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(b) Notice of actions taken under this section will be given to the appropriate State certifying authority.

warded to the applicant and to the State certifying authority. If the facility is denied certification, the Regional Administrator will advise the applicant and State certifying authori. ty in writing of the reasons therefor.

(g) No certification will be made by the Regional Administrator for any facility prior to the time it is placed in operation and the application, or amended application, in connection with such facility so states.

(h) An applicant may appeal any de. cision of the Regional Administrator which:

(1) Denies certification;

(2) Disapproves the applicant's suggested method of allocating costs pursuant to § 20.8(e); or

(3) Revokes a certification pursuant to $ 20.10. Any such appeal may be taken by filing with the Administrator within 30 days from the date of the decision of the Regional Administrator a written statement of objections to the de cision appealed from. Within 60 days after receipt of such appeal the Administrator shall affirm, modify, or revoke the decision of the Regional Administrator, stating in writing his reasons therefor. (36 FR 22382, Nov. 25, 1971, as amended at 43 FR 1340, Jan. 9, 1978)

$ 20.5 Applications.

Applications for certification under this part shall be submitted in such manner as the Administrator may prescribe, shall be signed by the applicant or agent thereof, and shall include the following information:

(a) Name, address, and Internal Revenue Service identifying number of the applicant;

(b) Type and narrative description of the new identifiable facility for which certification is (or will be) sought, including a copy of schematic or engineering drawings, and a description of the function and operation of such facility;

(c) Address (or proposed address) of facility location;

(d) A general description of the operation in connection with which the facility is (or will be) used and a description of the specific process or processes resulting in discharges or emissions which are (or will be) controlled or prevented by the facility.

(e) If the facility is (or will be) used in connection with more than one plant or other property, one or more of which were not in operation before January 1, 1976, a description of the operations of the facility in respect to each plant or other property, includ. ing a reasonable allocation of the costs of the facility among the plants being serviced, and a description of the reasoning and accounting method or methods used to arrive at these allocations.

(f) A description of the effect of the facility in terms of type and quantity of pollutants, contaminants, wastes, or heat, removed, altered, stored, disposed of, or prevented by the facility.

(g) If the facility performs a function other than removal, alteration, storage, prevention, or disposal of pollutants, contaminants, wastes, or heat, a description of all functions performed by the facility, including a reasonable identification of the costs of the facility allocable to removal, alteration, storage, prevention, or disposal of pollutants, contaminants, wastes, or

8 20.4 Notice of intent to certify.

(a) On the basis of applications submitted prior to the construction, reconstruction, erection, acquisition, or operation of a facility, the Regional Administrator may notify applicants that such facility will be certified if:

(1) The Regional Administrator de termines that such facility, if constructed, reconstructed, erected, ac quired, installed, and operated in accordance with such application will be in compliance with requirements identified in § 20.8; and if

(2) The application is accompanied by a statement from the State certify. ing authority that such facility, if constructed, reconstructed, acquired, erected, installed, and operated in accordance with such application, will be in conformity with the State program or requirements for abatement or control of water or air pollution.

heat and a description of the reason ing and accounting method or methods used to arrive at the allocation.

(h) Date when such construction, reconstruction, or erection will be com pleted or when such facility was (or will be) acquired;

(i) Date when such facility is placed (or is intended to be placed) in operation;

(j) Identification of the applicable State and local water or air pollution control requirements and standards, if any;

(k) Expected useful life of facility;

(1) Cost of construction, acquisition, installation, operation, and maintenance of the facility;

(m) Estimated profits reasonably ex. pected to be derived through the recovery of wastes or otherwise in the operation of the facility over the period referred to in paragraph (a)(6) of 26 CFR 1.169-2;

(n) The percentage (if any, and if the taxpayer claims that the percentage is 5 percent or less) by which the facility (1) increases the output or capacity, (2) extends the useful life, or (3) reduces the total operating costs of the operating unit of the plant or other property most directly associated with the pollution control facility and a description of the reasoning and accounting method or methods used to arrive at this percentage.

