PART 1021 -- NATIONALENVIRONMENTAL POLICY ACTIMPLEMENTING PROCEDURES

Subpart A -- General

Sec.1021.100 Purpose.1021.101 Policy.1021.102 Applicability.1021.103 Adoption of CEQ NEPA regulations.1021.104 Definitions.1021.105 Oversight of Agency NEPAactivities.

Subpart B -- DOE Decisionmaking

1021.200 DOE planning.1021.210 DOE decisionmaking.1021.211 Interim actions: Limitations onactions during the NEPA process.1021.212 Research, development,demonstration, and testing.1021.213 Rulemaking.1021.214 Adjudicatory proceedings.1021.215 Applicant process.1021.216 Procurement, financial assistance,and joint ventures.

Subpart C -- Implementing Procedures

1021.300 General requirements.1021.301 Agency review and publicparticipation.1021.310 Environmental impact statements.1021.311 Notice of intent and scoping.1021.312 [Reserved]1021.313 Public review of environmentalimpact statements.1021.314 Supplemental environmental impactstatements.1021.315 Records of decision.1021.320 Environmental assessments.1021.321 Requirements for environmentalassessments.1021.322 Findings of no significant impact.1021.330 Programmatic (including site-wide)NEPA documents.

1021.331 Mitigation action plans.1021.340 C1assified, confidential, andotherwise exempt information.1021.341 Coordination with otherenvironmental review requirements.1021.342 Interagency cooperation.1021.343 Variances.

Subpart D -- Typical Classes of Actions

1021.400 Level of NEPA review.1021.410 Application of categorical exclusions(classes of actions that normally do not requireEAs or EISs).Appendix A to Subpart D to Part 1021 --Categorical Exclusions Applicable to GeneralAgency ActionsAppendix B to Subpart D to Part 1021 --Categorical Exclusions Applicable to SpecificAgency ActionsAppendix C to Subpart D to Part 1021 -- Classesof Actions that Normally Require EAs but notNecessarily EISsAppendix D to Subpart D to Part 1021 -- Classesof Actions that Normally Require EISs

Authority: 42 U.S.C. 7101 et seq.; 42 U.S.C.4321 et seq.; 50 U.S.C. 2401 et seq.

Source: 57 FR 15144, Apr. 24, 1992, unlessotherwise noted.

Subpart A -- General

§1021.100 Purpose.

The purpose of this part is to establishprocedures that the Department of Energy (DOE)shall use to comply with section 102(2) of theNational Environmental Policy Act (NEPA) of1969 (42 U.S.C. 4332(2)) and the Council onEnvironmental Quality (CEQ) regulations forimplementing the procedural provisions ofNEPA (40 CFR parts 1500-1508). This partsupplements, and is to be used in conjunctionwith, the CEQ Regulations.

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§1021.101 Policy.

It is DOE's policy to follow the letter andspirit of NEPA; comply fully with the CEQRegulations; and apply the NEPA review processearly in the planning stages for DOE proposals.

§1021.102 Applicability.

(a) This part applies to all organizationalelements of DOE except the Federal EnergyRegulatory Commission.

(b) This part applies to any DOE actionaffecting the quality of the environment of theUnited States, its territories or possessions. DOEactions having environmental effects outside theUnited States, its territories or possessions aresubject to the provisions of Executive Order12114, “Environmental Effects Abroad of MajorFederal Actions” (3 CFR, 1979 Comp., p. 356;44 FR 1957, January 4, 1979), DOE guidelinesimplementing that Executive Order (46 FR 1007,January 5, 1981), and the Department of State's“Unified Procedures Applicable to MajorFederal Actions Relating to Nuclear ActivitiesSubject to Executive Order 12114" (44 FR65560, November 13, 1979).

§1021.103 Adoption of CEQ NEPAregulations.

DOE adopts the regulations forimplementing NEPA published by CEQ at 40CFR parts 1500 through 1508.

§1021.104 Definitions.

(a) The definitions set forth in 40 CFR part1508 are referenced and used in this part.

(b) In addition to the terms defined in 40CFR part 1508, the following definitions applyto this part:

Action means a project, program, plan, orpolicy, as discussed at 40 CFR 1508.18, that issubject to DOE's control and responsibility. Notincluded within this definition are purelyministerial actions with regard to which DOE

has no discretion. For example, ministerialactions to implement congressionally mandatedfunding for actions not proposed by DOE and asto which DOE has no discretion (i.e., statutorilymandated, congressionally initiated“passthroughs”).

Advance NOI means a formal public noticeof DOE's intent to prepare an EIS, which ispublished in advance of an NOI in order tofacilitate public involvement in the NEPAprocess.

American Indian tribe means any Indiantribe, band, nation, pueblo, or other organizedgroup or community, including any Alaskanative entity, which is recognized as eligible forthe special programs or services provided by theUnited States because of their status as Indians.

Categorical exclusion means a category ofactions, as defined at 40 CFR 1508.4 and listedin appendix A or B to subpart D of this part, forwhich neither an EA nor an EIS is normallyrequired.

CEQ means the Council on EnvironmentalQuality as defined at 40 CFR 1508.6.

CEQ Regulations means the regulationsissued by CEQ (40 CFR parts 1500-1508) toimplement the procedural provisions of NEPA.

CERCLA-excluded petroleum and naturalgas products means petroleum, including crudeoil or any fraction thereof, that is not otherwisespecifically listed or designated as a hazardoussubstance under section 101(14) of theComprehensive Environmental Response,Compensation, and Liability Act (CERCLA) (42U.S.C. 9601.101(14)) and natural gas, naturalgas liquids, liquefied natural gas, or synthetic gasusable for fuel or of pipeline quality (or mixturesof natural gas and such synthetic gas).

Contaminant means a substance identifiedwithin the definition of contaminant in section101(33) of CERCLA (42 U.S.C. 9601.101(33)).

Day means a calendar day.DOE means the U.S. Department of Energy.DOE proposal (or proposal) means a

proposal, as discussed at 40 CFR 1508.23(whether initiated by DOE, another Federalagency, or an applicant), for an action, if the

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proposal requires a DOE decision.EA means an environmental assessment as

defined at 40 CFR 1508.9.EIS means an environmental impact

statement as defined at 40 CFR 1508.11, or,unless this part specifically provides otherwise, aSupplemental EIS.

EPA means the U.S. EnvironmentalProtection Agency.

FONSI means a Finding of No SignificantImpact as defined at 40 CFR 1508.13.

Hazardous substance means a substanceidentified within the definition of hazardoussubstances in section 101(14) of CERCLA (42U.S.C. 9601.101(14)). Radionuclides arehazardous substances through their listing undersection 112 of the Clean Air Act (42 U.S.C.7412) (40 CFR part 61, subpart H).

Host state means a state within whoseboundaries DOE proposes an action at anexisting facility or construction or operation of anew facility.

Host tribe means an American Indian tribewithin whose tribal lands DOE proposes anaction at an existing facility or construction oroperation of a new facility. For purposes of thisdefinition, tribal lands means the area of “Indiancountry,” as defined in 18 U.S.C. 1151, that isunder the tribe's jurisdiction. That section definesIndian country as:

(i) All land within the limits of any Indianreservation under the jurisdiction of the UnitedStates government, notwithstanding the issuanceof any patent, and including rights-of-wayrunning through the reservation;

(ii) All dependent Indian communities withinthe borders of the United States whether withinthe original or subsequently acquired territorythereof, and whether within or without the limitsof a state; and

(iii) All Indian allotments, the Indian titles towhich have not been extinguished, includingrights-of-way running through the same.

Interim action means an action concerning aproposal that is the subject of an ongoing EISand that DOE proposes to take before the RODis issued, and that is permissible under 40 CFR

1506.1: Limitations on actions during the NEPAprocess.

Mitigation Action Plan means a documentthat describes the plan for implementingcommitments made in a DOE EIS and itsassociated ROD, or, when appropriate, an EA orFONSI, to mitigate adverse environmentalimpacts associated with an action.

NEPA means the National EnvironmentalPolicy Act of 1969 (42 U.S.C. 4321 et seq.).

NEPA document means a DOE NOI, EIS,ROD, EA, FONSI, or any other documentprepared pursuant to a requirement of NEPA orthe CEQ Regulations.

NEPA review means the process used tocomply with section 102(2) of NEPA.

NOI means a Notice of Intent to prepare anEIS as defined at 40 CFR 1508.22.

Notice of Availability means a formal notice,published in the FEDERAL REGISTER, thatannounces the issuance and public availability ofa draft or final EIS. The EPA Notice ofAvailability is the official public notification ofan EIS; a DOE Notice of Availability is anoptional notice used to provide information tothe public.

Pollutant means a substance identified withinthe definition of pollutant in section 101(33) ofCERCLA (42 U.S.C. 9601.101(33)).

Program means a sequence of connected orrelated DOE actions or projects as discussed at40 CFR 1508.18(b)(3) and 1508.25(a).

Programmatic NEPA document means abroad-scope EIS or EA that identifies andassesses the environmental impacts of a DOEprogram; it may also refer to an associatedNEPA document, such as an NOI, ROD, orFONSI.

Project means a specific DOE undertakingincluding actions approved by permit or otherregulatory decision as well as Federal andfederally assisted activities, which may includedesign, construction, and operation of anindividual facility; research, development,demonstration, and testing for a process orproduct; funding for a facility, process, orproduct; or similar activities, as discussed at 40

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CFR 1508.18(b)(4).ROD means a Record of Decision as

described at 40 CFR 1505.2.Scoping means the process described at 40

CFR 1501.7; “public scoping process” refers tothat portion of the scoping process where thepublic is invited to participate, as described at 40CFR 1501.7 (a)(1) and (b)(4).

Site-wide NEPA document means abroad-scope EIS or EA that is programmatic innature and identifies and assesses the individualand cumulative impacts of ongoing andreasonably foreseeable future actions at a DOEsite; it may also refer to an associated NEPAdocument, such as an NOI, ROD, or FONSI.

Supplement Analysis means a DOE documentused to determine whether a supplemental EISshould be prepared pursuant to 40 CFR1502.9(c), or to support a decision to prepare anew EIS.

Supplemental EIS means an EIS prepared tosupplement a prior EIS as provided at 40 CFR1502.9(c).

The Secretary means the Secretary ofEnergy.[57 FR 15144, Apr. 24, 1992, as amended at 61FR 36239, July 9, 1996]

§1021.105 Oversight of Agency NEPAactivities.

The Assistant Secretary for Environment,Safety and Health, or his/her designee, isresponsible for overall review of DOE NEPAcompliance. Further information on DOE'sNEPA process and the status of individualNEPA reviews may be obtained upon requestfrom the Office of NEPA Policy and Assistance,U.S. Department of Energy, 1000 IndependenceAvenue, SW., Washington, DC 20585-0119.[61 FR 36239, July 9, 1996]

Subpart B -- DOE Decisionmaking

§1021.200 DOE planning.

(a) DOE shall provide for adequate and

timely NEPA review of DOE proposals,including those for programs, policies, projects,regulations, orders, or legislation, in accordancewith 40 CFR 1501.2 and this section. In itsplanning for each proposal, DOE shall includeadequate time and funding for proper NEPAreview and for preparation of anticipated NEPAdocuments.

(b) DOE shall begin its NEPA review assoon as possible after the time that DOEproposes an action or is presented with aproposal.

(c) DOE shall determine the level of NEPAreview required for a proposal in accordancewith §1021.300 and subpart D of this part.

(d) During the development andconsideration of a DOE proposal, DOE shallreview any relevant planning anddecisionmaking documents, whether prepared byDOE or another agency, to determine if theproposal or any of its alternatives are consideredin a prior NEPA document. If so, DOE shallconsider adopting the existing document, or anypertinent part thereof, in accordance with 40CFR 1506.3.

§1021.210 DOE decisionmaking.

(a) For each DOE proposal, DOE shallcoordinate its NEPA review with itsdecisionmaking. Sections 1021.211 through1021.214 of this part specify how DOE willcoordinate its NEPA review with decision pointsfor certain types of proposals (40 CFR1505.1(b)).

(b) DOE shall complete its NEPA review foreach DOE proposal before making a decision onthe proposal (e.g., normally in advance of, andfor use in reaching, a decision to proceed withdetailed design), except as provided in 40 CFR1506.1 and §§1021.211 and 1021.216 of thispart.

