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(4) Agreement by the contractor that he will include or cause to be in cluded the criteria and requirements in paragraphs (c) (1) through (4) of this section in every nonexempt subcontract and requiring that the contractor will take such action as the Government may direct as a means of enforcing such provisions.

(d) Grant and loan provisions. To carry out the purposes of the Air and Water Acts, the Order, and this part, agency grant and loan regulations shall be amended as necessary to incorporate the requirements set forth in paragraphs (1) through (4) of

15.4(c) of this part, with respect to nonexempt transactions. (40 FR 17124, Apr. 16, 1975, as amended at 40 FR 18437, Apr. 28, 1975; 44 FR 6911, Feb. 5, 1979)

pursuant to section 113(c)(1) of the Air Act and section 309(c) of the Water Act.

(b) Authority of heads of agencies. Where a head of an agency determines that the paramount interest of the United States so requires, he may exempt any individual contract, subcontract, grant, subgrant, loan, or subloan for a period of one year, and by rule or regulation any class of contracts, grants, or loans. In the case of an individual exemption, the head of the agency granting the exemption shall notify the Assistant Administrator as soon before or after granting the exemption as practicable. The justification for such an exemption or any renewal thereof shall fully describe the purpose of the contract, grant, or loan and shall indicate the manner in which the paramount interest of the United States requires that the exemption be made.

(c) Facilities located outside the United States. This part shall not apply to the use of facilities located outside the United States. (40 FR 17124, Apr. 16, 1975; 40 FR 18430, Apr. 28, 1975, as amended at 44 FR 6911, Feb. 5, 1979)

Subpart B-Remedies

8 15.5 Exemptions.

(a) Exempted transactions-(1) Transactions $100,000 and under. Contracts, subcontracts, grants, subgrants, loans, and subloans not exceeding $100,000 are exempt from this part.

(2) Contracts and subcontracts for indefinite quantities. With respect to contracts and subcontracts for indefinite quantities (including but not limited to time and material contracts, requirements contracts, and basic ordering agreements), this part shall be applicable unless the purchaser has reason to believe that the amount to be ordered in any year under such contract will not exceed $100,000.

(3) Assistance to abate, control, or prevent environmental pollution. Any grant, subgrant, loan, or subloan, the principal purpose of which is to assist a facility or facilities to comply with any Federal, State, or local law, regulation, limitation, guideline, standard, or other requirement relating to the abatement, control or prevention of environmental pollution is exempt from this part.

(4) Exclusion. The foregoing exemp. tions shall not apply to a proposed contractor whose facility is listed on the basis of $ 15.20(a)(1) (i) and (iv). Utilization of such a facility through the award of a Federal contract is barred by section 306(a) of the Air Act and section 508(a) of the Water Act where a conviction has been obtained

8 15.20 List of Violating Facilities.

(a) Listing of facilities. Sections 1, 2, 4, 5, and 7 of the Order, section 306 of the Air Act, and section 508 of the Water Act require the Administrator to establish procedures which will identify for Federal agencies those facilities giving rise to a criminal conviction under the Air and Water Acts and which will establish sanctions and penalties necessary to assure that contracts, grants, and loans are not awarded to applicants whose facilities are found to be in noncompliance with clean air and water standards. The Assistant Administrator shall maintain the List of Violating Facilities in accordance with the following procedures:

(1) Basis for consideration of listing. Federal, State, or local criminal convictions, civil adjudications, or administrative findings of noncompliance may serve as the basis for considera

tion of listing facilities. However, the tives of the facility have been afforded listing of a facility based on a State or an opportunity to confer with the Aslocal civil adjudication or administra- sistant Administrator and present tive finding shall not be considered orally or in writing, and with assistunless the Governor of the State has ance of counsel, data or information referred the applicant, contractor, relating to the proposed placement of grantee, or borrower whose facility the facility on the List. Prior to listing has given rise to such adjudication or on the basis of $ 15.20(a)(1) (ii), (iii), finding to the Assistant Administrator (v), or (vi) the Assistant Administrator in accordance with $ 15.23. The follow must determine that there is adequate ing Federal, State, and local determi- evidence of continuing or recurring nations may serve as bases for listing: noncompliance with clean air or water

(i) Facilities which have given rise to standards at the facility. The Assista conviction under section 113(c)(1) of ant Administrator's determination to the Air Act.