(0) Such other information as the Administrator deems necessary for certification. (36 FR 22382, Nov. 25, 1971, as amended at 43 FR 1340, Jan. 9, 1978)

8 20.7 General policies.

(a) The general policies of the United States for cooperation with the States in the prevention and abatement of water pollution are: To enhance the quality and value of our water resources; to eliminate or reduce the pollution of the nation's waters and tributaries thereof; to improve the sanitary condition of surface and underground waters, and to conserve such waters for public water supplies, propagation of fish and aquatic life and wildlife, recreational purposes, and agricultural, industrial, and other legitimate uses.

(b) The general policy of the United States for cooperation with the States in the prevention and abatement of air pollution is to cooperate with and to assist the States and local governments in protecting and enhancing the quality of the Nation's air resources by the prevention and abatement of conditions which cause or contribute to air pollution which endangers the public health or welfare.

8 20.6 State certification.

The State certification shall be by the State certifying authority having jurisdiction with respect to the facility in accordance with 26 U.S.C. 169(d)(1)(A) and (d)(2). The certification shall state that the facility described in the application has been constructed, reconstructed, erected, or acquired in conformity with the State program or requirements for abatement or control of water or air pollution. It shall be executed by an agent or officer authorized to act on behalf of the State certifying authority.

$ 20.8 Requirements for certification.

(a) Subject to $ 20.9, the Regional Administrator will certify a facility if he makes the following determinations:

(1) It has been certified by the State certifying authority.

(2) That the facility: (i) Removes, alters, disposes of, stores, or prevents the creation of pollutants, contaminants, wastes, or heat, which, but for the facility, would be released into the environment;

(ii) Does not by a factor or more than 5 percent: (A) Increase the output or capacity, (B) extend the useful life, or (C) reduce the total operating costs of the operating unit (of the plant or other property) most directly associated with the pollution control facility; and

(iii) Does not significantly alter the nature of the manufacturing or production process or facility.

(3) The applicant is in compliance with all regulations of Federal agencies applicable to use of the facility, including conditions specified in any NPDES permit issued to the applicant under section 402 of the Act.


(4) The facility furthers the general (d) A facility that removes elements policies of the United States and the or compounds from fuels that would States in the prevention and abate be released as pollutants when such ment of pollution.

fuels are burned is eligible for certifi(5) The applicant has complied with cation if the facility isall the other requirements of this part (1) Used in connection with a plant and has submitted all requested infor or other property in operation before mation.

January 1, 1976 (whether located and (b) In determining whether use of a used at a particular plant or as a cenfacility furthers the general policies of tralized facility for one or more the United States and the States in plants), and the prevention and abatement of (2) Is otherwise eligible for certificawater pollution, the Regional Administrator shall consider whether such fa

(e) Where a facility is used in concility is consistent with the following,

nection with more than one plant or insofar as they are applicable to the

other property, one or more of which waters which will be affected by the

were not in operation before January facility:

1, 1976, or where a facility will per(1) All applicable water quality

form a function other than the removstandards, including water quality cri

al, alteration, storage, disposal, or preteria and plans of implementation and

vention of pollutants, contaminants, enforcement established pursuant to

wastes, or heat, the Regional Adminissection 303 of the Act or State laws or

trator will so indicate on the notice of regulations;

certification and will approve or disap(2) Decisions issued pursuant to sec

prove the applicant's suggested tion 310 of the Act;

method of allocating costs. If the Re(3) Water pollution control pro

gional Administrator disapproves the grams required pursuant to any one or

applicant's suggested method, he shall more of the following sections of the

identify the proportion of costs allocaAct: Section 306, section 307, section

ble to each such plant, or to the re311, section 318, or section 405; or in

moval, alteration, storage, disposal, or order to be consistent with a plan

prevention of pollutants, contami. under section 208.