(c) During the decisionmaking process foreach DOE proposal, DOE shall consider therelevant NEPA documents, public and agencycomments (if any) on those documents, and DOEresponses to those comments, as part of its

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consideration of the proposal (40 CFR1505.1(d)) and shall include such documents,comments, and responses as part of theadministrative record (40 CFR 1505.1(c)).

(d) If an EIS or EA is prepared for a DOEproposal, DOE shall consider the alternativesanalyzed in that EIS or EA before rendering adecision on that proposal; the decision on theproposal shall be within the range of alternativesanalyzed in the EA or EIS (40 CFR 1505.1(e)).

(e) When DOE uses a broad decision (suchas one on a policy or program) as a basis for asubsequent narrower decision (such as one on aproject or other site-specific proposal), DOEmay use tiering (40 CFR 1502.20) andincorporation of material by reference (40 CFR1502.21) in the NEPA review for the subsequentnarrower proposal.

§1021.211 Interim actions: Limitations onactions during the NEPA process.

While DOE is preparing an EIS that isrequired under §1021.300(a) of this part, DOEshall take no action concerning the proposal thatis the subject of the EIS before issuing an ROD,except as provided at 40 CFR 1506.1. Actionsthat are covered by, or are a part of, a DOEproposal for which an EIS is being prepared shallnot be categorically excluded under subpart D ofthese regulations unless they qualify as interimactions under 40 CFR 1506.1.

§1021.212 Research, development,demonstration, and testing.

(a) This section applies to the adoption andapplication of programs that involve research,development, demonstration, and testing for newtechnologies (40 CFR 1502.4(c)(3)). Adoption ofsuch programs might also lead tocommercialization or other broad-scaleimplementation by DOE or another entity.

(b) For any proposed program described inparagraph (a) of this section, DOE shall begin itsNEPA review (if otherwise required by this part)as soon as environmental effects can be

meaningfully evaluated, and before DOE hasreached the level of investment or commitmentlikely to determine subsequent development orrestrict later alternatives, as discussed at 40 CFR1502.4(c)(3).

(c) For subsequent phases of developmentand application, DOE shall prepare one or moreadditional NEPA documents (if otherwiserequired by this part).

§1021.213 Rulemaking.

(a) This section applies to regulationspromulgated by DOE.

(b) DOE shall begin its NEPA review of aproposed rule (if otherwise required by this part)while drafting the proposed regulation, and assoon as environmental effects can bemeaningfully evaluated.

(c) DOE shall include any relevant NEPAdocuments, public and agency comments (if any)on those documents, and DOE responses to thosecomments, as part of the administrative record(40 CFR 1505.1(c)).

(d) If an EIS is required, DOE will normallypublish the draft EIS at the time it publishes theproposed rule (40 CFR 1502.5(d)). DOE willnormally combine any public hearings requiredfor a proposed rule with the public hearingsrequired on the draft EIS under §1021.313 of thispart. The draft EIS need not accompany noticesof inquiry or advance notices of proposedrulemaking that DOE may use to gatherinformation during early stages of regulationdevelopment. When engaged in rulemaking forthe purpose of protecting the public health andsafety, DOE may issue the final rulesimultaneously with publication of the EPANotice of Availability of the final EIS inaccordance with 40 CFR 1506.10(b).

(e) If an EA is required, DOE will normallycomplete the EA and issue any related FONSIprior to or simultaneously with issuance of theproposed rule; however, if the EA leads topreparation of an EIS, the provisions ofparagraph (d) of this section shall apply.

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§1021.214 Adjudicatory proceedings.

(a) This section applies to DOE proposedactions that involve DOE adjudicatoryproceedings, excluding judicial or administrativecivil or criminal enforcement actions.

(b) DOE shall complete its NEPA review (ifotherwise required by this part) before renderingany final adjudicatory decision. If an EIS isrequired, the final EIS will normally becompleted at the time of or before final staffrecommendation, in accordance with 40 CFR1502.5(c).

(c) DOE shall include any relevant NEPAdocuments, public and agency comments (if any)on those documents, and DOE responses to thosecomments, as part of the administrative record(40 CFR 1505.1(c)).

§1021.215 Applicant process.

(a) This section applies to actions thatinvolve application to DOE for a permit, license,exemption or allocation, or other similar actions,unless the action is categorically excluded frompreparation of an EA or EIS under subpart D ofthis part.

(b) The applicant shall:(1) Consult with DOE as early as possible in

the planning process to obtain guidance withrespect to the appropriate level and scope of anystudies or environmental information that DOEmay require to be submitted as part of, or insupport of, the application;

(2) Conduct studies that DOE deemsnecessary and appropriate to determine theenvironmental impacts of the proposed action;

(3) Consult with appropriate Federal, state,regional and local agencies, American Indiantribes and other potentially interested partiesduring the preliminary planning stages of theproposed action to identify environmental factorsand permitting requirements;

(4) Notify DOE as early as possible of otherFederal, state, regional, local or American Indiantribal actions required for project completion toallow DOE to coordinate the Federal

environmental review, and fulfill therequirements of 40 CFR 1506.2 regardingelimination of duplication with state and localprocedures, as appropriate;

(5) Notify DOE of private entities andorganizations interested in the proposedundertaking, in order that DOE can consult, asappropriate, with these parties in accordancewith 40 CFR 1501.2(d)(2); and

(6) Notify DOE if, before DOE completesthe environmental review, the applicant plans totake an action that is within DOE's jurisdictionthat may have an adverse environmental impactor limit the choice of alternatives. If DOEdetermines that the action would have an adverseenvironmental impact or would limit the choiceof reasonable alternatives under 40 CFR1506.1(a), DOE will promptly notify theapplicant that DOE will take appropriate actionto ensure that the objectives and procedures ofNEPA are achieved in accordance with 40 CFR1506.1(b).

(c) For major categories of DOE actionsinvolving a large number of applicants, DOEmay prepare and make available genericguidance describing the recommended level andscope of environmental information thatapplicants should provide.

(d) DOE shall begin its NEPA review (ifotherwise required by this part) as soon aspossible after receiving an application describedin paragraph (a) of this section, and shallindependently evaluate and verify the accuracyof information received from an applicant inaccordance with 40 CFR 1506.5(a). At DOE'soption, an applicant may prepare an EA inaccordance with 40 CFR 1506.5(b). If an EIS isprepared, the EIS shall be prepared by DOE orby a contractor that is selected by DOE and thatmay be funded by the applicant, in accordancewith 40 CFR 1506.5(c). The contractor shallprovide a disclosure statement in accordancewith 40 CFR 1506.5(c), as discussed in§1021.312(b)(4) of this part. DOE shall completeany NEPA documents (or evaluation of any EAprepared by the applicant) before rendering afinal decision on the application and shall

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consider the NEPA document in reaching itsdecision, as provided in §1021.210 of this part.

§1021.216 Procurement, financialassistance, and joint ventures.

(a) This section applies to DOE competitiveand limited-source procurements, to awards offinancial assistance by a competitive process,and to joint ventures entered into as a result ofcompetitive solicitations, unless the action iscategorically excluded from preparation of anEA or EIS under subpart D of this part.Paragraphs (b), (c), and (i) of this section applyas well to DOE sole-source procurements ofsites, systems, or processes, to noncompetitiveawards of financial assistance, and to sole-sourcejoint ventures, unless the action is categoricallyexcluded from preparation of an EA or EISunder subpart D of this part.

(b) When relevant in DOE's judgment, DOEshall require that offeror's submit environmentaldata and analyses as a discrete part of theofferor's proposal. DOE shall specify in itssolicitation document the type of informationand level of detail for environmental data andanalyses so required. The data will be limited tothose reasonably available to offerors.

(c) DOE shall independently evaluate andverify the accuracy of environmental data andanalyses submitted by offerors.

(d) For offers in the competitive range, DOEshall prepare and consider an environmentalcritique before the selection.

(e) The environmental critique will besubject to the confidentiality requirements of theprocurement process.

(f) The environmental critique will evaluatethe environmental data and analyses submittedby offerors; it may also evaluate supplementalinformation developed by DOE as necessary fora reasoned decision.

(g) The environmental critique will focus onenvironmental issues that are pertinent to adecision on proposals and will include:

(1) A brief discussion of the purpose of theprocurement and each offer, including any site,

system, or process variations among the offershaving environmental implications;

(2) A discussion of the salient characteristicsof each offeror's proposed site, system, orprocess as well as alternative sites, systems, orprocesses;

(3) A brief comparative evaluation of thepotential environmental impacts of the offers,which will address direct and indirect effects,short-term and long-term effects, proposedmitigation measures, adverse effects that cannotbe avoided, areas where important environmentalinformation is incomplete and unavailable,unresolved environmental issues and practicablemitigating measures not included in the offeror'sproposal; and

(4) To the extent known for each offer, a listof Federal, Tribal, state, and local governmentpermits, licenses, and approvals that must beobtained.

(h) DOE shall prepare a publicly availableenvironmental synopsis, based on theenvironmental critique, to document theconsideration given to environmental factors andto record that the relevant environmentalconsequences of reasonable alternatives havebeen evaluated in the selection process. Thesynopsis will not contain business, confidential,trade secret or other information that DOEotherwise would not disclose pursuant to 18U.S.C. 1905, the confidentiality requirements ofthe competitive procurement process, 5 U.S.C.552(b) and 41 U.S.C. 423. To assure compliancewith this requirement, the synopsis will notcontain data or other information that may in anyway reveal the identity of offerors. After aselection has been made, the environmentalsynopsis shall be filed with EPA, shall be madepublicly available, and shall be incorporated inany NEPA document prepared under paragraph(i) of this section.

(i) If an EA or EIS is required, DOE shallprepare, consider and publish the EA or EIS inconformance with the CEQ Regulations andother provisions of this part before taking anyaction pursuant to the contract or award offinancial assistance (except as provided at 40

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CFR 1506.1 and §1021.211 of this part). If theNEPA process is not completed before the awardof the contract, financial assistance, or jointventure, then the contract, financial assistance, orjoint venture shall be contingent on completionof the NEPA process (except as provided at 40CFR 1506.1 and §1021.211 of this part). DOEshall phase subsequent contract work to allowthe NEPA review process to be completed inadvance of a go/no-go decision.

Subpart C -- Implementing Procedures

§1021.300 General requirements.

(a) DOE shall determine, under theprocedures in the CEQ Regulations and this part,whether any DOE proposal:

(1) Requires preparation of an EIS;(2) Requires preparation of an EA; or(3) Is categorically excluded from

preparation of either an EIS or an EA.DOE shall prepare any pertinent documents

as required by NEPA, the CEQ Regulations, orthis part.

(b) Notwithstanding any other provision ofthese regulations, DOE may prepare a NEPAdocument for any DOE action at any time inorder to further the purposes of NEPA. This maybe done to analyze the consequences of ongoingactivities, support DOE planning, assess the needfor mitigation, fully disclose the potentialenvironmental consequences of DOE actions, orfor any other reason. Documents prepared underthis paragraph shall be prepared in the samemanner as DOE documents prepared underparagraph (a) of this section.

§1021.301 Agency review and publicparticipation.

(a) DOE shall make its NEPA documentsavailable to other Federal agencies, states, localgovernments, American Indian tribes, interestedgroups, and the general public, in accordancewith 40 CFR 1506.6, except as provided in§1021.340 of this part.

(b) Wherever feasible, DOE NEPA

documents shall explain technical, scientific, ormilitary terms or measurements using termsfamiliar to the general public, in accordance with40 CFR 1502.8.

(c) DOE shall notify the host state and hosttribe of a DOE determination to prepare an EAor EIS for a DOE proposal, and may notify anyother state or American Indian tribe that, inDOE's judgment, may be affected by theproposal.

(d) DOE shall provide the host state and hosttribe with an opportunity to review and commenton any DOE EA prior to DOE's approval of theEA. DOE may also provide any other state orAmerican Indian tribe with the same opportunityif, in DOE's judgment, the state or tribe may beaffected by the proposed action. At DOE'sdiscretion, this review period shall be from 14 to30 days. DOE shall consider all commentsreceived from a state or tribe during the reviewperiod before approving or modifying the EA, asappropriate. If all states and tribes afforded thisopportunity for preapproval review waive suchopportunity, or provide a response before the endof the comment period, DOE may proceed toapprove or take other appropriate action on theEA before the end of the review period.