list shall be in writing and shall sum(ii) Facilities which have given rise marize the basis for his action. to any injunction, order, judgment, (3) The List. Upon carrying out the decree, or other form of civil ruling by aforesaid requirements, the Assistant a Federal, State, or local court issued Administrator may list a facility. The as a result of noncompliance with list shall be distributed periodically to clean air standards, or facilities which all agencies and published in the FEDhave given rise to a conviction in a ERAL REGISTER. The List shall contain State or local court for noncompliance as a minimum the name of each with clean air standards.

person whose noncomplying facility (iii) Facilities not in compliance with has given rise to the listing, the name an order under section 113(a) of the of such facility, the basis for the listAir Act, or which have given rise to ing, and the date for each listing. the initiation of court action under (4) Effective date. The Assistant Adsection 113(b) of the Air Act, or have ministrator shall initiate the maintebeen subjected to equivalent State ornance of the List of Violating Facililocal proceedings to enforce clean air ties where such listing is determined standards.

based on § 15.20(a)(1) (i) or (iv) effec(iv) Facilities which have given rise tive immediately. The Assistant Adto a conviction under section 309(C) of ministrator shall initiate the maintethe Water Act.

nance of the List of Violating Facili(v) Facilities which have given rise ties where such listing is determined to any injunction, order, judgment, based on § 15.20(a)(1) (ii), (iii), (v), (vi) decree, or other form of civil ruling by effective July 1, 1975. a Federal, State, or local court issued (b) Prohibition of award to listed as a result of noncompliance with facilities. No agency shall enter into, clean water standards, or facilities renew, or extend any nonexempt conwhich have given rise to a conviction tract, subcontract, grant, subgrant, in a State or local court for noncompli loan, or subloan where a facility listed ance with clean water standards.

would be utilized for the contract, sub(vi) Facilities not in compliance with contract, grant, subgrant, loan, or suban order under section 309(a) of the loan. Water Act, or which have given rise to (c) Removal of facility from List. If a the initiation of court action under conviction, order, judgment, decree, section 309(b) of the Water Act, or other form of civil ruling, or finding have been subjected to equivalent which has constituted the basis for State or local proceedings to enforce consideration of listing a facility is reclean water standards.

versed or otherwise modified to (2) Listing proceedings. No facility remove such basis, the facility shall be shall be listed until there has been no- removed promptly from such listing tification to the owner, and where ap- by the Assistant Administrator effecpropriate, the operator, by the Assist- tive upon receipt of notification of the ant Administrator of his intent to reversal, modification, or request. Replace, the facility on the List and the quests for removal of facilities from basis therefor, and the rerepresenta- the List for any other basis including a request from a Governor shall be ad- Protection Agency, Washington, D.C. dressed to the Assistant Administra- 20460. tor. Such request shall be in writing (b) The statement should include and must contain appropriate evidence the name, address, and telephone that the condition which gave rise to number of the person responsible for the listing has been corrected. Alter its filing, the name and address or natively, for facilities listed under

other accurate description of the fa$ 15.20(a)(1) (ii), (iii), (v), and (vi)

cility allegedly in noncompliance, a deabove, the written request to de-list

scription of the noncompliance, with may be based upon an approved plan

any available accompanying data conof compliance which will ensure the

sidered to show that the noncomplicondition which gave rise to the listing

ance has occurred, and any other perwill be corrected. Facilities listed on

tinent information which will assist in the basis of $ 15.20(a)(1) (iii) and (vi)

the investigation and resolution of the shall be removed from the List one year after the initial date of the listing

reported noncompliance. The state

ment must be signed by the person reunless the Assistant Administrator determines theretofore that a basis for

sponsible for the filing or his authorlisting under $ 15.20(a)(1) (i), (ii), (iv),

ized representative. or (v) has been established. In the

(c) The Assistant Administrator event the request for removal is shall review the statement and within denied. a hearing pursuant to $ 15.21 a reasonable period advise the person shall be granted by the Assistant Ad of the disposition of his statement. ministrator, if requested within ten (d) No action under this section shall (10) days of receipt of a notice of satisfy the service of notice of intent denial.

to file suit requirement pursuant to (40 FR 17124, Apr. 16, 1975; 40 FR 18340,

section 304 of the Air Act or section Apr. 28, 1975, as amended at 44 FR 6911,

505 of the Water Act. Feb. 5, 1979)

(40 FR 17124, Apr. 16, 1975, as amended at § 15.21 Hearings.