nants, wastes, or heat. (c) In determining whether use of a facility furthers the general policies of (36 FR 22382, Nov. 25, 1971, as amended at the United States and the States in

43 FR 1341, Jan. 9, 1978) the prevention and abatement of air

8 20.9 pollution, the Regional Administrator

Cost recovery. shall consider whether such facility is Where it appears that, by reason of consistent with and meets the follow: estimated profits to be derived ing requirements, insofar as they are through the recovery of wastes, applicable to the air which will be af. through separate charges for use of fected by the facility;

the facility in question, or otherwise in (1) Plans for the implementation, the operation of such facility, all or a maintenance, and enforcement of am: portion of its costs may be recovered bient air quality standards adopted or over the period referred to in parapromulgated pursuant to section 110 graph (a)(6) of 26 CFR 1.169-2, the of the Act;

Regional Administrator shall so signi(2) Recommendations issued pursu fy in the notice of certification. Deterant to sections 103(e) and 115 of the minations as to the meaning of the Act which are applicable to facilities term "estimated profits" and as to the of the same type and located in the percentage of the cost of a certified faarea to which the recommendations cility which will be recovered over are directed;

such period shall be made by the Sec(3) Local government requirements retary of the Treasury, or his delegate: for control of air pollution, including Provided, That in no event shall estiemission standards;

mated profits be deemed to arise from (4) Standards promulgated by the the use or reuse by the applicant of reAdministrator pursuant to the Act. covered waste.

8 20.10 Revocation.

tion Control Act, 33 U.S.C. 1151, et. Certification hereunder may be re- seq. voked by the Regional Administrator

8 21.2 Definitions. on 30 days written notice to the appli. cant, served by certified mail, when. (a) "Small business concern” means ever the Regional Administrator shall a concern defined by section 2[3] of determine that the facility in question the Small Business Act, 15 U.S.C. 632, is no longer being operated consistent 13 CFR Part 121, and regulations of with the $ 20.8(b) and (c) criteria in the Small Business Administration effect at the time the facility was promulgated thereunder. placed in service. Within such 30-day (b) For purposes of paragraph period, the applicant may submit to 7(g)(2) of the Small Business Act, the Regional Administrator such evi

"necessary and adequate" refers to addence, data or other written materials ditions, alterations, or methods of opas the applicant may deem appropri eration in the absence of which a ate to show why the certification here

small business concern could not under should not be revoked. Notifica

comply with one or more applicable tion of a revocation under this section

standards. This can be determined shall be given to the Secretary of the

with reference to design specifications Treasury or his delegate. See 26 CFR

provided by manufacturers, suppliers, 1.169-4(b)(1).

or consulting engineers; including,

without limitations, additions, alterPART 21-SMALL BUSINESS

ations, or methods of operation the

design specifications of which will proSec.

vide a measure of treatment or abate21.1 Scope.

ment of pollution in excess of that re21.2 Definitions.

quired by the applicable standard. 21.3 Submission of applications. 21.4 Review of application.

(c) “Applicable Standard" means 21.5 Issuance of statements.

any requirement, not subject to an ex21.6 Exclusions.

ception under $ 21.6, relating to the 21.7 (Reserved]

quality of water containing or poten21.8 Resubmission of application.

tially containing pollutants, if such re21.9 Appeals.

quirement is imposed by: 21.10 Utilization of the statement.

(1) The Act; 21.11 Public participation. 21.12 State issued statements.

(2) EPA regulations promulgated 21.13 Effect of certification upon authority thereunder or permits issued by EPA to enforce applicable standards.

or a State thereunder; AUTHORITY: (15 U.S.C. 636), as amended

(3) Regulations by any other Federal by Pub. L. 92-500.

Agency promulgated thereunder; SOURCE: 42 FR 8083, Feb. 8, 1977, unless

(4) Any State standard or requireotherwise noted.

ment as applicable under section 510

of the Act; 8 21.1 Scope.