(e) Paragraphs (c) and (d) of this sectionshall not apply to power marketing actions, suchas rate-setting, in which a state or AmericanIndian tribe is a customer, or to any othercircumstances where DOE determines that suchadvance information could create a conflict ofinterest.

§1021.310 Environmental impactstatements.

DOE shall prepare and circulate EISs andrelated RODs in accordance with therequirements of the CEQ Regulations, assupplemented by this subpart. DOE shall includein draft and final EISs a disclosure statementexecuted by any contractor (or subcontractor)under contract with DOE to prepare the EISdocument, in accordance with 40 CFR 1506.5(c).[61 FR 36239, July 9, 1996]

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§1021.311 Notice of intent and scoping.

(a) DOE shall publish an NOI in theFEDERAL REGISTER in accordance with 40CFR 1501.7 and containing the elementsspecified in 40 CFR 1508.22 as soon aspracticable after a decision is made to prepare anEIS. However, if there will be a lengthy periodof time between its decision to prepare an EISand the time of actual preparation, DOE maydefer publication of the NOI until a reasonabletime before preparing the EIS, provided thatDOE allows a reasonable opportunity forinterested parties to participate in the EISprocess. Through the NOI, DOE shall invitecomments and suggestions on the scope of theEIS. DOE shall disseminate the NOI inaccordance with 40 CFR 1506.6.

(b) If there will be a lengthy delay betweenthe time DOE has decided to prepare an EIS andthe beginning of the public scoping process,DOE may publish an Advance NOI in theFEDERAL REGISTER to provide an earlyopportunity to inform interested parties of thepending EIS or to solicit early public comments.This Advance NOI does not serve as a substitutefor the NOI provided for in paragraph (a) of thissection.

(c) Publication of the NOI in the FEDERALREGISTER shall begin the public scopingprocess. The public scoping process for a DOEEIS shall allow a minimum of 30 days for thereceipt of public comments.

(d) Except as provided in paragraph (g) ofthis section, DOE shall hold at least one publicscoping meeting as part of the public scopingprocess for a DOE EIS. DOE shall announce thelocation, date, and time of public scopingmeetings in the NOI or by other appropriatemeans, such as additional notices in theFEDERAL REGISTER, news releases to thelocal media, or letters to affected parties. Publicscoping meetings shall not be held until at least15 days after public notification. Should DOEchange the location, date, or time of a publicscoping meeting, or schedule additional publicscoping meetings, DOE shall publicize thesechanges in the FEDERAL REGISTER or in

other ways as appropriate.(e) In determining the scope of the EIS, DOE

shall consider all comments received during theannounced comment period held as part of thepublic scoping process. DOE may also considercomments received after the close of theannounced comment period.

(f) A public scoping process is optional forDOE supplemental EISs (40 CFR 1502.9(c)(4)).If DOE initiates a public scoping process for asupplemental EIS, the provisions of paragraphs(a) through (f) of this section shall apply.[57 FR 15144, Apr. 24, 1992, as amended at 61FR 36239, July 9, 1996]

§1021.312 [Reserved]

§1021.313 Public review of environmentalimpact statements.

(a) The public review and comment periodon a DOE draft EIS shall be no less than 45 days(40 CFR 1506.10(c)). The public commentperiod begins when EPA publishes a Notice ofAvailability of the document in the FEDERALREGISTER.

(b) DOE shall hold at least one publichearing on DOE draft EISs. Such public hearingsshall be announced at least 15 days in advance.The announcement shall identify the subject ofthe draft EIS and include the location, date, andtime of the public hearings.

(c) DOE shall prepare a final EIS followingthe public comment period and hearings on thedraft EIS. The final EIS shall respond to oral andwritten comments received during public reviewof the draft EIS, as provided at 40 CFR 1503.4.In addition to the requirements at 40 CFR1502.9(b), a DOE final EIS may include anyStatement of Findings required by 10 CFR part1022, “Compliance with Floodplain and WetlandEnvironmental Review Requirements,” or aStatement of Findings may be issued separately.

(d) DOE shall use appropriate means topublicize the availability of draft and final EISsand the time and place for public hearings on adraft EIS. The methods chosen should focus onreaching persons who may be interested in or

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affected by the proposal and may include themethods listed in 40 CFR 1506.6(b)(3).[57 FR 15144, Apr. 24, 1992, as amended at 68FR 51432, Aug. 27, 2003]

§1021.314 Supplemental environmentalimpact statements.

(a) DOE shall prepare a supplemental EIS ifthere are substantial changes to the proposal orsignificant new circumstances or informationrelevant to environmental concerns, as discussedin 40 CFR 1502.9(c)(1).

(b) DOE may supplement a draft EIS or finalEIS at any time, to further the purposes ofNEPA, in accordance with 40 CFR 1502.9(c)(2).

(c) When it is unclear whether or not an EISsupplement is required, DOE shall prepare aSupplement Analysis.

(1) The Supplement Analysis shall discussthe circumstances that are pertinent to decidingwhether to prepare a supplemental EIS, pursuantto 40 CFR 1502.9(c).

(2) The Supplement Analysis shall containsufficient information for DOE to determinewhether:

(i) An existing EIS should be supplemented;(ii) A new EIS should be prepared; or(iii) No further NEPA documentation is

required.(3) DOE shall make the determination and

the related Supplement Analysis available to thepublic for information. Copies of thedetermination and Supplement Analysis shall beprovided upon written request. DOE shall makecopies available for inspection in the appropriateDOE public reading room(s) or other appropriatelocation(s) for a reasonable time.

(d) DOE shall prepare, circulate, and file asupplement to a draft or final EIS in the samemanner as any other draft and final EISs, exceptthat scoping is optional for a supplement. If DOEdecides to take action on a proposal covered by asupplemental EIS, DOE shall prepare a ROD inaccordance with the provisions of §1021.315 ofthis part.

(e) When applicable, DOE will incorporatean EIS supplement, or the determination and

supporting Supplement Analysis made underparagraph (c) of this section, into any relatedformal administrative record on the action that isthe subject of the EIS supplement ordetermination (40 CFR 1502.9(c)(3)).

§1021.315 Records of decision.

(a) No decision may be made on a proposalcovered by an EIS during a 30-day “waitingperiod” following completion of the final EIS,except as provided at 40 CFR 1506.1 and1506.10(b) and §1021.211 of this part. The30-day period starts when the EPA Notice ofAvailability for the final EIS is published in theFEDERAL REGISTER.

(b) If DOE decides to take action on aproposal covered by an EIS, a ROD shall beprepared as provided at 40 CFR 1505.2 (exceptas provided at 40 CFR 1506.1 and §1021.211 ofthis part).

(c) DOE RODs shall be published in theFEDERAL REGISTER and made available tothe public as specified in 40 CFR 1506.6, exceptas provided in 40 CFR 1507.3(c) and §1021.340of this part.

(d) No action shall be taken until the decisionhas been made public. DOE may implement thedecision before the ROD is published in theFEDERAL REGISTER if the ROD has beensigned and the decision and the availability ofthe ROD have been made public by other means(e.g., press release, announcement in localmedia).

(e) DOE may revise a ROD at any time, solong as the revised decision is adequatelysupported by an existing EIS. A revised ROD issubject to the provisions of paragraphs (b), (c),and (d) of this section.[57 FR 15144, Apr. 24, 1992, as amended at 61FR 36239, July 9 1996]

§1021.320 Environmental assessments.

DOE shall prepare and circulate EAs andrelated FONSIs in accordance with therequirements of the CEQ Regulations, assupplemented by this subpart.

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§1021.321 Requirements for environmentalassessments.

(a) When to prepare an EA. As required by40 CFR 1501.4(b), DOE shall prepare an EA fora proposed DOE action that is described in theclasses of actions listed in appendix C to subpartD of this part, and for a proposed DOE actionthat is not described in any of the classes ofactions listed in appendices A, B, or D to subpartD, except that an EA is not required if DOE hasdecided to prepare an EIS. DOE may prepare anEA on any action at any time in order to assistagency planning and decisionmaking.

(b) Purposes. A DOE EA shall serve thepurposes identified in 40 CFR 1508.9(a), whichinclude providing sufficient evidence andanalysis for determining whether to prepare anEIS or to issue a FONSI. If appropriate, a DOEEA shall also include any floodplain/wetlandsassessment prepared under 10 CFR part 1022and may include analyses needed for otherenvironmental determinations.

(c) Content. A DOE EA shall comply withthe requirements found at 40 CFR 1508.9. Inaddition to any other alternatives, DOE shallassess the no action alternative in an EA, evenwhen the proposed action is specifically requiredby legislation or a court order.

§1021.322 Findings of no significant impact.

(a) DOE shall prepare a FONSI only if therelated EA supports the finding that the proposedaction will not have a significant effect on thehuman environment. If a required DOE EA doesnot support a FONSI, DOE shall prepare an EISand issue a ROD before taking action on theproposal addressed by the EA, except aspermitted under 40 CFR 1506.1 and §1021.211of this part.

(b) In addition to the requirements found at40 CFR 1508.13, a DOE FONSI shall includethe following:

(1) Any commitments to mitigations that areessential to render the impacts of the proposedaction not significant, beyond those mitigationsthat are integral elements of the proposed action,

and a reference to the Mitigation Action Planprepared under §1021.331 of this part;

(2) Any “Statement of Findings” required by10 CFR part 1022, “Compliance withFloodplain/Wetlands Environmental ReviewRequirements”;

(3) The date of issuance; and(4) The signature of the DOE approving

official.(c) DOE shall make FONSIs available to the

public as provided at 40 CFR 1501.4(e)(1) and1506.6; DOE shall make copies available forinspection in the appropriate DOE public readingroom(s) or other appropriate location(s) for areasonable time.

(d) DOE shall issue a proposed FONSI forpublic review and comment before making afinal determination on the FONSI if required by40 CFR 1501.4(e)(2); DOE may issue aproposed FONSI for public review and commentin other situations as well.

(e) Upon issuance of the FONSI, DOE mayproceed with the proposed action subject to anymitigation commitments expressed in the FONSIthat are essential to render the impacts of theproposed action not significant.

(f) DOE may revise a FONSI at any time, solong as the revision is supported by an existingEA. A revised FONSI is subject to all provisionsof paragraph (d) of this section.[57 FR 15144, Apr. 24, 1992, as amended at 61FR 36239, July 9, 1996]

§1021.330 Programmatic (includingsite-wide) NEPA documents.

(a) When required to support a DOEprogrammatic decision (40 CFR 1508.18(b)(3)),DOE shall prepare a programmatic EIS or EA(40 CFR 1502.4). DOE may also prepare aprogrammatic EIS or EA at any time to furtherthe purposes of NEPA.

(b) A DOE programmatic NEPA documentshall be prepared, issued, and circulated inaccordance with the requirements for any otherNEPA document, as established by the CEQRegulations and this part.

(c) As a matter of policy when not otherwise

12

required, DOE shall prepare site-wide EISs forcertain large, multiple-facility DOE sites; DOEmay prepare EISs or EAs for other sites to assessthe impacts of all or selected functions at thosesites.

(d) DOE shall evaluate site wide NEPAdocuments prepared under §1021.330(c) at leastevery five years. DOE shall evaluate site-wideEISs by means of a Supplement Analysis, asprovided in §1021.314. Based on the SupplementAnalysis, DOE shall determine whether theexisting EIS remains adequate or whether toprepare a new site-wide EIS or supplement theexisting EIS, as appropriate. The determinationand supporting analysis shall be made availablein the appropriate DOE public reading room(s)or in other appropriate location(s) for areasonable time.

(e) DOE shall evaluate site-wide EAs bymeans of an analysis similar to the SupplementAnalysis to determine whether the existingsite-wide EA remains adequate, whether toprepare a new site-wide EA, revise the FONSI,or prepare a site wide EIS, as appropriate. Thedetermination and supporting analysis shall bemade available in the appropriate DOE publicreading room(s) or in other appropriatelocation(s) for a reasonable time.

§1021.331 Mitigation action plans.

(a) Following completion of each EIS and itsassociated ROD, DOE shall prepare a MitigationAction Plan that addresses mitigationcommitments expressed in the ROD. TheMitigation Action Plan shall explain how thecorresponding mitigation measures, designed tomitigate adverse environmental impactsassociated with the course of action directed bythe ROD, will be planned and implemented. TheMitigation Action Plan shall be prepared beforeDOE takes any action directed by the ROD thatis the subject of a mitigation commitment.