44 FR 6911, Feb. 5, 1979) (a) Hearings held pursuant to § 15.23 Agency participation. $ 15.20(c) shall be conducted by a hearing officer designated by the Ad

(a) Federal agency participation.

Pursuant to $ 15.4 (c) and (d), appliministrator. Each party shall have the right of counsel and a fair opportunity

cants must indicate whether a facility to present evidence and argument and

to be utilized in the performance of to cross-examine. The agency or offi

any nonexempt contract, grant, or cial responsible for clean air or water

loan has been identified by the Assiststandards enforcement with respect to

ant Administrator as under considerathe listed facility will be permitted to

tion for listing. Federal contracting ofparticipate in the hearing. The hear

ficers or awarding officials must detering officer shall base his decision mine whether any facility to be utisolely upon the record before him. lized in the performance of a nonex

(b) The decision of the hearing offi empt contract, grant, or loan appears cer shall be final unless within twenty on the List distributed by the Assist(20) days from the date of receipt of ant Administrator under $ 15.20. If the decision the party adversely af. such facility has been identified by fected requests in writing a review by the Assistant Administrator but the the Administrator.

facility does not appear on the List,

the contracting officer or awarding of8 15.22 Public participation.

ficials shall promptly notify the As(a) Persons who wish to bring an al- sistant Administrator. In accordance leged failure of compliance with clean with $ 15.24, the Assistant Administraair or water standards under this part tor may request that the award of the to the attention of the Government contract, grant, or loan be withheld should file a statement in writing with for a period not to exceed fifteen (15) the Assistant Administrator, Office of working days pending completion of Federal Activities, U.S. Environmental an appropriate investigation.

(b) State participation. If a Gover the requirements set forth in the regu. nor determines that a facility is in lations contained in this part. Refercontinuing or recurring noncompli- rals of any matters arising under such ance with clean air or water standards, regulations to the Department of Justhe Governor may notify the Assistant tice shall be made only by the AdminAdministrator. The Assistant Adminis- istrator or with his express approval. trator shall take the necessary steps, under $ 15.20, to determine whether

Subpart C—Ancillary Matters listing shall occur. (40 FR 17124, Apr. 16, 1975, as amended at $ 15.40 Reports. 44 FR 6911, Feb. 5, 1979)

(a) Agency reports. The head of each 8 15.24 Investigation.

agency shall ensure that the Adminis

trator is informed of each exemption (a) When pursuant to $ 15.23, Feder

granted under $ 15.5(b) during the preal contracting officers or awarding of ficials notify the Assistant Administra

ceding fiscal year annually before tor that a facility contemplated to be

August 1. utilized in the performance of a con

(b) EPA reports. (1) The Administratract, grant, or loan has been identi

tor will annually report to the Presified by EPA as under consideration for

dent on measures taken toward implelisting, the Assistant Administrator

mentation of section 306 of the Air after consultation with the agency

Act, section 508 of the Water Act, the whose proposed contract, grant, or

Order, and regulations in this part, inloan is involved, may request that the

cluding but not limited to the progress award of the contract, grant, or loan and problems associated with such imbe withheld for a period not to exceed plementation. fifteen (15) working days effective the (2) The Administrator will annually date the Assistant Administrator, as notify the President and the Congress well as the interested Federal agency, of all exemptions granted or in effect is notified of the existence of such in- under this part during the preceding formation and the initiation of the in- year. vestigation. The agency shall withhold such award except when it is deter- 8 15.41 Delegation of Authority by the Asmined that the delay is likely to preju sistant Administrator. dice the agency's programs or other

The Assistant Administrator is auwise seriously disadvantage the Gov.

thorized to redelegate the authority ernment. Prompt notice shall be given

conferred upon him by this part. to the Assistant Administrator in any case where such determination to (40 FR 17124, Apr. 16, 1975, as amended at award has been made.

