la\Vj
designate facilities which have given rise to a conviction for an offense
under section 113 (c) (1) of the Air Act or section 309(c) of the Water
Act. The Administrator 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 arave
i ^
rise to a conviction hhs bc-en corrected, he shall promptly remove the
facility and the name And address of the person concerned from th« list.
SEC. §..Contracts, Grants, or Loans, (a) Except as pr.-viclcd in section
8 of this Order, no Federal agency shall entiv h.co any contract for the
procurement of goods, material*, rr acrvices which is to be performed in
HDE3M. R»GISTEi», VOl. 33, MO. 17«—WSPN5SDAY, JiPTEMBEX 12, i.973
-------
\\hoir or in'rorl. In r\ fadliu lljcn ct^iiMu-ird by the Ad:Min>>Uii(or
paiViumV u\stvi-;.ju I!.
(!'•) Except ;'-<• pu>vkli\! in sixtk'U l> rl t!ii\, Ui'vler, no I'VJn-.il ngeiu-.y
authorized to extend Fixlcs..! assistance oy w'.'.y of j'.rant, lu.iu, ur < oalract
shall cxlend such assistance in ?.ny case i;i Nvhic-.li it is to be used to support
any .-vctivky or program involving the u--c c-1 a. facility then.dc'.iaiated
by the Administrator pu.rs-uant to section 2.
Sec. 4. Freivi(Tne::tf Gwit, end Locr. Regulations. The Federal
Procurement Reguktions, the Armed Services Procurement Reputations,
aivti, to the exierjt necessary, any supplemental or comparable riTulations.
issued by i-.ny agericy of sin- Execuiive j'Jrtiic.h shz.ll. iollo^'hir consuha-
lion with liie .Aorninijtraior, bs amended to require, as a condition of
entering into, renewing, or extending any cor.tract for the procurement
of goods, .materials, or services or extending any assistance by way- of
grant, loan, or contract, inclusion of a provision requiring compliance
\viih the Air Act, the AVatcr Act. and standards issued pursuant thereto
in the facilities in which the contract K to be performed, or which arc
involved in the- activity or program to receive assistance.
SEC. 5. Rules and Regulations. The Administrator shall issue such
rules, regulations, standards, and guidelines ;;s he-may deem necessary
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, arc! loans are familiar with
the provisions of '.hi? O:\kr. In addition io ;-.:i;. i/Jier appropriate action,
such officers "and employees shall report promptly afiy condition £h a
facility which may involve uoncompliance ivvith the Air Act or the Water
Act or any rules, regulations, standards, or -guidelines issued pursuant to
this Order to the head of the agency, who shall transmit such reports to
the Administrator. . -.-.•"
f - - - .
SEC. 7. Enforcement. The Administrator may recommend to. the
Department of Justice or other appropriate agency that legal proceedings
be. brought or other appropriate action be ial:«:n whenever ho brcomcs
aware of ?. 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 io Congress, (a) Upon a determination
that the paramount interest of the United States so requires—
(1) The head of a Federal agency may exempt any contract, grant,
or loan, and, following consultation with the Administrator, any class
of contracts, grants or ioans from the wovisirM!'- o( tin's Orciev. In any
such ca.sc, the head of-the Federal agency granting such exemption shall
(A) promptly notify the Administrator of such exemption and the justi-
fication therefor; (B) review the necessity for each such exemption
annually; and (C) report to the. Administrator annually all such exemp-
tions in effect.. Exemptions granted pursuant to this section shall be for
a period not to exceed one year. Additional exemptions njay be granted
fEOERAt REGISTER, VOt. 3C, KO. 176—WEDNESDAY, SEPTEMBER 12, I?r3
-------
. * THE p
[or periods not to exceed • one y>-ai upon ihe. making of ;i new
dclTrmnatien by t'.io he;ul of liu: Federal a^c
(2) Thi' Administrator may, oy n:!.% or regulation, exempt ;.'ho ure
oi'-'di'.irs.cts, . grants, or loiii'is.
; (h) Federal agencies shall rccoas'd'jr any cxeivipi.iori granted under
subsection (u) \vhcne\er requested to uo so l;y tiu: Adiniriisurator.
(c) The Adminislraior .shall annually notify the President «nd the
CIciijiO'ss OL nil c\c:i!p:.;.:>ns grunted, or >n ttiTcct, urnler ciiis Order during
the preceding year. • •
SEC. 9. Related Actions. The imposition, of any sanction or penalty
under or pursuant to th's Order shail nor. relieve ary person ct any legal
duty to comply wit!1, any provisions of i.he Air Act or the Water Act.
SEC. 10. Applicability. This Order .
------- |