(b) In certain circumstances, as specified in§1021.322(b)(2), DOE shall also prepare aMitigation Action Plan for commitments tomitigations that are essential to render theimpacts of the proposed action not significant.

The Mitigation Action Plan shall address allcommitments to such necessary mitigations andexplain how mitigation will be planned andimplemented. The Mitigation Action Plan shallbe prepared before the FONSI is issued and shallbe referenced therein.

(c) Each Mitigation Action Plan shall be ascomplete as possible, commensurate with theinformation available regarding the course ofaction either directed by the ROD or the actionto be covered by the FONSI, as appropriate.DOE may revise the Plan as more specific anddetailed information becomes available.

(d) DOE shall make copies of the MitigationAction Plans available for inspection in theappropriate DOE public reading room(s) or otherappropriate location(s) for a reasonable time.Copies of the Mitigation Action Plans shall alsobe available upon written request.

§1021.340 Classified, confidential, andotherwise exempt information.

(a) Notwithstanding other sections of thispart, DOE shall not disclose classified,confidential, or other information that DOEotherwise would not disclose pursuant to theFreedom of Information Act (FOIA) (5 U.S.C.552) and 10 CFR 1004.10(b) of DOE'sregulations implementing the FOIA, except asprovided by 40 CFR 1506.6(f).

(b) To the fullest extent possible, DOE shallsegregate any information that is exempt fromdisclosure requirements into an appendix toallow public review of the remainder of a NEPAdocument.

(c) If exempt information cannot besegregated, or if segregation would leaveessentially meaningless material, DOE shallwithhold the entire NEPA document from thepublic; however, DOE shall prepare the NEPAdocument, in accordance with the CEQRegulations and this part, and use it in DOEdecisionmaking.

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§1021.341 Coordination with otherenvironmental review requirements.

(a) In accordance with 40 CFR 1500.4(k) and(o), 1502.25, and 1506.4, DOE shall integrate theNEPA process and coordinate NEPA compliancewith other environmental review requirements tothe fullest extent possible.

(b) To the extent possible, DOE shalldetermine the applicability of otherenvironmental requirements early in the planningprocess, in consultation with other agencieswhen necessary or appropriate, to ensurecompliance and to avoid delays, and shallincorporate any relevant requirements as early inthe NEPA review process as possible.

§1021.342 Interagency cooperation.

For DOE programs that involve anotherFederal agency or agencies in related decisionssubject to NEPA, DOE will comply with therequirements of 40 CFR 1501.5 and 1501.6. Aspart of this process, DOE shall cooperate withthe other agencies in developing environmentalinformation and in determining whether aproposal requires preparation of an EIS or EA, orcan be categorically excluded from preparationof either. Further, where appropriate andacceptable to the other agencies, DOE shalldevelop or cooperate in the development ofinteragency agreements to facilitate coordinationand to reduce delay and duplication.

§1021.343 Variances.

(a) Emergency actions. DOE may take anaction without observing all provisions of thispart or the CEQ Regulations, in accordance with40 CFR 1506.11, in emergency situations thatdemand immediate action. DOE shall consultwith CEQ as soon as possible regardingalternative arrangements for emergency actionshaving significant environmental impacts. DOEshall document, including publishing a notice inthe FEDERAL REGISTER, emergency actionscovered by this paragraph within 30 days aftersuch action occurs; this documentation shall

identify any adverse impacts from the actionstaken, further mitigation necessary, and anyNEPA documents that may be required.(b) Reduction of time periods. On a case-by-casebasis, DOE may reduce time periods establishedin this part that are not required by the CEQRegulations. If DOE determines that suchreduction is necessary, DOE shall publish anotice in the FEDERAL REGISTER specifyingthe revised time periods and the rationale for thereduction.(c) Other. Any variance from the requirements ofthis part, other than as provided by paragraphs(a) and (b) of this section, must be soundly basedon the interests of national security or the publichealth, safety, or welfare and must have theadvance written approval of the Secretary;however, the Secretary is not authorized towaive or grant a variance from any requirementof the CEQ Regulations (except as provided forin those regulations). If the Secretary determinesthat a variance from the requirements of this partis within his/her authority to grant and isnecessary, DOE shall publish a notice in theFEDERAL REGISTER specifying the variancegranted and the reasons.

Subpart D -- Typical Classes of Actions

§1021.400 Level of NEPA review.

(a) This subpart identifies DOE actions thatnormally:

(1) Do not require preparation of either anEIS or an EA (are categorically excluded frompreparation of either document) (appendices Aand B to this subpart D);

(2) Require preparation of an EA, but notnecessarily an EIS (appendix C to this subpartD); or

(3) Require preparation of an EIS (appendixD to this subpart D).

(b) Any completed, valid NEPA review doesnot have to be repeated, and no completed NEPAdocuments need to be redone by reasons of theseregulations, except as provided in §1021.314.

(c) If a DOE proposal is encompassed withina class of actions listed in the appendices to this

14

subpart D, DOE shall proceed with the level ofNEPA review indicated for that class of actions,unless there are extraordinary circumstancesrelated to the specific proposal that may affectthe significance of the environmental effects ofthe proposal.

(d) If a DOE proposal is not encompassedwithin the classes of actions listed in theappendices to this subpart D, or if there areextraordinary circumstances related to theproposal that may affect the significance of theenvironmental effects of the proposal, DOE shalleither:

(1) Prepare an EA and, on the basis of thatEA, determine whether to prepare an EIS or aFONSI; or

(2) Prepare an EIS and ROD.

§1021.410 Application of categoricalexclusions (classes of actions that normally donot require EAs or EISs).

(a) The actions listed in appendices A and Bto this subpart D are classes of actions that DOEhas determined do not individually orcumulatively have a significant effect on thehuman environment (categorical exclusions).

(b) To find that a proposal is categoricallyexcluded, DOE shall determine the following:

(1) The proposal fits within a class of actionsthat is listed in appendix A or B to this subpartD;

(2) There are no extraordinary circumstancesrelated to the proposal that may affect thesignificance of the environmental effects of theproposal. Extraordinary circumstances areunique situations presented by specificproposals, such as scientific controversy aboutthe environmental effects of the proposal;uncertain effects or effects involving unique orunknown risks; or unresolved conflictsconcerning alternate uses of available resourceswithin the meaning of section 102(2)(E) ofNEPA; and

(3) The proposal is not “connected” (40 CFR1508.25(a)(1)) to other actions with potentiallysignificant impacts, is not related to otherproposed actions with cumulatively significant

impacts (40 CFR 1508.25(a)(2)), and is notprecluded by 40 CFR 1506.1 or §1021.211 ofthis part.

(c) All categorical exclusions may be appliedby any organizational element of DOE. Thesectional divisions in appendix B to this subpartD are solely for purposes of organization of thatappendix and are not intended to be limiting.

(d) A class of actions includes activitiesforeseeably necessary to proposals encompassedwithin the class of actions (such as associatedtransportation activities and award ofimplementing grants and contracts).

Appendix A to Subpart D of Part 1021 --Categorical Exclusions Applicable toGeneral Agency Actions

Table of Contents

A1. Routine administrative/ financial/personnel actions

A2. Contract interpretations/amendments/modifications, clarifying oradministrative

A3. Certain actions by Office of Hearings andAppeals

A4. Interpretations/rulings for existingregulations

A5. Rulemaking (interpreting/amending), nochange in environmental effect

A6. Rulemakings, proceduralA7. Transfer of property, use unchangedA8. Award of contracts for technical

support/management andoperation/personal services

A9. Information gathering/data analysis/document preparation/dissemination

A10 Reports or recommendations onnon-DOE legislation

A11 Technical advice and assistance toorganizations

A12 Emergency preparedness planningA13 Procedural Orders, Notices, and

guidelinesA14 Approval of technical exchange

arrangements

15

A15 Umbrella agreements for cooperation inenergy research and development

A1 Routine actions necessary to support thenormal conduct of agency business, suchas administrative, financial, andpersonnel actions.

A2 Contract interpretations, amendments,and modifications that are clarifying oradministrative in nature.

A3 Adjustments, exceptions, exemptions,appeals, and stays, modifications, orrescissions of orders issued by the Officeof Hearings and Appeals.

A4 Interpretations and rulings with respect toexisting regulations, or modifications orrescissions of such interpretations andrulings.

A5 Rulemaking interpreting or amending anexisting rule or regulation that does notchange the environmental effect of therule or regulation being amended.

A6 Rulemakings that are strictly procedural,such as rulemaking (under 48 CFR part9) establishing procedures for technicaland pricing proposals and establishingcontract clauses and contracting practicesfor the purchase of goods and services,and rulemaking (under 10 CFR part 600)establishing application and reviewprocedures for, and administration, audit,and closeout of, grants and cooperativeagreements.

A7 Transfer, lease, disposition, or acquisitionof interests in personal property (e.g.,equipment and materials) or real property(e.g., permanent structures and land), ifproperty use is to remain unchanged; i.e.,the type and magnitude of impacts wouldremain essentially the same.

A8 Award of contracts for technical supportservices, management and operation of agovernment-owned facility, and personalservices.

A9 Information gathering (including, but notlimited to, literature surveys, inventories,audits), data analysis (including computermodelling), document preparation (suchas conceptual design or feasibility

studies, analytical energy supply anddemand studies), and dissemination(including, but not limited to, documentmailings, publication, and distribution;and classroom training and informationalprograms), but not including sitecharacterization or environmentalmonitoring. (Also see B3.1.)

A10 Reports or recommendations onlegislation or rulemaking that is notproposed by DOE.

A11 Technical advice and planning assistanceto international, national, state, and localorganizations.

A12 Emergency preparedness planningactivities, including the designation ofonsite evacuation routes.

A13 Administrative, organizational, orprocedural Orders, Notices, andguidelines.

A14 Approval of technical exchangearrangements for information, data, orpersonnel with other countries orinternational organizations, including, butnot limited to, assistance in identifyingand analyzing another country's energyresources, needs and options.

A15 Approval of DOE participation ininternational “umbrella” agreements forcooperation in energy research anddevelopment activities that would notcommit the U.S. to any specific projectsor activities.

[57 FR 15144, Apr. 24, 1992, as amended at 61FR 36239, July 9, 1996]

Appendix B to Subpart D of Part 1021 --Categorical Exclusions Applicable toSpecific Agency Actions

Table of Contents

B Conditions that are integral elements ofthe classes of actions in appendix B

B1 Categorical exclusions applicable tofacility operation

B1.1 Rate increases less than inflation (notpower marketing, but see B4.3)

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B1.2 Training exercises and simulationB1.3 Routine maintenance/custodial services

for buildings, structures, infrastructures,equipment

B1.4 Installation/modification of airconditioning systems for existingequipment

B1.5 Improvements to cooling water systemswithin existing building, structure

B1.6 Installation/modification of retentiontanks, small basins to control runoff,spills

B1.7 Acquisition/installation/operation/removal of communication systems, dataprocessing equipment

B1.8 Modifications to screened waterintake/outflow structures

B1.9 Placement of airway safetymarkings/painting (not lighting) ofexisting lines, antennas

B1.10 Routine onsite storage of activatedmaterial at existing facility

B1.11 Fencing, no adverse effect on wildlifemovement/surface water flow

B1.12 Detonation/burning of failed/damagedhigh explosives or propellants

B1.13 Construction/acquisition/relocation ofonsite pathways, short onsite accessroads/railroads

B1.14 Refueling of a nuclear reactorB1.15 Siting/construction/operation of support

buildings/support structuresB1.16 Removal of asbestos from buildingsB1.17 Removal of polychlorinated

biphenyl-containing items frombuildings, other aboveground locations

B1.18 Siting/construction/operation ofadditional/replacement water supplywells

B1.19 Siting/construction/operation ofmicrowave/radio communication towers

B1.20 Protect/restore/improve fish and wildlifehabitat

B1.21 Noise abatementB1.22 Relocation of buildingsB1.23 Demolition/disposal of buildingsB1.24 Transfer of structures/residential,

commercial, industrial use

B1.25 Transfer of land/habitat preservation,wildlife management

B1.26 Siting/construction/operation/decommissioning of small watertreatment facilities, less thanapproximately 250,000 gallons per daycapacity