44 FR 6911, Feb. 5, 1979) (b) The Assistant Administrator shall promptly inform the agency

APPENDIX A whose contract, grant, or loan is in Statement of Procedures for the placevolved of the findings, dispositions, or

ment of facilities on the U.S. Environmental actions resulting from the investiga Protection Agency List of Violating Facilition. Where the information causing ties. the investigation was presented by a private individual or Governor, that

A. PURPOSE individual or Governor shall also be This statement describes the internal propromptly notified.

cedures used by the Environmental Protec

tion Agency relating to the listing of facili(40 FR 17124, Apr. 16, 1975, as amended at

ties pursuant to 40 CFR 15.20(a) and 44 FR 6911, Feb. 5, 1979)

$ 15.20(b). The statement is intended as a

supplement to that regulation. $ 15.25 Referral to the Justice Depart. ment.

B. RECOMMENDATIONS FOR LISTING The Administrator may recommend Recommendations of facilities for placethat appropriate legal proceedings or ment on the list may come from any of other action be taken in reference to these individuals:

1. Regional Administrators (authority for which may be delegated to Regional En forcement Division Directors);

2. The Deputy Assistant Administrator for Water Enforcement or for General Enforcement; 3. Governors (see State participation, 40

participation. 40 CFR 15.23(b)); or

4. Citizens (see public participation, 40 CFR 15.22).

the record of the Listing Proceeding, the Panel shall review the recommended decision of the Case Examiner and issue a final decision based on a majority vote of the three voting Panel members. (44 FR 6911, Feb. 5, 1979)



C. LISTING OFFICIAL A Listing Official shall be designated by the Assistant Administrator for Enforce. ment to receive recommendations to list. The Listing Official shall review the recommendations and may return the recommendation to the recommending official for deficiencies or for more information; otherwise he shall place the case on the Listing Docket.

Cases in the Listing Docket will be scheduled for Listing Proceedings and are assigned Case Examiners by the Assistant Administrator for Enforcement. The Listing Official will prepare a Notice of Proposed Listing for each case in the Docket, and will answer any requests from the facility or the recommending official prior to the Listing Proceeding. At any point prior to a Listing decision, the Recommending Official may request the Listing Official to withdraw the Notice of Proposed Listing due to a change in circumstances, e.g., settlement of the enforcement action.

Sec. 16.1 Purpose and scope. 16.2 Definitions. 16.3 Procedures for requests pertaining to

individual records in a record system. 16.4 Times, places, and requirements for

identification of individuals making re

quests. 16.5 Disclosure of requested information to

individuals. 16.6 Special procedures: Medical records. 16.7 Request for correction or amendment

of record. 16.8 Initial determination on request for

correction or amendment of record. 16.9 Appeal of initial adverse agency deter

mination on request for correction or

amendment. 16.10 Disclosure of record to person other

than the individual to whom it pertains. 16.11 Fees. 16.12 Penalties. 16.13 [Reserved) 16.14 Specific exemptions.

AUTHORITY: 5 U.S.C. 552a.

SOURCE: 40 FR 53582, Nov. 19, 1975, unless otherwise noted.

D. CASE EXAMINER The Listing Proceeding (40 CFR 15.20(a)(3)) will be chaired by the Case Examiner. A Case Examiner will be appointed for each case on the docket by the Assistant Administrator for Enforcement. The Case Examiner will be an EPA official familiar with pollution control in the media in question, subject to the following restraints:

1. He or she may not be the Listing Official;

2. He or she may not be the Recommending Official or anyone subordinate to the recommending official;

3. He or she may not have been closely involved in the preparation of the enforcement case.

E. LISTING REVIEW PANEL The Listing Review Panel shall consist of the Assistant Administrator for Enforcement, who will serve as Chairman, the Assistant Administrator for Planning and Management, the General Counsel, and a representative from the Office of the Deputy Administrator who shall serve as a non-voting member. The panel members or their designees should attend and participate in the Listing Proceeding. No later than thirty working days after the close of

8 16.1 Purpose and scope.

(a) This part sets forth the Environmental Protection Agency procedures under the Privacy Act of 1974 as required by 5 U.S.C. 552a(f).

(b) These procedures describe how an individual may request notification of whether EPA maintains a record pertaining to him or her in any of its systems of records, request access to the record or to an accounting of its disclosure, request that the record be amended or corrected, and appeal an initial adverse determination concerning any such request.

(c) These procedures apply only to requests by individuals and only to records maintained by EPA, excluding those systems specifically exempt under $ $ 16.13 and 16.14 and those determined as government-wide and pub

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