(5) Any requirements necessary to This part establishes procedures for

comply with an areawide management the issuance by EPA of the state.

plan approved pursuant to section ments, referred to in section 7(g) of

208(b) of the Act; the Small Business Act and section 8

(6) Any requirements necessary to of the Federal Water Pollution Con- comply with a facilities plan developed trol Act Amendments of 1972, to the

under section 201 of the Act (see 35 effect that additions to or alterations

CFR Subpart E); in the equipment, facilities (including

(7) Any State regulations or laws the construction of pretreatment facil controlling the disposal of aqueous ities and interceptor sewers), or meth- pollutants that may affect groundods of operations of small business water. concerns are necessary and adequate (d) “Regional Administrator" means to comply with requirements estab- the Regional Administrator of EPA lished under the Federal Water Pollu- for the region including the State in

which the facility or method of operation is located, or his designee.

(e) “Act" means the Federal Water Pollution Control Act, 33 U.S.C. 1151, et. seq.

(f) “Pollutant” means dredged spoil, solid waste, incinerator residue, sewage, garbage, sewage sludge, munitions, chemical wastes, biological materials, radioactive materials, heat, wrecked or discarded equipment, rock, sand, cellar dirt and industrial, municipal, and agricultural waste discharged into water. For the purposes of this section, the term also means sewage from vessels within the meaning of section 312 of the Act.

(g) “Permit” means any permit issued by either EPA or a State under the authority of section 402 of the Act; or by the Corps of Engineers under section 404 of the Act.

(h) “State" means a State, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, and the Trust Territory of the Pacific Islands.

Comment: As the SBA does not extend its programs to the Canal Zone, the listing of the Canal Zone as a State for the purposes of meeting a requirement imposed by sections 311 or 312 of the Act is not effective in this regulation.

(i) “Statement” means a written approval by EPA, or if appropriate, a State, of the application.

(j) "Facility" means any building, structure, installation or vessel, or portion thereof.

(k) “Construction" means the erection, building, acquisition, alteration, remodeling, modification, improvement, or extension of any facility; Provided, that it does not mean preparation or undertaking of: Plans to determine feasibility; engineering, architectural, legal, fiscal, or economic investi. gations or studies; surveys, designs, plans, writings, drawings, specifications or procedures.

Comment: This provision would not later preclude SBA financial assistance being utilized for any planning or design effort conducted previous to construction.

(1) The term "additions and alterations" means the act of undertaking construction of any facility.

(m) The term "methods of operation" means the installation, emplacement, or introduction of materials, including those involved in construction, to achieve a process or procedure to control: Surface water pollution from non-point sources—that is, agricultural, forest practices, mining, construction; ground or surface water pollution from well, subsurface, or surface disposal operations; activities resulting in salt water intrusion; or changes in the movement, flow, or circulation of navigable or ground waters.

(n) The term "vessel" means every description of watercraft or other artificial contrivance used, or capable of being used, as a means of transportation on the navigable waters of the United States other than a vessel owned or operated by the United States or a State or a political subdivision thereof, or a foreign nation; and is used for commercial purposes by a small business concern.

(0) "EPA” means the Environmental Protection Agency.

(p) "SBA” means the Small Business Administration.

(q) “Areawide agency" means an areawide management agency designated under section 208(c)(1) of the Act.

(r) "Lateral sewer" means a sewer which connects the collector sewer to the interceptor sewer.

(s) “Interceptor sewer" means a sewer whose primary purpose is to transport wastewaters from collector sewers to a treatment facility.

821.3 Submission of applications.

(a) Applications for the statement described in $ 21.5 of this part shall be made to the EPA Regional Office for the region covering the State in which the additions, alterations, or methods of operation covered by the application are located. A listing of EPA Regional Offices, with their mailing addresses, and setting forth the States within each region is as follows:

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