B1.27 Disconnection of utilitiesB1.28 Minor activities to place a facility in an

environmentally safe condition, noproposed uses

B1.29 Siting/construction/operation/decommissioning of small onsite disposalfacility for construction and demolitionwaste

B1.30 Transfer actionsB1.31 Relocation/operation of machinery and

equipmentB1.32 Traffic flow adjustments, existing roadsB2 Categorical exclusions applicable to

safety and healthB2.1 Modifications to enhance workplace

habitabilityB2.2 Installation of/improvements to

building/equipment instrumentation(remote controls, emergency warningsystems, monitors)

B2.3 Installation of equipment for personnelsafety and health

B2.4 Equipment Qualification ProgramsB2.5 Safety and environmental improvements

of a facility, replacement/upgrade offacility components

B2.6 Packaging/transportation/storage ofradioactive sources upon request by theNuclear Regulatory Commission or othercognizant agency

B3 Categorical exclusions applicable to sitecharacterization, monitoring, and generalresearch

B3.1 Site characterization/environmentalmonitoring

B3.2 Aviation activities forsurvey/monitoring/security

B3.3 Research related to conservation of fishand wildlife

B3.4 Transport packaging tests forradioactive/hazardous material

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B3.5 Tank car testsB3.6 Siting/construction/operation/decommissi

oning of facilities for bench-scaleresearch, conventional laboratoryoperations, small-scale research anddevelopment and pilot projects

B3.7 Siting/construction/operation of newinfill exploratory, experimentaloil/gas/geothermal wells

B3.8 Outdoor ecological/environmentalresearch in small area

B3.9 Certain Clean Coal TechnologyDemonstration Program activities

B3.10 Siting/construction/operation/decommissioning of particle accelerators,including electron beam accelerators,primary beam energy less thanapproximately 100 MeV

B3.11 Outdoor tests, experiments on materialsand equipment components, no source,special nuclear, or byproduct materialsinvolved

B3.12 Siting/construction/operation/decommissioning of microbiological andbiomedical facilities

B3.13 Magnetic fusion experiments, no tritiumfuel use

B4 Categorical exclusions applicable toPower Marketing Administrations and toall of DOE with regard to powerresources

B4.1 Contracts/marketing plans/policies forexcess electric power.

B4.2 Export of electric energy.B4.3 Electric power marketing rate changes,

within normal operating limits.B4.4 Power marketing services within normal

operating limitsB4.5 Temporary adjustments to river

operations within existing operatingconstraints

B4.6 Additions/modifications to electric powertransmission facilities within previouslydeveloped area.

B4.7 Adding/burying fiber optic cableB4.8 New electricity transmission agreements

for transfer of powerB4.9 Multiple use of DOE transmission line

rights-of-wayB4.10 Deactivation, dismantling and removal of

electric powerlines and substations.B4.11 Construction or modification of electric

power substations.B4.12 Construction of electric powerlines

approximately 10 miles in length or less,not integrating major new sources.

B4.13 Reconstruction and minor relocation ofexisting electric powerlinesapproximately 20 miles in length or less.

B5 Categorical exclusions applicable toconservation, fossil, and renewableenergy activities

B5.1 Actions to conserve energyB5.2 Modifications to oil/gas/geothermal

pumps and pipingB5.3 Modification (not

expansion)/abandonment of oil storageaccess/brine injection/gas/geothermalwells, not part of site closure

B5.4 Repair/replacement of sections ofpipeline within maintenance provisions

B5.5 Construction/operation of short crudeoil/gas/steam/geothermal pipelinesegments

B5.6 Oil spill cleanup operationsB5.7 Import/export natural gas, no new

constructionB5.8 Import/export natural gas, new

cogeneration powerplantB5.9 Temporary exemption for any electric

powerplantB5.10 Certain permanent exemptions for any

existing electric powerplantB5.11 Permanent exemption for mixed natural

gas and petroleumB5.12 Workover of existing oil/gas/geothermal

wellB6 Categorical exclusions applicable to

environmental restoration and wastemanagement activities

B6.1 Small-scale, short-term cleanup actionsunder RCRA, Atomic Energy Act, orother authorities

B6.2 Siting/construction/operation ofpilot-scale wastecollection/treatment/stabilization/contain

18

ment facilitiesB6.3 Improvements to environmental control

systemsB6.4 Siting/construction/operation/

decommissioning of facility for storingpackaged hazardous waste for 90 days orless

B6.5 Siting/construction/operation/decommissioning of facility forcharacterizing/sorting packaged waste,overpacking waste

B6.6 Modification of facility for storing,packaging, repacking waste (nothigh-level, spent nuclear fuel)

B6.7 Granting/denying petitions for allocationof commercial disposal capacity

B6.8 Modifications for wasteminimization/reuse of materials

B6.9 Small-scale temporary measures toreduce migration of contaminatedgroundwater

B6.10 Siting/construction/operation/decommissioning of small upgraded orreplacement waste storage facilities

B7 Categorical exclusions applicable tointernational activities

B7.1 Emergency measures under theInternational Energy Program

B7.2 Import/export of special nuclear orisotopic materials

B. CONDITIONS THAT ARE INTEGRALELEMENTS OF THE CLASSES OFACTIONS IN APPENDIX B

B. The classes of actions listed below includethe following conditions as integral elementsof the classes of actions. To fit within theclasses of actions listed below, a proposal mustbe one that would not:(1) Threaten a violation of applicable statutory,regulatory, or permit requirements forenvironment, safety, and health, includingrequirements of DOE and/or Executive Orders.(2) Require siting and construction or majorexpansion of waste storage, disposal, recovery,or treatment facilities (including incinerators),but the proposal may include categorically

excluded waste storage, disposal, recovery, ortreatment actions.(3) Disturb hazardous substances, pollutants,contaminants, or CERCLA-excluded petroleumand natural gas products that preexist in theenvironment such that there would beuncontrolled or unpermitted releases; or(4) Adversely affect environmentally sensitiveresources. An action may be categoricallyexcluded if, although sensitive resources arepresent on a site, the action would not adverselyaffect those resources (e.g., construction of abuilding with its foundation well above asole-source aquifer or upland surface soilremoval on a site that has wetlands).Environmentally sensitive resources include, butare not limited to:(i) Property (e.g., sites, buildings, structures,objects) of historic, archeological, orarchitectural significance designated by Federal,state, or local governments or property eligiblefor listing on the National Register of HistoricPlaces;(ii) Federally-listed threatened or endangeredspecies or their habitat (including criticalhabitat), Federally- proposed or candidatespecies or their habitat, or state-listedendangered or threatened species or their habitat;(iii) Wetlands regulated under the Clean WaterAct (33 U.S.C. 1344) and floodplains;(iv) Areas having a special designation such asFederally- and state-designated wilderness areas,national parks, national natural landmarks, wildand scenic rivers, state and Federal wildliferefuges, and marine sanctuaries;(v) Prime agricultural lands;(vi) Special sources of water (such as sole-sourceaquifers, wellhead protection areas, and otherwater sources that are vital in a region); and(vii) Tundra, coral reefs, or rain forests.B1. Categorical Exclusions Applicable to

Facility OperationB1.1 Rate increases for products or services

marketed by parts of DOE other thanPower Marketing Administrations andapproval of rate increases for non-DOEentities that do not exceed the change inthe overall price level in the economy

19

(inflation), as measured by the GrossNational Product (GNP) fixed weightprice index published by the Departmentof Commerce, during the period since thelast rate increase. (Also see B4.3.)

B1.2 Training exercises and simulations(including, but not limited to,firing-range training, emergency responsetraining, fire fighter and rescue training,and spill cleanup training).

B1.3 Routine maintenance activities andcustodial services for buildings,structures, rights-of-way, infrastructures(e.g., pathways, roads, and railroads),vehicles and equipment, and localizedvegetation and pest control, during whichoperations may be suspended andresumed. Custodial services are activitiesto preserve facility appearance, workingconditions, and sanitation, such ascleaning, window washing, lawnmowing, trash collection, painting, andsnow removal. Routine maintenanceactivities, corrective (that is, repair),preventive, and predictive, are required tomaintain and preserve buildings,structures, infrastructures, and equipmentin a condition suitable for a facility to beused for its designated purpose. Routinemaintenance may result in replacement tothe extent that replacement is in kind andis not a substantial upgrade orimprovement. In kind replacementincludes installation of new componentsto replace outmoded components if thereplacement does not result in asignificant change in the expected usefullife, design capacity, or function of thefacility. Routine maintenance does notinclude replacement of a majorcomponent that significantly extends theoriginally intended useful life of a facility(for example, it does not include thereplacement of a reactor vessel near theend of its useful life). Routinemaintenance activities include, but arenot limited to:(a) Repair of facility equipment, such as

lathes, mills, pumps, and presses;(b) Door and window repair orreplacement;(c) Wall, ceiling, or floor repair;(d) Reroofing;(e) Plumbing, electrical utility, andtelephone service repair;(f) Routine replacement ofhigh-efficiency particulate air filters;(g) Inspection and/or treatment ofcurrently installed utility poles;(h) Repair of road embankments;(i) Repair or replacement of fireprotection sprinkler systems;(j) Road and parking area resurfacing,including construction of temporaryaccess to facilitate resurfacing;(k) Erosion control and soil stabilizationmeasures (such as reseeding andrevegetation);(l) Surveillance and maintenance ofsurplus facilities in accordance with DOEOrder 5820.2, “Radioactive WasteManagement”;(m) Repair and maintenance oftransmission facilities, includingreplacement of conductors of the samenominal voltage, poles, circuit breakers,transformers, capacitors, crossarms,insulators, and downed transmissionlines, in accordance, where appropriate,with 40 CFR part 761 (PolychlorinatedBiphenyls Manufacturing, Processing,Distribution in Commerce, and UseProhibitions);(n) Routine testing and calibration offacility components, subsystems, orportable equipment (including but notlimited to, control valves, in-coremonitoring devices, transformers,capacitors, monitoring wells, lysimeters,weather stations, and flumes); and(o) Routine decontamination of thesurfaces of equipment, rooms, hot cells,or other interior surfaces of buildings (bysuch activities as wiping with rags, usingstrippable latex, and minor vacuuming),including removal of contaminated intact

20

equipment and other materials (other thanspent nuclear fuel or special nuclearmaterial in nuclear reactors).

B1.4 Installation or modification of airconditioning systems required fortemperature control for operation ofexisting equipment.

B1.5 Minor improvements to cooling watersystems within an existing building orstructure if the improvements would not:(1) Create new sources of water orinvolve new receiving waters; (2)adversely affect water withdrawals or thetemperature of discharged water; or (3)increase introductions of or involve newintroductions of hazardous substances,pollutants, contaminants, orCERCLA-excluded petroleum andnatural gas products.

B1.6 Installation or modification of retentiontanks or small (normally under one acre)basins and associated piping and pumpsfor existing operations to control runoffor spills (such as under 40 CFR part 112).Modifications include, but are not limitedto, installing liners or covers.

B1.7 Acquisition, installation, operation, andremoval of communication systems, dataprocessing equipment, and similarelectronic equipment.

B1.8 Modifications to screened water intakeand outflow structures such that intakevelocities and volumes and water effluentquality and volumes are consistent withexisting permit limits.

B1.9 Placement of airway safety markings andpainting (but excluding lighting) ofexisting electrical transmission lines andantenna structures in accordance withFederal Aviation Administrationstandards.

B1.10 Routine, onsite storage at an existingfacility of activated equipment andmaterial (including lead) used at thatfacility, to allow reuse after decay ofradioisotopes with short half-lives.

B1.11 Installation of fencing, including that forborder marking, that will not adversely

affect wildlife movements or surfacewater flow.

B1.12 Detonation or burning of explosives orpropellants that failed in outdoor tests(i.e., duds) or were damaged in outdoortests (e.g., by fracturing) in outdoor areasdesignated and routinely used forexplosive detonation or burning under anexisting permit issued by state or localauthorities.

B1.13 Construction, acquisition, and relocationof onsite pathways and short onsiteaccess roads and railroads.

B1.14 Refueling of an operating nuclear reactor,during which operations may besuspended and then resumed.

B1.15 Siting, construction (or modification),and operation of support buildings andsupport structures (including, but notlimited to, trailers and prefabricatedbuildings) within or contiguous to analready developed area (where activeutilities and currently used roads arereadily accessible). Covered supportbuildings and structures include those foroffice purposes; parking; cafeteriaservices; education and training; visitorreception; computer and data processingservices; employee health services orrecreation activities; routine maintenanceactivities; storage of supplies andequipment for administrative services androutine maintenance activities; security(including security posts); fire protection;and similar support purposes, butexcluding facilities for waste storageactivities, except as provided in otherparts of this appendix.

B1.16 Removal of asbestos-containing materialsfrom buildings in accordance with 40CFR part 61 (National EmissionStandards for Hazardous Air Pollutants),subpart M (National Emission Standardfor Asbestos); 40 CFR part 763(Asbestos), subpart G (AsbestosAbatement Projects); 29 CFR part 1910,subpart I (Personal ProtectiveEquipment), §1910.134 (Respiratory

21

Protection); subpart Z (Toxic andHazardous Substances), §1910.1001(Asbestos, tremolite, anthophyllite andactinolite); and 29 CFR part 1926 (Safetyand Health Regulations forConstruction), subpart D (OccupationalHealth and Environmental Controls),§1926.58 (Asbestos, tremolite,anthophyllite, and actinolite), otherappropriate Occupational Safety andHealth Administration standards in title29, chapter XVII of the CFR, andappropriate state and local requirements,including certification of removalcontractors and technicians.

B1.17 Removal of polychlorinated biphenyl(PCB)-containing items, such astransformers or capacitors,PCB-containing oils flushed fromtransformers, PCB-flushing solutions,and PCB-containing spill materials frombuildings or other aboveground locationsin accordance with 40 CFR part 761(Polychlorinated BiphenylsManufacturing, Processing, Distributionin Commerce, and Use Prohibitions).

B1.18 Siting, construction, and operation ofadditional water supply wells (orreplacement wells) within an existingwell field, or modification of an existingwater supply well to restore production,if there would be no drawdown otherthan in the immediate vicinity of thepumping well, no resulting long-termdecline of the water table, and nodegradation of the aquifer from the newor replacement well.

B1.19 Siting, construction, and operation ofmicrowave and radio communicationtowers and associated facilities, if thetowers and associated facilities would notbe in an area of great visual value.

B1.20 Small-scale activities undertaken toprotect, restore, or improve fish andwildlife habitat, fish passage facilities(such as fish ladders or minor diversionchannels), or fisheries.

B1.21 Noise abatement measures, such as

construction of noise barriers andinstallation of noise control materials.

B1.22 Relocation of buildings (including, butnot limited to, trailers and prefabricatedbuildings) to an already developed area(where active utilities and currently usedroads are readily accessible).

B1.23 Demolition and subsequent disposal ofbuildings, equipment, and supportstructures (including, but not limited to,smoke stacks and parking lot surfaces).

B1.24 Transfer, lease, disposition or acquisitionof interests in uncontaminated permanentor temporary structures, equipmenttherein, and only land that is necessaryfor use of the transferred structures andequipment, for residential, commercial,or industrial uses (including, but notlimited to, office space, warehouses,equipment storage facilities) where,under reasonably foreseeable uses, therewould not be any lessening in quality, orincreases in volumes, concentrations, ordischarge rates, of wastes, air emissions,or water effluents, and environmentalimpacts would generally be similar tothose before the transfer, lease,disposition, or acquisition of interests.Uncontaminated means that there wouldbe no potential for release of substancesat a level, or in a form, that would pose athreat to public health or theenvironment.

B1.25 Transfer, lease, disposition or acquisitionof interests in uncontaminated land forhabitat preservation or wildlifemanagement, and only associatedbuildings that support these purposes.Uncontaminated means that there wouldbe no potential for release of substancesat a level, or in a form, that would pose athreat to public health or theenvironment.

B1.26 Siting, construction (or expansion,modification, or replacement), operation,and decommissioning of small (totalcapacity less than approximately 250,000gallons per day) wastewater and surface

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water treatment facilities whose liquiddischarges are externally regulated, andsmall potable water and sewage treatmentfacilities.

B1.27 Activities that are required for thedisconnection of utility services such aswater, steam, telecommunications, andelectrical power after it has beendetermined that the continued operationof these systems is not needed for safety.

B1.28 Minor activities that are required to placea facility in an environmentally safecondition where there is no proposed usefor the facility. These activities wouldinclude, but are not limited to, reducingsurface contamination, and removingmaterials, equipment or waste, such asfinal defueling of a reactor, where thereare adequate existing facilities for thetreatment, storage, or disposal of thematerials, equipment or waste. Theseactivities would not include conditioning,treatment, or processing of spent nuclearfuel, high-level waste, or special nuclearmaterials.

B1.29 Siting, construction, operation, anddecommissioning of a small (less thanapproximately 10 acres) onsite disposalfacility for construction and demolitionwaste which would not releasesubstances at a level, or in a form, thatwould pose a threat to public health orthe environment. These wastes, asdefined in the Environmental ProtectionAgency's regulations under the ResourceConservation and Recovery Act,specifically 40 CFR 243.101, includebuilding materials, packaging, andrubble.

B1.30 Transfer actions, in which thepredominant activity is transportation,and in which the amount and type ofmaterials, equipment or waste to bemoved is small and incidental to theamount of such materials, equipment, orwaste that is already a part of ongoingoperations at the receiving site. Suchtransfers are not regularly scheduled as

part of ongoing routine operations.B1.31 Relocation of machinery and equipment,

such as analytical laboratory apparatus,electronic hardware, maintenanceequipment, and health and safetyequipment, including minor constructionnecessary for removal and installation,where uses of the relocated items will besimilar to their former uses and consistentwith the general missions of the receivingstructure.

B1.32 Traffic flow adjustments to existing roadsat DOE sites (including, but not limitedto, stop sign or traffic light installation,adjusting direction of traffic flow, andadding turning lanes). Road adjustmentssuch as widening or realignment are notincluded.

B2. Categorical Exclusions Applicable toSafety and Health

B2.1 Modifications of an existing structure toenhance workplace habitability(including, but not limited to:improvements to lighting, radiationshielding, or heating/ventilating/airconditioning and its instrumentation; andnoise reduction).

B2.2 Installation of, or improvements to,building and equipment instrumentation(including, but not limited to, remotecontrol panels, remote monitoringcapability, alarm and surveillancesystems, control systems to provideautomatic shutdown, fire detection andprotection systems, announcement andemergency warning systems, criticalityand radiation monitors and alarms, andsafeguards and security equipment).

B2.3 Installation of, or improvements to,equipment for personnel safety andhealth, including, but not limited to, eyewashes, safety showers, radiationmonitoring devices, and fumehoods andassociated collection and exhaustsystems, provided that emissions wouldnot increase.

B2.4 Development and implementation ofEquipment Qualification Programs

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(under DOE Order 5480.6, “Safety ofDOE-owned Nuclear Reactors”) toaugment information on safety-relatedsystem components or to improvesystems reliability.

B2.5 Safety and environmental improvementsof a facility, including replacement andupgrade of facility components, that donot result in a significant change in theexpected useful life, design capacity, orfunction of the facility and during whichoperations may be suspended and thenresumed. Improvements may include, butare not limited to: Replacement/upgradeof control valves, in-core monitoringdevices, facility air filtration systems, orsubstation transformers or capacitors;addition of structural bracing to meetearthquake standards and/or sustain highwind loading; and replacement ofaboveground or belowground tanks andrelated piping if there is no evidence ofleakage, based on testing that meetsperformance requirements in 40 CFR part280, subpart D (40 CFR part 280.40).This includes activities taken underRCRA, subtitle I; 40 CFR part 265,subpart J; 40 CFR part 280, subparts B,C, and D; and other applicable state,Federal and local requirements forunderground storage tanks. These actionsdo not include rebuilding or modifyingsubstantial portions of a facility, such asreplacing a reactor vessel.

B2.6 Packaging, transportation, and storage ofradioactive materials from the publicdomain, in accordance with the AtomicEnergy Act upon a request by theNuclear Regulatory Commission or othercognizant agency, which would include aState that regulates radioactive materialsunder an agreement with the NuclearRegulatory Commission or otheragencies that may, under unusualcircumstances, have responsibilitiesregarding the materials that are includedin the categorical exclusion. Coveredmaterials are those for which possession

and use by Nuclear RegulatoryCommission licensees has beencategorically excluded under 10 CFR51.22(14) or its successors. Examples ofthese radioactive materials (which maycontain source, byproduct or specialnuclear materials) are density gauges,therapeutic medical devices, generators,reagent kits, irradiators, analyticalinstruments, well monitoring equipment,uranium shielding material, depleteduranium military munitions, andpackaged radioactive waste notexceeding 50 curies.

B3. Categorical Exclusions Applicable toSite Characterization, Monitoring, andGeneral Research

B3.1 Onsite and offsite site characterizationand environmental monitoring, includingsiting, construction (or modification),operation, and dismantlement or closing(abandonment) of characterization andmonitoring devices and siting,construction, and associated operation ofa small-scale laboratory building orrenovation of a room in an existingbuilding for sample analysis. Activitiescovered include, but are not limited to,site characterization and environmentalmonitoring under CERCLA and RCRA.Specific activities include, but are notlimited to:(a) Geological, geophysical (such asgravity, magnetic, electrical, seismic, andradar), geochemical, and engineeringsurveys and mapping, including theestablishment of survey marks;(b) Installation and operation of fieldinstruments, such as stream-gaugingstations or flow-measuring devices,telemetry systems, geochemicalmonitoring tools, and geophysicalexploration tools;(c) Drilling of wells for sampling ormonitoring of groundwater or the vadose(unsaturated) zone, well logging, andinstallation of water-level recordingdevices in wells;

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(d) Aquifer response testing;(e) Installation and operation of ambientair monitoring equipment;(f) Sampling and characterization ofwater, soil, rock, or contaminants;(g) Sampling and characterization ofwater effluents, air emissions, or solidwaste streams;(h) Installation and operation ofmeteorological towers and associatedactivities, including assessment ofpotential wind energy resources;(i) Sampling of flora or fauna; and(j) Archeological, historic, and culturalresource identification in compliancewith 36 CFR part 800 and 43 CFR part 7.

B3.2 Aviation activities for survey,monitoring, or security purposes thatcomply with Federal AviationAdministration regulations.

B3.3 Field and laboratory research, inventory,and information collection activities thatare directly related to the conservation offish or wildlife resources and that involveonly negligible habitat destruction orpopulation reduction.

B3.4 Drop, puncture, water-immersion,thermal, and fire tests of transportpackaging for radioactive or hazardousmaterials to certify that designs meet therequirements of 49 CFR §§173.411 and173.412 and requirements of severeaccident conditions as specified in 10CFR §71.73.

B3.5 Tank car tests under 49 CFR part 179(including, but not limited to, tests ofsafety relief devices, pressure regulators,and thermal protection systems).

B3.6 Siting, construction (or modification),operation, and decommissioning offacilities for indoor bench-scale researchprojects and conventional laboratoryoperations (for example, preparation ofchemical standards and sample analysis);small-scale research and developmentprojects; and small-scale pilot projects(generally less than two years) conductedto verify a concept before demonstration

actions. Construction (or modification)will be within or contiguous to an alreadydeveloped area (where active utilities andcurrently used roads are readilyaccessible). See also C12.

B3.7 Siting, construction, and operation ofnew infill exploratory and experimental(test) oil, gas, and geothermal wells,which are to be drilled in a geologicalformation that has existing operatingwells.

B3.8 Outdoor ecological and otherenvironmental research (including siting,construction, and operation of asmall-scale laboratory building orrenovation of a room in an existingbuilding for sample analysis) in a smallarea (generally less than five acres) thatwould not result in any permanent changeto the ecosystem.

B3.9 Demonstration actions proposed underthe Clean Coal TechnologyDemonstration Program, if the actionswould not increase the quantity or rate ofair emissions. These demonstrationactions include, but are not limited to:(a) Test treatment of 20 percent or less ofthe throughput product (solid, liquid, orgas) generated at an existing and fullyoperational coal combustion or coalutilization facility;(b) Addition or replacement of equipmentfor reduction or control of sulfur dioxide,oxides of nitrogen, or other regulatedsubstances that requires only minormodification to the existing structures atan existing coal combustion or coalutilization facility for which the existinguse remains unchanged; and(c) Addition or replacement of equipmentfor reduction or control of sulfur dioxide,oxides of nitrogen, or other regulatedsubstances that involves no permanentchange in the quantity or quality of coalbeing burned or used and involves nopermanent change in the capacity factorof the coal combustion or coal utilizationfacility, other than for demonstration

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purposes of two years or less in duration.B3.10 Siting, construction, operation, and

decommissioning of a particleaccelerator, including electron beamaccelerator with primary beam energyless than approximately 100 MeV, andassociated beamlines, storage rings,colliders, and detectors for research andmedical purposes, within or contiguous toan already developed area (where activeutilities and currently used roads arereadily accessible), or internalmodification of any accelerator facilityregardless of energy that does notincrease primary beam energy or current.

B3.11 Outdoor tests and experiments for thedevelopment, quality assurance, orreliability of materials and equipment(including, but not limited to, weaponsystem components), under controlledconditions that would not involve source,special nuclear, or byproduct materials.Covered activities may include, but arenot limited to, burn tests (such as tests ofelectric cable fire resistance or thecombustion characteristics of fuels),impact tests (such as pneumatic ejectortests using earthen embankments orconcrete slabs designated and routinelyused for that purpose), or drop, puncture,water-immersion, or thermal tests.

B3.12 Siting, construction (or modification),operation, and decommissioning ofmicrobiological and biomedicaldiagnostic, treatment and researchfacilities (excluding Biosafety Level-3and Biosafety Level-4; reference:Biosafety in Microbiological andBiomedical Laboratories, 3rd Edition,May 1993, U.S. Department of Healthand Human Services Public HealthService, Centers of Disease Control andPrevention, and the National Institutes ofHealth (HHS Publication No. (CDC)93-8395)) including, but not limited to,laboratories, treatment areas, offices, andstorage areas, within or contiguous to analready developed area (where active

utilities and currently used roads arereadily accessible). Operation mayinclude the purchase, installation, andoperation of biomedical equipment, suchas commercially available cyclotrons thatare used to generate radioisotopes andradiopharmaceuticals, and commerciallyavailable biomedical imaging andspectroscopy instrumentation.

B3.13 Performing magnetic fusion experimentsthat do not use tritium as fuel, withexisting facilities (including necessarymodifications).

B4. Categorical Exclusions Applicable toPower Marketing Administrations andto All of DOE with Regard to PowerResources

B4.1 Establishment and implementation ofcontracts, marketing plans, policies,allocation plans, or acquisition of excesselectric power that does not involve: (1)the integration of a new generationresource, (2) physical changes in thetransmission system beyond thepreviously developed facility area, unlessthe changes are themselves categoricallyexcluded, or (3) changes in the normaloperating limits of generation resources.

B4.2 Export of electric energy as provided bySection 202(e) of the Federal Power Actover existing transmission systems orusing transmission system changes thatare themselves categorically excluded.

B4.3 Rate changes for electric power, powertransmission, and other products orservices provided by a Power MarketingAdministration that are based on achange in revenue requirements if theoperations of generation projects wouldremain within normal operating limits.

B4.4 Power marketing services, includingstorage, load shaping, seasonalexchanges, or other similar activities ifthe operations of generating projectswould remain within normal operatinglimits.

B4.5 Temporary adjustments to riveroperations to accommodate day-to-day

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river fluctuations, power demandchanges, fish and wildlife conservationprogram requirements, and other externalevents if the adjustments would occurwithin the existing operating constraintsof the particular hydrosystem operation.

B4.6 Additions or modifications to electricpower transmission facilities that wouldnot affect the environment beyond thepreviously developed facility areaincluding, but not limited to, switchyardrock grounding upgrades, secondarycontainment projects, paving projects,seismic upgrading, tower modifications,changing insulators, and replacement ofpoles, circuit breakers, conductors,transformers, and crossarms.

B4.7 Adding fiber optic cable to transmissionstructures or burying fiber optic cable inexisting transmission line rights-of-way.

B4.8 New electricity transmission agreements,and modifications to existingtransmission arrangements, to use atransmission facility of one system totransfer power of and for another system,if no new generation projects would beinvolved and no physical changes in thetransmission system would be madebeyond the previously developed facilityarea.

B4.9 Grant or denial of requests for multipleuse of a transmission facilityrights-of-way, such as grazing permitsand crossing agreements, includingelectric lines, water lines, and drainageculverts.

B4.10 Deactivation, dismantling, and removalof electric powerlines, substations,switching stations, and other transmissionfacilities, and right-of-way abandonment.

B4.11 Construction of electric powersubstations (including switching stationsand support facilities) with powerdelivery at 230 kV or below, ormodification (other than voltageincreases) of existing substations andsupport facilities, that could involve theconstruction of electric powerlines

approximately 10 miles in length or less,or relocation of existing electricpowerlines approximately 20 miles inlength or less, but not the integration ofmajor new generation resources into amain transmission system.

B4.12 Construction of electric powerlinesapproximately 10 miles in length or lessthat are not for the integration of majornew generation resources into a maintransmission system.

B4.13 Reconstruction (upgrading orrebuilding) and/or minor relocation ofexisting electric powerlinesapproximately 20 miles in length or lessto enhance environmental and land usevalues. Such actions include relocationsto avoid right-of-way encroachments,resolve conflict with propertydevelopment, accommodateroad/highway construction, allow for theconstruction of facilities such as canalsand pipelines, or reduce existing impactsto environmentally sensitive areas.

B5. Categorical Exclusions Applicable toConservation, Fossil, and RenewableEnergy Activities

B5.1 Actions to conserve energy, demonstratepotential energy conservation, andpromote energy-efficiency that do notincrease the indoor concentrations ofpotentially harmful substances. Theseactions may involve financial andtechnical assistance to individuals (suchas builders, owners, consultants,designers), organizations (such asutilities), and state and localgovernments. Covered actions include,but are not limited to: programmedlowering of thermostat settings,placement of timers on hot waterheaters, installation of solar hot watersystems, installation of efficient lighting,improvements in generator efficiencyand appliance efficiency ratings,development of energy-efficientmanufacturing or industrial practices,and small-scale conservation and

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renewable energy research anddevelopment and pilot projects. Theactions could involve buildingrenovations or new structures incommercial, residential, agricultural, orindustrial sectors. These actions do notinclude rulemakings, standard-settings,or proposed DOE legislation.

B5.2 Modifications to oil, gas, andgeothermal facility pump and pipingconfigurations, manifolds, meteringsystems, and other instrumentation thatwould not change design process flowrates or affect permitted air emissions.

B5.3 Modification (but not expansion) orabandonment (including plugging),which is not part of site closure, of crudeoil storage access wells, brine injectionwells, geothermal wells, and gas wells.

B5.4 Repair or replacement of sections of acrude oil, produced water, brine, orgeothermal pipeline, if the actions aredetermined by the Army Corps ofEngineers to be within the maintenanceprovisions of a DOE permit undersection 404 of the Clean Water Act.

B5.5 Construction and subsequent operationof short crude oil, steam, geothermal, ornatural gas pipeline segments betweenDOE facilities and existingtransportation, storage, or refiningfacilities within a single industrialcomplex, if the pipeline segments arewithin existing rights-of-way.

B5.6 Removal of oil and contaminatedmaterials recovered in oil spill cleanupoperations in accordance with theNational Oil and Hazardous SubstancesPollution Contingency Plan (NCP) anddisposed of in accordance with localcontingency plans in accordance withthe NCP.

B5.7 Approval of new authorization oramendment of existing authorization toimport/export natural gas under section3 of the Natural Gas Act that does notinvolve new construction and onlyrequires operational changes, such as anincrease in natural gas throughput,

change in transportation, or change instorage operations.

B5.8 Approval of new authorization oramendment of existing authorization toimport/export natural gas under section3 of the Natural Gas Act involving anew cogeneration powerplant (asdefined in the Powerplant and IndustrialFuel Use Act) within or adjacent to anexisting industrial complex andrequiring less than 10 miles of new gaspipeline.

B5.9 The grant or denial of any temporaryexemption under the Powerplant andIndustrial Fuel Use Act of 1978 for anyelectric powerplant.

B5.10 The grant or denial of any permanentexemption under the Powerplant andIndustrial Fuel Use Act of 1978 of anyexisting electric powerplant other thanan exemption under (1) section 312(c)relating to cogeneration, (2) section312(l) relating to scheduled equipmentoutages, (3) section 312(b) relating tocertain state or local requirements, and(4) section 312(g) relating to certainintermediate load powerplants.

B5.11 The grant or denial of a permanentexemption from the prohibitions of TitleII of the Powerplant and Industrial FuelUse Act of 1978 for any new electricpowerplant to permit the use of certainfuel mixtures containing natural gas orpetroleum.

B5.12 Workover (operations to restoreproduction, such as deepening, pluggingback, pulling and resetting lines, andsqueeze cementing) of an existing oil,gas, or geothermal well to restoreproduction when workover operationswill be restricted to the existing wellpadand not involve any new site preparationor earth work that would adverselyaffect adjacent habitat.

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B6. Categorical Exclusions Applicable toEnvironmental Restoration andWaste Management Activities

B6.1 Small-scale, short-term cleanup actions,under RCRA, Atomic Energy Act, orother authorities, less thanapproximately 5 million dollars in costand 5 years duration, to reduce risk tohuman health or the environment fromthe release or threat of release of ahazardous substance other thanhigh-level radioactive waste and spentnuclear fuel, including treatment (e.g.,incineration), recovery, storage, ordisposal of wastes at existing facilitiescurrently handling the type of wasteinvolved in the action. These actionsinclude, but are not limited to:(a) Excavation or consolidation ofcontaminated soils or materials fromdrainage channels, retention basins,ponds, and spill areas that are notreceiving contaminated surface water orwastewater, if surface water orgroundwater would not collect and ifsuch actions would reduce the spread of,or direct contact with, thecontamination;(b) Removal of bulk containers (forexample, drums, barrels) that contain ormay contain hazardous substances,pollutants, contaminants,CERCLA-excluded petroleum or naturalgas products, or hazardous wastes(designated in 40 CFR part 261 orapplicable state requirements), if suchactions would reduce the likelihood ofspillage, leakage, fire, explosion, orexposure to humans, animals, or thefood chain;(c) Removal of an underground storagetank including its associated piping andunderlying containment systems incompliance with RCRA, subtitle I; 40CFR part 265, subpart J; and 40 CFRpart 280, subparts F and G if such actionwould reduce the likelihood of spillage,leakage, or the spread of, or directcontact with, contamination;

(d) Repair or replacement of leakingcontainers;(e) Capping or other containment ofcontaminated soils or sludges if thecapping or containment would not affectfuture groundwater remediation and ifneeded to reduce migration of hazardoussubstances, pollutants, contaminants, orCERCLA-excluded petroleum andnatural gas products into soil,groundwater, surface water, or air;(f) Drainage or closing of man-madesurface impoundments if needed tomaintain the integrity of the structures;(g) Confinement or perimeter protectionusing dikes, trenches, ditches,diversions, or installing undergroundbarriers, if needed to reduce the spreadof, or direct contact with, thecontamination;(h) Stabilization, but not expansion, ofberms, dikes, impoundments, or caps ifneeded to maintain integrity of thestructures;(i) Drainage controls (for example,run-off or run-on diversion) if needed toreduce offsite migration of hazardoussubstances, pollutants, contaminants, orCERCLA-excluded petroleum or naturalgas products or to prevent precipitationor run-off from other sources fromentering the release area from otherareas;(j) Segregation of wastes that may reactwith one another or form a mixture thatcould result in adverse environmentalimpacts;(k) Use of chemicals and other materialsto neutralize the pH of wastes;(l) Use of chemicals and other materialsto retard the spread of the release or tomitigate its effects if the use of suchchemicals would reduce the spread of, ordirect contact with, the contamination;(m) Installation and operation of gasventilation systems in soil to removemethane or petroleum vapors withoutany toxic or radioactive co-contaminantsif appropriate filtration or gas treatment

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is in place;(n) Installation of fences, warning signs,or other security or site controlprecautions if humans or animals haveaccess to the release; and(o) Provision of an alternative watersupply that would not create new watersources if necessary immediately toreduce exposure to contaminatedhousehold or industrial use water andcontinuing until such time as localauthorities can satisfy the need for apermanent remedy.

B6.2 The siting, construction, and operationof temporary (generally less than 2years) pilot-scale waste collection andtreatment facilities, and pilot-scale(generally less than one acre) wastestabilization and containment facilities(including siting, construction, andoperation of a small-scale laboratorybuilding or renovation of a room in anexisting building for sample analysis) ifthe action: (1) Supports remedialinvestigations/feasibility studies underCERCLA, or similar studies underRCRA, such as RCRA facilityinvestigations/corrective measurestudies, or other authorities, and (2)would not unduly limit the choice ofreasonable remedial alternatives (bypermanently altering substantial site areaor by committing large amounts of fundsrelative to the scope of the remedialalternatives).

B6.3 Improvements to environmentalmonitoring and control systems of anexisting building or structure (forexample, changes to scrubbers in airquality control systems or ion-exchangedevices and other filtration processes inwater treatment systems) if duringsubsequent operations (1) any substancecollected by the environmental controlsystems would be recycled, released, ordisposed of within existing permittedfacilities and (2) there are applicablestatutory or regulatory requirements orpermit conditions for disposal, release,

or recycling of any hazardous substanceor CERCLA-excluded petroleum naturalgas products that are collected orreleased in increased quantity or thatwere not previously collected orreleased.

B6.4 Siting, construction (or modification orexpansion), operation, anddecommissioning of an onsite facilityfor storing packaged hazardous waste(as designated in 40 CFR part 261) for90 days or less or for longer periods asprovided in 40 CFR 262.34 (d), (e), or(f) (e.g., accumulation or satellite areas).

B6.5 Siting, construction (or modification orexpansion), operation, anddecommissioning of an onsite facilityfor characterizing and sorting previouslypackaged waste or for overpackingwaste, other than high-level radioactivewaste, if operations do not involveunpacking waste. These actions do notinclude waste storage (covered underB6.4, B6.6, B6.10, and C16) or thehandling of spent nuclear fuel.

B6.6 Modification (excluding increases incapacity) of an existing structure usedfor storing, packaging, or repackingwaste other than high-level radioactivewaste or spent nuclear fuel, to handle thesame class of waste as currently handledat that structure.

B6.7 Under the Low-Level RadioactiveWaste Policy Amendments Act of 1985(5(c)(5)), granting of a petition qualifiedunder 10 CFR 730.6 for allocation ofcommercial disposal capacity for anunusual or unexpected volume ofcommercial low-level radioactive wasteor denying such a petition whenadequate storage capacity exists at thepetitioner's facility.

B6.8 Minor operational changes at an existingfacility to minimize waste generationand for reuse of materials. Thesechanges include, but are not limited to,adding filtration and recycle piping toallow reuse of machining oil, setting upa sorting area to improve process

30

efficiency, and segregating two wastestreams previously mingled andassigning new identification codes to thetwo resulting wastes.

B6.9 Small-scale temporary measures toreduce migration of contaminatedgroundwater, including the siting,construction, operation, anddecommissioning of necessary facilities.These measures include, but are notlimited to, pumping, treating, storing,and reinjecting water, by mobile units orfacilities that are built and then removedat the end of the action.

B6.10 Siting, construction (or modification),operation, and decommissioning of asmall upgraded or replacement facility(less than approximately 50,000 squarefeet in area) at a DOE site within orcontiguous to an already developed area(where active utilities and currently usedroads are readily accessible) for storageof waste that is already at the site at thetime the storage capacity is to beprovided. These actions do not includethe storage of high-level radioactivewaste, spent nuclear fuel or any wastethat requires special precautions toprevent nuclear criticality. See alsoB6.4, B6.5, B6.6, and C16.

B7. Categorical Exclusions Applicable toInternational Activities

B7.1 Planning and implementation ofemergency measures pursuant to theInternational Energy Program.

B7.2 Approval of import or export of smallquantities of special nuclear materials orisotopic materials in accordance with theNuclear Non-Proliferation Act of 1978and the “Procedures EstablishedPursuant to the Nuclear NonProliferation Act of 1978" (43 FR25326, June 9, 1978).

[57 FR 15144, Apr. 24, 1992, as amended at 61FR 36239-36242, July 9, 1996; 61 FR 64608,Dec. 6, 1996]

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Appendix C to Subpart D to Part 1021 --Classes of Actions that Normally RequireEAs But Not Necessarily EISs

Table of Contents

C1. [Reserved]C2. Rate increases more than inflation, not

power marketingC3. Electric power marketing rate changes, not

within normal operating limits.C4. Reconstructing and constructing electric

powerlines.C5. Implementation of Power Marketing

Administration systemwide vegetationmanagement program

C6. Implementation of Power MarketingAdministration systemwide erosioncontrol program

C7. Allocation of electric power, no majornew generation resource/major changes inoperation of generation resources/majornew loads.

C8. Protection of fish and wildlife habitatC9. Field demonstration projects for wetlandsC10. [Reserved]C11. Siting/construction/operation/

decommissioning of low- ormedium-energy particle accelerationfacility with primary beam energy greaterthan approximately 100 MeV

C12. Siting/construction/operation of energysystem prototypes

C13. Import/export natural gas, minor newconstruction (other than a cogenerationpowerplant)

C14. Siting/construction/operation of watertreatment facilities greater thanapproximately 250,000 gallons per daycapacity

C15. Siting/construction/operation of researchand developmentincinerators/nonhazardous wasteincinerators

C16. Siting/construction/operation/decommissioning of large waste storagefacilities

C1 [Reserved]C2 Rate increases for products or services

marketed by DOE, except for electricpower, power transmission, and otherproducts or services provided by thePower Marketing Administrations, andapproval of rate increases for non-DOEentities, that exceed the change in theoverall price level in the economy(inflation), as measured by the GNP fixedweight price index published by theDepartment of Commerce, during theperiod since the last rate increase for thatproduct or service.

C3 Rate changes for electric power, powertransmission, and other products orservices provided by Power MarketingAdministrations that are based on changesin revenue requirements if the operationsof generation projects would not remainwithin normal operating limits.

C4 Reconstructing (upgrading or rebuilding)existing electric powerlines more thanapproximately 20 miles in length orconstructing new electric powerlines morethan approximately 10 miles in length.

C5 Implementation of a Power MarketingAdministration system-wide vegetationmanagement program.

C6 Implementation of a Power MarketingAdministration system-wide erosioncontrol program.

C7 Establishment and implementation ofcontracts, policies, marketing plans, orallocation plans for the allocation ofelectric power that do not involve (1) theaddition of new generation resourcesgreater than 50 average megawatts, (2)major changes in the operating limits ofgeneration resources greater than 50average megawatts, or (3) service todiscrete new loads of 10 averagemegawatts or more over a 12 monthperiod. This applies to power marketingoperations and to siting, construction, andoperation of power generating facilities atDOE sites.

C8 Protection, restoration, or improvement offish and wildlife habitat, fish passagefacilities, and fish hatcheries if theproposed action may adversely affect an

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environmentally sensitive resource.C9 Field demonstration projects for wetlands

mitigation, creation, and restoration.C10 [Reserved]C11 Siting, construction (or modification),

operation, and decommissioning of a low-or medium-energy (but greater thanapproximately 100 MeV primary beamenergy) particle acceleration facility,including electron beam accelerationfacilities, and associated beamlines,storage rings, colliders, and detectors forresearch and medical purposes, within orcontiguous to an already developed area(where active utilities and currently usedroads are readily accessible).

C12 Siting, construction, and operation ofenergy system prototypes including, butnot limited to, wind resource, hydropower,geothermal, fossil fuel, biomass, and solarenergy pilot projects.

C13 Approval or disapproval of an applicationto import/export natural gas under section3 of the Natural Gas Act involving minornew construction (other than acogeneration powerplant), such as addingnew connections, looping, or compressionto an existing natural gas pipeline orconverting an existing oil pipeline to anatural gas pipeline using the sameright-of-way.

C14 Siting, construction (or expansion),operation, and decommissioning ofwastewater, surface water, potable water,and sewage treatment facilities with a totalcapacity greater than approximately250,000 gallons per day, and of lowercapacity wastewater and surface watertreatment facilities whose liquiddischarges are not subject to externalregulation.

C15 Siting, construction (or expansion), andoperation of research and developmentincinerators for any type of waste and ofany other incinerators that would treatnonhazardous solid waste (as designatedin 40 CFR Part 261.4(b)).

C16 Siting, construction (or modification toincrease capacity), operation, and

decommissioning of packaging andunpacking facilities (that may includecharacterization operations) and largestorage facilities (greater thanapproximately 50,000 square feet in area)for waste, except high-level radioactivewaste, generated onsite or resulting fromactivities connected to site operations.These actions do not include storage,packaging, or unpacking of spent nuclearfuel. See also B6.4, B6.5, B6.6, and B6.10.

[57 FR 15144, Apr. 24, 1992, as amended at 61FR 36242, July 9, 1996; 61 FR 64608, Dec. 6,1996]

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Appendix D to Subpart D of Part 1021 --Classes of Actions That NormallyRequire EISs

Table of Contents

D1. Strategic SystemsD2. Siting/construction/operation/

decommissioning of nuclear fuelreprocessing facilities

D3. Siting/construction/operation/decommissioning of uranium enrichmentfacilities

D4. Siting/construction/operation/decommissioning of reactors

D5. Main transmission system additionsD6. Integrating transmission facilitiesD7. Allocation of electric power, major new

generation resources/major changes inoperation of generation resources/majorloads.

D8. Import/export of natural gas, involvingmajor new facilities

D9. Import/export of natural gas, involvingsignificant operational change

D10. Siting/construction/operation/decommissioning of major treatment,storage, and disposal facilities forhigh-level waste and spent nuclear fuel

D11. Siting/construction/expansion of wastedisposal facility for transuranic waste

D12. Siting/construction/operation ofincinerators (other than research anddevelopment, other than nonhazardoussolid waste)

D1 Strategic Systems, as defined in DOEOrder 430.1, “Life-Cycle AssetManagement,” and designated by theSecretary.

D2 Siting, construction, operation, anddecommissioning of nuclear fuelreprocessing facilities.

D3 Siting, construction, operation, anddecommissioning of uranium enrichmentfacilities.

D4 Siting, construction, operation, anddecommissioning of power reactors,nuclear material production reactors, andtest and research reactors.

D5 Main transmission system additions (thatis, additions of new transmission lines) toa Power Marketing Administration's maintransmission grid.

D6 Integrating transmission facilities (that is,transmission system additions forintegrating major new sources ofgeneration into a Power MarketingAdministration's main grid).

D7 Establishment and implementation ofcontracts, policies, marketing plans orallocation plans for the allocation ofelectric power that involve (1) the additionof new generation resources greater than50 average megawatts, (2) major changesin the operating limits of generationresources greater than 50 averagemegawatts, or (3) service to discrete newloads of 10 average megawatts or moreover a 12 month period.This applies to power marketingoperations and to siting construction, andoperation of power generating facilities atDOE sites.

D8 Approval or disapproval of an applicationto import/export natural gas under section3 of the Natural Gas Act involving majornew natural gas pipeline construction orrelated facilities, such as construction ofnew liquid natural gas (LNG) terminals,regasification or storage facilities, or asignificant expansion of an existingpipeline or related facility or LNGterminal, regasification, or storage facility.

D9 Approval or disapproval of an applicationto import/export natural gas under section3 of the Natural Gas Act involving asignificant operational change, such as amajor increase in the quantity of liquidnatural gas imported or exported.

D10 Siting, construction, operation, anddecommissioning of major treatment,storage, and disposal facilities forhigh-level waste and spent nuclear fuel,including geologic repositories, but notincluding onsite replacement or upgradesof storage facilities for spent nuclear fuelat DOE sites where such replacement orupgrade will not result in increased

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storage capacity.D11 Siting, construction (or expansion), and

operation of a disposal facility fortransuranic (TRU) waste and TRU mixedwaste (TRU waste also containinghazardous waste as designated in 40 CFRpart 261).

D12 Siting, construction, and operation ofincinerators, other than research anddevelopment incinerators or incineratorsfor nonhazardous solid waste (asdesignated in 40 CFR part 261.4(b)).

[57 FR 15144, Apr. 24, 1992, as amended at 61FR 36243, July 9, 1996; 61 FR 64608, Dec. 6,1996]